University of Southern California Dissertations and Theses

The Support Of Local Populations For The Forces Of Order And Legal Government In A Developing And Insurgent Area: Identification Of Some Problems And Relevant Factors

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The Support Of Local Populations For The Forces Of Order And Legal Government In A Developing And Insurgent Area: Identification Of Some Problems And Relevant Factors

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Content This dissertation has been microfilmed exactly as received 6 7 -1 0 ,7 6 3 HOUK, John Louis, 1920- THE SUPPORT OP LOCAL POPULATIONS FOR THE FORCES OF ORDER AND LEGAL GOVERNMENT IN A DEVELOPING AND INSURGENT AREA: IDENTIFICA TION OF SOME PROBLEMS AND RELEVANT FACTORS. University of Southern California, Ph.D., 1967 Political Science, international law and relations University Microfilms, Inc., Ann Arbor, Michigan / Copyright (c) by JOHN LOUIS HOUK 1967 THE SUPPORT OF LOCAL POPULATIONS FOR THE FORCES OF ORDER AND LEGAL GOVERNM ENT IN A DEVELOPING AND INSURGENT AREA: IDENTIFICATION OF SOM E PROBLEMS AND RELEVANT FACTORS by John L ouis Houk A D i s s e r t a t io n P r e se n te d to th e FACULTY OF THE GRADUATE SCHOOL UNIVERSITY OF SOUTHERN CALIFORNIA In P a r t i a l F u lf illm e n t o f th e R equirem ents f o r th e D egree DOCTOR OF PHILOSOPHY ( P o l i t i c a l S c ie n c e ) June 1966 UNIVERSITY OF SOUTHERN CALIFORNIA TH E GRADUATE SCHOOL UNIVERSITY PARK LO S ANGELES, CALIFO RNIA 9 0 0 0 7 This dissertation, ’ written by under the direction of hi.§—-Dissertation Com mittee, and approved by all its members, has been presented to and accepted by the Graduate School, in partial fulfillment of requirements for the degree of D O C T O R OF P H I L O S O P H Y Dean Z)a/e...SeptemberJ l..1.966. DISSERTATION COMMITTEE Chairman Chapter I . I I . TABLE OF CONTENTS Page INTRODUCTION ................................................................................ 1 The P r o b le m ........................................................................... 1 S o c ia l S c ie n c e Response ............................................. 11 The Research Plan and P roced u res . . . . . 15 R esearch O b je c tiv e s . . .....................................15 Research Methods 15 I R esearch Problems 15 j Approach 16 j i Phase 1 ..............................................................16 Phase 2 ..............................................................18 Phase 3 ....................................................... 19 j Phase 4 ....................................................... 21 THE COUNTERINSURGENCY SETTING ........................................ 2 5 S o c ia l Change and S o c ia l D iso r g a n iz a tio n . 2 7 Sources o f S o c ia l Change 29 | R e su lts o f S o c ia l Change .............................. 31 S o c ia l C o n f lic t : I s s u e s o f S o c ia l Change . 3 3 The I s s u e o f L egitim acy ............................ 34 The I s s u e o f A d a p t i o n .............................................35 The I s s u e o f S t r a t i f i c a t i o n ..............................36 C hapter Page S o c ia l Movements: In su rgency .............................. 37 How In su r g e n t Movements Begin .................... 43 How In su rg e n t Movements D evelop . . . . 46 The T a c t ic a l S e t t i n g ......................... 52 The Major A ctors . . . . . . .. . .. 52 I n f i l t r a t i o n and C o n t r o l .................... ..... . 54 The A c t i o n .................................................................5 6 The C ou n terin su rgen t Response .................... 5 8 .. The Case o f th e P h i l i p p i n e s .................................60 S o c ia l Change and D is o r g a n iz a tio n in th e P h i l i p p i n e s ................................................ 60 I s s u e s o f S o c ia l Change in th e P h i l i p p i n e s ..........................................................64 L e g i t i m a c y ....................................................... 6 4 A d a p t i o n .................................................................. 69 S t r a t i f i c a t i o n ............................................. 72 In su rg en cy in th e P h i l i p p i n e s ..................74 Phases and L e a d e r s ..........................................78 Huk T a c t i c s ........................................................................85 ; I I I . SOLDIER AND POPULATION: FACTORS FOR POLICY CONSIDERATION APPROPRIATE TO A TACTICAL SETTING........................................................................................86 j Commitment o f In digenou s L ocal Leaders to an A l l - o u t E f fo r t A g a in s t In su r g e n ts . . 102 Leaders and th e P e o p l e ............................... 10 5 i R e la tin g L ocal Needs and Goals to M o t i v a t i o n 10 8 r « a • I _ _ _ _ . - - . Ill . . . - - - - - - . . . . . . . . .. . . . . . . . . . .. C hapter IV . Page M o tiv a tin g Leaders t o D e sire d C o m m itm e n t............................................................ 110 Optimal C o n d itio n s fo r R e lo c a tio n and R eo rg a n iza tio n o f P eop le ................................... 12 0 Needs and I n t e r e s t s o f Rural a n d /o r Poor P o p u l a t i o n s ......................................................................12 7 U nfavorable H is t o r i c a l and Contemporary j Images o f S o ld ie r s or P o l i c e .........................134 | E f f e c t o f M ilita r y S u ccess on th e L ocal P o p u l a t i o n ....................................................... 145 j The P o s it iv e M ission o f th e Government in j Terms M eaningful to th e P e a s a n t .................... 151 | Reform and L ocal P o p u la tio n s: The Role o f th e C ou n terin su rgen t ............................................. 158; Elem ents o f Commonality in a B a lk an ized or Fragmented L ocal P o p u la tio n . . ................... 16 7 I | Communication Channels Among Subgroups o f L ocal P o p u la tio n s and Between ; S o ld ie r and Leaders ......................... . . . . . 175 | Communication W ithin a Community . . . 176; Communication Between C o u n terin su rgen t M ilita r y P erso n n el and L ocal A u t h o r i t i e s - . 180 Working With or Around a D is lik e d L ocal O f f i c i a l ............................................................ 186 j D e te c tin g H o s t i l i t y o r th e P resen ce o f a | C la n d estin e Enemy in a L ocal P o p u la tio n , 192 i R e sto r a tio n or Improvement o f M orale . . . 19 9 j i SUM M ARY AND CONCLUSIONS . . . . . ............................... 206 Sum mary..........................' ............................................................206; i P a tte rn s o f Insurgency .................................... 216; I iv ! C h ap ter Page S o c i a l S c ie n c e Approaches t o Some R ecu rrin g R e la tio n s h ip s ............................... 221 The S u b s ta n tiv e A p p e n d i c e s ..........................2 32 C o n c l u s i o n s ............................................................................2 34 R e s u l t s ............................................................................2 34 I m p lic a t io n s ............................................................. 236 APPENDIXES Appendix A: G eneral D is c u s s io n o f t h e Nature o f M o t i v a t i o n ...................................................2 42 Two C a te g o r ie s o f M otivated B e h a v i o r ............................................................246 Some C h a r a c t e r is t ic s o f M otives . 25 0 M otives G en er a lly Found Among Men 2 55 M otives in R eal L i f e ...............................2 59 | Need or M otives in D ev elo p in g S o c i e t i e s ...................................................2 65 Appendix B: Knowing and Responding t o a Non- I n d u s t r ia l C u l t u r e ............................................ 272 C u ltu r a l M aladjustm ent............................ 2 76 W estern V alues C o n tra sted w ith O t h e r s ............................................................. 2 80 C u ltu r a l A djustm ent and B eh avior . 2 92 A n a ly zin g A nother C u ltu re . . . . 293 What t o Look f o r in C u ltu re A n a l y s i s ........................................................30 3 i I n f lu e n c in g P eop le in Another I C u l t u r e ............................................................. 312 | j F orces Which I n h ib it I n flu e n c e i and I n n o v a t i o n .......................... 321 C h a p ter Page Appendix C: Use o f P e r s u a s i o n ..............................................32 8 The C o m m u n ica to r.............................................330 The T a r g e t ............................................................ 337 Purpose and P l a n n i n g ............................345 Some T ech n iq u es o f P er su a sio n . . 353 Appendix D: Note on t h e Use o f C r i t i c a l I n c id e n ts I T echnique: R eproduction o f I n te r v ie w S ch ed u le ..................... . . . . 359 j i Method U s e d 363 ! i R e s u lt s O btained 365 | G en eral I m p r e s s i o n s ............................... 36 9 ! S u m m a r y ........................................................ 379; R eproduction o f C r i t i c a l In c id e n t I n te r v ie w S c h e d u l e ..........................381! ; | Appendix E: (R eproduction o f "Problem S o lv in g " Q u e s t i o n n a i r e ) ............................................... 390 I n s t r u c t i o n s .......................................................391 Work S h eet ( E x a m p l e ) 395 j Appendix F: L is t o f E xperts C o n s u l t e d ................... 404 i i BIBLIOGRAPHY ..................................................................................................... 40 9 j CHAPTER I INTRODUCTION / The Problem The p o l i t i c a l and m ilit a r y im portance o f in su rg en cy and c o u n te rin su r g e n c y o p e r a tio n s seems w e ll e s t a b lis h e d as an a l t e r n a t i v e t o t o t a l war in th e p u r s u it o f n a tio n a l i n t e r e s t . ^ As a n a tu r a l consequ en ce o f p o lic y i n t e r e s t in th e phenomena o f in s u r g e n t-c o u n te r in s u r g e n t w a r fa re , th e r e i s a grow ing l i t e r a t u r e on th e s t r a t e g y and t a c t i c s o f i n surgency and s i g n i f i c a n t new r e se a r c h i s b ein g conducted on th e m ilit a r y o p e r a tio n s o f c o u n t e r i n s u r g e n c y . ^ A su rvey o f th e l i t e r a t u r e , how ever, r e v e a ls a gap in th e s y s te m a tic a p p lic a t io n o f e x i s t i n g knowledge o f m o tiv a tio n fa c to r s to th e problem o f o b ta in in g l o c a l p o p u la tio n su pp ort o f coun te r in su r g e n c y a c t i v i t i e s as s in e qua non to th e p o l i t i c a l - m ilit a r y purposes fo r which they are i n i t i a t e d . In b r i e f , th e p o l i t i c a l ends o f c o u n terin su rg en cy must be supported •kjohn S. P u sta y , M ajor, USAF, C ounterinsurgency Warfare (New York: The F ree P r e s s , 1 9 6 5 ), pp. 1 1 -1 5 . ^ I b i d ,, pp. 207-223 (b ib lio g r a p h y ) ; D. M, C o n d it, A C ounterinsurgency B ib liograp h y (W ashington: S p e c ia l Opera t io n s R esearch O f f ic e , The American U n iv e r s it y , 1 9 6 3 ), p a ssim . 1 by th e i d e n t i f i c a t i o n o f f a c t o r s o f p o p u la r m o tiv a tio n i n terms more p r e c is e and r e a l i s t i c than such e a sy bromides as " c r e a tin g a fa v o r a b le a t t i t u d e o f th e p e o p le toward t h e i r government" i f p o l i t i c a l and m ilit a r y fo r c e i s t o be u sed r a t i o n a l l y and e f f e c t i v e l y . I t i s h ere th e t h e s i s th a t r e le v a n t e x i s t i n g p r in c i p l e s o f m o tiv a tio n can c o n tr ib u te t o th e e f f e c t i v e con du ct o f c o u n te r in su r g e n c y and s t a b i l i t y o p e r a tio n s . The co u n te r in su r g e n c y s i d e o f t h e c o in i s s e l e c t e d f o r stu d y s i n c e i t seems the n a tu r a l r o le o f th e W estern powers in m eetin g t h e c h a lle n g e o f em erging n a t i o n s , d e v e lo p in g econ omies , and communist id e o lo g y and p o lic y su p p orted by th e s t r a t e g y o f fom en tin g wars o f " l i b e r a t i o n . "3 I t i s con ten ded t h a t such p r i n c ip l e s can be lin k e d to d is c e r n e d problem s o f pop u lar m o tiv a tio n in c o u n te r in su r g e n c y in su ch a way as t o p ro v id e guid ance t o the p o licy m a k er and t o th e s o l d i e r s t a t i o n e d i n rem ote a rea s who fin d s i t n e c e ss a r y to win "the h e a r ts and minds o f people" i n ord er t o do h i s jo b . I t i s in te n d e d t h a t th e p r i n c ip l e s d is c u s s e d w i l l be p a r t i a l l y i l l u s t r a t e d by in c id e n t s and p o l i c i e s documented in th e Huk campaigns o f 1949-54- in th e R ep u b lic o f th e P h i l i p p i n e s . 3U n ited S t a t e s C o n gress, S e n a te . A Summary and In t e r p r e t i v e A n a ly s is o f K hrushchev’s Speech o f 5 January 19 61 P repared by th e L e g i s l a t i v e R eferen ce S e r v i c e , L ibrary o f C o n g r e ss, S en a te Document No. 1 4 , 87th C on gress, 1 s t S e s s io n (W ashington: Government P r in t in g O f f i c e , 1 9 6 1 ), pp. 1 8 -2 5 . 3 Among th o s e con cern ed w ith in su r g en cy and c o u n te r - in s u r g e n c y , one c o n c ep t c o n s t a n tly em erges: th e id e a o f w inning th e " h ea rts and minds o f th e p e o p le ," As r e c e n t ly a s A ugust 9 , 1 9 6 5 , S e c r e ta r y o f D efen se McNamara d e sc r ib e d over t e l e v i s i o n th e s i t u a t i o n in Vietnam as n ot p r im a r ily a m i li t a r y problem . Above a l l e l s e , I want t o em phasize t h a t . I t ’s a b a t t l e f o r th e h e a r ts and minds o f th e p e o p le o f South Vietnam and w i l l o n ly be won i f we make c l e a r t o th o s e p eo p le t h a t t h e i r lo n g run s e c u r i t y depends on th e developm ent o f a s t a b le p o l i t i c a l c o n s t i t u t i o n and an expanding econom y.4 Such a view f in d s support among s tu d e n ts o f in s u r gency and r e b e l l i o n . 5 I t i s em phasized by t h o s e who d i r e c t l y o b served th e P h ilip p in e Huk campaign. V a leria n o and Bohannan, who fo u g h t t o g e th e r i n th a t campaign and l a t e r c o lla b o r a t e d in th e a u th o rsh ip o f one o f th e c l a s s i c a cco u n ts o f th e P h ilip p in e e x p e r ie n c e , o b serv e th a t There i s a more c e r ta in way o f e lim in a t in g th e g u e r r i l l a than s e e k in g t o hunt him down among th e c i v i l i a n s ; i t i s t o tu r n th e c i v i l i a n s a g a in s t him . . . i t i s t o make th e c i v i l i a n "sea" no lo n g e r h o s p it a b le to th e g u e r r i l l a " f i s h ." The Communists c a l l t h i s s e a th e "mass b a s e ," in c lu d in g in t h a t term a l l th o se n o t a c t i v e l y h o s t i l e t o t h e i r g u e r r i l l a s . As th ey w e ll a p p r e c ia t e , w ith o u t t h i s mass b a se no g u e r r i l l a move- 4"Vietnam ese P e r s p e c tiv e : The D e c is io n s ," CBS T e le v is io n S p e c ia l News R eport, A ugust 9 , 1965. ^V ide, f o r exam p le, Andrew R. M olnar, e t a l . , Un dergrounds in In su rg e n ty R e v o lu tio n a r y , and ResistanceHATar- fa r e (W ashington: S p e c ia l O p eration s R esearch O f f ic e , The American U n iv e r s it y , 1 9 6 3 ), pp. 1 0 - 1 1 , 163, 173; B rian C r o z ie r , The R e b e ls : A Study o f Post-W ar I n s u r r e c tio n s (London: C hatto and W indus, I960)', p. 245; P u sta y , op. e f t . , pp. 88, 1 5 8 , e t p a ssim . 4 ment can lo n g s u r v iv e . N e ith e r can an in d ig e n o u s governm ent. ® Major G eneral L a n sd a le , c o u n te r in s u r g e n t a d v is o r in b oth th e P h ilip p in e s and V ietnam , a s s e r t e d in a le c t u r e be f o r e th e Army War C o lle g e t h a t "The r e a l s t a k e s . . . a re th e p eo p le on th e la n d ." 7 On a n o th er o c c a sio n he s t a t e d The b a t t l e f i e l d i s th e w hole country . . . I f we w ere t o map i t t r u l y , t o show what i t r e a l l y lo o k s l i k e as a Communist in s u r g e n t b a t t l e f i e l d , we would have t o put in a l l th e p e o p le in th e la n d . They a re th e dominant fe a tu r e o f t h i s b a t t l e f i e l d , above a l l e l s e . W e would s e e th e b a t t l e f o r what i t i s : t o win t h e s e p e o p le . When th e p e o p le a re won, a lo n g w ith them go th e t e r r a i n , th e w e a lth o f th e la n d , th e whole e x i s t e n c e o f th e n a tio n . The s t r a t e g y and t a c t i c s w hich ta k e p la c e on t h i s b a t t l e f i e l d are based on w inn ing th e p e o p le . As lo n g as th ey a r e , th e b a t t l e s t a r t s g e t t i n g won. When s t r a t e g y and t a c t i c s are used w hich d o n 't c o n t r ib u t e to w in n in g th e p e o p le , th e b a t t l e s t a r t s “g e t t i n g l o s t . Thus, on our t r u e map o f th e b a t t l e f i e l d , we would s e e a n a t io n 's e n t i r e p o p u la tio n . Among th e p e o p le , from one s i d e , we would s e e th e Communists hard a t a t work, a t t r a c t i n g and c o e r c in g , t o gain c o n t r o l o f t h i s p o p u la tio n . Among th e p o p u la tio n , from th e o th e r s i d e , th e government s i d e , we would s e e th e a d h er e n ts o f th e government a t work t o m ain tain th e l o y a l t y and su p p ort o f th e p e o p le . When t h e s e two p o l a r iz i n g f o r c e s are th u s co m p etin g , i t ' s th e one t h a t can b u ild up and m a in ta in th e s t r o n g e s t a t t r a c t i o n f o r c e th a t w in s . I f th e fo r c e on th e government s i d e i s w eakened, by d i f f u s i n g th e p o l a r i z a t i o n , by s h u t t in g o f f v i t a l ^C olonel N apoleon D. V a le r ia n o , AFP ( R e t .) and L ieu ten a n t C o lo n e l C harles T. R. Bohannan, AUS ( R e t . ) , C o u n t e r - g u e r r illa O p eration s: The P h ilip p in e E x p er ie n c e (New Yorx: F r e d e r ic k A. P r a e g e r , 1 9 6 2 ), p. 200; v i d e , a l s o , i b i d . , pp. v i i i , 3 , 22 1, 2 2 9 -3 0 , 241, e t p a ssim . 7C o lo n e l Edward G. L a n sd a le , USAF, " S o u th ea st Asia" ( l e c t u r e ) , Army War C o lle g e , 3 December 19 58, p. 2. (Mime o g ra p h ed .) 5 p a r ts o f i t , th e government lo s e s . On a Communist in s u r g e n t b a t t l e f i e l d ,- th e m ilita r y man i s most o f t e n the government r e p r e s e n t a t iv e who i s out among th e p e o p le . The armed f o r c e s u s u a lly are th e la r g e s t o r g a n iz a tio n in th e government. When th e s h o o t in g 's on, th e y 'r e ou t in the c o u n tr y sid e where th e enemy i s . T h eir uniforms t e l l the p eop le p l a i n l y th a t th e se are government m en.8 In d is c u s s in g the Magsaysay r o le in the P h ilip p in e in s ta n c e o f in s u r g e n c y , Smith p o in ted ou t I t can d e f i n i t e l y be s t a t e d t h a t the Magsaysay program su cc ee d e d in th e P h ilip p in e s where o th e r pro grams— or lack th e r e o f— had f a i le d because Magsaysay conducted a ju d ic io u s com bination o f m ilita r y and c i v i c a c t io n . Summarizing, th e s a l i e n t fe a tu r e s o f the Mag sa ysay program were the fo llo w in g : 1. Dynamic, a g r e s s i v e , and d e d ic a te d le a d e r sh ip • • • 2. The r e a l iz a t i o n t h a t m ilita r y a c tio n alone^ no m atter how e f f i c i e n t l y co n d u cted , co u ld n ev er provide a permanent s o l u t i o n to th e b a s ic c a u se s o f d is s id e n t movements in th e P h ilip p in e s . 3. A c i v i c a c tio n program, conducted a lm o st en t i r e l y in th e b egin n in g by th e armed f o r c e s , d e d ic a ted t o th e g o a ls o f r e s t o r in g th e p e o p le s ' c o n fid e n c e in t h e i r government and in th e F il i p i n o armed f o r c e s . 4. A r e a l i s t i c , h o n e s t , and e f f i c i e n t l y run s e tt le m e n t program . . . 5. The r e v i t a l i z a t i o n o f th e d em oralized armed fo r c e s i n t o an e f f e c t i v e f i g h t i n g machine , , . 8 8B r ig a d ie r General Edward G. L a n sd a le, USAF, The In su rg en t B a t t l e f i e l d ( t a lk a t A ir Force Academy) , 2 5 May 1962 , p. 2 . (M imeographed.) 8Robert Ross Sm ith, "The Hukbalahap In su rgency: P o l i t i c a l , M ilita r y and Economic F a cto r s," (W ashington: O ffic e o f th e C h ief o f M ilita r y H is to r y , Department o f Army, 196 3 ) , pp. 12 6-2 7. (Mimeographed.) V id e , a l s o , A lvin H. S c a f f , The P h ilip p in e Answer t o Communism (S ta n fo rd : S tan fo rd U n iv e r s ity P r e s s , 1 9 6 5 ), pp. v - v i . 6 Perhaps th e most p o ig n a n t sta te m e n t as t o th e im p o rta n ce o f th e c o u n te r in su r g e n t s o l d i e r in th e a ch ievem en t o f t h i s g o a l has been made by V a le ria n o and Bohannan: . . . The s o l d i e r sy m b o liz e s governm ent to many o f th e govern ed . He must be made th e b e s t and most u s e f u l sym bol p o s s i b l e , he must c l e a r l y d em onstrate t h e m oral j u s t i f i c a t i o n f o r th e e x is t e n c e o f t h e governm ent, and th u s he w i l l im pose an o b l i g a t io n f o r th e su p p ort o f t h a t government . . . T his was r e c o g n iz e d i n th e P h ilip p in e s as i t must be e v e r y w h e r e .^ Today, m ilit a r y p e r so n n e l o fte n f in d th e m se lv e s in A s s o c ia t i o n w ith l o c a l p o p u la t io n s , in s i t u a t i o n s which r e - i q u ir e a knowledge o f human b e h a v io r and m o t iv a tio n . I n d i- j genous s o l d i e r s may be se n t t o p r im itiv e h in t e r la n d s . j S o ld ie r s o f la r g e r or more t e c h n i c a l l y s k i l l e d powers are s t a t i o n e d in remote s p o ts o f th e world f o r r e a so n s ran gin g from t h a t o f te a c h in g or p r a c t ic in g a t e c h n i c a l s k i l l r e - j ; j q u e ste d by a h o s t governm ent, such as manning a t e c h n i c a l ! j s e r v i c e i n s t a l l a t i o n , t o a d v is in g l o c a l c o u n te r p a r ts in j l [co u n terin su rg en cy a c t i o n . T hus, the m i li t a r y e s t a b l i s h - | j ments o f sm a ll and la r g e c o u n t r i e s , both on and o f f d u ty , j are g iv en grave r e s p o n s i b i l i t y in v o lv in g r e l a t io n s w ith j I iin d igen ou s p e o p le s o f t h e i r own and o th e r c u ltu r e s in s i t u - j I i a t io n s s h o r t o f war. i i I i 1 The m ilit a r y c o n s t i t u t e s a p r o f e s s i o n a l l y com petent jand a d e q u a te ly equipped fo r c e f o r the im p lem e n ta tio n o f i \ l I [p o lic y . Modem c o n d itio n s demand th a t t h i s p r o f e s s i o n a l j l ^ V a l e r i a n o and B o h a n n a n , op. c i t . , p. 2 2 1 . f I competence in c lu d e some knowledge o f the f a c t o r s which m o tiv a te a p e o p le o f a c u ltu r e to r n by th e fo r c e s o f i n s t a b i l i t y and w ith whom m ilit a r y p erso n n el might be in a s s o c ia t io n fo r common p u rp ose. A gain, under modern c o n d it io n s , t h i s competence must be p o s s e s s e d by th e s m a lle r m ilit a r y fo r c e s o f th e emerging s t a t e s — u n its o f which may fin d th e m se lv e s p o sted in a rea s o f t h e i r own country which are as c u l t u r a ll y or p o l i t i c a l l y remote from home p r o v in c e or c i t y as though th ey were in a n o th er s o c i e t y . I t must a l s o be p o s s e s s e d by the m ilit a r y o f la r g e r powers whose p o l i t i c a l i n t e r e s t s req u ire in t e r v e n t io n o f w h atever degree t o support th e cou n terin su rg en cy e f f o r t s o f a l o c a l government. I t can be assumed th a t th e a s s o c i a t i o n o f m ilit a r y p e r so n n el o f a la r g e r , e x t e r i o r , power w ith th e p e o p le s o f an oth er c u l tu re p r e se n ts b oth the g r e a te r c h a lle n g e and th e more s i g n i f i c a n t p o lic y im port. The knowledge t o support t h i s a s s o c ia t io n can hardly lea d by i t s e l f t o u su rp a tio n or e r o s io n o f th e a u th o r ity o f duly c o n s t it u t e d l o c a l le a d e r s . I t sh o u ld r a th er make th e m ilit a r y p e r so n n e l more r e sp o n s iv e t o th e problems o f l o c a l le a d e r s h ip and prepare t h e m ilit a r y man t o make a f i n e r c o n tr ib u tio n t o h i s lo c a l c o u n te rp a rt in any a d v ic e he may be r eq u e ste d t o g i v e , o r t o conduct him s e l f i n ways which w i l l make h is own m issio n e a s i e r and the common purpose more l i k e l y t o be a t t a in e d . Knowledge o f th e p e o p le and t h e i r c u lt u r a l ways i s e s s e n t i a l . The im p ortan t r o le o f c i v i l i a n p e o p le s in th e a c com plishm ent o f any m ilit a r y m is s io n in modern c o n d itio n s has been i n c r e a s in g ly r e c o g n iz e d . Today, th e m o tiv a tio n o f p eop le t o support m i li t a r y o p e r a tio n s i s as much a p a rt o f an e f f e c t i v e weapons sy stem as th e t r a d i t i o n a l r i f l e . T his i s e s p e c i a l l y tr u e in s t a b i l i t y o p e r a tio n s and c o u n te r in su rg en cy . The m a te r ia l p r e s e n te d in t h i s d i s s e r t a t i o n s h o u ld , th e n , be r e le v a n t t o s i t u a t i o n s o f a c t u a l in su r g e n c y and c o u n te r in su r g e n c y , as w e l l as t o s i t u a t i o n s in "changing1 ' s o c i e t i e s where in su r g e n c y i s a p o t e n t i a l t h r e a t . The s o l d i e r from an i-n te r e s te d but e x t e r i o r power who i s s t a tio n e d in a s o c i e t y u n d ergoin g r a p id change w hich has r e v o lu tio n a r y p o t e n t i a l must be as r e s p o n s ib le f o r h is con duct as he would be i f s t a t i o n e d in a rea s o f a c t u a l coun te r in s u r g e n c y o p e r a tio n s . S u ccess in w h atever m issio n i s a s s ig n e d a s o l d i e r in a n o th er c u ltu r e depends on h i s know ledge and u n d erstan d in g o f th e in d ig e n o u s p e o p le . He must u n d erstan d t h e i r "strange" ways and le a r n t o adapt t o them ; he must r e a l i z e t h a t , in th e e y es o f o t h e r s , p e o p le from h is n a tio n (o r h i s s e c t i o n o f h is own cou n try ) a l s o do s tr a n g e t h i n g s . He must le a r n t h a t s e v e r a l p e o p le may do th e same t h in g from d i f f e r e n t m o tiv e s, w h ile an i d e n t i c a l m otive may cause th e same p eo p le to do d i f f e r e n t t h i n g s . He must le a r n t h a t p eople must be m otiva ted t o tak e any a c tio n a t a l l . The p r in c ip le s and d is c u s s io n s in t h i s rep o rt are d esig n ed to in c r e a s e a p p r e c ia tio n o f f a c t o r s which m o tiv a te l o c a l p eo p les t o su pp ort c o u n te rin su r g e n c y . The b a s ic purpose o f t h i s stu d y has been t o se ek p r in c ip le s and in fo r m a tio n which would a s s i s t th e fo r e ig n s o l d i e r in a d v is in g h is c o u n te rp a rt (o r s i m i la r l y a s s i s t th e s o l d i e r in a remote s e c t i o n o f h is own country) how t o m o tiv a te l o c a l le a d e r s and l o c a l p o p u la tio n s t o su p p ort s t a b i l i t y or c o u n te r in su r g e n t a c t i v i t i e s . T his q u e s tio n guided th e s e l e c t i o n o f m a te r ia l p r e s e n te d , th e form at, and th e r e se a rc h m ethodology. That which p e r ta in s t o m o tiv a tio n o f p e o p le s t o sup port co u n terin su rg en cy must apply t o va ry in g tim es and s i t u a t i o n s T h e r e f o r e , care has been taken t o in s u r e the broad a p p l i c a b i l i t y o f s t a te m e n ts , problem s, and s o c i a l s c ie n c e p r in c ip le s b ea rin g on c o u n te rin su r g e n c y . W ithout th e su p p ort o f l o c a l p o p u la t io n s , c o u n te r - in su rgen cy o p e r a tio n s are s e r i o u s l y hampered. C onventional weaponry and m ilit a r y s k i l l are n o t t a i l o r e d to e r a d ic a t in g an enemy u s u a lly found in sm a ll numbers t h a t can l i v e o f f ■^The e x p e r ie n c e s d e r iv e d from th e s i t u a t i o n in Vietnam as w e ll as th o se d e r iv e d from a su rvey o f a v a ila b le l i t e r a t u r e on th e Huk in su rg en cy have q u it e n a t u r a lly i n flu e n c e d th e s tr u c t u r e and c o n te n t o f t h i s stu d y . This must not be c o n str u e d , how ever, t o imply t h a t th e stu d y i s based s o l e l y on Vietnam or P h ilip p in e e x p e r ie n c e s or t h a t th e stu d y i s r e le v a n t o n ly to Vietnam or th e P h ilip p in e s . 10 th e country and m elt i n t o th e cam ouflage o f f o r e s t or crowd. In form atio n s u p p lie d by l o c a l in h a b ita n ts may le a d t o a c tio n which would deny the enemy h is s a n c tu a r y , and p r o g r e s s iv e ly cut o f f th e fo o d , lo d g in g , and com fort which a l o c a l p o p u la tio n , i f t e r r i f i e d , a p a t h e t ic , or e n t i c e d , a ffo r d s d e s p it e th e p r e se n c e o f co u n te rin su r g e n c y f o r c e s . S im ila r ly , such an enemy must be d en ied th e e f f i c i e n t underground which support him by s u b v e r tin g and sa b o ta g in g h i s a d v e r s a r ie s . The enemy must be faced by r e s o lu t e c i v i l ia n and m ilit a r y lea d ers o f a l e g a l government as w e l l as tr a in e d c o u n te rin su r g e n t fo r c e s ; he must be fa c e d by a u n ite d c i t i z e n r y firm in i t s a lle g ia n c e to th e l e g a l govern ment and i t s fo r c e s . Such requirem ents can be met b e s t i f th e r e i s a h ig h ly m otiv ated " in d igen ou s p o p u la tio n . With such m o tiv a tio n , th e in d ig e n o u s c o u n te r in su r g e n t f o r c e s can emerge v i c t o r i o u s , p a c ify th e c o u n tr y s id e , and p r e se n t th e government w ith an o p p o rtu n ity t o a c h ie v e r e a l p r o g r ess fo r a l l th e p e o p le . R ecogn izin g th e n e c e s s i t y o f a h ig h ly m o tiv a ted in digenous p o p u la tio n does n o t s o lv e th e problem , how ever. Local p e o p le s have t h e i r own view s o f th e w orld and w orld e v e n ts ; th e p le a s and adm on ition s o f th e most f r ie n d ly out s id e r s are n ot l ik e l y t o p e n e tr a te th e w orld view o f in d ig enous p e o p le s i f t h e i r own p e r c e iv e d needs and value system s seem t o d ic t a t e~ o th e r w is e . Som etim es, i t i s t r u e , men a c t b ecau se o f u n p erceived p r e ssu r e s w ith in t h e i r own 1 1 s o c i e t i e s ; but th e r e i s u s u a lly no form ula fo r b e s t i r r i n g men t o a c tio n i f a "cause'1 i s not s u b j e c t i v e l y p e r c e iv e d . U nderstanding th e n atu re o f human m o tiv a tio n and th e e l e ments o f s o c i a l in t e r a c t io n can h e lp one p e n e tr a te the system o f group and in d iv id u a l a t t i t u d e s and v a lu e s and s t i m u l a t e an e f f e c t i v e c a l l t o a c t io n . j i i S o c ia l S c ie n c e Response j t I The s o c i a l s c ie n c e s in the W estern World have lo n g j t concerned th e m se lv e s w ith th e phenomena o f m o tiv a tio n and i n c e n t i v e , and much c o n tin u e s t o be le a r n e d about th e be h a v io r o f man. The work o f s o c i a l s c i e n t i s t s , how ever, i s ■ :lim ite d in a number o f w ays. For exam p le, most s c i e n t i s t s , ! iw ith th e n o ta b le e x c e p tio n o f th e a n t h r o p o lo g is t , have con -! i ducted t h e i r r e se a r c h u sin g W estern p e o p le s as th e su b je c ts j j I o f r e s e a r c h . Nor i s th e r e com plete agreement among s o c i a l | s c i e n t i s t s on h y p o th e se s, t h e o r i e s , e x p e rim en ts, or fin d in g s ; s c i e n t i f i c jo u r n a ls and lea r n e d works c o n c e n tr a te |more upon c o n tro v e rsy over d e t a i l s than e n u n c ia tio n o f j i # i jagreed upon p r i n c i p l e s . M oreover, as stu d e n ts o f an in fa n tj ! j !s c i e n c e , th e s o c i a l s c i e n t i s t s have q u ite p ro p erly con- | jcerned th e m se lv e s p r i n c ip a l ly w ith th e i n t e n s i v e study o f i jsm all problem s— th e house must be b u i l t b r ic k by b r ic k . |U n til agreem ent on th e b lu e p r in t i s rea c h e d , u n t i l th e i |house i s b u i l t , and u n t i l i t i s fu r n ish e d w ith c r o s s - c u l- jtu r a l r e s e a r c h , s o c i a l s c i e n t i s t s are n a tu r a lly r e lu c t a n t — 12 and la u d a b ly s o — t o g e n e r a liz e t h e i r f in d in g s fo r a l l man k in d . One le g i t im a t e l y h e s i t a t e s t o assume t h a t f in d in g s o f a sim p le experim ent w ith c o l l e g e freshm en a t an Ivy League s c h o o l in th e U n ited S ta te s apply t o , s a y , th e huddled inm ates o f a Communist p r is o n camp in A s ia . A r e lu c ta n c e t o g e n e r a l i z e , how ever, i s n o t meant t o imply t h a t th e s o c i a l s c ie n c e s have n o th in g t o o f f e r th e policym ak er or th e s o l d i e r who f a c e s r e a l problem s i n a d is t a n t c lim e , among d i f f e r e n t p e o p le s , and under t r y in g c o n d it io n s . Given an a p p ro p ria te c o n c e p tu a l framework, th e r e are p r i n c ip l e s t h a t can h elp guid e th e layman a ttem p t in g t o u n derstand and d e a l w ith problem s o f m o tiv a tin g l o c a l p o p u la tio n s . The o b j e c t iv e o f t h i s stu d y was t o examine th e f in d in g s o f s o c i a l s c i e n c e and t o d i s t i l l p r in c i p l e s r e le v a n t t o m o tiv a tio n in c o u n te r in su r g e n c y . No " s o lu tio n s " are prom ised or p r e s e n t e d . The e f f o r t i s t o in c r e a s e u n d erstan d in g o f th e complex n atu re o f m o tiv a tio n and t o p r e se n t c e r ta in approaches t o th e problem s o f m o t iv a tio n . I t i s assumed t h a t th e m a te r ia l p r e se n te d in t h i s t h e s i s i s r e le v a n t and p r a c t i c a l . I f any o f i t i s t o be r e a l l y e f f i c a c i o u s , how ever, l o c a l p o p u la tio n s must f i r s t be a ssu r ed o f p h y s ic a l p r o t e c t i o n . Very few p erso n s w i l l be m o tiv a ted t o support c o u n te r in su r g e n c y a c t i v i t i e s i f such su p p ort i s l i k e l y t o c o s t them g r ea t and unwarranted p e r so n a l r is k oi? t h e i r f a m i l i e s ' s a f e t y . P s y c h o lo g ic a l 13 ap p eal com p lem ents, but cannot s u b s t i t u t e f o r , m ilit a r y e f f e c t i v e n e s s . S e c u r i t y , t h e n , i s th e s i n e qua non f o r a l l t h a t f o l lo w s . Three o th e r c o n d itio n s fo r e f f e c t i v e a d v iso r y r e l a t i o n s h i p s w ith a m i li t a r y c o u n te r p a r t or c i v i l i a n popula t i o n from a n o th er c u lt u r e need t o be c o n s id e r e d . F i r s t , th e member o f th e m i li t a r y s h o u ld be p o s te d in th e area lon g-en ou gh t o le a r n th e ways o f th e p e o p le , t o gain t h e i r c o n fid e n c e in h i m s e l f , and g a in t h e i r r e s p e c t f o r h is s e r v i c e . Few p e o p le w i l l pay much a t t e n t io n t o a s tr a n g e r w ith s tr a n g e ways whom th ey know w i l l be r e p la c e d s h o r t ly by a n o th er s t r a n g e r whom th e l o c a l p e o p le w i l l view as hav in g t o be ’'tr a in e d '1 and " a d v is e d ’' in t h e i r c u l t u r a l ways a l l ov er a g a in . S eco n d , th e s o l d i e r sh o u ld l i v e a t th e same econom ic l e v e l as th e l o c a l p eo p le w ith whom he a s s o c i a t e s . The money he i s p a id by h is governm ent, p a ltr y as i t may seem t o h im , may be a fo r tu n e i n th e e y e s o f most l o c a l c i v i l i a n p o p u la tio n s (and h is m ilit a r y c o u n te r p a r ts i f he i s from a n o th e r n a tio n ) o f d e v e lo p in g s o c i e t i e s . Such d i s p a r it y in com p arative w ea lth can c r e a te t e n s io n and fo rm id a b le p s y c h o lo g ic a l b a r r ie r s . The s o l d i e r on such duty s h o u ld spend o n ly th a t amount o f h i s " fortu n e" which a llo w s him t o l i v e as o th e r s do and p erm its them t o "keep up" w ith him . T h ir d , th e s o l d i e r on c o u n te r in su r g e n c y assig n m en t must be c o n s t a n t ly on du ty. I t i s not enough t o se e k good p e r so n a l and p r o f e s s i o n a l r e l a t i o n s h i p s m erely 1 4 'during o f f i c i a l w orking h o u rs; th e m i li t a r y man must be c o n sc io u s o f h is r e s p o n s i b i l i t y and p r a c t ic e good r e l a t i o n s e v er y hour o f h is s t a y i n th e a r e a . M o tiv a tio n i s a 24- ho u r-a-d ay jo b . P eo p le are th e weapon and must be g iv en th e m etic u lo u s care due a good weapon. A j o u r n a l i s t , form erly i n V ietnam , overh eard a h a r d - b it t e n c o l o n e l ’s p e r c e p tiv e a ssessm e n t o f c o u n te r in su rgen cy a c t i v i t y : "The Way I f ig u r e i t , i t ’s m o stly b e in g n i c e to th e goddam p e o p l e . T h i s t h e s i s i s b a s i c a l l y an attem p t t o d is c e r n ways o f b e in g n ic e to p e o p le in t h e i r own term s. Such concern fo r l o c a l p o p u la tio n s i s n e c e s s a r y t o m o tiv a te them t o su p p ort c o u n te r in s u r g e n c y . •^John M eck lin , M issio n i n Torment: An In tim a te j Account o f th e U. S. Role i n Vietnam CGarden C it y , New York: Doubleday and Co., I n c ., 1965), p. 25. j j ^ I t i s conten ded by one s tu d e n t o f c o u n te r in s u r - ! jgency th a t an attem p t to w in p op u lar su p p o rt f o r an e s t a b - ! ilish e d government i n o rd er t o win advan tage v i s - a - v i s i n su r g e n t f o r c e s i s o f q u e s tio n a b le u t i l i t y . The fu r th e r | ^contention i s th a t even i f g r e a t e r p op u la r su p p ort i s ob- j jta in ed , i t i s as " l i k e l y t o f a c i l i t a t e th e growth o f th e j in s u r g e n t movement and t o in c r e a s e . . . e f f e c t i v e n e s s . . J j[as] t o im pede them ." The e s s e n t i a l p o in t i s t h a t by im - j p r o v in g th e a s s e t s o f l o c a l p o p u la tio n s in ord er t o g a in j ipopular s u p p o r t, more i s made a v a i la b l e f o r th e in s u r g e n ts j ito e x t r a c t from th e s o c i e t y — and th e c o s t o f in su r g e n c y t o j [the in s u r g e n ts goes down. The a u th o r o f t h i s c o n te n tio n j h as a l t e r n a t i v e approaches which do n ot e x c lu d e p op u lar sup-| p o r t fo r — o r a t l e a s t a m e n a b ility t o — an e x i s t i n g govern - j m en t, but h i s im m ediate p o in t i s t h a t p o p u la r su p p ort b ased j :on econom ic improvement a lo n e i s n e i t h e r th e f u l l answ er j h o r an a p p ro p ria te g o a l. C h arles Wolf, J r . , " Insurgen cy | ■and C o u n terin su rg en cy : New Myths and Old R e a l i t i e s , " (u n - ! p u b lis h e d paper p r e s e n te d a t SORO C onference on Models o f j ■Social Change and S o c ia l C o n tr o l, A i r l i e H ouse, W arrenton, j V i r g in ia , 4 and 5 June 19 6 5 ) , p. 7. j 15 The R esearch Plan and Procedures R eseareh O b je c tiv e s The f i r s t o b j e c t iv e o f t h i s stu d y i s to p r o v id e a reason ed su rv e y o f a v a ila b le l i t e r a t u r e on human m o tiv a tio n and a summary o f the s a l i e n t p r i n c ip l e s e l i c i t e d from such a su rv ey . The second o b j e c t iv e i s t o lin k th e s e p r in c ip le s to some r e c u r r in g r e la t io n s h ip s i t u a t i o n between c o u n te r in su rg e n t and l o c a l p e o p le s in ways m ean ingful to p o lic y con s id e r a t io n . The th ir d o b j e c t iv e i s t o exam in e, in s o fa r as p o s s i b l e , exam ples o f use o f the p r in c ip le s c i t e d in the ca se o f th e Huk in su rg en cy o f -Central Luzon in the P h ilip p in e s . R esearch Methods R esearch Problems The problem s en cou n tered a t th e o u t s e t o f t h i s ta sk were t h r e e f o ld : how t o e x t r a c t from a v a s t l i t e r a t u r e p r i n c ip l e s r e le v a n t to c o u n terin su rg en cy s i t u a t i o n s , how to o r g a n iz e such m a te r ia l, and how to judge th e v a l i d i t y o f Western gen erated r e se a r c h fin d in g s t o i n t e r c u l t u r a l a p p li c a t io n . To meet a l l th e s e prob lem s, th e judgment and ad v ic e o f q u a l if i e d s o c i a l s c i e n t i s t s and m ilit a r y p erso n n el were sou g h t through procedures d ev elo p ed e s p e c i a l l y fo r t h i s ta s k . Approach - The r e se a r c h f o r th ree o f fou r g e n e r a l ph ases o f th e i n v e s t i g a t i o n was conducted in p art sim u lta n e o u sly but w ith s e q u e n t ia l em phasis so th a t fin d in g s from th e r e se a r c h fo r one phase could fe e d in to another* The fo u r th phase was in d ep en d en t. Phase 1 The o b j e c t iv e o f t h i s phase was to i d e n t i f y some o f the more common r e c u r r in g r e la t io n s h ip s i t u a t i o n s en cou n tered in co u n terin su rg en cy o p e r a t io n s . F i r s t , in te r v ie w s em ploying th e c r i t i c a l in c id e n t s tech n iq u e were h e ld a t F a y e t t e v i l l e , North C a r o lin a , w ith 2 5 r e tu r n e e s from Vietnam. These in te r v ie w s e l i c i t e d a few s u g g e s tiv e r e s u l t s which fu r n ish ed rea so n a b le and r e le v a n t guidance to th e fo c u s s in g o f s o c i a l s c ie n c e approaches t o th e g e n e r a l problem o f m o tiv a tio n in c o u n te rin su r g e n c y . E s p e c ia lly notew orthy in t h i s c o n n e c tio n were th e r e p e t i t i o n o f in c id e n t s r e f l e c t i n g th e f u l f i l l m e n t or n o n f u lf illm e n t o f n eeds and tr a n s a c tio n s in v o lv in g mutual n e e d s. Such fin d in g s have in flu e n c e d th e o r ie n t a t io n and form at o f th e stu d y and e sp e c i a l l y th a t o f Appendix A ("G eneral D isc u s sio n o f th e Nature o f M o tiv a tio n " ). A se p a r a te d is c u s s io n 17 o f th e use o f th e tec h n iq u e and th e f in d in g s t h e r e from i s p r e se n te d as Appendix D t o t h i s r e p o r t * • 1 -I + However, th e tec h n iq u e was n o t e x p e c te d t o , n or d id i t , fu r n is h f i n a l , com p lete or d e f i n i t i v e i d e n t i f i c a tio n o f r e c u r r e n t s i t u a t i o n s . A nother procedure em ployed t o i d e n t i f y r e c u r r in g s i t u a t i o n s was i n t e n s i v e in t e r v ie w w ith a number o f s p e c i a l i s t s in th e f i e l d o f c o u n te r in s u r gency. C i v i li a n s c h o la r s c u r r e n tly engaged in a n a ly se s o f a v a s t number o f c o u n te rin su r g e n c y c a se s t u d i e s w ere in te r v ie w e d as w ere a number o f m i l i ta r y or r e t i r e d m ilit a r y s p e c i a l i s t s who had se r v e d i n , o b s e r v e d , and a d v is e d p o l i c y makers on, s e v e r a l c o u n te r in su r g e n t operations. Approximately 30 r e l a t io n s h ip s i t u a t i o n s were e l i c i t e d from th e s e in t e r v ie w s . Many o f them were amenable t o combina t i o n by th e r e s e a r c h e r and 20 f i n a l l y emerged. Some o f t h e s e s i t u a t i o n s were n o t amenable t o s o c i a l s c i e n c e approach. Thus a c o n fer en ce betw een a p p r o p r ia te s o c i a l s c ie n c e and m ilit a r y e x p e r ts was i^ V id e , Appendix D, p a ssim . •^ S tu d en ts o f c o u n te r in su r g e n t h is t o r y who were i n te r v ie w e d in c lu d e d D. M . C o n d it, Dr. Jeanne S. Mintz, and Dr. Andrew R. M olnar. M ilita r y s p e c i a l i s t s in c lu d e d L ieu te n a n t C o lo n el C harles T. R. Bohannon (USA, R et.); Major W illia m J . Buchanan (USA); C aptain R. A. Jones (USA); Major G eneral Edward G. Lansdale (USAF, R e t.); L ieu ten a n t C olon el John Wahl (USA); L ieu ten a n t C o lo n el Frank Watson (USA). 18 h e ld t o reduce th e number and t o s e l e c t th o s e s i t u a tio n s b oth most s a l i e n t t o m ilit a r y o p e r a tio n s and most amenable t o s o c i a l s c i e n c e tr e a tm e n t. Twelve commonly r e c u r r in g r e l a t io n s h ip s i t u a t i o n s were s e l e c t e d . The procedure fo r d e a lin g w ith th e s e s i t u a tio n s i s d is c u s s e d under r e se a r c h f o r Phase 3, below . In a d d itio n t o th e s p e c i f i c r e l a t io n s h ip s i t u a t i o n s d is c e r n e d through use o f c r i t i c a l i n c i dents te c h n iq u e s and i n t e n s i v e i n t e r v ie w , o th e r g e n e r a l r e l a t io n s h ip s w hich have a l o g i c a l b e a r in g upon s o c i a l c o h e sio n and c o n t r o l ( e . g . , s u b -c u ltu r e an tagon ism s) were sou gh t in l i t e r a t u r e and through a p p ro p ria te c o n s u lta n t s and are e x p l i c i t or im p lic i t in Chapter I I ("The C ou n terin su rgen cy S e ttin g " ) e t p a ssim . Phase 2 The o b j e c t i v e o f t h i s phase was some ov er a l l d is c u s s io n o f th e more s a l i e n t t h e o r i e s and fa c to r s o f human m o tiv a tio n ( in d iv id u a ls and groups) c o n tr ib u te d by v a r io u s d i s c i p l i n e s (e s p e c i a l l y s o c i a l p s y c h o lo g y , s o c i o l o g y , and a n th r o p o l ogy). To a t t a i n t h i s o b j e c t i v e , a v a s t l i t e r a t u r e was su rv e y ed . I n d iv id u a l s o c i a l s c i e n t i s t s r e p r e s e n t in g t h e i r d i s c i p l i n e s were used t o d i r e c t the 19 r e se a r c h e r most e co n o m ica lly t o a p p ro p ria te l i t e r a tu r e , The r e s u l t s o f t h i s documentary sea rch are d i s t i l l e d in th e t e x t . The approaches t o th e r e la t io n s h ip s i t u a t io n s co n ta in e d in Chapter I I I were d e r iv e d from a v a r ie t y o f d i s c i p l i n e s by th e p ro cess d e sc r ib e d below . D raft m a te r ia l was in d ep en d e n tly rev iew ed by a p p ro p ria te ind ep en dent s o c i a l s c i e n t i s t s and m ilit a r y o f f i c e r s . Phas e 3 The o b j e c t iv e o f t h i s phase was t o p r o v id e a more p r e c is e i d e n t i f i c a t i o n o f s o c i a l s c ie n c e p r in c ip le s most a p p ro p ria te t o d isc e r n e d r e l a t i o n s h ip s r e c u r r in g in c o u n te r in su r g e n c y . A fte r s e l e c t i o n o f th e r e la t io n s h ip s i t u a t io n s to be covered (Phase 1 , a b o v e ), a s tr u c tu r e d procedure and work s h e e t s were d evelop ed t o f a c i l i t a t e th e m arriage o f r e le v a n t e x i s t i n g knowledge t o th e s t a t e d r e c u r r in g problem . The procedures were d evelop ed s o th a t th e c o l l e c t i o n o f s o c i a l s c ie n c e knowledge would be both s y s te m a tic and r e le v a n t , and so t h a t variou s c o n tr ib u tio n s might be com p ared , a n a ly z e d , and, as a p p r o p r ia te , s y n t h e s iz e d . The s i t u a t i o n s were n e c e s s a r i l y posed a t a s u f f i c i e n t l y g e n e r ic l e v e l ( i n ord er th a t th ey have 20 v a l i d i t y o v er time and d i f f e r i n g c u ltu r e s ) th a t p r e c is e "answers" c o u ld not b e , and were n ot s o u g h t. R ath er, a "problem s o l v i n g approach" based on s o c i a l s c ie n c e knowledge was th e o b j e c t iv e . T hese work s h e e t s were s e n t t o a number o f q u a l i f i e d s c i e n t i s t s . Instructions were prepared o u t l i n i n g th e procedures and g iv in g examples o f th e ty p e o f m a te r ia l r e q u e ste d . For th o se c o n s u lta n ts who might n o t be p a r t ic u la r ly f a m ilia r w ith the s e t t i n g fo r c o u n te r in su r g e n c y , a s p e c i a l e ssa y on t h a t s u b j e c t (on which has been based th e s e c t io n in Chapter I I e n t i t l e d , "The T a c t ic a l S e ttin g " ) ac companied th e in s t r u c t i o n s and work s h e e t s . An e f f o r t was made to so d i s t r i b u t e the c o n su lta n t assign m en ts as to o b ta in r e p r e s e n ta t iv e view s from c e r t a in s i g n i f i c a n t s c h o o ls o f thought w ith in th e s o c i a l s c ie n c e s ( e . g . , S k in n e r ia n , L ew in ian ). The m a te r ia l s o ob tain ed was s o r t e d , c a te g o r iz e d , and rep hrased by th e r e s e a r c h e r . In t h i s form i t was rev iew ed by a p a n el, convened and ch a ired by the r e s e a r c h e r , composed o f both m ilit a r y and s o c i a l s c i e n t i s t s . The m ilit a r y r e p r e s e n t a t iv e s judged 16y j d e , Appendix E, p . 391. l^James E. Trinnaman, J r . ( p o l i t i c a l sc ie n c e ), Robert D. Hoge ( p s y c h o lo g y ) , Norman D. Smith (p s y c h o lo g y ) , George K. S c h u e lle r ( p o l i t i c a l s c i e n c e ) , Major John Johns (USA), C o lo n el Frank Watson (USA), and Major W illiam J. Buchanan (USA), 21 w hether th e s u g g e s te d a p p ro a ch (es) t o a problem were i n f a c t s u i t a b l e to th e p r a c t i c a l l i m i t a t i o n s o f f i e l d u s a g e , and th e s o c i a l s c i e n t i s t s judged th e v a l i d i t y o f th e approach from a s c i e n t i f i c frame o f r e f e r e n c e . The i n s t r u c t i o n s , w ith a sam ple work s h e e t in c lu d e d , t h a t were s e n t t o c o n s u lta n t s f o r t h i s a ssign m en t are reproduced as Appendix E. A l i s t o f th o s e who c o n tr ib u te d r e sp o n ses t o th e q u e s t io n n a ir e i s a l s o c o n ta in e d in t h a t ap p en d ix. Phase 4 The o b j e c t iv e o f t h i s phase was to i d e n t i f y and d is c u s s exam ples o f th e u se o f th e p r i n c ip l e s c i t e d i n the t e x t w ith r e l a t i o n t o th e Huk in s u r gency o f C e n tr a l Luzon in th e R ep u b lic o f th e P h ilip p in e s:. At th e o u t s e t , i t was d e c id ed t o l i m i t th e se a rc h f o r exam ples t o th e area o f g r e a t e s t in s u r gent a c t i v i t y — th e s o - c a l l e d H uklandia o f r u r a l C e n tr a l Luzon. Even s o , l i t e r a t u r e a v a i la b l e in th e L ibrary o f Congress and su ch s p e c i a l i z e d l i b r a r i e s as th e Army L ib r a ry , th e S t a t e Department L ib r a r y , th e L ibrary o f th e M ilita r y A s s is t a n c e I n s t i t u t e , and th e s p e c i a l c o u n te r in su r g e n c y c o l l e c t i o n o f th e L ibrary o f The American U n iv e r s ity was 22 in ad eq u ate to p rovid e s p e c i f i c and d e t a ile d m a te r ia l. That such m a te r ia l could be o b ta in ed by in te r v ie w w ith v e te ra n s o f th e Huk s t r u g g le and from a r c h iv e s in M anila (many o f them no doubt under s e c u r it y c l a s s i f i c a t i o n ) i s h in te d by r e f e r ence to such l i t e r a t u r e as does e x i s t . An e f f o r t was made t o in te r v ie w some o f th e American a d v is e r s o f th e J o in t U. S. M ilita r y A s s is ta n c e and A dvisory Group (JUSMAAG) to th e Armed F orces o f th e P h ilip p in e s and a few o f th e v etera n s o f the AFP who m ight r e s id e in the a rea in which r e se a r c h cou ld be con d u cted . Such e f f o r t s were not f r u i t f u l . Even Major G eneral Lansdale and C olonel Bohannan (in te r v ie w e d e a r l i e r in th e r e sea rch fo r th e i d e n t i f i c a t i o n o f r e c u r r in g problem s) were out o f th e country s e r v in g as a d v is e r s t o Ambassador Lodge in Saigon a t th e tim e o f t h i s phase o f th e r e se a r c h . T h eir more i l l u s t r i o u s F i l ip in o c o lle a g u e s such as Napoleon D. V a leria n o were w ith them on th a t assign m en t. I t was p o s s ib le t o in te r v ie w th e l a t e Major G eneral Leland S. Hobbs (USA, R e t.) a t h is home in W ashington. G eneral Hobbs was a b le t o con firm the g e n e ra l v a l i d i t y o f th e p r in c ip le s c i t e d in th e p a r t i a l d r a ft t e x t so fa r as p r a c tic e in th e Huk campaign was concerned but cou ld do no more than 23 r e f e r t o e x i s t i n g l i t e r a t u r e f o r s p e c i f i c i n s t a n c e s . ~ His p o s i t i o n as C h ie f o f JUSMAAG and a d v is e r t o th e P r e sid e n t o f th e P h ilip p in e s did not a ffo r d him th e o p p o rtu n ity f o r d ir e c t f i e l d e x p e rien ce as i t had th e th en C o lo n el Lansdale and the th en Major Bohannan. He d id a d v ise P r e sid e n t Q uirin o (con cu r r in g in many o f th e then S e c r e ta r y o f D efense Mag- s a y s a y 's p r o p o sa ls) and l a t e r th e l a t e P r e sid e n t Magsaysay as to la r g e r p o lic y and many o f th e p o l i c ie s which have become famous and which w i l l be c it e d in th e t e x t below he r e c a ll e d were d is c u s s e d in t h e i r c o n fe r e n c e s . He r e c a ll e d t h a t he r e c o g n iz e d , a d v o ca ted , and i n s i s t e d on, th e n e c e s s i t y fo r knowing th e p e o p le a t f i r s t - h a n d in t h e i r own b a r r io s ( l i t e r a l l y , " d i s t r i c t ; " in g e n e r a l P h i l i p pin e u s a g e , poor r u r a l neighborhood) and h im s e lf made many t r i p s t o th e b a r r io s fo r th a t purpose (as did S e c r e ta r y — l a t e r P r e s id e n t— M agsaysay). He r e c a ll e d h i s own s a t i s f a c t i o n t h a t im portant members o f h is s t a f f and im portant members o f th e AFP were c o o p e r a tin g t o implem ent th e p r in c ip le s o u t lin e d in th e t e x t below . He encouraged and h elp ed to c r e a te th e c lim a te fo r such c o o p e r a tiv e a c tio n . L it e r a t u r e , a v a ila b le in th e W ashington ^ P e r s o n a l in te r v ie w w ith Major G eneral Leland S. Hobbs (USA, R e t . ) , W ashington, D. C . , January 7, 1966. i 24 area o f th e U nited S t a t e s how ever, ten d s t o empha s i z e e i t h e r th e n atu re o f th e Huk in s u r g e n t enemy, th e t a c t i c a l m ilita r y s i t u a t i o n , or th e p e r so n a l im pact o f P r e sid e n t Magsaysay on th e h is t o r y o f th e P h ilip p in e s . Only i n c i d e n t a l l y are s p e c i f i c i n s ta n c e s o f m o tiv a tio n o f l o c a l p o p u la tio n s r e counted; alth ou gh a b s t r a c t pronouncem ents o f th e n e c e s s i t y f o r such m o tiv a tio n are r e p l e t e . N e v e r t h e le s s , s u f f i c i e n t m a te r ia l was c o l le c t e d t o i l l u s t r a t e most g e n e r a l p r in c ip le s and many s p e c i f i c adm onitions which appear below . I t i s i n s u f f i c i e n t f o r th e c o n s tr u c tio n o f any r i g i d model; i t may be enough t o s u g g e s t th e r e le v a n c e to th e r e a l w orld o f th e m a te r ia l which f o llo w s . CHAPTER II THE COUNTERINSURGENCY SETTING C ou n terin su rgen cy i s a d ir e c t con seq u en ce o f in s u r g en cy . I t f o llo w s t h a t th e n atu re and purpose o f co u n ter in su r g e n c y can o n ly be u n d ersto o d a f t e r some c o n s id e r a t io n o f th e developm ent o f in s u r g e n t movements in t h e c o n fu sin g s e t t i n g o f s o c i e t a l t r a n s i t i o n . The in s u r g e n t o b j e c t i v e i s t o ca p tu re and d ir e c t growing f r u s t r a t i o n ov er p e r c e iv e d s t a g n a t io n and fe r v o r f o r in n o v a t io n . The c h i e f danger o f a c o u n te rin su r g e n c y campaign i s l i k e l y t o be i t s f a i lu r e t o r e c o g n iz e t h a t t h i s fe r v o r e x i s t s i n th e s o c i e t y q u it e in d e p e n d e n tly o f th e in s u r g e n t movement. As a r e s u l t , t h e r e i s a s t r o n g tem pta t i o n to un dertak e r e p r e s s i v e measures f o r th e sa k e of " s t a b i l i t y . " In g e n e r a l, c o u n te r in su r g e n c y e f f o r t s w i l l be s u c c e s s f u l t o th e d egree t h a t they g a in c o n tr o l o f and d i r e c t th e p o p u la r d e s ir e f o r change and i d e n t i f y w ith th e p o p u la r d e s ir e f o r im provem ent and in n o v a t io n ; t h i s d en ies th e in s u r g e n ts t h e i r most p o w e r fu l, i f n o t t h e i r only r e a l , weapon. - W id e ; A ppendixes A and B, p a s s im . 25 26 The Great Powers o f th e w orld ten d t o become i n v o lv ed in p o t e n t i a l , as w e ll as a c t i v e , in s u r g e n c ie s as th e y p e r c e iv e t h e i r own n a t io n a l i n t e r e s t s t o be th r e a te n e d . When one power b e g in s t o e x e r t in f lu e n c e on and m anip ulate a growing in su r g e n t movement, an oth er power or group o f powers i s l i k e l y t o p e r c e iv e t h i s a c tio n as a th r e a t t o the / e x i s t i n g w orld power s tr u c t u r e and a danger t o i t s own n a tio n a l i n t e r e s t s . Under such circu m sta n ces th e concerned powers w i l l seek t o undertake th e su p p ort o f a c o u n te r in surgency campaign. C ou nterinsurgen cy su p p o r t, t h e n , cannot be w i l l y - n i l l y o p p o sitio n t o change. I t i s f i r s t a p r o t e c tio n o f p e r c e iv e d n a tio n a l i n t e r e s t and second an attem pt to p r e se rv e the o p p o rtu n ity f o r a fr e e c h o ic e o f d ir e c t io n and ty p e o f ch an ge, which th e p eo p le in a t r a n s i t i o n a l s o c i e t y may fundam entally d e s i r e . Change, in p o in t o f f a c t , i s an i n e v it a b le ch a ra c t e r i s t i c o f any s o c i e t y . I f l o c a l p o p u la tio n s are g o in g to be m otivated t o su p p ort c o u n te r in su r g e n c y , th o s e who s t r i v e t o m o tiv a te th e se p e o p le must understand th e str o n g and som etim es c o n tr a d ic to r y f o r c e s which o p era te in th e areas where in su rgen cy i s l i k e l y t o occu r. The needs and f r u s t r a t i o n s f e l t by th e p eop le in th e m aelstrom o f th e s e f o r c e s must be a p p r e c ia te d and taken in t o acco u n t. In t h i s c h a p te r th e s o c i a l a s p e c ts o f a s o c i e t y in which in su r g e n t or r e v o lu tio n a r y movements are l i k e l y t o 27 d e v e lo p , and in which c o u n te r in su r g e n t a c tio n may be n e c e s s a r y , w i l l be d i s c u s s e d . ^ i t h a r d ly needs t o be s a id t h a t in th e few pages d ev o ted t o t h i s d is c u s s io n th e r e w i l l be v a s t o v e r - s i m p l i f i c a t i o n . The a ttem p t here i s n o t t o t h o r oughly c o v e r an i n f i n i t e l y complex s u b j e c t , n or t o a s s ig n some s o r t o f u n a s s a ila b le tr u th t o what i s s a i d . R ath er, th e m odest purpose o f t h i s d is c u s s io n i s t o la y out some s k e l e t a l c o n s id e r a t io n s which seem r e le v a n t t o th e q u e s tio n o f m o tiv a tio n and which have su p p o rt in s o c i a l s c ie n c e th e o r y — but w hich are n o t n e c e s s a r i l y f r e e from academ ic c o n tr o v e r s y . S o c ia l Change and S o c ia l D is o r g a n iz a t io n The most im p o rtan t s i n g l e elem en t t h a t p r o v id e s c o h e s iv e n e s s and coh eren ce in a s o c i e t y i s i t s sy stem o f sh ared v a lu e s and m ea n in g s--th e a c c e p te d r u le s o f b e h a v i o r . ^ I n d iv id u a ls in a s t a b l e s o c i e t y w ith such a sy stem behave 2I t i s s t i l l open to q u e s tio n w h eth er rap id s o c i a l ch a n ge, accom panied by v i o l e n t c o n f l i c t , w i l l lea d e v e n tu a l l y t o s t a b l e and v ia b le p o l i t i c a l s y s te m s , or w h eth er i t w i l l le a d t o endem ic i n s t a b i l i t y . For th e p u rp oses o f t h i s s t u d y , th e q u e s tio n i s m oot. Rapid and v i o l e n t change i s a f a c t . I t . sh o u ld be d e sc r ib e d and u n d erstood t o th e e x t e n t t h a t c u r r e n t know ledge and th e o ry p erm it. 3ArnoId R ose, Theory and Method in S o c i a l S c ie n c e s (M in n e a p o lis: U n iv e r s ity o f M innesota P r e s s , 1 9 5 4 ), p , ST See a l s o Rex D. Hopper, "The R ev o lu tio n a ry P roc e s s : A Frame o i1 R eferen ce fo r th e Study o f R e v o lu tio n a r y M ovements," S o c i a l F o r c e s , XXVIII ( 1 9 5 0 ), 2 7 0 -7 1 , A lso p u b lish e d as "The R ev o lu tio n a ry P r o c e ss: A Frame o f R e fe r ence f o r t h e Study o f R e v o lu tio n a r y Movements," C o l l e c t i v e B e h a v io r , e d . Ralph H. Turner and Lewis M . K i l l i a n (E n g le wood C l i f f s , New J e r s e y : P r e n t i c e - H a l l , 1 9 5 7 ), 3 1 0 -2 1 . w ith a la r g e d egree o f p r e d i c t a b i l i t y . 1 * ' Each i n d iv i d u a l , as a member o f th e s o c i a l grou p , i s e x p e c te d by h im s e lf and by o th e r s t o behave in a c e r t a in way under c e r t a in c o n d i t i o n s . In h is r e l a t i o n s w ith o t h e r s , each member ta k es i n t o accou n t c o n s c io u s ly o r u n c o n s c io u s ly th e way o th e r s b e l ie v e he sh o u ld b eh ave. He p la y s a r o l e . He may, o f c o u r s e , have many r o l e s — t h a t o f f a t h e r , em p loyee, clu b member, and s o f o r t h . Though he may have some p e r so n a l c o n f l i c t about w hich r o le sh o u ld predom inate a t moments, he and th e s o c i e t y around him e x p e c t c e r t a i n b e h a v io r from him in each r o l e . One i s e x p e c te d to regard c e r t a in g o a ls as "good" and t o se ek th e s e g o a ls f o llo w in g th e a c c e p te d r u le s o f b e h a v io r . A s o c i e t y breaks down when th e v a lu e s and r u l e s are no lo n g e r a c c e p te d by th e p e o p l e , and in d iv id u a ls no lo n g e r p la y p r e d ic t a b le r o le s .® S o c i a l change and d is o r g a n iz a t io n a re th e i n e v i t a b le con seq u en ces o f th e t r a n s i t i o n o f a s o c i e t y from t r a d i t i o n a l to modern form. As th e t r a d i t i o n a l s o c i e t y moves toward m o d ern ity , o ld v a lu e s and a t t i t u d e s are q u e s tio n e d . ^Rose, op. c i t . , pp. 6 -7 . ^The p r e sen ce o f sh a red v a lu e s does n ot n e c e s s a r i l y mean, h ow ever, t h a t some d e g r ee o f c o n f l i c t w i l l n o t occu r in t h a t s o c i e t y . I t has been s u g g e s te d t h a t s t a b le democra cy a c t u a lly r e q u ir e s a c e r t a in amount o f c o n f l i c t among th o s e who compete f o r p o s i t i o n s o f power. V id e , Seymour M artin L i p s e t , P o l i t i c a l Man: The S o c i a l B ases o f P o l i t i c s (Garden C it y , New York: Doubleday and Company, I n c . , 1 9 6 0 ), p. 1. However, s in c e th e c o n f l i c t ta k e s p la c e w ith in th e l i m i t s o f an e s t a b l i s h e d c o n se n s u s , i t i s i n t e g r a t i v e r a th e r than d is r u p t iv e . 29 New v a lu e s are in tro d u ced but are n o t g e n e r a lly h e ld . New norms o f b e h a v io r are a c ce p ted by some but n o t by a l l p e o p le . The o ld c o n f l i c t s w ith th e new. There i s w ide sp read r e a d in e s s on th e p a rt o f some in d iv id u a ls t o g iv e up o r d e rly p a r t ic ip a t io n i n , or a c q u ie sc e n c e t o , p o l i t i c a l de c is io n s in fa v o r o f u n c o n tr o lle d mass a c tio n .® S o c ia l change and d is o r g a n iz a t io n , th e n , come out o f c o n tr a d ic tio n s w ith in a s o c i e t y . In su rg e n t and r e v o lu tio n a r y s o c i a l movements are th e c a p to r s o f s o c i a l change, n ot i t s o r ig i n a t o r s — alth ou gh th e s u c c e s s or even th e e x is t e n c e o f such s o c i a l movements may in c r e a s e th e magni tude o f th e c h a n g e . ^ These movements d evelop in a s o c i e t y t h a t i s a lrea d y in a s t a t e o f d is o r g a n iz a tio n and change. I t i s im portant t o r e c o g n iz e th a t t h e s e movements are a t tem pts t o b r in g about a r e o r g a n iz a t io n - - n o t a d is o r g a n iz a - t i o n - - o f th e s o c i e t y ; t h u s , i r o n i c a l l y , th e very movements t h a t c o n tr ib u te t o chaos in a s o c i e t y to r n by r e v o lu tio n a r y s t r i f e were o r ig in a t e d in th e hope and e x p e c ta tio n o f e s t a b l i s h in g ord er. Sources o f S o c ia l Change Any d istu rb a n c e in th e smooth fu n c tio n in g o f a ®William K ornhauser, The P o l i t i c s o f Mass S o c ie ty (G len co e, 1 1 1 .: The Free P ress o f G le n c o e , 19 5 9 ) , p. 22 7, ^Ralph H. Turner and Lewis M . K i l l i a n ( e d s . ) , Col l e c t i v e B ehavior (Englewood C l i f f s , New J e r se y : P r e n tic e - H a ll, In c. , 1957), pp. 5 15-29 . 30 s o c i e t y may b r in g f o r t h a c h a lle n g e t o i t s s o c i a l order.® D istu rb a n c es i n f lu e n c e th e r a te at w h ich p eo p le can move up th e s o c i a l ladd er* th u s a f f e c t i n g power s t r u c t u r e s . D is tu rb a n ces p la c e s e v e r e p r e s s u r e s . on t h e a v a i la b l e r e s o u r c e s and on th e a b i l i t y o f th e s o c i e t y t o p r o v id e f o r th e f e l t needs o f t h e p e o p le . E s ta b lis h e d l e v e l s o f s o c i e t y may b e come mixed or fu z z y . The r o le s p e o p le e x p e c t t o p la y , and t o be p la y e d , may become r e v is e d . Perhaps one o f th e b e s t known and b e s t documented d is tu r b a n c e s and so u r c e s o f s o c i a l change i s t h a t o f i n t e n s i v e c o n ta c t w ith a n o th er c u lt u r e — t h e exp osu re o f a t r a d i t i o n a l s o c i e t y t o a modern s o c i e t y b e in g th e m ost s i g n i f i ca n t contem porary exam p le. Recent c o l o n i a l i s m , modern comm unication and t r a v e l f a c i l i t i e s , and com m ercial em pires have exp osed th e p e o p le s o f non-W estern s o c i e t i e s t o th e id e a s and v a lu e s o f th e i n d u s t r i a l i z e d W est. The c h a lle n g e has been d is a s t r o u s t o th e o ld ways. Armies in t r a n s i t , o ccu p a tio n t r o o p s , and th e i n tr o d u c tio n o f te c h n o lo g y and t e c h n o l o g ic a l t r a i n i n g ; s h i f t s in p o p u la tio n ; r a p id p o p u la tio n grow th s; and t h e i n f l u x o f a fo r e ig n p o p u la tio n — any o r a l l o f t h e s e c o n s t i t u t e a form o f c u lt u r e c o n ta c t or c o n t r ib u t e t o t h e e f f e c t s o f such e x p o su r e . The e c o lo g y o f s o c i a l change i s n ot c o n fin e d t o ®Kurt Lang and G ladys E n g il L ang, C o l l e c t iv e Dynam i c s (New York: Thomas Y. C row ell Company, 1 9 6 1 ) , p. 126. 31 s o c i a l phenomena. Any d i s a s t e r which i s w id esp read and l a s t i n g can a ls o be a so u rc e o f s o c i a l change. D e v a s ta tin g f l o o d s , fa m in e , d ro u g h t, or econom ic d e p r e ssio n are some o f t h e a f f l i c t i o n s w hich have h i s t o r i c a l l y d is tu r b e d o r c h a l le n g e d th e s o c i a l o r d e r o f a s o c i e t y . Where d i s a s t e r com b in e s w ith c u lt u r e c o n ta c t and f o r e ig n i n t e r v e n t i o n , th e c h a lle n g e may be overw h elm ing. R e s u lts o f S o c i a l Change The f i r s t con seq u en ce o f s o c i a l ch a n g e, in th e s e n s e t h a t i t i s d is c u s s e d h e r e , i s a c r i s i s o f le g it im a c y . Large numbers o f t h e p o p u la tio n are no lo n g e r a b le or w i l l i n g t o gra n t th e e s t a b l i s h e d r u lin g groups th e a u th o r ity and p r e s t i g e needed t o su p p o rt t h e i r c la im t o govern . There d e v e lo p s among th e broad m asses a growing c o n s c io u s n e ss o f s e p a r a tio n from , and o p p o s it io n t o , t h e - p o l i t i c a l sy ste m . Groups i n c o n f l i c t o r g a n iz e around v a lu e s and meanings d i f f e r e n t from t h o s e p r e v io u s ly c o n sid e r e d th e ac c e p ta b le n o r m s.9 U n d ersta n d in g and t o le r a n c e break down and groups no lo n g e r accommodate one a n o th e r . S o c ia l d i s o r g a n iz a t io n i s m a n ife s t i n c o l l e c t i v e b e h a v io r , ran g in g from d i f f u s e l y o r g a n iz e d rumor sp r e a d in g and such h o s t i l e crowd b e h a v io r as r i o t i n g , t o more h ig h ly s t r u c tu r e d a c t i v i t i e s such as c o n sp ir a c y and i n s u r r e c t i o n . The i n d iv i d u a l in a ch an gin g s o c i a l o rd er i s a l s o 9L i p s e t , op. c i t . , pp. 7 7 -7 8 . ! 32 v a r io u s ly a f f e c t e d . U n less s o c i e t y p ro v id es th e in d iv id u a l w ith c le a r - c u t g u id e lin e s f o r b e h a v io r , he w i l l be con fu sed and i n s e c u r e I f th e e x p e c ta tio n s o f h is group r eg a r d in g b eh a v io r become in c o m p a tib le w ith h is own n e e d s , th e i n c r e a s in g p r e ssu re o f th o s e needs w i l l ten d t o r e s t r i c t h is a b i l i t y t o understand and respond t o th e e x p e c ta tio n s o f o t h e r s . When c o n f l i c t a r i s e s , as he t r i e s t o f u l f i l l h is v a r io u s r o le s in th e changing s o c i e t y , he w i l l tr y t o s a t i s f y th e demands o f th a t s o c i a l r o le he v a lu es most h ig h ly . In many c a s e s , he w i l l be unable t o make c le a r - c u t d e c is io n s in t h i s r eg a r d , and h is b eh a v io r w i l l ten d t o b e come e r r a t i c and i n c o n s is t e n t . A lthough i t w i l l happen w ith in c r e a s in g frequency in a changing s o c i e t y , tr u e i s o l a t i o n o f th e in d iv id u a l from h is subgroup w i l l not be w id esp read . Such i s o l a t i o n i s most l i k e l y t o occu r: (1 ) among in d iv id u a ls who have th e l e a s t communication w ith and commitment t o o rgan ized groups and com m unities and (2 ) when th e v a lu e s o f th e s o c i e ty seem most u n c e r ta in and im perm anent. ^ The i s o l a t i o n o f th e in d iv i d u a l , when i t o c c u r s , produces h ig h ly i n d iv id u a l i s t i c and a s o c i a l forms o f b e h a v io r such as m ental d i s o r d e r , a lc o h o lis m , s u i c i d e , and a h ig h p r o p e n sity t o j o i n l^ R o se, op. c i t . , pp. 1 7 -2 3 , i:LI b id . , pp. 1 0 -11. 33 e x tr e m is t movements. H Two fu r th e r comments may be made. F i r s t , th e breakdown o f a s o c i e t y need not be sudden or dram atic t o g iv e r i s e t o such forms o f c o l l e c t i v e b eh a v io r d e sc r ib e d above. Second, alth ou gh a s o c i e t y may be e x p e r ie n c in g a breakdown, not a l l in d iv id u a ls w ith in i t w i l l ta k e the op p o r tu n ity t o c r e a te u n rest and spread s o c i a l d is o r g a n iz a t i o n . 13 S o c ia l C o n f lic t : I s s u e s o f S o c ia l Change While n a tio n a lis m and th e h u m ilia tio n s o f form er c o lo n ia lis m and r a c i a l d is c r im in a t io n , as w e ll as o th e r h i s t o r i c a l and contem porary f r u s t r a t io n s and a s p i r a t i o n s , are f e l t d eep ly and a ffo r d ready sym bols fo r v a rio u s s o c i a l movements, th e fundam ental i s s u e s th a t g e n e ra te c o n f l i c t in a changing s o c i e t y can be grouped in t o th r e e g e n e r a l c a t e g o r ie s : le g it im a c y , a d a p tio n , and s t r a t i f i c a t i o n . ■^H opper, "The R evolu tion ary P r o c e ss: A Frame o f R eferen ce fo r th e Study o f R ev o lu tio n a ry Movements," l o c . c i t . , p. 2 71. ■^T urner and K i l l i a n , o£. c i t . , pp. 2 0 -3 9 . ■^The co n cep ts r e l a t i n g t o th e i s s u e s o f s o c i a l change— and th e ty p e s o f s o c i a l movements d is c u s s e d below — are th e d ir e c t r e s u l t o f c o n v e r sa tio n and corresp ond en ce in May, 1965, w ith P r o fe s s o r Manfred S ta n le y o f th e Department o f S o c io lo g y at Wagner C o lle g e . These a n a ly t ic c o n c e p ts , put fo r th in t h i s ch a p ter in very b r i e f and sim p le form, have not h e r e t o f o r e been p u b lish e d . A debt o f g r a titu d e i s owed Dr. S ta n le y f o r h i s generous sh a rin g o f id e a s — but he i s in no way r e s p o n s ib le fo r t h e i r form o f e x p r e s s io n or degree o f em phasis in t h i s c h a p te r. The I s s u e o f L egitim acy L e g itim a c y , a llu d e d t o a b o v e, may be d e fin e d as th e a c c e p ta n c e by a p e o p l e , w it h in s e t g e o g r a p h ic a l b o u n d a r ie s , o f th e p r i n c ip l e s o f a u th o r ity by which th ey are r u le d . L e g itim a c y , t o g e t h e r w ith v a lu e s and m ean in gs, c o n tr ib u te s t o a s e n s e o f membership i n an in t e g r a t e d s o c i e t y . In th e non-W estern t r a n s i t i o n a l s o c i e t i e s , t h i s s e n s e o f member s h ip i s in an a c u te s t a t e o f c r i s i s : t r a d i t i o n a l s t r u c tu r e s o f s o c i e t a l a u t h o r i t y , r e p r e s e n te d by v i l l a g e , c la n , t r i b e , c a s t e , s e c t , fe u d a l o r d e r , and s o f o r t h , a r e break in g down. Where t r a d i t i o n a l a u th o r ity s t i l l e x i s t s , i t i s i n c r e a s i n g l y th r e a te n e d by i t s own i n a b i l i t y t o d e a l w ith m od ern izin g i n f l u e n c e s . The f u n c t io n a l s t r u c t u r e o f t r a d i t i o n a l a u t h o r it y i s o f te n in c a p a b le o f s u f f i c i e n t change t o 'm ain tain c o n tr o l in th e fa c e o f m o d ern izin g i n f l u e n c e s . N a tio n a lism i s a s i g n i f i c a n t elem en t o f th e i s s u e o f l e g it im a c y , s i n c e i t e s s e n t i a l l y r e p r e s e n ts an attem p t t o p r o v id e a new and la r g e r b a s is f o r p o l i t i c a l membership in an environm ent t h a t has a lr e a d y been e n la r g e d by modern t r a n s p o r t a t io n and com m unication f a c i l i t i e s . W hile n a t io n a lis m has an a s p e c t r e l a t e d t o econom ic in te r d e p e n d e n c y , membership i n power b l o c s , r e g io n a l a rra n g em en ts, and i n t e r n a t i o n a l o r g a n iz a t io n , th e fo cu s i n t h i s d is c u s s io n i s on th e l o c a l s t r u g g le t o m ain tain s o c i a l o rd er w h ile t r a n s form ing a p o l i t i c a l sy ste m . S tr u g g le s f o r le g it im a c y may in v o lv e h o s t i l i t y betw een th o s e who c la im power and th o se 35 who would d is p o s s e s s them as b e in g o ld fa s h io n e d , c o l o n i a l , or fo r e ig n dom inated; among t r a d i t i o n a l groups who g iv e ven t t o a g e -o ld t e n s io n s when t h e is s u e o f le g itim a c y i s not s e t t l e d ; or among r iv a l m odern ist o r in su r g en t groups who seek t o outmaneuver one a n o th er fo r th e se a t o f power, The s tr u g g le o f th e Congolese a g a in s t B e lg ia n c o lo n ia lis m i s an example o f th e f i r s t t y p e . The f o r c e s which emerged w ith in th a t u n s e t t le d country a f t e r independence are example o f th e t h ir d ty p e . The m assive p o st-in d ep en d en ce r i o t s between Moslems and Hindus in In d ia are an example o f th e second type o f s t r u g g le . S in ce th e pace o f s o c i a l change may exceed th e r a te a t which p ro p er adjustm ents in th e p a tte r n s o f a u th o r ity can be made, th e i s s u e o f le g itim a c y p r o v id e s f e r t i l e ground fo r th e emergence o f co n ten d in g s o c i a l movements, demagogic le a d e r s , and v io le n c e . The Issu e o f Adaption S in ce s o c i a l change i s i n e v i t a b l e , r u lin g groups everyw here are fa c e d w ith th e problem o f ad ap tin g t o the change. A gain , in th e ra p id ly changing t r a n s i t i o n a l s o c i e t y , adap tion becomes an is s u e o f c r i s i s p r o p o r tio n s . E l i t e and i n t e l l e c t u a l s d e b a te , a t le n g t h , the r a t e and d ir e c t io n t h e i r cou n try should ta k e in m od ern izin g. As th e c r i s i s d eep en s, demagogic le a d e r s and e x tr e m ist groups tr y t o s e t t l e th e i s s u e by d ir e c t a c t io n . 36 At l e a s t fo u r b a s ic q u e s tio n s emerge from th e c r i s i s o f a d a p tio n , each o f which i s capable o f g e n e r a tin g c o n f l i c t and v i o le n c e : (1 ) Which s e c t o r s o f s o c i e t y sh o u ld be a llo w e d t o grow and p r o f i t from s o c i a l ch an g e, and a t whose expense? (2 ) How f a s t sh o u ld change be imposed? (3 ) How much p o l i t i c a l freedom and how much p o l i t i c a l r e s t r i c t i o n i s r e q u ir e d t o overcome r e s i s t a n c e to p o l i c i e s o f change? (40 To what e x t e n t sh o u ld t r a d i t i o n a l l y l e g i t im a t e i n s t i t u t i o n s be c a r r ie d o v er i n t o th e new order? These q u e s t io n s — and th e in c r e a s in g d if f e r e n c e s i n group and in d iv id u a l n e e d s --c a n le a d t o v i o le n c e . When de c i s i o n s tak en by th e r u lin g groups do not s a t i s f y subgroups w ith in th e c o u n tr y , v i o l e n t r e a c tio n may r e s u l t ; when d e c i s io n s made by th e r u lin g group are b lo ck ed by la rg e power i n t e r e s t s o u ts id e th e c o u n tr y , v io le n c e may o ccu r. The I s s u e o f S t r a t i f i c a t i o n In any s o c i e t y , some s e c t o r s o f th e p o p u la tio n have th e g r e a te r advan tage in s e c u r in g th e t a n g ib le and i n t a n g i b le rewards v a lu e d by t h a t . p a r t i c u l a r s o c i e t y . I n d iv id u a ls p la c e each o th e r in ranked c a t e g o r i e s ; each ca te g o ry i n v o lv e s d i s t i n c t i o n s w hich may le a d t o a n im o s ity , e n v y , and d is c o n t e n t . In t r a d i t i o n a l s o c i e t i e s such s t r a t i f i c a t i o n i s fr e q u e n t ly d e r iv e d from b ir th and fa m ily h e r it a g e . I f th e r e are r e s e n tm e n ts , th e y are more or l e s s a m e lio r a te d by v i s i o n s o f a f t e r l i f e or r e b ir t h or by th e s e c u r i t y a ffo r d e d 37 by th e e s t a b lis h e d sy stem . In a r a p id ly and d r a s t i c a l l y changing s o c i a l o r d e r , how ever, s o c i a l r e s t r a t i f i c a t i o n b e comes a c r i t i c a l i s s u e , a so u r c e o f c o n f l i c t and v io le n c e . S o c ia l Movements: In su rgency F req u en tly s o c i a l movements a r is e as attem p ts t o c o r r e c t , through some s o r t o f o rg a n ized c o l l e c t i v e a c t i o n , a s i t u a t i o n which i s p e r c e iv e d as i n t o l e r a b l e . ^ Any s i t u a t io n p e r c e iv e d as i n t o l e r a b l e w i l l be met w ith rem ed ial a c t io n . The a c tio n may be t o t a l l y u n o rg a n ized , such as p a n ic ; or i t can be lo o s e ly o r t i g h t l y o rg a n ized in p u r s u it o f i m p l i c i t or e x p l i c i t g o a l s , a s o c i a l movement. In su r gency i s one o f th e more im m ed iately d is r u p tiv e s o c i a l movements. I t i s a movement o f o p p o s itio n t o governm ent, d is t in g u is h e d from movements w ith s i m i la r purpose by i t s u se o f armed v io le n c e . -^ D e sp ite i t s f a i l u r e , in p r a c t i c e , t o e lim in a te s t a t u s d i f f e r e n c e , Marxism has had more than a l i t t l e ap p e a l in t r a n s i t i o n a l s o c i e t i e s because o f i t s d ir e c t r e f e r ence t o th e r e s t r a t i f i c a t i o n i s s u e and i t s prom ise t o l e v e l p e r c e iv e d i n e q u i t i e s . l^The term " s o c ia l movement" im p lie s p e r c e p tio n and m o tiv a tio n which in a c t u a l i t y apply o n ly t o i n d iv id u a ls . V id e , J u liu s Gould and W illiam L. K olb, A D ic tio n a ry o f the S o c ia l S c ie n c e s (New York: Free P ress o f G len coe, 19 6 4 ) , pp. 4 4 7 -4 8 , 4 9 1 -9 2 . However, in d iv id u a ls in s o c i e t y are g e n e r a lly members o f g ro u p s, and th e s e groups ten d t o be composed o f in d iv id u a ls who s e e and in t e r p r e t t h e i r e n v iro n ment in th e same way and sh a re s im ila r n e e d s , g o a l s , and i n t e r e s t s . Thus, in d iv id u a ls can a c t c o l l e c t i v e l y as a group and can c o l l e c t i v e l y ta k e the form o f a s o c i a l movement. 38 Lang and Lang1 ' 7 review th r e e major approaches t o th e stu d y o f s o c i a l movements which can be a p p lie d t o i n su rgen cy: (1) " n a tu ra l h is to r y " approach; (2) " c r o s s - s e c t i o n a l ” a n a l y s is ; and (3) the "com parative" approach. The f i r s t o f th e s e i s concerned w ith th e phases o f a r e v o lu tio n a r y movement. The approach has been d evelop ed e sp e c i a l l y by B rin to n 1 ® and Hopper1 ® f o llo w in g Edwards^® and i s g e n e r a lly known as th e n a tu r a l h is t o r y mode o f a n a l y s is . The b a s ic assum ption i s th a t v a r ia b le s such as le a d e r s h ip , t a c t i c s , p s y c h o lo g y , th e n a tu re o f th e movement's adh erents and th e degree and ty p e o f resp o n se o f th e s o c i a l e n v iro n ment probably d i f f e r from phase t o phase and y e t are more or l e s s th e same f o r d i f f e r e n t in s u r g e n c ie s or r e v o lu tio n s in s i m i la r ph ase s.T he secon d approach review ed i s th a t o f c r o s s - s e c t i o n a l a n a l y s is . In an attem p t t o d is c e r n how 1>7Lang and Lang, op. c i t . , p a ssim . 1 ®Crane B r in to n , Anatomy o f R e v o lu tio n (New York: V intage Books, 1 9 5 7 ), p assim . 1®Hopper, "The R evolu tion ary P ro c ess: A Frame o f R eferen ce f o r th e Study o f R ev o lu tio n a ry Movements," l o c . c i t . , pp. 270-79 . ®®Lyford P. Edwards, The N a tu ra l H isto ry o f Revolu t io n (C hicago: The U n iv e r sity o f C hicago P r e s s , 1 9 2 7 ), p a ssim . ^1To some e x t e n t , th e n a tu r a l h is t o r y mode o f a n a l y s i s has in flu e n c e d th e developm ent o f t h i s c h a p te r . I t does not fu r n ish any co n v en ien t c l a s s i f i c a t i o n o f in su r g e n c ie s , but i t does perm it an a n a ly s is o f phases which can a ffo r d a rough s e t o f in d ic e s o f i n c i p i e n t c o n f l i c t and a rough measurement o f th e m atu rity o f a g iv en in su r g e n c y . The approach as d evelop ed by Hopper has been th e most i n f l u e n t i a l h e r e . V id e , p o s t , pp. 3 7 -4 1 . 39 v a r io u s c u r r e n ts o f a g i t a t i o n and u n r e st come t o g e t h e r a t one p o in t i n t im e , th e em phasis i s n o t on ly on in n e r dynam i c s but on how th e movement appears from a v a r ie t y o f p e r s p e c t i v e s . T his approach i s e s s e n t i a l l y an a p p lic a t io n o f s o c i o l o g i c a l p r i n c ip l e s t o an h i s t o r i c a l approach. The com p arative approach i s th e t h i r d r ev iew ed by Lang and Lang. T h is fo c u s e s upon th e dynamics o f s i m i l a r ty p e s o f movements in d iv e r s e environ m en ts and d i f f e r e n t ty p e s o f movements i n s i m i l a r en v iro n m en ts. A lso r e le v a n t t o th e stu d y o f form and s t r u c tu r e o f in s u r g e n t movements i s th e c o n f l i c t a n a ly s is approach. Bernard p r e s e n ts an im portant c o n c e p tu a l a n a ly s is o f t h i s approach and a review o f th e l i t e r a t u r e up t o 1 9 5 7 . 2 2 U sing t h i s app roach, Coser2 3 ancj Gluckman2l+ c o n s id e r th e in f lu e n c e o f c o n f l i c t on s o c i a l i n t e g r a t i o n and th e circum s ta n c e s under w hich c o n f l i c t i n t e g r a t e s a s o c i a l sy stem as a g a in s t t h o s e under which i t le a d s t o d i s i n t e g r a t i o n . A r t ic u l a t e p r a c t i t i o n e r s o f in su r g e n c y and r e v o lu tio n a r y th e o ry a l s o make a u s e f u l c o n tr ib u tio n t o any stu d y o f th e form and s tr u c tu r e o f in su r g e n c y in t h e i r a n a ly s is 22J e s s i e B ernard, "The S o c i o l o g i c a l Study o f Con f l i c t , " The N ature o f C o n f lic t ( P a r is : U .N .E .S . C .0 . , 195 7) , p p . 35-117. 2 3Lewis C oser, The F u n ction s o f S o c ia l C o n f lic t (G le n c o e , 1 1 1 .: The Free P r e s s , 19 5 6 ) , p assin u 21 + Max Gluckman, Custom and C o n f lic t in A fr ic a (G le n c o e , 1 1 1 .: The Free P r e s s ," 1 9 5 9 ), p assim . 40 o f th e v a r ia b le s o f t a d t ic s , o r g a n iz a t io n , u t i l i z a t i o n o f e c o l o g ic a l and human r e s o u r c e s , and th e fu n c tio n s and ap p l i c a t i o n s o f i d e o lo g ic a l d o c t r in e . T h eir p o in ted a t t e n - id o n to th e human environm ent has r e s u lt e d in firm p o l i c i e s on th e treatm en t o f lo c a l p o p u la tio n s on the p art o f in s u r g en ts and i s c e r t a i n ly o f i n t e r e s t in th e c o n sid e r a tio n o f a p p ro p ria te p o l i c y on the p a r t o f c o u n te r in su r g e n ts v i s - a - v is l o c a l p o p u la t io n s .25 The approaches d e sc r ib e d above, u s e f u l as th ey are to th e stu d y o f in su rgen cy and r e v o lu t io n , do not le a d t o any u n iv e r s a lly a ccep ted c l a s s i f i c a t i o n o f in s u r g e n c ie s . Y e t, i t may be t h a t some t e n t a t i v e c l a s s i f i c a t i o n based on a l o g i c a l a n a ly s is o f th e h i s t o r y o f in su rg en cy could be u s e f u l as a h y p o th e sis in th e exam in ation o f in su r g en cy . Such c l a s s i f i c a t i o n could o f f e r c lu e s t o d i f f e r e n c e s , s a y , between th e Huk insurgen cy in th e P h ilip p in e s which r e mained l o c a l i z e d , 2 ® and the s t r u g g le in Vietnam which has l a t e l y assumed some o f the c h a r a c t e r i s t i c s o f a lim it e d w a r .27 j t i s c o n c e iv a b le t h a t an in su rgen cy supported by an a n t a g o n is t ic o u ts id e power evokes a resp on se from 25V id e, Mao T se -tu n g , G u e r r illa Warfare (Yu Chi Chan), t r a n s . B r ig a d ie r G eneral Samuel B. G r i f f it h (New York: F red erick A. P raeger, 1 9 6 1 ), p a s sim ; Vo Nguyen G iap, P e o p le s ’ War, P e o p le f s Army (H anoi: F oreign Languages Pub l i s h i n g H ouse, 1 9 6 1 ), p a ssim ; and Che Guevara, On G u e r r illa W arfare, t r a n s . U. S. Department o f th e Army and th e Marine Corps A s s o c ia tio n (New York: F rederick A. P ra eg er, 1 9 6 1 ), p a ssim . 26V id e , p o s t , pp. 60. 2 ?V id e , p o s t , p. 237. 41 a n o th er i n t e r e s t e d o u t s id e power w hich d i f f e r s , a t l e a s t in i n t e n s i t y , from a r e sp o n se evoked by a c o m p le te ly l o c a l i z e d in s u r g e n c y . Yet c l a s s i f i c a t i o n i s a s u r p r i s i n g ly d i f f i c u l t t a s k . O bservable forms emerge o n ly a t a r e l a t i v e l y l a t e ■ * * s t a g e o f in s u r g e n t d evelop m en t, and th e y may a t tim es seem to have l i t t l e r e l a t i o n s h i p t o th e u n d e r ly in g i s s u e s . One very t e n t a t i v e c l a s s i f i c a t i o n may be u s e f u l h ere sim p ly be cause v a r io u s in s u r g e n c ie s o f h i s t o r y seem s u p e r f i c i a l l y at l e a s t t o f i t i t s i n t e g r a l c a t e g o r ie s and b ecau se i t seems to d i s t i n g u i s h among th e p o l i t i c a l im p u lses which g iv e elan to a g iv e n in s u r g e n c y . F i n a l l y , i t seems t o be more de s c r i p t i v e o f o b s e r v a b le forms than some o th e r a ttem p ts a t c l a s s i f i c a t i o n . T h i s c l a s s i f i c a t i o n , su g g e s te d by S ta n le y ,2® seem s t o embrace most c a s e s — e x c e p t fo r th o s e fou gh t f o r s p e c i f i c and im m ediate g r ie v a n c e , such as th e Sepoy Mutiny (and th e s e i n s u r g e n c i e s , in any c a s e , u s u a lly have d eep er c a u se s than t h e s p e c i f i c g r ie v a n c e r e v e a l s ) . S ta n le y d e s c r ib e s f i v e g e n e r a l ty p e s o f in su r g en cy : 1. N a t i o n a l i s t — v i o l e n t o p p o s itio n to governm ents con s id e r e d c o l o n i a l , fo r e ig n d om in ated , or o th e r w ise i l l e g i t i m a t e in t h e l i g h t o f n a t i o n a l i s t a s p ir a t i o n s . Examples from h i s t o r y in c lu d e th e r e c e n t 2 8 y id e , f o r ex a m p le, David G a lu la , C ou nterins urgen cy W arfare: Theory and P r a c tic e (New York: F re d e rick A. P r a e g e r , P u b lis h e r , 196 4) , pp. 43-5 9, G alu la p r e s e n ts two ty p e s o f in s u r g e n c y — "Orthodox (Communist)" and " B o u rg eo is- N a t i o n a l i s t ." 29S t a n le y , op . c i t . 42 A lg e r ia n in su r g en cy a g a in s t th e F ren ch , Angolan r e v o l t s a g a in s t th e P o r tu g u e se , th e American R evolu t i o n , and th e numerous in s u r g e n c ie s o f 19th cen tu ry Europe d ir e c t e d a g a in s t f o r e ig n d o m in a tio n , su ch as th a t o f th e H ungarians a g a in s t th e A u s tr ia n s . 2. I r r e d e n t i s t — v i o l e n t e f f o r t t o e f f e c t a union b e tween t e r r i t o r y i n which th e in s u r g e n ts r e s id e and some o t h e r n a t io n . Examples in c lu d e th e I t a l i a n wars o f u n i f i c a t i o n , th e E n o sis movement fo r union w ith G reece i n C yprus, and th e in su r g e n c y o f th e Som alians a g a in s t Kenya a f t e r t h a t co u n try g a in ed i t s in d ep en d en ce i n 196 3.30 3. R e v o lu tio n a r y — v i o l e n t a ttem p t through 'insurgency t o i n i t i a t e r e v o lu t io n t o a c h ie v e a fundam ental r e v i s i o n o f th e e x i s t i n g s o c i a l and p o l i t i c a l o r d e r . Examples in c lu d e c e r t a in s t a g e s o f th e French and R ussian r e v o lu t io n s and th e P a ris Commune in 1 8 7 1 .31 4. D e fe n s iv e — v i o l e n t attem p t t o p rev en t th e d e p r iv a t io n o f in d ep en d en ce by a n o th er so u r c e o f power. Examples in c lu d e th e A sh a n ti in su r g e n c y a g a in s t the B r it is h in Kum asi, West A f r ic a in 1900, and th e s e v e r a l American In d ian in s u r g e n c ie s a g a in s t govern ment and s e t t l e r s in th e U n ited S t a t e s o f th e 19th c e n tu r y . 5. I n t e r v e n t i o n i s t — th e u se o f in s u r g e n t v i o le n c e by th e government o f an e x t e r i o r s t a t e t o undermine a government w ith co n tra r y i n t e r e s t s , t o im pose an i d e o lo g y , or t o c r e a te u n r e s t p r io r t o ou tb reak o f c o n v e n tio n a l war. Examples in c lu d e In d o n e sia n a t tem pts t o en cou rage in su r g e n c y in M a la y sia , C astro- i s t a ttem p ts t o c r e a te in su r g en cy in v a r io u s p a r ts o f L a tin A m erica, and v a r io u s Nazi and Communist e f f o r t s t o c r e a t e u n r e st p r io r t o World War I I . 30The term " irred en tism " d e r iv e s from th e I t a l i a n word i r r e d e n t a , which was used d u rin g th e I t a l i a n wars o f u n i f i c a t i o n . I t r e f e r s t o t e r r i t o r y under th e c o n t r o l o f one p o l i t i c a l e n t i t y but h i s t o r i c a l l y and e t h n i c a l l y r e la t e d t o a n o th e r . Here i t i s u sed in a broader s e n s e . 3^This c a te g o r y i s n ot meant t o im ply a d e f i n i t i o n fo r th e term 1 1 r e v o lu tio n " but o n ly t o d e s c r ib e th e e s s e n t i a l c h a r a c t e r i s t i c o f one typ e o f in s u r g e n c y . 43 These f i v e g e n e r a l ty p e s o f in su rgen cy are n ot m u tu ally e x c lu s iv e and may c h a r a c te r iz e a g iv en in su rg en cy in com b in ation . I t sh o u ld a ls o be n oted t h a t each ca tego ry i s s u b j e c t t o s u b - d i v i s i o n . With regard t o n a t i o n a l i s t movements, f o r exam ple, Wirth s u g g e s ts th e c l a s s i f i c a t i o n s o f " p l u r a l i s t i c , " " a s s i m i l a t i o n i s t ," " s e c e s s i o n i s t ," and " m i l i t a n t . M o r e o v e r , th e r e are some c h a r a c t e r i s t i c s which tra n sc en d th e c l a s s i f i c a t i o n s u g g e s te d above. Lang and Lang n o te a d i s t i n c t i o n between " c e n tr ifu g a l" movements which o rg a n ize around a s i n g l e core group and " c e n tr ip e ta l" movements th a t c o a le s c e out o f s e v e r a l s e p a r a te u n its o f u n re st as th ey fa c e s i m i la r s t i m u l i . ^ How In su rg e n t Movements Begin In su rg e n t movements b egin when a s u f f i c i e n t l y la r g e group o f in d iv id u a ls p e r c e iv e an " e v il" or m alignancy in t h e i r s o c i e t y and a g r e e , in broad te r m s, th a t th e m alig nancy must be r e s o lv e d by v i o le n c e . The m alignancy need not be an o b j e c t i v e f a u l t . In d eed , i t i s th e s u b j e c t iv e p e r c e p tio n t h a t lea d s t o a c tio n . N e ith e r must th e ^ L o u is w ir th , Community L ife and S o c ia l P o lic y : S e le c t e d Papers (C h ica g o , 1 1 1 .: U n iv e r s ity o f Chicago P ress , 1956), pp. 237-60. ^ L an g and Lang, op. c i t ., pp. 489 -541. 44 m alignancy be p r e c i s e ly d e f in e d , n or th e agreement on v io le n c e fo rm a lize d in any way.3^ Four a s p e c ts o f t h i s kind o f m alignancy w i l l be examined: (1) th e o r ie n t a t io n o f th e e v i l , (2) th e lo c a t io n o f th e e v i l , (3) th e rem ed ial a g e n c y , and (4) th e tim e sc h e d u le la id upon remedy. At l e a s t two b a s ic o r ie n t a t io n s s u g g e s t th e m se lv e s. For o n e , th e in d iv id u a l may respond p a s s iv e ly t o a p er c e iv e d m align ancy. He may se e th e m alignancy r o o te d in th e very n atu re o f th e u n iv e r se and r e ly on ly on "magic" and r i t u a l to ward o f f th e e v i l . S im i la r l y , a group o f i n d i v id u a ls may withdraw as a community from som ething th e y de f in e as a m align ancy. N e ith e r o f t h e s e p a s s iv e resp o n ses i s l i k e l y to le a d t o in su r g e n c y , though th e l a t t e r may som etim es g iv e r i s e t o d e fe n s iv e in su r g e n c y . On th e o th e r hand, th e o r ie n t a t io n may be a c t i v e . H ere, th e in d iv id u a l view s th e m alignancy as som ething th a t can be rem edied and d e c id e s th a t rem ed ia l a c tio n i s d e s i r a b le . With an a c t i v e o r ie n t a t i o n , he may be p r e d isp o sed toward in s u r g e n t a c t io n . Whether t h i s i s l i k e l y depends upon t h e o th er th r e e a s p e c t s - - l o c a t i o n , rem ed ial agen cy, and tim e sc h e d u le . ^ S t a n l e y , pp. c i t . , c o n v e r sa tio n and corresp ond e n c e. S ta n ley p r e fe r s and u ses th e term "evil." Because th e term " e v il" seems t o su g g e s t th e w i l l f u l purpose o f man or a group o f men, th e term "malignancy" has been used in p a r t i a l s u b s t i t u t e and g r e a te r em phasis h e r e . 45 I f th e in d iv id u a l s e e s th e e v i l as b e in g lo c a te d in h im s e lf (su ch as J u d a eo -C h r istia n and Freudian th eory would s u g g e s t , and Marxism denies), he i s n ot so i n c li n e d toward in s u r g e n t a c t io n . P erso n a l m o ra lity or therapy may be th e s o l u t i o n . I f , how ever, he s e e s th e m alignancy as b ein g lo c a te d in th e en viron m en t, a more d r a s t i c resp o n se i s p ro b a b le. When he s e e s on ly a p a rt o f environm ent as m a lig n a n t, a coup d ' e t a t or c o n s t i t u t i o n a l reform may su g g e s t i t s e l f as a s o l u t i o n . But, when he s e e s th e whole s o c i a l environm ent as m a lig n a n t, in su rg en cy i s the more l i k e l y s o l u t i o n . I f th e in d iv id u a l s e e s h im s e lf as th e rem ed ial a g e n t— t h a t i s , i f he f e e l s he i s a b le t o purge th e e v i l h im s e lf — he may ta k e any d ir e c t in d iv id u a l a c t io n . In su r gency i s th en i r r e l e v a n t . I f , how ever, he s e e s t h a t th e remedy l i e s in group a c t i o n , in su rg en cy becomes more l i k e l y . F i n a ll y , th e a sp e c t o f tim e must be c o n sid e r e d . I f th e in d iv id u a l s e e s th e remedy f o r th e e v il in e v o lu t io n , th e r e i s no c a l l f o r im m ediate a c tio n ; in su rg en cy i s not l i k e l y . I f he s e e s the tim e sc h e d u le as l im i t e d , th a t i s , i f he demands im m ediate a c tio n and t h i s f e e l i n g o f urgency i s sh ared by o t h e r s , th en in su rgen cy i s more l i k e l y . Thus, th e h ig h e s t in su rgen cy p r o b a b ilit y i s r e la t e d t o a d e f i n i t i o n o f s o c i e t y in which th e lo c a t io n o f a ma lig n a n c y i s seen by th e d is c o n te n te d p o p u la tio n as p art o f th e environ m en t, and more s p e c i f i c a l l y in th e p o l i t i c a l and 46 s o c i a l i n s t i t u t i o n s ; in which th e r em ed ia l a g e n t i s a r e v o lu tio n a r y o r g a n iz a t io n , w ith which th e in d iv id u a l i s e x p e cted t o c o o p e r a te ; and in w hich th e tim e dim ension h o ld s hope f o r im m ediate r e l i e f . The lo w e st in su r g e n c y p r o b a b ilit y i s r e la t e d t o th e p e r c e p tio n o f th e e v i l w ith in th e i n d iv id u a l h im s e lf — th e b e l i e f th a t th e in d iv id u a l can remedy th e f a u l t by h im s e lf and t h a t tim e i s l im i t e d o n ly by a man’s l i f e t i m e . How In su r g e n t Movements D evelop To b e t t e r u n derstand th e p r o c e s s e s o f r e v o lu t io n and in s u r g e n c y , i t i s u s e f u l t o c o n s id e r in s u r g e n t move ments as p a s s in g through fo u r s t a g e s . 35 i n a c t u a l i t y , an 35in p r e s e n t U. S. Army c o u n te r in su r g e n c y t r a in in g th r e e ph ases o f in su r g en cy are n o te d . They a r e : Phase I : L a ten t and I n c i p i e n t In su r g e n c y . T his phase co v ers c ir cu m sta n c es in which s u b v e r s iv e a c t i v i t y i s o n ly a p o t e n t i a l t h r e a t , and l a t e n t o r a lr e a d y i n c i p i e n t s i t u a t i o n s in which s u b v e r s iv e i n c i d e n t s and a c t i v i t i e s occu r f r e q u e n tly in o r g a n ize d p a t t e r n s . Phase I does n ot co v er major outb reaks o f v io le n c e or p e r io d s o f uncon t r o l l a b l e in s u r g e n t a c t i v i t y . Phase I I : O rganized G u e r r illa W arfare. This phase i s reach ed when th e s u b v e r s iv e movement, havin g ga in ed s u f f i c i e n t l o c a l or e x te r n a l su p p o r t, i n i t i a t e s o r g a n ize d g u e r r i l l a w arfare o r r e l a t e d forms o f v io le n c e a g a in s t th e e s t a b l i s h e d a u t h o r it y . Phase III: War o f Movement. The s i t u a t i o n moves from Phase I I t o Phase l l l - when in su r g e n c y becomes prim a r i l y a war o f movement betw een th e o r g a n ize d fo r c e s o f th e in s u r g e n ts and th o s e o f th e e s t a b l i s h e d governm ent. To t h e s e th r e e p h ases can be added a f o u r t h , "the c o n s o lid a t io n p h a se," i n which th e in s u r g e n t fo r c e s e s t a b l i s h c o n t r o l over p o r tio n s or a l l o f th e cou n try and b eg in t o e x e r c i s e th e f u l l powers o f governm ent. U. S . , Army S p e c ia l Warfare S c h o o l, C ou n terin su rgen cy P la n n in g Guide (2d e d . , F ort Bragg, North Carolina, 1 9 6 4 ) , p. 147 47 in s u r g e n t movement, a t any p o in t in i t s develop m en t, can d is p la y th e c h a r a c t e r i s t i c s o f two or more o f t h e s e s t a g e s in o v e rla p p in g se q u en ce , or a l l fo u r s t a g e s can appear a l most s im u lta n e o u s ly . The fou r s t a g e s are d is c u s s e d s e p a r a t e ly here t o su g g e s t th a t as the p a tte r n s o f s o c i a l u n r e st em erge, th e o b serv a n t m ilit a r y a d v is e r a ss ig n e d to an area o f s o c i a l change may be a b le t o d i f f e r e n t i a t e be tween i n c i p i e n t in su rg en cy and th e l e s s fundam ental b a n d it ry or p o l i t i c a l opportunism . Such a n a ly s is a ls o can f a c i l i t a t e d e c is io n s about how t o meet th e s i t u a t i o n . The fo u r s ta g e s i n th e developm ent o f in s u r g e n c ie s are: (1) th e p relim in a ry phase o f in d iv id u a l e x citem e n t and u n r e s t— in which an in c r e a s in g number o f in d iv id u a ls a r e a f f e c t e d ; (2) the phase o f crowd ( c o l l e c t i v e ) e x c i t e ment and u n r e s t; (3) th e form al phase o f i s s u e fo rm u la tio n and th e form ation o f " p u b lic s;" and (4) th e i n s t i t u t i o n a l phase o f l e g a l i z a t i o n and s o c i e t a l o r g a n iz a tio n in areas under in s u r g e n t c o n t r o l , ^ The f i r s t phase i s d eriv ed from , y e t i s s im u lta n e ous w it h , th e s o c i a l d is o r g a n iz a t io n d e sc r ib e d above. That i s , th e r e i s a l o s s o f o ld v a l u e s , but th e r e has not been com p lete a c ce p ta n c e o f new v a lu e s . C o n tr a d ic tio n s ..and con f l i c t s in th e v a lu es and norms o f th e s o c i e t y s t i l l p r e - ^ H o p p e r, "The R ev o lu tio n a ry P r o c e ss: A Frame o f R eferen ce fo r th e Study o f R evolu tion ary Movements," l o c . c i t . , p a ssim . 48 v a i l . T his phase i s p r e lim in a ry t o th e e s ta b lis h m e n t o f an in s u r g e n t or r e v o lu tio n a r y movement. I t i s marked by w ide sp read r e s t l e s s n e s s m a n ife st by an in c r e a s e in c r im e , vice, m ental d is o r d e r s , e m ig r a tio n , th e wandering o f in d iv id u a ls from one p a rt o f th e country t o a n o th e r , and m inor forms o f a g i t a t i o n . M arginal groups— groups th a t have gained w ea lth and e d u c a tio n but a r e , or f e e l th ey a r e , ex clu d ed from p a r t ic ip a t io n in d e c is io n making®^— are in c r e a s in g ly r e p r e sse d by th o se in a u t h o r it y , as th e government i t s e l f bogs down in a d m in is tr a tiv e i n e f f i c i e n c y or c o rr u p tio n at th e very tim e th a t e f f o r t s toward reform are b e in g made. I n d iv id u a ls who are a f f e c t e d by s o c i a l d is o r g a n iz a t i o n become t a r g e t s f o r a g i t a t io n and s u g g e s t io n . The a g it a t o r em erges. L i t t l e o r g a n iz a tio n r e s u l t s from th e a g i t a t i o n , how ever, b ecau se in d iv id u a ls who form th e mass are unaware o f each o th e r and have l i t t l e or no i n t e r a c tio n .^ ® No plan o f a c tio n has been p r o je c te d yet. I f th o s e in a u th o r ity cannot d e a l w ith th e cau ses ®?Rex D. Hopper, "C ybernation, M a r g in a lity , and R e v o lu tio n ," The New S o c i o lo g y , ed . I r v in g L ouis H orow itz (New York: Oxford U n iv e r s ity P r e s s , 1964), 313-30 . A lso p u b lish ed as "C ybernation, M a r g in a lity , and R e v o lu tio n ," P o l i t i c a , I I I (November, 1963), 1 1 -5 5 . ®®It sh o u ld be em phasized aga in th a t not a l l i n d i v id u a ls in a s o c i e t y e x p e r ie n c in g s o c i a l d is o r g a n iz a t io n w i l l p a r t ic ip a t e in t h i s d i s i n t e g r a t i v e b e h a v io r . P a r t i c i pants are th o s e in d iv id u a ls who a re u p ro o ted , p h y s ic a lly a n d /o r p s y c h o l o g ic a ll y , and whose needs can on ly be f u l f i l l e d o u t s id e th e e s t a b lis h e d l o c a l c u ltu r e and i t s i n s t i t u t i o n s . 49 o f u n re st and d is c o n t e n t , th e movement w i l l e v o lv e i n t o the secon d ph ase. In t h i s phase in d iv id u a ls c o a le s c e i n t o a crowd. U nrest and d is c o n te n t become co n ta g io u s as i n d iv i d u a ls who are p s y c h o lo g ic a lly prepared t o sh are in th e move ment become aware o f each o th e r and t h e i r r e s t l e s s n e s s and d is c o n te n t are i n t e n s i f i e d . I n d iv id u a ls in c r e a s in g ly lo s e f a i t h i n th e m se lv e s and in governm ent. The d is c o n te n te d b eg in t o o r g a n iz e , f in d s c a p e g o a ts , f a b r ic a t e new s o c i a l m yths, th r e a te n th e breakdown o f th e o ld o r d e r , and seek s o lu t io n s fo r th e m a lig n a n cies th ey s e e in s o c i e t y . The a g i t a t o r b rin g s th e a t t e n t io n o f p eop le t o t h e i r own la t e n t d is c o n t e n t , in th e f i r s t ph ase. In th e secon d p h a s e , th e "prophet" and th e reform er em erge. The prophet claim s an in s p ir e d knowledge o f th e so u rc es o f s o c i a l m alignancy; he fo rm u la tes and prom ulgates new s o c i a l myths around t h i s know ledge. L a te r, th e reform er a tta c k s s p e c i f i c e v i l s and o f f e r s a program t o change c o n d itio n s . T ogeth er th e prophet and a g i t a t o r d evelop th e mass o f i n d i v id u a ls in t o th e crowd which m a n ife sts c o l l e c t i v e b e h a v io r . At t h i s p o in t , u n le s s th e movement i s th orou g h ly captured by a d i s c i p l i n e d and w e l l- t r a in e d le a d e r s h ip , th e t h ir d phase w i l l l i k e l y e v o lv e , c h a r a c te r iz e d by a t h r e e - way s t r u g g le among th e c o n s e r v a t iv e s , m o d e ra te s, and r a d ic a ls o f th e movement. At t h i s p o in t th e movement i s most v u ln e r a b le to fo r e ig n in f lu e n c e or ta k e o v e r . I n i t i a l l y th e m oderates u s u a lly g a in c o n tr o l but then fa c e a 50 r a d ic a l- c o n s e r v a t iv e c o a l i t i o n . There i s then l i k e l y t o be th e d e c id ed sw ing t o th e l e f t noted by h is to r y as th e moderate reform ers show th e m se lv e s "incom petent" i n th e face o f in t e r n a l and e x t e r n a l danger. C o n f lic t w ith in th e movement may le a d t o v i o l e n c e , and e v e n tu a lly th e r a d ic a ls w i l l se iz e power. M eanw hile, a new ty p e o f le a d e r u su a lly em erges. The reform er g iv e s way t o th e man o f action*, pro grams and d o c tr in e s are ad op ted ; t r a d i t i o n s d e v e lo p . The crowd, i n i t i a l l y w ith on ly d is c o n te n t i n common, slo w ly ta k e on th e c h a r a c t e r i s t i c s o f a "public" as d is c u s s io n and d e l ib e r a t io n , fo rm u la tio n and f o r m a liz a t io n , g iv e i t b on ds, c h a n n e ls , and embryo i n s t i t u t i o n s . In th e t h ir d phase th e in s u r g e n t lea d er s must form u late i s s u e s and fo r m a liz e proced ures around th e e s s e n t i a l d e s ir e s o f t h e i r f o llo w e r s and o th e r s in ord er t o gain a fo o th o ld in th e s o c i e t y and str e n g th e n the s o l i d a r i t y o f the movement. Morale and id e o lo g y become e f f e c t i v e d e v ic e s t o str e n g th e n s o l i d a r i t y . A se n se o f r ig h t e o u s n e s s , m essia n ism , and f a i t h th a t th e goals o f th e movement are both c o r r e c t and i n e v it a b le d evelop a lo n g w ith m orale. The g o a l s , p o l i c i e s , t a c t i c s , and o p e r a tio n s o f th e movement are o u t lin e d w ith th e id e o lo g y and a c c e p te d as n e c e ss a r y . The e x i s t i n g ord er i s condemned; th e in s u r g e n t movement i s j u s t i f i e d ; and th e new s o c i a l m yths, put forward in the e a r l i e r p h a s e s , are e s t a b l i s h e d . During t h i s p h a se, a l s o , a c o n d itio n o f dual or 51 com p etin g s o v e r e ig n t y d e v e lo p s , i f t h e movement gain s le g itim a c y among in c r e a s in g numbers o f th e p o p u la tio n . The in s u r g e n ts may e s t a b l i s h some s o r t o f rump government in th e t e r r i t o r y th ey c o n t r o l , o r some p r e c i p i t a t i n g f a c t o r may cause th e d o w n fa ll o f th e l e g a l governm ent. F u ll o r p a r t i a l s e i z u r e o f government may be fo llo w e d by a l u l l and / th en a r e ig n o f t e r r o r in which power i s c o n s o lid a t e d . In t h e fo u r th and f i n a l phase o f a r e v o lu tio n a r y or in s u r g e n t movement— w h eth er c o n t r o l i s e x e r c is e d in s m a ll e n c la v e s or o v er th e e n t i r e n a t io n a l t e r r i t o r y — th e le a d e r s l e g a l i z e t h e i r power and attem p t t o r eo r d e r t h e s o c i e t y ac c o r d in g t o t h e id e o lo g y which has fu r n ish e d th e e la n o f th e movement. The p eop le do n o t always a c c e p t th e new o r d e r , h ow ever, and th e r e a r e la p s e s i n t o th e old h a b i t s . The economy i s n e c e s s a r i l y n ea r ch a o s. P o l i t i c a l power te n d s t o become more c e n t r a liz e d : a lth o u g h th e r e ig n o f t e r r o r ends and a m n e sties and pardons may be g r a n te d , th e r e i s u s u a lly a tr e n d toward d i c t a t o r s h ip . In th e fo u r th p h a se , t o o , le a d e r s h ip r e q u ir e s th e i n s t i t u t i o n a l i z a t i o n o f th e movement. H ere, th e a d m in is t r a t o r - e x e c u t i v e i s need ed . T his d o es n o t mean th e s e r v i c e s o f th e a g i t a t o r s , th e p r o p h e ts , th e r e fo r m e r s , o r th e men o f a c t io n are no lo n g e r n e c e s s a r y , but r a th e r t h a t th ey must be le d and c o o r d in a te d by th e a d m in is t r a t o r - e x e c u t iv e . T h is le a d e r s h ip i s b oth n e c e ss a r y t o , and a r e s u l t o f , the e f f o r t to tra n sfo rm th e p u b lic i n t o a new s o c i e t y . 52 The T a c t ic a l S e t t in g In in s u r g e n t w arfare th e t a c t i c a l s e t t i n g i s ex trem ely im p o r t a n t .^ I t i s a t t h i s s t a g e th a t th e com p eti t i o n fo r g r a s s r o o t s support ta k e s p la c e . The t a c t i c a l s i t u a t i o n im p lie s o r g a n iz a tio n and r a t i o n a l c h o ic e o f a l t e r n a t i v e s which b egin in th e second and th ir d phase o f th e developm ent o f in s u r g e n t movement. I t i s in th e t a c t i c a l s e t t i n g t h a t l o c a l p o p u la tio n s must be m o tiv a ted to su p p ort c o u n te r in su r g e n c y o p e r a tio n s i f th e y are t o su c c e e d . The Major A ctors To su p p ort i t s p o l i t i c a l h a r d -c o re o r g a n iz a tio n , th e in s u r g e n t movement has: (1 ) i t s f i g h t i n g groups com p osed in one way o r a n oth er o f m obile u n it s (q u ic k ly t r a n s f e r a b le t o any l o c a t i o n ) , (2 ) r e g io n a l tro o p s (who u s u a lly l i v e , or have fo rm erly l i v e d , in th e l o c a l v i l l a g e or town, bu t now o p e r a te w it h in a la r g e r r e g io n and som etim es can no lo n g e r c la im any p a r t i c u la r p la c e as hom e), and (3 ) a l o c a l m i l i t i a ( l o c a l v i l l a g e r s — som etim es p a r t - t im e ) . In a d d i t i o n t o t h i s hard c o r e , th e movement has o th e r m i li t a r y and p a r a m ilita r y u n it s under i t s c o n t r o l. These u n it s d e r iv e from p o l i t i c a l o r g a n iz a tio n m i lit a n t s and o th e r s p e c i a l 3Q T his g e n e r a liz e d d e s c r ip t io n o f th e t a c t i c a l s e t t i n g o f in s u r g e n t w arfare i s d e r iv e d from in te r v ie w s w ith Dr. Andrew R. M olnar, D, M. C o n d it, L ieu ten a n t C o lo n e l C harles T. R. Bohannan, AUS ( R e t . ) , and Major W illiam L. Buchanan, USA, i n Apri1-M ay, 1965. 53 i n t e r e s t groups. Backing th e m i li t a r y apparatus are p o l i t i c a l p arty o r g a n iz a tio n s a t r e g i o n a l , d i s t r i c t , and l o c a l ( c e l l ) l e v e l s . Drawn t o and su p p o r tin g th e a c t i v i s t s are th o s e who sym p ath ize w ith th e in su r g e n c y but who are n o t com m itted t o form al a c t i o n . F i n a l l y , th e r e are p a id i n t e l l i g e n c e a gen ts and o th e r o p p o r t u n is t ic s u p p o r te r s . The c o u n te r in su r g e n t fo r c e s ( a l s o o r g a n ize d a t r e g i o n a l , d i s t r i c t , and l o c a l l e v e l s ) in c lu d e : th e l e g a l government r e g u la r m i li t a r y f o r c e s ; th e fo r c e s and a d v is e r s o f an o u t s id e power ( i f p r e s e n t under agreem ent w ith th e n a tio n a l govern m ent); and a s s o r t e d i r r e g u la r f o r c e s , para m ilit a r y g ro u p s, and p r iv a t e arm ies ( e . g . , l o c a l s e l f - d e fe n s e c o r p s , youth g ro u p s, p o l i t i c a l g r o u p s). S u p p ortin g th e s e are th o s e who sym p ath ize w ith th e governm ent’s c a u s e . Between th e a n t a g o n i s t i c f o r c e s i s th e g r e a t mass o f c i v i l i a n s l i v i n g in th e c o u n tr y . T his mass in c lu d e s th e n a t io n a ls o f th e cou n try or th e predom inant e t h n i c - l i n g u i s t i c group, m in o r it ie s ( e . g . , tr ib e s m e n --s u c h m in o r it ie s may be a m a jo r ity in a g iv en a r e a ) , and a few f o r e ig n e r s (p e r haps form er c o l o n i a l s , p eo p le whose home was o r i g i n a l l y a n e ig h b o r in g c o u n tr y , and o th e r s who a re d e fin e d as f o r e ig n e r s by th e predom inant c u ltu r e g r o u p ). In th o s e p ost-W orld War I I in s u r g e n c ie s which have been s t u d ie d and w hich have been s u c c e s s f u l or h ad , or s t i l l h a v e , some l i k e l i h o o d o f s u c c e s s , l e s s than 10 p er c e n t o f t h e p o p u la tio n i s e stim a te d t o have been com m itted t o p h y s ic a l su p p ort o f th e in su r g en cy a c t io n . P robably l e s s than h a l f o f th e s e u n derstood th e i d e o l o g i c a l and po l i t i c a l g o a ls o f th e in s u r g e n c y , w h ile th e rem ainder became com m itted b ecau se o f v a r io u s i d i o s y n c r a t i c r e sp o n s e s t o th e e x i s t i n g s o c i a l s i t u a t i o n . Up t o 90 p er c e n t o f t h e popu l a t i o n was i n d i f f e r e n t t o th e outcom e, sy m p a th e tic t o one s i d e or t h e o th e r , or r e s e n t f u l toward both s i d e s . Most o f th o s e sy m p a th e tic t o th e in s u r g e n c y , in a t t i t u d e , did n o t reach th e p o in t o f commitment, in d e e d , d u rin g th e c o u r se o f th e in s u r g e n c y . ^ T hus, th e ad van tages en jo y ed by th e m i l i t a n t i n s u r g e n ts do not seem t o l i e i n n u m erical s u p e r i o r i t y . R a th er, th e y a ccru e b eca u se o f: p u b lic apathy or vague d is c o n te n t — an a l i e n a t i o n from l o y a l t y t o th e l e g a l l y c o n s t i t u t e d a u t h o r it y ; m o b ilit y o f th e in s u r g e n t f o r c e s ; t h e f a c t th a t m ost o f th e in s u r g e n ts are from th e a r e a s in w hich th ey f i g h t and know th e t e r r a in and have p e r so n a l fr ie n d s and r e l a t i v e s i n th e a r e a ; t h e prom ises o f a new day and a new d e a l w hich th e y can p r o f f e r t o th e lo c a l" p o p u la c e ; and th e g r e a te r e a se o f t h e i r proxim ate g o a l - - d e s t r u c t i v e n e s s . A l m ost by d e f i n i t i o n , th e in s u r g e n ts h o ld th e i n i t i a t i v e . I n f i l t r a t i o n and C on trol The h a r d -c o r e in s u r g e n ts f i r s t tr y t o i n f i l t r a t e a ^ F r e d H. B arton , S a l i e n t O p e ra tio n a l A sp ects o f P a r a m ilita r y W arfare in Three A sian A reas (Chevy Chase, Maryland: Johns Hopkins U n iv e r s it y , 1 9 5 3 ), p a s s im . 55 l o c a l p o p u la tio n , th en th ey attem pt t o o r g a n ize u n its around any s p e c i f i c i s s u e t h a t a f f e c t s l o c a l i n t e r e s t s . With c o n t r o l over a number o f such u n i t s , some s o r t o f gov ernment or q u a si-g o v er n m e n ta l apparatus may be e s t a b lis h e d . I t i s u s u a lly on ly a f t e r such a shadow government e s t a b lish m en t t h a t a c tu a l commitment t o a b a s ic p o l i t i c a l o b j e c t iv e i s sou gh t from th e p e o p le . T his th ey se ek by a com bination o f " ca rro t and s t i c k ," E f f i c i e n t governm ent, community im provem ent, p r o t e c t io n , a tta c k upon or d e s tr u c t io n o f groups and i n t e r e s t s which oppose them , and punishm ent o f th o se who r e s i s t or who remain uncommitted are among t h e i r weapons— and th e se are p r e c is e ly th e same weapons which can be used by the c o u n te r in su r g e n t govern ment f o r c e s . A fte r a s u f f i c i e n t number o f th e p o p u la tio n sta n d com m itted, th e in s u r g e n ts can e x p e c t su pp ort in th e form o f i n t e l l i g e n c e , fo o d , s a f e hom es, and s o fo r th . W ithin a v i l l a g e or r e g io n , th e in s u r g e n ts m aintain c o v e r t a g e n ts who w i l l rep o rt i n t e l l i g e n c e in fo r m a tio n , inform on e n e m ie s, and d e s ig n a te su p p o rters o f th e l e g a l government fo r a s s a s s in a t io n . Not a l l o f t h i s i s c le a r c u t. Sometimes th e in s u r g en ts "have" th e v i l l a g e by n ig h t w h ile th e government fo r c e s "have" i t by day. In such c a se s t e r r o r i s t a c t i v i t y i s common. The a c t i v i t i e s o f th e m ilit a r y and p a r a m ilita r y in su r g e n t fo r c e s and th e underground elem en ts are i n t e r r e la t e d and in te r d e p e n d e n t. T e r r o r ist a c t i v i t y i s based on 56 t h i s in terd ep en d en cy * and an area cannot be t r u l y p a c i f i e d u n le s s th e w hole t e r r o r i s t sy stem w ith i t s c o n s t it u e n t p a r ts i s broken up. The A ctio n In su rgen cy u s u a lly b e g in s in rem ote a rea s where government c o n tr o l i s e i t h e r a b sen t o r in a d e q u a te . E sta b l i s h i n g a base or b a ses i n su ch a r e a s , th e in s u r g e n ts b egin t h e i r p r o c e ss o f e x p a n sio n and i n f i l t r a t i o n . Urban c e n te r s are n o t n e g l e c t e d , a lth o u g h , b ecau se o f th e c o e r c iv e fo r c e o f government c e n te r e d in c i t i e s , r e a l l y o r g a n ize d f i g h t i n g i s u s u a lly a l a t e r o r even l a s t s t a g e . During th e e a r l i e r s t a g e s , underground c e l l s w i l l be e s t a b l i s h e d and r e c r u i t ment d r iv e s launched in c i t i e s ; r i o t s and o th e r d is r u p t iv e a c t i v i t i e s w i l l be sp o n so red and o r g a n iz e d ; a c t s o f t e r r o r w i l l be p e r p e tr a te d . Such a c t i v i t i e s a re undertaken not s o much t o g a in c o n tr o l o f th e c i t y as t o t i e down government f o r c e s which m ight o th e r w ise be c o n c e n tr a te d in th e a rea s o f r e a l in s u r g e n t o p e r a t io n s . They are a l s o d e sig n e d t o a l ie n a t e th e p o p u la tio n from th e government by th e demon s t r a t i o n o f government w eak n ess. In t h e r u r a l areas ( u n le s s th e s t r u g g le has reached th e p r o p o r tio n s o f a c i v i l war w ith th e in s u r g e n ts now a w e l l - t r a i n e d and s u p p lie d r e g u la r fo r c e u sin g r e g u la r m ilit a r y t a c t i c s ) , f i g h t i n g i s u s u a lly s p o r a d ic , in v o lv e s m o stly sm a ll u n i t s , and c o n s i s t s o f ambush, h it - a n d - r u n , and 57 s n ip in g o p e r a tio n s w ith o c c a s io n a l p itc h e d b a t t l e s . I t c e n te r s in th e c o u n tr y sid e around v i l l a g e s and sm a ll towns and som etim es, and in some p l a c e s , in and around f o r t i f i e d ham lets b u i l t a f t e r th e B r it is h usage in Malaya. I t i s in t h i s ty p e o f s e t t i n g t h a t th e in s u r g e n ts en joy th e advan ta g e s p r e v io u sly n o te d , i . e . , knowledge o f t e r r a in and p e o p le . W ithin t h i s framework, in s u r g e n t ■ w arfare i s a n a sty b u s in e s s . The ordinary r u le s o f w arfare do n ot a p p ly. The enemy i s not e a s i l y r e c o g n iz e d ; he mingles- w ith th e p e o p le . In d e ed , he i s one o f them , i . e . , a b r o th e r , a l o v e r , a f a t h e r , a s o n , or a fr ie n d : a f e llo w v i l l a g e r . He wears n e it h e r uniform nor i n s i g n i a . He f i g h t s from unseen van tage p o in t s — in ambush, r a id s , and s n i p i n g , as m entioned. C o l l e c t i v e l y , he may "take" th e v i l l a g e and demand su pp ort and th e e lim in a tio n o f d e fen se p a ra p h ern a lia such as barbed w ir e . The c o u n te r in su r g e n t fo r c e s may th en r eta k e th e v i l l a g e and demand th e r e b u ild in g o f d e fe n se p a ra p h ern a lia and th e punishment o f th o s e who su p p orted th e in s u r g e n t. F re q u en tly , th e c o u n te r in su r g e n t— not b e in g o f th e a r e a , or b e lo n g in g t o a t r a d i t i o n a l upper c l a s s — m isunderstands th e p eop le and i s m isun derstood by them. Too o ft e n he i s not f u l l y comm itted t o th e government and th e cause he s e r v e s . Sometimes he i s a r r o g a n t, som etim es c o r r u p t. O ften coun te r in s u r g e n t fo r c e s are unable t o c le a r th e area o f in s u r gen ts or t o p r o te c t th e v i l l a g e r s from t e r r o r and r e p r i s a l . Even i f th e c o u n te r in su r g e n t fo r c e s are p h y s ic a lly p r e s e n t in s t r e n g t h , th ey cannot always p r o t e c t th e in d iv id u a l from " e n fo r c e r 1 * squads and th e underground. The p e o p le sta n d mute and b ew ild ered . Almost in e v it a b ly t h e i r regard f o r government— n ev er v ery s tr o n g in d e v e lo p in g n a t io n s — d im in ish es as th ey s e e th e e f f e c t s o f f ig h t i n g on t h e i r homeland and f r ie n d s . They do n o t i d e n t i f y w ith th e in s u r g e n t s , as su c h , but th ey know’ them and som etim es sym p ath ize w ith them. More o f te n th ey are m erely i n d i f f e r e n t . In in s u r g e n t o p e r a tio n s such apathy or in d if f e r e n c e ten d s t o a d v e r se ly a f f e c t th e government f o r c e s . P o s i t iv e p op u lar support ( i n t e l l i g e n c e , e t c . ) i s a p r e r e q u is it e t o th e su c c e s s o f c o u n te r in su r g e n t f o r c e s . They must have in fo r m a tio n about the enemy; th ey must have com pliance and c o o p e r a tio n from th e p e o p le ; and th ey must deny a l l th e s e th in g s t o th e in s u r g e n t. The C ou n terin su rgen t Response The government sen d s out m ilit a r y h u n t e r - k iH e r u n it s and t r i e s t o s t r i k e , c o n ta in , or d e str o y th e in s u r gen ts whenever and w herever p o s s i b l e . The fo llo w in g are exam ples o f th e t a c t i c a l o p e r a tio n s which in v o lv e and r e q u ire m o tiv a tio n on th e part o f th e l o c a l p o p u la tio n s : 1. I n t e l l i g e n c e w ith regard t o in su r g e n t l o c a t i o n s , movements, or a c t i v i t i e s — which in v o lv e s su p p ort o f th e l o c a l p o p u la tio n in g iv in g a p p ro p ria te v a lid in fo r m a tio n . 2. T a c t ic a l Combat O perations 59 a . R e p e llin g in s u r g e n ts d u rin g a t t a c k s — th e s u c c e s s o f which i s enhanced by th e a c t i v e a s s i s t a n c e o f l o c a l r e s id e n t s o r a t l e a s t com p lian ce and c o o p e r a tio n w ith c o u n te r in su rgen cy fo r c e s ‘and h o s t i l i t y toward and n o n co o p era tio n w ith in s u r g e n t s . b. P ursuin g in s u r g e n ts a f t e r such a t t a c k s — which, in v o lv e s th e g iv in g o f in fo r m a tio n by l o c a l p o p u la t io n s , good w i l l toward coun te r in s u r g e n c y f o r c e s , and a g a in , p e r h a p s, some a c t i v e a s s i s t a n c e w ith in l o c a l c a p a b i l i t y . c . Smoking out p o c k e ts o f r e b e l a c t i v i t y — , w h ic h * in v o lv e s th e g iv in g o f in fo r m a tio n , g u id in g c o u n te r in su r g e n c y f o r c e s through l o c a l t e r r a in and t o p o s s i b l e p o c k e ts o f a c t i v i t y , and l o c a l a s s i s t a n c e . d. A tta c k in g in s u r g e n t f o r c e s —w hich in v o lv e s th e g iv in g o f in fo r m a tio n , good w i l l , com p lia n c e and c o o p e r a tio n , and, t o th e e x t e n t p o s s i b l e , a c t i v e a s s i s t a n c e . 3. S p e c ia l O p eration s a. P s y c h o lo g ic a l o p e r a t i o n s - - a c t i o n s d e sig n ed t o in d u ce th e f e e l i n g s , a t t i t u d e s , or b e h a v io r n e c e ss a r y t o a cco m p lish c o u n te r in su rgen cy g o a l s . b. C iv ic a c t io n — n a t io n - b u ild in g a c t i v i t i e s d e sig n e d t o have im pact a t l o c a l l e v e l s , f o r exam p le, econom ic d evelo p m en t, commun i t y im provem ent, and s o f o r t h , undertaken or sp on sored by th e m i li t a r y f o r c e s . I t i s i n th e condu ct o f such o p e r a t io n s , as w e l l as in th e b road er s t r a t e g i c a s p e c ts in c lu d in g o p e r a tio n s p la n n in g , tr o o p m o r a le , and r e c r u itm e n t, t h a t th e r e c u r r in g r e l a t i o n s h i p s i t u a t i o n s a f f e c t i n g m o tiv a tio n and f a c in g s o l d i e r s a d v is in g or su p p o r tin g c o u n te r in s u r g e n t a c t i v i t y a r i s e . ^ B a s e d on in t e r v ie w s w ith Dr. Jeanne S. M intz in A p r i l , 1965. The Case o f the P h ilip p in e s The P h ilip p in e Huk in su rgen cy p a r t i a l l y r e f l e c t s th e g e n e r a liz e d model o f in su rg en t developm ent and growth d is c u s s e d above. This p a r t ic u la r in su r g en cy does not com p l e t e l y r e f l e c t th a t model because i t was p r e t t y w e ll r e s t r i c t e d t o a lim it e d a r e a — rural C en tra l Luzon, and drew most o f i t s s tr e n g th from one s e c t o r o f th e s o c i e t y — th e p e a sa n try . Although f o r a tim e i t c o n s t i t u t e d a very r e a l th r e a t t o a weakened and d em oralized governm ent, i t was a tru n c a ted r e v o lu tio n born in the e x tr a o r d in a r y trauma o f war and a r r e s te d by c h a r ism a tic le a d e r s h ip and reform . There i s reason t o b e l i e v e , how ever, th a t i f i t s cou rse had not been a r r e s t e d , i t would soon have d evelop ed in t o a g e n e ra l d i s s a f f e c t i o n from a u th o r ity w hich, b a rrin g o u t s id e in t e r v e n t io n , cou ld have brought down the governm ent. S o c ia l Change and D is o r g a n iz a tio n in t h e P h ilip p in e s The so u r c e s o f s o c i a l change and d is o r g a n iz a t io n go deep i n t o F i l i p i n o h i s t o r y . N e ith e r th e S p an ish who con quered th e is la n d s in th e 17th c e n tu ry nor t h e Americans who to o k p o s s e s s io n a t th e turn o f t h i s cen tu ry c o m p lete ly r e c o n c ile d th e t r a d i t i o n a l fo r c e s o f in d ig en o u s Malayan i n s t i t u t i o n s and b e h a v io r w ith th e o r ie n t a t i o n s and i n s t i t u t io n s o f th e modern W est. The S p a n ish , in d e e d , c o n t r ib uted t o c o n f l i c t and c o n tr a d ic tio n through f a i l u r e t o r e s o lv e the c o m p e titio n between Crown and Church and 61 v a r io u s econom ic i n t e r e s t s . 42 The Spanish system a l s o en couraged th e growth o f a t w o - c la s s s tr u c tu r e w ith te n a n ts and p ea sa n try th e la r g e r and s o c i a l l y i n f e r i o r c l a s s . A fe u d a l system su b je c te d t h i s c l a s s t o th e e x p l o i t a t i o n o f la n d lo r d s and u su riou s m o n e y l e n d e r s . 1 4 ^ The Americans brought g e n e r a l p r o s p e r ity and modern p o l i t i c a l i n s t i t u t i o n s t o th e i s l a n d s ; but th e y a ls o brought new s t r a in s and c o n tr a d ic tio n s between o ld and n ew .1 4 1 1 They a ls o f a i l e d t o s o lv e th e a g r ic u lt u r a l prob lem s. L e ig h to n , S a n d ers, and T in io , d e s c r ib in g b e n e f i c i a l changes under th e American o c c u p a tio n , make t h i s q u a l i f i c a t i o n : But beneath th e su r fa c e o f p r o s p e r it y , th e str e n g th o f th e economy was b ein g s e r io u s ly undermined by la g gin g developm ent and s t e a d i l y w orsen in g s o c i a l co n d i t i o n s in th e a g r ic u lt u r a l s e c t o r . . . p ro d u ctio n o f crops . . . p e r s i s t e n t l y la g g ed behind th e growth o f p o p u la tio n . . . T his was a consequence p a r tly o f a backward te c h n o lo g y , but even more o f th e in e q u ita b le system o f tenancy and land ow nership. Tenancy i n crea sed under American o ccu p a tio n * . , JLFnder a crop - sh arin g system , th e la n d lo r d fu r n ish ed la n d , s e e d , and c a p i t a l , the p ea sa n t h is la b o r and a n im a ls, fo r which he r e c e iv e d h a l f th e crop . But la c k in g cash and c r e d i t , th e p e a sa n t had t o borrow, and r i c e lo a n s norm ally were r e p a id on a tw o -fo r -o n e b a s i s . M oreover, ^Human R e la tio n s Area F i l e s , Area Handbook on the P h ilip p in e s (4 v o ls ; (New Haven: Human R e la tio n s Area F i l e s , In c. , 1955). S u b co n tra cto rs monograph prepared at th e U n iv e r s ity o f C h icago, I , 4 37. (H e r e in a fte r c it e d as HRAF Monograph); v i d e , a l s o , Jean G r o s s h o ltz , P o l i t i c s in t h e P h ilip p in e s (B o sto n : L i t t l e , Brown and C o ., 1 9 6 4 ), p. 19. ^ G r o s s h o ltz , l o c . c i t . ^ S m it h , "The Hukbalahap Insurgency . . . " p . 12. 62 th e r i c e was lo a n ed when th e p r ic e was h ig h , and r ep a id a t h a r v e s t tim e when p r ic e s were d e p r e sse d , r a is in g th e r a te o f repayment in r e a l i t y n e a r er to t h r e e - t o - o n e . One American governor e stim a te d t h a t more than 80 p er cen t o f P h ilip p in e r ic e farm ers were h o p e le s s ly in debt from b ir t h t o d e a th . 146 Of both Malay and Sp an ish d e r iv a t io n , t h i s ruinous system grew under American r u l e , th e Commonwealth and th e postw ar R e p u b lic .1 4 6 The American o ccu p a tio n not o n ly p erm itted the ag r i c u l t u r a l c r i s i s t o w orsen, but the p r o s p e r ity and s o c i a l b e n e f i t s i t brought t o o th e r s e c t o r s o f th e s o c i e t y and the prom ise im p lie d by i t s new i n s t i t u t i o n s c r e a te d a w idenin g gap between th e e x p e c t a tio n s o f th e p ea sa n try and i t s a c tu a l p o s i t i o n . Such a gap i s d i s in t e g r a t iv e : and t r o u b le , in d e e d , m a t e r ia liz e d . Smith n o tes th a t: L.C Richard M. L e ig h to n , Ralph S an d ers, and L ieu ten ant C olon el Jose N. T in io , AFP, The Huk R e b e llio n : A Case Study in t h e S o c ia l Dynamics o f I n s u r r e c tio n (W ashington: I n d u s t r ia l College' o f the Armed F o r c e s, March, 19 6 4 ), Pub l i c a t i o n No. R-2 31, p. 5. iig Even in th e 1950's a f t e r th e Magsaysay reform s had had some im p a ct, ten a n t frequ en cy averaged about 35 per c e n t fo r th e n a tio n as a w hole and r o se t o n e a r ly 68 per c e n t in th e areas o f Huk a c t i v i t y and u n r e st. This p ic tu r e i s fu r th e r c o m p lic a ted by th e f a c t t h a t ab sen tee la n d lo r d -, ism was extrem ely common among owners o f la r g e h o ld in g s . In C en tral Luzon, 85 per c e n t o f h o ld in g s o f 24 h e c ta r e s or o v er f e l l under a b se n te e la n d lo r d s : t h i s in a n a tio n where t h r e e - f o u r t h s o f th e p eop le l i v e in r u r a l areas and some 6 5 p er cen t o f th e p o p u la tio n make a l i v i n g d i r e c t ly or i n d i r e c t l y from th e p rod u cts o f th e s o i l . V id e , Jose V. Abeuva, Focus on t h e B arrio (M anila: I n s t i t u t e o f P u b lic A d m in istr a tio n , U n iv e r s ity o f the P h ilip p in e s , 1 9 5 9 ), S tu d ie s in P u b lic A d m in is tr a tio n , No. 5 , pp. 1 6 -1 7 , e t p a ssim . V id e , a l s o , Frances L u c ille S ta r n e r , Magsaysay and th e P h ilip p m e P easan try (B e rk eley : U n iv e r s ity o f C a li- fo r n ia P r e s s , 1 9 6 1 ), p. 1 3, e t passim . 63 The a g r ic u lt u r a l p e a sa n tr y — and, to a g r e a te r or l e s s e r e x t e n t , th e common la b o r e r in a l l f i e l d s o f en deavor throughout th e P h ilip p in e s — e x p e cted much more, e x p e c ta tio n s t h a t grew w ith the sp read o f dem ocratic i d e a l s , in turn r e s u l t i n g la r g e ly from th e in c r e a s e in e d u c a tio n and e d u c a tio n a l o p p o r tu n itie s . Minor tr o u b le s were fr e q u e n t during th e p erio d o f American hegemony, w h ile s e r io u s r e v o l t s or u p r is in g s a g a in s t the "system" lik e w is e o ccu rred , th r e e d u rin g th e 1 9 2 0 's . Many o f th e upheavals had o v e r to n e s o f r e l i g i o u s fa n a t ic ism ; o th e r s in v o lv e d resp o n ses o f th e uneducated t o demagoguery o f th e w o r st s o r t , W hatever th e c a s e , th e b a s ic ap p eal o f th e movements were s t r o n g e s t among th e ranks o f a g r ic u lt u r a l p e a sa n tr y — t h e i r l o t made them a f e r t i l e f i e l d f o r d i s s i d e n t movements o f a l l t y p e s. ^ T h is a g r ic u lt u r a l c r i s i s d evelop ed p a r t ly as a c a u se o f and p a r tly as an e f f e c t o f changes in th e p a tte r n o f s o c i a l r e l a t i o n s w ith in th e s o c i e t y o f th e P h ilip p in e s . A g a in , th e o ld iversus th e new r e s u lt e d in s o c i a l d i s l o c a t i o n . Modern c o n d it io n s , even b e fo re World War I I , caused s t r e s s e s o f s o c i a l and econom ic n a tu r e . Abeuva n o te s th a t even apart from th e bu rgeonin g a g r ic u lt u r a l problem th e F il i p i n o s o c i e t y was in t r a n s i t i o n from a more or l e s s s e l f - s u f f i c i e n t sub s i s t e n c e ty p e o f economy, marked by t r a d i t i o n a l methods and s tr o n g p e r so n a l and f a m i l i a l r e la t io n s h ip s t o one which i s dependent t o an in c r e a s in g e x t e n t on cash and the m arket, w ith i t s more im p erson al urban c h a r a c te r i s t i c s . 1 *® T hus, even b e fo r e th e s o c i a l trauma o f war, e x i s t i n g d i f f i c u l t i e s (th e im pact o f fo r e ig n d om in ation , c la s s ^ S m it h , op. c i t . , pp. 1 5 -1 6 . I t should, be n o te d t h a t d is s id e n c e and u n r e s t was not c o n fin e d t o th e p e a sa n t r y . Other grou p s, t o o , had t h e i r g r ie v a n c e s and d i s l o c a t i o n s ; but l e s s sh a rp ly d e fin e d . l*8Abueva, op. c i t . , p. 12. 64 a ssu m p tio n s, a g r ic u lt u r a l l a g , r i s i n g e x p e c t a t io n s , and t r a n s i t i o n between o ld and new) were g iv in g r i s e t o c o n f l i c t and an i n c ip i e n t c r i s i s o f le g it im a c y . The war i n t e n s i f i e d and in c r e a s e d th e s e problem s. S ta rn er summarizes th e complex phenomena as f o llo w s : As in many o th e r c o u n tr ie s o f East A s ia , th e second World War was marked in th e P h ilip p in e s by an alm ost com p lete d is r u p tio n o f th e p r e e x is t in g ch a n n els o f p o l i t i c a l a u th o r ity . T his was p a r t ic u la r ly tr u e in th e r u r a l areas where r e s is t a n c e t o th e [J ap a n ese] occupy in g f o r c e s was most e f f e c t i v e and w here, as a c o n se q u en ce, de f a c t o p o l i t i c a l c o n tr o l was in many in s ta n c e s t r a n s fe r r e d t o o rg a n ized fo r c e s o f r e s is t a n c e w hich had t h e i r base w ith in th e p e a sa n tr y . Under th e c ir c u m sta n c e s , i t was t h e r e f o r e n a tu r a l th a t postw ar e f f o r t s to reim pose th e t r a d i t i o n a l agraria n i n s t i t u t io n s sh ould meet w ith b i t t e r and o f te n v i o l e n t o p p o si t i o n in areas where th e s i t u a t i o n was c r i t i c a l . Nor was i t s u r p r is in g th a t le a d e r sh ip fo r th e a g ra ria n d i s s i d e n t s sh o u ld be su p p lie d by Communists who had p la y ed a key r o l e in r e s i s t i n g th e Japan ese, I s s u e s o f S o c ia l Change in the P h ilip p in e s L egitim acy The F ilip in o p e o p le s ' p r o p e n sity t o a ccep t th e ^ S t a r n e r , op. c i t . , p . 4. The communist movement in th e P h ilip p in e s began m th e 1 9 2 0 ’s , but became an armed fo r c e o n ly in 1942 as a resp on se to Japanese o ccu p a tio n c e n te r e d in th e p ro v in ce o f Pampanga in C en tral Luzon. Adopting th e n th e T agalog name o f Hukbong Bayan Labon Sa Hapon (P e o p le ’ s Army A gain st th e J a p a n e s e ), th e armed s e c t o r o f communism soon became known by th e acronym "Huk- b a la h a p .” The o f f i c i a l name was changed a f t e r th e war (1946) t o Hukbong Magpalayang Bayan or H M B ( P e o p le 's L iber a tio n Army) , but th e sh orten ed term "HUK” remained a popu l a r d e s ig n a tio n . V id e , A lv in H. S c a f f , The P h ilip p in e Answer t o Communism (S ta n fo r d , C a l i f . : S tan ford U n iv e r s ity P r e s s , 19 5 5 ) , p. 57 65 p r in c ip le s o f a u th o r ity under which th e y were r u le d was s o r e ly t e s t e d by th e i n e q u i t i e s and c o n f l i c t s d e sc r ib e d above and even more g r o s s ly c h a lle n g e d by war and p ost-w ar e v e n ts . The J a p a n ese, who no doubt g a in e d some genuine ad h e r e n ts w ith th e a n ti-W e ster n slo g a n o f "Asia f o r A sia n s," won de f a c t o c o n t r o l o f th e is la n d s by fo r c e o f arms. They were th en a b le t o a t t r a c t o p p o r tu n is tic support and to co er ce even h o n est p a t r i o t s t o accept p o s i t i o n s o f nominal or r e a l r e s p o n s i b i l i t y . Many did so in a s in c e r e e f f o r t t o a m e lio r a te the w o rst f e a tu r e s o f th e Japanese o c c u p a tio n . In any c a s e , in r e sp o n se t o th e p r e ssu r e s o f th e occupa t i o n , many o f th e in d iv id u a ls who had h e ld p o s it io n s o f le a d e r sh ip in th e pre-w ar Commonwealth government assumed p o s it io n s o f im port in th e puppet government o f t h e Japan e s e . T his was both c o n fu s in g and e m b itte r in g t o most o f th e r u r a l populace who fu r n ish e d so much o f th e r e s is t a n c e t o Japanese a u t h o r i t y .5° The end o f th e war d id not r e s t o r e c o n fid e n c e and lo y a lt y : r a th e r i t ten d ed t o in c r e a se t h e c r i s i s o f ^^Competing c o e r c iv e claim s f o r th e a l le g i a n c e o f the r u r a l F il i p i n o was a n o th er harrassm ent which ten d ed t o d e str o y any t r a d i t i o n a l assum ption o f l o y a lt y t o e x i s t i n g a u t h o r it y . The v i l l a g e r found h im se lf endangered by th e opposing s id e w hether he coop erated w ith th e Japan ese and th e puppet government or w ith th e r e s i s t a n c e . Such h arrass ment was g r e a t e s t in th e a r e a s in which th e Huk had e sta b lis h e d shadow c o n t r o l. V id e , L eig h to n , S an d ers, and T in io , op. c i t . , pp. 2 6 , 4^-50 ; and, Luis T a ru c, Born o f the People (New York: I n t e r n a t io n a l P u b lis h e r s , 1 9 5 3 ), pp. 78- 7TT 66 le g it im a c y . During th e l a t t e r p a r t o f th e Commonwealth’ s p eriod o f e x i l e , i t s acknow ledged and alm ost c h a r ism a tic le a d e r , Manuel Quezon, d ied in th e U nited S t a t e s . The Com monwealth government retu rn ed t o th e P h ilip p in e s — h a v in g been out o f to u c h w ith th e p eop le and h a v in g e x e r c is e d no r e a l a u th o r ity fo r s e v e r a l y e a r s--u n d e r th e somewhat c o lo r l e s s le a d e r s h ip o f form er v ic e - p r e s id e n t S e r g io Osmena. Under su ch le a d e r s h ip , American and F ilip in o au t h o r i t i e s p roceed ed under th e mandate o f r e -o c c u p a tio n t o remove th e t h r e a t o f th e Hukbalahap o rd erin g th e su rr en d e r o f arms by th e rank and f i l e , and th e a r r e s t and in c a r c e r a tio n (som etim es r ep ea ted ) o f th e Huk le a d e r s . As r ec o n s t r u c t io n b egan , th e government t r i e d t o p o rtra y th e Huks as la w le s s b a n d i t s . T h e y were on ly m oderately s u c c e s s f u l a t b e s t and, a t w o r st, caused c o n fu sio n and resentm ent in the r u r a l areas where th e Huks were str o n g . M eanwhile, the i s s u e o f c o lla b o r a t io n plagued th e government and a f f e c t e d i t s c la im t o le g it im a c y . Among th e many F il i p i n o p o l i t i c i a n s who had serv ed th e Japanese puppet government were 31 members o f th e pre-w ar House o f R e p r e s e n ta tiv e s and 14 o f th e pre-w ar S e n a t o r s .^2 Under p r e ssu re from th e A m ericans, P r e sid e n t Osmena was fo r c e d t o convene a l e g i s l a t u r e o f which 45 members ^ S m it h , op. c i t . , pp. 55 f f . 5^Hernando J . Abaya, B e tr a y a l in th e P h ilip p in e s (New York: A. A. Wyn, I n c . , 1946) , pp. 65-70 , e t p assim . 67 were under s u s p ic io n o f c o ll a b o r a t io n . Manuel Roxas, who had h e ld s e v e r a l p o s ts under th e J a p a n e se -sp o n so r e d govern m ent, became th e le a d e r o f th e b lo c s e e k in g t o c le a r i t s members o f th e co n seq u en ces o f c o ll a b o r a t io n . / Osmena's attem p ts t o c l a r i f y p o l i c y on th e c o l l a b o r a tio n i s s u e were i n e f f e c t i v e . He h e s i t a t e d t o tu r n t o th e l e g i s l a t u r e s i n c e more th a n h a l f o f Congress had worked f o r o r a c c e p te d th e Jap an ese puppet regim e. But on M acArthur's i n s i s t e n c e th e C ongress reconvened and Roxas was e l e c t e d p r e s id e n t o f th e S en a te and became th e le a d e r o f th e c o lla b o r a t io n groups who now so u g h t t o c le a r th e m se lv e s o f any h in t th a t t h e i r a c t io n s con s t i t u t e d t r e a s o n . Roxas and h i s S en a te c o lle a g u e s opposed Osmena's p o l i c y and r e f u s e d t o con firm h is c a b in e t a p p o in t e e s , a l l o f whom were i d e n t i f i e d w ith g u e r r i l l a o r n o n - c o lla b o r a t io n a c t i v i t i e s . Osmena was unable t o m o b iliz e th e r e so u r c e s o f th e p r e sid e n c y t o overcome Roxas* i n f l u e n c e . ^ In 1 9 4 6 , Roxas and h i s L ib e r a l P arty d e fe a te d t h e weak Osmena in th e r e p u te d ly fr a u d u le n t n a t io n a l e l e c t i o n s fo r t h e a d m in is tr a tio n o f a s o o n -to -b e -in d e p e n d e n t Repub l i c . Roxas' opponents i n both h i s own and th e o p p o s itio n p a r t i e s , how ever, th r e a te n e d t o h o ld th e b a la n c e o f power in t h e C on gress. . . . He s o lv e d h is problem q u ic k ly and n e a t l y - - h i s L ib e r a l P arty sim p ly r e fu s e d t o s e a t th e se v en l i b e r a l s . At t h e same t im e , in o rd er t o red uce p o s s i b l e op p o s i t i o n i n th e S e n a t e , Roxas f o r c e s r e fu s e d t o s e a t t h r e e s e n a to r s e l e c t e d on th e N a c i o n a l is t a t i c k e t . These b la t a n t s t e p s . . . tu rn ed more F i l i p i n o s tow ard th e ranks o f d i s s i d e n t m ovem ents.^4 T hus, th e new government o f a new ly in d ep en d en t n a tio n i t s e l f c r e a te d a fla w i n i t s t i t l e t o a u t h o r it y . S ^ S ro ssh o ltz, p p . cit., p . 3 3 . 5 4 S m ith , o p . cit. , p p . 6 6 -6 7 . 68 G ro ssh o ltz sums up th e problem s o f th e new R epu blic: Although th e arrangem ents fo r ind ep en dence and the e l e c t i o n i t s e l f had retu rn ed e s s e n t i a l l y th e same po l i t i c a l and econom ic framework as had e x is t e d b e fo r e t h e war, fo r c e s opposed t o th e s t a t u s quo were p r e s e n t. A n o t ic e a b le d is in t e g r a t io n o f p u b lic m o ra lity had ta k en p la c e , a c y n icism about th e ends and means o f p o l i t i c a l l i f e was everyw here a p p a ren t, and th e danger grew th a t d isap p oin tm en t w ith the achievem en ts o f the war would le a d t o anarchy and v io le n c e . The b ig g e s t problem f a c in g th e new R epublic was th e r e s t o r a t io n o f p o p u la r c o n fid e n c e in th e government and in th e F i l i p i n o ' s q u a l i f i c a t i o n fo r govern in g h im s e lf . I t w a s, sim p ly , t o e s t a b l i s h th e le g itim a c y o f th e Repub l i c th a t had been b o r n .55 The i s s u e o f th e r ig h t and th e a b i l i t y o f th e M anila government t o govern did n o t end w ith the e l e c t i o n s and Independence Day c e le b r a t io n s o f 1946. S u c c e s s iv e e l e c t i o n s were s o frau gh t w ith i r r e g u l a r i t i e s th a t th e r e was fundam ental doubt as t o th e v a l i d i t y o f c a n d id a te s' cla im t o o f f i c e . In 1 9 4 8 , P r e sid e n t Roxas d ie d and was su cceed ed by V ic e - p r e s id e n t E lp id io Q u irin o. The "D irty E le c tio n s " o f 1949 retu rn ed Q uirin o and th e L ib e r a l Party t o pow er. The e l e c t i o n s were m a n ife s tly ir r e g u la r . H ired thugs p a t r o lle d th e s t r e e t s and b a r r io s armed w ith machine guns and r i f l e s t o keep o p p o s it io n v o te r s from th e p o l l s . Thousands were t e r r i f i e d and many hundred k i l l e d . B a llo t boxes were s t u f f e d ; in tw o p r o v in c es more v o te s were c a s t than t h e r e were e l i g i b l e v o t e r s . The p e o p le f e l t robbed o f t h e i r r i g h t s . 55 55G r o s s h o ltz , op. c i t . , p. 39. 55C arlos P. Romulo, Crusade in A s ia : P h ilip p in e 69 T hus, com peting cla im s fo r a u t h o r it y , r e i n s t i t u t i o n o f le a d e r s who had been o u t - o f - t o u c h , th e w h itew ash in g o f c o ll a b o r a t io n , and th e i n a b i l i t y o f th e p e o p le t o make t h e i r r e a l w i l l known, brought th e c r i s i s o f le g itim a c y t o a head by 1950. A daption In t h i s m i li e u , th e p eop le and government o f th e V ic to r y (New York: The John Day Company, 1 9 5 5 ), pp. 8 8 -8 9 . Leon U. T y , a spokesman fo r th e m iddle c la s s i n t e l l e c t u a l , w rote in 1951 from h i s p o s i t i o n on th e s t a f f o f th e P h i li p p in e s Free P ress th e fo llo w in g r e m in isc e n c e : " S t i l l f r e s h m th e minds o f many o f our young p eo p le are th e p o l l frau d s i n 19 47 and th e ' p o l i t i c a l fa r c e ' and 't r a v e s t y on democ r a c y ' in November 19 4 9 , p a r t ic u la r ly in th e p ro v in ces o f Lanao, Cebu, Negros O c c id e n ta l, and C a v ite . A lso s t i l l un fo r g o t te n are th e sh a m eless e le c t i o n e e r i n g by members o f t h e armed f o r c e s , s p e c i a l guards and tem porary p olicem en and c i v i l s e r v i c e o f f i c i a l s and em ployees b e fo r e and d u rin g t h e 1949 b a l l o t t i n g and th e h o r r ib le a c t s o f v io le n c e p e r p e tr a te d upon h e l p l e s s c i t i z e n s whose on ly f a u l t was t h a t th e y t r i e d t o p reven t th e fla g r a n t com m ission o f e l e c t i o n i r r e g u l a r i t i e s i n t h e i r r e s p e c t iv e p la c e s ." Leon 0 . T y, "Aroused C it iz e n s ," P h ilip p in e s Free P r e s s , August 11, 1 9 5 1 , pp. 4 , 53. : E le c t io n frau d s were n o t the o n ly d e f e c t o f th e Q u irin o a d m in is tr a tio n . Zaide o b se r v e s: "The a d m in istr a t i o n o f P r e sid e n t E lp id io Q u irin o (19 4 8 -1 9 5 3 ) f a i l e d to g a th e r pop u lar a f f e c t i o n . Among th e f a c t o r s making fo r un p o p u la r ity were g r a ft and c o r r u p tio n ( e . g . , th e ’Tambobong- B u en avista S c a n d a l,' th e 'Import C on trol A n o m o lie s,' 'C a le d on ia P il e M ess,' and th e 'T extbooks R ack et*); w a s t e fu l sp en d in g p e r s o n if ie d in ex tra v a g a n t p r e s i d e n t i a l ju n k ets abroad; f a i l u r e t o check th e Huk menace and t o p r o te c t c i t i z e n s from t e r r o r i s t i c a c t i v i t i e s (a s e x e m p lifie d dra m a t ic a lly by th e murder o f Mrs. Aurora A. Quezon and com p anions in 1949; econom ic d i s t r e s s c h a r a c te r iz e d by r i s i n g unem ployed, s o a r in g p r ic e s and trad e d i f f i c u l t i e s ; and th e frau d s and te r r o r is m a s s o c ia t e d w ith Q u ir in o 's own L ib e r a l P arty in th e e l e c t i o n s o f 19 4 7 , 1949 . . . " G regorio F. Z a id e , P h ilip p in e P o l i t i c a l and C u ltu r a l H is t o r y , v o l . I I . The P h ilip p in e s S in ce th e fe r itis h In v a sio n (r e v , e d . ; M anila: P h ilip p in e E ducation Co., 1957), p. 372. 70 new R epublic sought ways and means t o adapt t o change. C onfusion w i t h i n , c o n f l i c t among, and d i s s a t i s f a c t i o n on th e p art o f la r g e groups were th e e s s e n t i a l r e s u l t s . At t h e end o f th e war, i t was c le a r t h a t changes o f ■the most fundam ental econom ic and s o c i a l n atu re were t a k in g p la c e in th e P h i li p p i n e s , w hether th e y were d e s ir e d or n o t , and w hether th e y were d ir e c t e d by F ilip in o s or n o t . The i s s u e o f econom ic dependence on th e U n ited S t a t e s — which had lon g been debated b e fo r e th e war— became in c r e a s i n g l y im p ortan t. G ro ssh o ltz sum m arizes: . . . The c h a r a c te r o f th e economy t h is dependence p r o vided en su red t h a t th e lan d ed i n t e r e s t s w ould co n tin u e t o have a d eterm in in g v o ic e in P h ilip p in e p o l i t i c s . For th e P h ilip p in e s depended upon th e f o r e ig n exchange i t earned through th e ex p o rt o f a g r ic u lt u r a l p r o d u c ts , products th a t were e i t h e r grown on la r g e h a cien d a s u - t i l i z i n g ten a n t and u n s k ille d la b o r or c o l l e c t e d from sm a ll in d ep en d en t farm ers by C hinese middlemen. Thus th e R e p u b lic 's f i n a n c i a l s t a t u s depended upon groups whose b a s i c p o l i t i c a l i n t e r e s t was to se c u r e government loans d u rin g th e p la n tin g s e a s o n , lo w -c o s t la b o r , con t in u a tio n o f th e ten an cy sy s te m , and peace and order i n th e c o u n tr y sid e . T h e ir econom ic power appeared to en su re t h e i r c o n tin u ed p o l i t i c a l hegemony, b u t oth er fo r c e s were in o p e r a tio n t o change t h i s s i t u a t i o n . Young g u e r r i l l a le a d e r s w ith broad p o p u la r su p p ort in t h e i r home a rea s had e n te r e d p o l i t i c s . Many, t h e i r d ig n ity hurt by th e c o lla b o r a t io n i s s u e and t h e i r na t io n a lis m im paired by th e independence a rran gem en ts, withdrew from p o l i t i c s and immersed th e m se lv e s in law or e d u c a tio n . O thers made t h e i r peace w ith th e sy stem and u t i l i z i n g t h e i r pop u lar su p p ort won p la c e s in th e Congress and the c i v i l s e r v i c e . . . A secon d new fo r c e was th e en trep ren eu rs who had u t i l i z e d th e chaos o f war and o f t e n e x t r a l e g a l means t o grow w e a lth y from t h e i r commerce in su rp lu s goods. They in v e s t e d t h e i r su r p lu s c a p i t a l in com m ercial en t e r p r i s e s and, as th e exchange c o n tr o ls w ere im posed, i n im port s u b s t i t u t e i n d u s t r i e s . O perating on the fr in g e s o f l e g a l i t y , th ey depended on p o l i t i c a l i n f l u ence w ith government a g e n c ie s and thus p la y e d an 71 i n c r e a s i n g l y im portant p o l i t i c a l ro le* A t h ir d im portant fo r c e was th e w e ig h t o f th e popu l a t i o n . The war had in many ways awakened th e co u n try s i d e t o t h e i r p la ce i n th e n a tio n ; i t had aroused ex p e c ta tio n s t h a t p eo p le sou ght t o have f u l f i l l e d , and i t poured in t o th e r u r a l a r e a s , during l i b e r a t i o n , th e w e a lth and a t t i t u d e s o f th e American army. Large numbers o f p eo p le moved t o th e urban areas and even la r g e r numbers began t o ex p e ct from t h e i r government s u r c e a s e from t h e i r own p o v e r t y .^ In s h o r t , th e r e was no consensus among F i l i p i n o groups as to how and in what way ad ap tion t o the c h a o tic p o st-w a r w orld sh o u ld be made. P o l i t i c a l im passe and i n c i p i e n t v i o l e n c e , or a t l e a s t p o l i t i c a l " s q u a r in g -o ff," was an i n e v it a b le r e s u l t . There was one s e c t o r o f th e s o c i e t y w hich was a l ready com m itted t o v i o le n t r e d r e ss o f th e s o c i a l o rd er. In the h i l l s , Luis Taruc was o r g a n iz in g h is former r e s i s t a n c e fo r c e s fo r armed r e v o l t . In M an ila, a p e r c e p tiv e young newspaperman, w r itin g in one o f th e newspapers which C arlos P. Romulo has c a ll e d one o f th e most i n f l u e n t i a l in th e i n t e l l e c t u a l c o n t e s t w ith th e Huks , d e s c r ib e s th e s i t u a tio n as he saw i t s h o r t ly a f t e r th e c e le b r a t io n o f Independence; There i s war in C en tral Luzon. Both s i d e s are armed. The la n d lo r d s have t h e i r c i v i l i a n guards. The p e a sa n ts have an armed f o r c e , t o o . When diplom acy f a i l s , and fo r c e i s r e s o r t e d t o f o r th e s e t t le m e n t o f econom ic and p o l i t i c a l d is p u t e s , th e r e i s war . . . Where th e in stru m en t i s fo r c e in s t e a d o f c o n c i l i a t i o n , we have war. Thus i n China. Thus in C en tral Luzon , . , The M ilita r y P o lic e [th e American M P f o r c e ] i s ; f i g h t i n g a lo n g s id e th e la n d lo r d s and t h e i r guards. . . ^ G r o s s h o l t z , op. c i t . , pp. 38-39 . 72 The p e a sa n ts are armed . . . The governm ent, i f i t wants th e arms th e p e a sa n ts now u n la w fu lly h o ld , must a p p a r e n tly go and g e t them. How? The p r a c t ic e has been t o r a id v i l l a g e s , b e a t up s u s p e c ts and t o r t u r e p r is o n e r s f o r in fo r m a tio n on h id e o u ts and c a c h e s o f arms . . . 88 The c r i s i s o f ad ap tion was c h a r a c te r iz e d f i r s t by c o m p e titio n o f c o n tr a d ic to r y id e a s and program s, th en by w ith d raw al o f some from a c t i v e p a r t i c i p a t i o n in p o l i t i c a l l i f e , and, in a t l e a s t one very im p o rta n t group— th e p e a s a n ts o f C en tra l Luzon, by an attem p t a t d i r e c t and v i o l e n t a c t i o n . The a r t o f compromise and accom m odation, w hether or n o t p r a c tic e d in th e h a l l s o f th e l e g i s l a t u r e , was n ot r e f l e c t e d in th e s o c i e t y - a t - l a r g e . S t r a t i f i c a t i o n H i s t o r i c a l l y , and g e n e r a l ly , the P h ilip p in e s o c i e t y can be d e s c r ib e d e s s e n t i a l l y as a t w o - c la s s c u lt u r e w ith a s m a ll, d e v e lo p in g , m iddle c l a s s . However, changes wrought by th e war and econom ic changes c o n seq u en t t o th e war drew many p e o p le — e s p e c i a l l y young p e o p le — t o M anila and o th e r urban a r ea s in th e q u e s t fo r new o p p o r t u n it ie s . G r o ssh o ltz n o te s : . . . Changing e x p e c t a t io n s o f th e young and th e la c k o f o p p o r tu n ity t o a c h ie v e t h e i r g o a ls i s c e r t a i n l y an im p ortan t f a c t o r i n p r o sp e c ts f o r s t a b i l i t y in th e P h ilip p in e s * I t i s in t h i s ch a n g in g sc e n e w ith th e heavy w eig h t o f r u r a l p o v erty and mass urban unem ploy- 58Teodoro M. L o c s in , "The New S o c ia l C ancer," P h il ip p in e s Free P r e s s , J u ly 1 3 , 1946, pp. 4, 32.* 73 ment th a t th e P h ilip p in e p o l i t i c i a n w o r k s .59 T r a d it io n a lly , th e r u r a l p easan t or urban la b o r e r was e x p e cted t o r e v e r e h i s la n d lo r d or em ployer or ca ciq u e as a p a tro n - - t o run errands or perform p e r so n a l s e r v i c e as w e ll as t o farm h i s land or perform o th e r work t a s k s . The p a tr o n , in turn was ex p ected to g iv e a d v ic e and g u id a n c e, len d money fo r p e r so n a l or fa m ily c r i s i s , t o h elp out a t tim e o f s ic k n e s s or s i m i la r a d v e r s it y . The war marked a tu r n in g p o in t in t h i s r e l a t io n s h ip . G r o ssh o ltz o b se r v e s: There were changes and s t r e s s e s app earing in th e F i l i p i n o s o c i e t y . . . The a l ie n a t i o n o f la n d lo r d s in th e.p rew a r and postw ar p e r io d s broke th e old t i e s o f lo y a lt y demanded o f both p a r t ic ip a n t s and the la n d lo r d - te n a n t r e l a t io n s h ip became more o f a s t r i c t l y econom ic and form al arrangem ent. The te n a n t, imbued w ith th e communal o r ie n t a t io n o f b a r r io l i f e , sou gh t a s u b s t i t u t e in th e p o l i t i c a l system by tran sfo rm in g h is e x p e c ta t io n s o f a p a r t ic u la r and p e r so n a l c o n s id e r a tio n t o the p o l i t i c i a n . 6° Such t r a n s f e r o f r e la t io n s h ip had i t s own f r u s t r a t io n when th e p o l i t i c a l le a d e r was balked by government i n e f f i c i e n c y or c o r r u p tio n in h i s attem p ts t o serv e th e p e a sa n t. There was f r u s t r a t io n in any c a s e . E s p ir it u and Hunt p o in t out th e s o c i a l dilemma o f th e awakened p e a sa n t: . . . The sp rea d o f communication and t r a n s p o r ta t io n has broken i t s [th e r u r a l P h ilip p in e v i l l a g e ] i s o l a t i o n in a manner which e f f e c t i v e l y d e str o y s th e s e c u r it y o f ^ G r o s s h o l t z , op. c i t . , p. 86. 601 b id . , p. 98. Among th e p o l i t i c i a n s who competed f o r t h i s su r r o g a te a f f e c t io n were Huk and o th e r g u e r r i l l a le a d e r s and a new breed o f young r u r a l-b a se d p o l i t i c a l le a d e r s . V id e, a l s o , S ta r n e r , op. c i t . , pp. 71 f f . V id e , a l s o , HRAF“Ho tT ograph, op. c i t . , pp. ^ 0 - 5 2 . 74 th e p a st w ith o u t b r in g in g in th e prom ises o f th e fu tu r e . The common ta o may be out o f to u ch w ith th e commun i c a t i o n network but he has heard o f th e p o s s i b i l i t i e s o f th e age o f s c ie n c e which o f f e r s r a d io s , b i c y c l e s , m anufactured c lo t h in g , m o vies, and o th e r lu x u r ie s a s u b s is t e n c e a g r ic u lt u r e i s not a b le t o p r o v id e . He has a l s o heard enough o f th e e v i l s o f la n d lo r d ism t o l o s e h i s a ssu ra n ce th a t th e p r e v a ilin g s o c i a l ord er i s e i t h e r j u s t or n e c e ssa r y . . . On th e o th e r hand, i n d u s t r ia l jo b s are not a v a ila b le in th e b a r r io and s c i e n t i f i c a g r ic u lt u r e i s , fo r many r e a s o n s , not w ith in th e grasp o f th e b a r r io d w e lle r . He i s thus a man w ith th e r e so u r c e s o f th e n in e te e n th cen tu ry but w ith a t le a s t,s o m e o f th e i d e a l s and demands o f th e t w e n t i e t h . 6! These f r u s t r a t io n s began t o become more t o l e r a b l e as d ir e c t a c tio n t o remedy p e r c e iv e d c a u se s was a ttem p ted . Thus, th e ap p eal o f in su rgen cy and Huk le a d e r s h ip grew str o n g e r to many s o c i a l l y d is lo c a t e d p e a s a n ts . In su rgency in th e P h ilip p in e s A grarian u n rest in th e P h ilip p in e s le d t o sp o r a d ic u p r is in g s b e g in n in g in th e 192 O 's.6^ These were sp o n ta n e ous p r o t e s t s and lack ed o r g a n iz a tio n and c o n t in u it y but dem onstrated th e growing d e sp e r a tio n o f th e p e a s a n t r y .66 6!S o co rro C. E s p ir it u and C h ester L. Hunt ( e d s . ) , S o c ia l F oundations o f Community Developm ent; Readings on th e P h ilip p in e s (M anila: R. M . G arcia P u b lis h in g H ouse, i’ d w y; p . lii: 6^V id e , HRAF Monograph, op. c i t . , pp. 1187 f f . fo r a l i s t o f some o f th e more im portant o f th e s e u p r is in g s . 66L eig h to n , S an d ers, and T in io , op. c i t . , p. 11. The authors comment on one o f th e more s e r io u s in s u r g e n t movements as fo llo w s : "In th e e a r ly 19 3 0 ’ s a la b o r organ i z e r , Benigno Ramos, founded an o r g a n iz a t io n , which he c a l l e d th e S a k d a ls, in th e p r o v in c e s a d ja c e n t t o M anila. In 1933 th e S a k d a ls, who had t h e i r base p r i n c ip a l ly among 75 I t was in t h i s m ilie u th a t th e S o c i a l i s t p a r ty was founded i n 1933 by Pedro Abad S a n t o s - -a d is s id e n t member o f a la n d h o ld in g fa m ily .® 1 * The purpose o f Abad Santos and h is S o c i a l i s t s was not p o l i t i c a l o f f i c e but th e o r g a n iz a tio n o f th e p ea sa n try f o r m assive a c tio n a g a in s t th e la n d lo r d s . . . . However, when le a d e r s o f th e Communist p a r ty (a predom inantly urban o r g a n iz a tio n p r io r t o i t s o u tla w in g in 1931) were r e le a s e d from p r iso n in 1938, th e S o c i a l i s t and Communist p a r t ie s merged; and in 19 40 th e y su c ceeded in e l e c t i n g a number o f S o c i a l i s t or Communist mayors and c o u n c ilo r s in Pampanga, T a r la c , and Nueva E c ij a . With th e coming o f th e war, th e v a s t m a jo rity o f th e la n d h o ld e rs in C en tra l Luzon found i t in e x p e d ie n t t o remain in th e r u r a l a r e a s , and many f le d to M anila. In th e absen ce o f th e la n d lo r d s , th e S o c i a l i s t and p ea sa n t union le a d e r s o f C en tral Luzon, who p la y e d a le a d in g r o le in th e Hukbalahap, were a b le to c o n s o l i d ate t h e i r p o s i t i o n s w ith in th e barrios.® ® The o c cu p a tio n o f Luzon by th e Japanese a ffo r d e d th e Huks an o p p o rtu n ity t o e x p l o it th e n a t i o n a l i s t i c a s - th e p ea sa n ts o f C en tra l Luzon, o r g a n ize d th em selves i n t o a p o l i t i c a l p a r ty . Although th e S a k d a lis t s had l i t t l e v o ic e in government because o f r e s t r i c t i o n s on s u f f r a g e , t h i s p arty s u r p r is e d everyone by g a rn erin g enough v o tes i n th e 19 34 e l e c t i o n s to e l e c t a number o f p u b lic o f f i c i a l s . . . In 1935, in a move to f o r e s t a l l th e a d o p tio n o f th e C o n sti t u t i o n , w hich th ey b e lie v e d would o n ly hamper in d ep en d en ce, th e Sakdals sta g e d a b r i e f by v i o l e n t u p r is in g . T h is up r i s i n g was put down prom ptly and th e movement was c r u s h e d , w ith Ramos se e k in g r efu g e in Japan. The S a k d a ls, i t sh ould be rem arked, had no c o n n e c tio n w ith o th e r p easan t o r g a n iz a t i o n s which grew up in th e same a rea e i t h e r e a r l i e r o r l a t e r . N e v e r t h e le s s , th ey th r iv e d on th e same a g r a r ia n d is c o n te n t as did th e S o c i a l i s t s and th e Huks a t a l a t e r d a t e , and th e y foreshadow ed th e p a tte r n o f agrarian p o l i t i c a l a c t i v i t y which was t o f o llo w . Loc. c i t . ^ S t a r n e r , op. c i t . , p. 2 4. ®®Leighton, S a n d ers, and T in io , op. c i t . , pp. 11-12. 76 p a cts o f in su r g en cy as w e l l as th e r e v o lu tio n a r y b a s i s . Though opposed t o American r u le or in f lu e n c e and opposed t o the le a d e r s h ip and c h a r a c te r o f th e Commonwealth governm ent o f th e P h i l i p p i n e s , th e Huks p r e fe r r e d th e r e s t o r a t i o n o f F il-A m erican c o n t r o l t o fo r e ig n dom ination by th e J a p a n ese. T h eir a c tio n a g a in s t th e Jap an ese and puppet a u t h o r it y was e f f e c t i v e (though som etim es m itig a te d by la c k o f co o p era t io n w ith and even h o s t i l i t y toward American and o th e r F i l i p i n o g u e r r i l l a f o r c e s ) . The s i t u a t i o n a l s o p e r m itte d the Huks t o r e c r u i t , t o g a in t a c t i c a l e x p e r ie n c e , and t o b u ild b oth e s p r i t and e la n f o r th e p o st-w a r p h ases o f t h e i r o p e r a t io n s . P r im a r ily , how ever, th e Huk movement was r e v o lu t io n a r y . I t was le d by i t s "Supremo," Luis T aru c, an avowed Communist.®® Huk propaganda made c l e a r th e r e v o lu tio n a r y aims o f th e movement. C r is o l r e p o r ts th a t " . . . ®®In 1948, Taruc r e p lie d t o a p r e v io u s is s u e o f th e P h ilip p in e Free P ress in th e same jo u r n a l by o b s e r v in g , "R egarding th e r e p o r t o f my h avin g d en ied t h a t I am a Com m u n ist, I w ish t o s t a t e t h a t th e same i s f a l s e . However," he went on t o s a y , "the Huk and p e a sa n t o r g a n iz a tio n s which I am le a d in g a re n ot Communist o r g a n iz a t io n s , th e y have no Communist aims and th e g r e a t m a jo r ity o f t h e i r members are non-Communists . , Anonymous, "I Am a Comm unist-- Taruc," P h ilip p in e Free P r e s s , A ugust 2 1 , 19 4 8 , p. 58. I t m ight have been l i t e r a l l y tr u e t h a t th e ma j o r i t y o f Huk membership w as1 not fo r m a lly members o f th e Communist P arty— th e y were p o v e r t y - s t r ic k e n p e a s a n ts ; b u t th e le a d e r s h ip was Communist and th e Communist e x e c u t iv e h ie r a r c h y was m od elled a f t e r th e P o litb u r o o f th e U.S.S.R. w ith t h e Huks as th e " N a tio n a l M ilita r y Department" among fo u r o p e r a tio n a l d ep artm en ts. S m ith , op . c i t . , pp. 70-71; M olnar, op. c i t . , pp. 3 1 7 -1 9 . 77 P r io r to November 1951 th e em phasis was on armed r e v o l t , f o s t e r i n g o f th e 'r e v o lu tio n a r y c r i s i s . 1 "6? There i s no e v id e n c e t h a t th e Huk movement was sup p o r te d by f o r e ig n i n t e r v e n t i o n i s t i n t e r e s t s . I t c e r t a i n ly had th e m oral backing o f th e m ajor Communist pow ers, and th e Chinese may have fu r n ish e d a d v ic e and t r a in in g t o a very lim ite d e x t e n t , b u t , c o n s is t e n t w ith Mao Tse Tung's d o c tr in e t h a t " n a tio n a l l ib e r a t io n movements" must be s e l f - su p p o rtin g t h e y did n o t seem t o fu r n is h t r o o p s , arms, or o th e r s u p p l i e s . 66 The p r in c ip a l m a lig n a n c ie s p e r c e iv e d by rank-and- f i l e Huk membership w ere land t e n u r e , la n d lo r d ism , govern ment o p p r e ssio n in term s o f Army and C onstabulary and t a x e s , and government n e g le c t i n terms o f reform and d e v e lo p m e n t.69 V io le n t a c tio n a g a in s t a u th o r ity and th e e v e n tu a l overthrow o f th e government and o p p resso r c la s s e s were seen as remedy. The Huk o r g a n iz a t io n and Communist 6?J o se M . C r i s o l , "Communist Propaganda in th e P h ilip p in e s : 1950-195 3," P h ilip p in e S t u d i e s , vol. I , No. 3-H (Decem ber, 1953), p. 20 7. ^9S c a f f , op. c i t . , p. 23. S c a ff c i t e s an in te r v ie w w ith "one who must rem ain anonymous but who was an a c t iv e ^ le a d e r in t h e Huk o r g a n iz a tio n . . ."as so u rce fo r th e sta tem en t t h a t "among t h e in s t r u c t o r s in g u e r r i l l a t a c t i c s was a C hinese c o lo n e l from th e famous e ig h th Route Army o f Red China." V id e , a l s o Taruc, op. c i t ., p. 75. 69S m ith , op. c i t . , p a s sim ; S ta r n e r , op. c i t . , p assim . 78 le a d e r s h ip gave p o in t and c o n t in u it y t o th e r em ed ia l a tte m p t. Phases and Leaders The Huk in su r g e n c y d id not have th e b i r t h and developm ent g e n e r a liz e d in th e t h e o r e t i c a l d is c u s s io n s in th e f i r s t p a rt o f t h i s c h a p te r . ^ I t can be seen, h ow ever, t h a t th e i s s u e s o f in su r g e n c y were p r e s e n t . F urtherm ore, fo r t h e im m ediate prewar p e r io d , t h e r e i s i n d ic a t io n o f i n d iv id u a l u n r e st te n d in g t o crowd r e s t l e s s n e s s and sp on ta n e o u s a c t io n . The s ig n s o f i n d iv id u a l u n r e st are t o be found i n m ig r a tio n t o c i t i e s or o th e r a r e a s , in c r e a s e d p sy c h o l o g ic a l d i s l o c a t i o n , t h e growth o f f a n a t ic is m in c e r t a in a rea s o f l i f e su ch as r e l i g i o n , and th e growth o f b a n d itr y in th e c o u n t r y s id e .^ 2 The s ig n s o f i n i t i a l crowd a c t io n are t o be found i n i n c r e a s in g s t r i k e a c t i v i t y , th e p o l i t i c s o f p r o t e s t , and in i n c r e a s in g ly b e t t e r o r g a n iz e d and more e a s i l y r e c r u it e d in s u r r e c t i o n s such as t h a t o f th e S a k d a ls. The a g i t a t o r le a d e r — c a l l i n g p e o p le s 1 a t t e n t i o n t o t h e i r own l a t e n t d is c o n t e n t — emerged in th e p e r so n s o f Ramos and Taruc and hundreds o f n am eless l o c a l le a d e r s who began t o preach th e sermon o f c o m p la in t. What m ight have happened w ith o u t t h e in t e r v e n t io n 7°Scaff, op. c i t . , p. 7. ? lV id e , s u p r a , pp. 3 3-37. ^^Taruc, op. c i t . , p. 153. 79 o f war must remain m oot. The Commonwealth government— due } t o r e c e iv e independence in 1946— m ight have co n tin u ed and str e n g th e n e d c e r t a in reform s i t had a lrea d y i n i t i a t e d and th u s sta v e d o f f in su r g en cy and r e v o l u t i o n . 73 I f such a c tio n s were ir r e l e v a n t t o f e l t need s or i n s u f f i c i e n t t o accom p lish t h e i r p u rp o se, th e d is c o n te n t m ight have matured i n t o a c l a s s i c e x p r e ss io n o f th e d e v e lo p m en t■ o f in su rg en cy and r e v o lu t io n . What did happen was th e i n t e r v e n t io n o f war. The chaos which war brought t o th e P h ilip p in e s has a lre a d y been s u g g e s te d and i s more f u l l y d is c u s s e d in h i s t o r i e s o f th a t p e r i o d . 74 The im p ortan t p o in ts here are th e d e s t r u c t io n o f e x i s t i n g a u t h o r it y , th e h o s t i l i t y toward th e Japanese as fo r e ig n d o m in a to rs, and th e o p p o rtu n ity t o o r g a n ize both a g a in s t th e fo r e ig n e r s and th e op p ressor c l a s s e s . Taruc o f f e r s h i s te s tim o n y on th e developm ent o f th e Huk: We s t a r t e d w ith n o th in g . We did n ot even have a p la n . The p e o p le r e a c te d sp o n ta n eo u sly in many p la c e s . In the wake o f b a t t l e and o f th e c o lla p s e o f a u th o r ity th e r e were b a n d its and robbers who m o leste d th e p eop le in the b a r r io s . The p eop le formed t h e i r own Bantay Hayon (home guard) f o r p r o t e c t io n . These guard u n its ^^The Quezon a d m in is tr a tio n had begun a " S o c ia l J u s tic e " program under which la r g e e s t a t e s were t o be pur chased and d iv id e d among th e te n a n ts who worked them. V id e , G r o s s h o ltz , op. c i t . , p. 69. 7^V id e, f o r exam ple, David B e r n s te in , The P h i li p p in e S tory (New York: F arrar, S tra u s and Co., 1947), p a ssim ; and Frank H. G olay, The P h ilip p in e s (I th a c a : C o rn ell U n iv e r s ity P r e s s , 1961), p a ssim J i 80 were a b le t o c a tc h and k i l l b a n d its . . . T h is early e x p e r ie n c e made th e p eop le more read y fo r o r g a n ize d r e s i s t a n c e . B efore we had an o p p o rtu n ity t o organize t h e re s i s t a n c e i n C en tra l Luzon, th e r e w ere in s ta n c e s o f extrem e l e f t i s t a c tio n s by th e p e o p le . For y e a r s t h e i r enemy had been th e b ig landowners and c a p i t a l i s t s . Now suddenly th e s e p eo p le were d e fe a te d in a war and on t h e r u n , i t seem ed. I t look ed l ik e a tim e to s t r i k e . 75 But Taruc and th e Communist P arty did n o t want un d i s c i p l i n e d and w a s t e f u l a tta c k s upon an already demoral iz e d c l a s s . They wanted a d i s c i p l i n e d f o r c e , a c t i n g in t h e name o f p a t r io t is m , which co u ld a ffo r d th e o p p o rtu n ity f o r a r e s h u f f l i n g o f th e deck when th e Jap an ese were f i n a l l y d e fe a te d . How b e s t t o a c h iev e t h i s purpose became th e q u e s tio n . Taruc r e c a l l s : W e debated our c e n tr a l problem : whether t o form a lo o s e U n ited Front movement or t o s e t up a p e o p le ’s r e p u b lic w ith an underground movement. The e s t a b lis h m e n t o f a r e p u b lic seemed l o g i c a l ; th e government had f le d th e country . . . There was no p a t r i o t i c a u t h o r it y in th e i s l a n d s . A r e p u b lic , as some o f us saw i t , would not only mean k eep in g freedom a l i v e . . . b u t . . . a l s o . . . in d ep en d en ce. Ours was n o t a f i g h t fo r A m erica, e x ce p t i n th e s e n s e th a t we were a l l i e s , but a f i g h t f o r F i l i p i n o s . I saw our movement as b ein g r e v o lu tio n a r y , from which we would emerge f r e e men in every se n s e o f th e word. Our e v e n tu a l d e c is io n , in w hich we a l l f i n a l l y con cu r re d , was t o fo llo w u n ite d fr o n t t a c t i c s , . Our u n ite d f r o n t , how ever, had t h i s c h a r a c te r : i t was t o be le d by th e workers and p e a s a n t s .75 Thus, th e advent o f w ar, d e f e a t , and f o r e ig n occu p a t io n , p r e c ip it a t e d a c tio n by a d is c o n te n te d p e o p le . T h is a c tio n was cap tu red and c h a n n e lle d by Communist Huk le a d e r s 75T aruc, op. c i t . , pp. 56-57. 76I b i d . , pp. 60-61. 81 in th e name o f a u n ite d fro n t f o r r e s i s t a n c e . Because o f t h e s e p e c u lia r c ir c u m s ta n c e s , th e Huk movement became e s s e n t i a l l y an i r r e g u la r m ilit a r y f o r c e . As su ch i t d id n ot d e v e lo p d i f f e r i n g and s u c c e s s iv e ty p es o f le a d e r s to comport t o th e t h e o r e t i c a l phases o f in s u r gency d is c u s s e d e a r l i e r . Luis Taruc rem ained th e Supremo, and o th e r le a d e r s (even i f d e d ic a te d Communists) were th o s e who co u ld b e s t le a d t a c t i c a l g u e r r i l l a f o r c e s . The end o f th e war d id n o t e s s e n t i a l l y change th e Huk o p e r a tio n ex ce p t t o turn i t more d i r e c t l y t o r e v o lu tio n a r y aim s. The t h r e a t t o th e P h ilip p in e government which th e Huk c o n s t i t u t e d was apparent t o the r e tu r n in g Americans and t o th e n o n -rev o lu tio n a ry , r e s i s t a n c e fo r c e s as w e ll as t o th e governm ent. As n o ted ab ove, th e Huks were asked t o su rren d er and tu rn in t h e i r arms. The lea d er s were a r r e s te d and tem p o ra r ily j a i l e d . By 19 46, how ever, th e Huks were again con d u ctin g g u e r r i l l a w arfare: t h i s tim e a g a in s t th e governm ent. The new government did n o t f u l l y a p p r e c ia te th e m ilit a r y or s o c i a l base o f th e in su rg en cy and c o n sid e r e d th e m atter one fo r p o l i c e a c t io n . A h i t or m iss campaign a g a in s t the Huks was i n i t i a t e d u s in g t h e P h ilip p in e c o n sta b u la ry as a g e n t .77 For 18 months th e PC conducted an i n e f f e c t i v e cam paign a g a in s t th e Huks. F in a lly , in March, 1948, one month 77C aptain Boyd R. B ash ore, USA (R et.), "Dual S t r a t egy f o r L im ited War," M ilita r y R eview , XL (May, 1960), 54. 82 b e fo re h i s d e a th , P r e sid e n t Roxas turned r e s p o n s i b i l i t y f o r the campaign o v er t o th e army and fo rm a lly outlaw ed th e Huks . 7 8 ‘ Roxas d ie d b e fo r e r e s u l t s cou ld be a c h iev e d . Suc c e s s o r P r e sid e n t E lp id io Q uirino d e c la r ed an amnesty and o f fe r e d t o n e g o t ia t e . The supreme Huk, Luis Taruc, ac cep ted th e am nesty, to o k th e s e a t in Congress t o which he had been e l e c t e d from h i s own Huk dominated r e g io n , r e q u ested and r e c e iv e d h is back p a y , and th en retu rn ed to "Huklandia" t o resume g u e r r i l l a o p e r a tio n s .79 Amid a s t e a d i l y d is in t e g r a t in g s i t u a t i o n marked by co rr u p tio n and i n e f f i c i e n c y o f governm ent, d is h o n e s t e l e c t i o n s , th e w eakn esses o f th e Q uirino a d m in is tr a tio n , and, above a l l , th e i n e f f i c i e n c y and d e m o ra liza tio n o f th e Armed Forces o f th e P h ilip p in e s (whose d ep red a tio n s a g a in s t th e c o u n tr y sid e th e y were supposed t o p r o te c t brought many new r e c r u it s t o th e H uks), th e s t r u g g le co n tin u ed . The Huks c o n t r o lle d la r g e areas in C en tra l Luzon and had e s t a b lis h e d p lan s f o r th e overthrow o f th e govern m ent.80 7 8 u id a rico S. B aclago n , Lessons from th e Huk Cam paign in th e P h ilip p in e s (M anila! F T T C o lc o l and Company, 1956) , p! 15 3. 79Taruc, op. c i t . , pp. 258-61. 80[C olon el Ism ael D. Lapus, "The Communist Huk Enemy] " C o u n ter-G u errilla O perations in th e P h ilip p in e s , 1946-195 3: A Seminar on the Huk Campaign," Seminar R eport, U nited S ta te s Army S p e c ia l W arfare S ch ool ( F t. Bragg, N .D .: 15 June 1961, p. 2 1. (Mimeographed) 83 The y e a r 1950, marked a tu r n in g p o in t in the f o r tune o f th e Huks. In th a t yea r th e motorcade o f Mrs. Aurora Quezon, rev ered widow o f th e l a t e Commonwealth p r e s id e n t , was ambushed. Dona Aurora and s e v e r a l o f her p a rty in c lu d in g r e l a t i v e s were k i l l e d . This murder shocked th e p e o p le and d im in ish ed sympathy f o r th e Huks. A lso in September o f th a t y e a r , P r e sid e n t Q uirino y ie ld e d t o p r e s su re by c o n g r e s s io n a l le a d e r s and ap p oin ted Ramon Magsaysay as h is S e c r e ta r y o f D e fen se . While Magsaysay had y e t to prove h i s a b i l i t i e s , he was a lre a d y r e sp e c te d and pop ular among th e m asses— e s p e c i a l l y th e p e a sa n ts w ith whom he had worked as a non-Huk g u e r r i l l a le a d e r du rin g th e war. F in a ll y , in a l i t t l e more than a month a f t e r ta k in g th e oath o f h is o f f i c e , Magsaysay was a b le t o arrange th e cap tu re o f most o f th e top Communist Huk le a d e r s to g e th e r w ith v i t a l documents (in c lu d in g membership l i s t s o f the Commun i s t a p p aratu s) and c o n sid e r a b le cash.^-*- This coup was made p o s s ib le by a c o in c id e n c e o f c ir c u m sta n c e s, but he c a r r ie d through a f o r t u it o u s o p p o rtu n ity w ith d e c is iv e n e s s and co u rage. I t was th e b eg in n in g o f what came t o be a most s u c c e s s f u l campaign a g a in s t th e Huk. Reform measures were begun by Magsaysay as S e c r e ta r y o f D efense and co n tin u ed or com pleted by him as ®^Carlos P. Romulo and Marvin M . Gray, The Magsay say S tory (New York: The John Day Company, 1 9 5 6 ), pp7 110- 21; C arlos Q u irin o , Magsaysay o f th e P h ilip p in e s (M anila: A le m a r 's, 1 9 5 8 ), pp. 6 1 -6 2 . 84 P r e sid e n t a f t e r 19 5 3 ( u n t i l h is u n tim ely death in an a i r p la n e crash in 1 9 5 7 ). He r e s to r e d the e f f i c i e n c y o f th e Army and th e c o n fid e n c e o f th e p eo p le in th e m ilit a r y by d r a s t i c r e o r g a n iz a t io n , new d i s c i p l i n e , and a system o f r e wards and p u n ish m e n ts.82 He gave th e p e a sa n t the r ig h t o f l e g a l c o u n s e l at government exp en se i f n e c e s s a r y . He began an e x te n s iv e and w e l l- p u b li c i z e d program o f c i v i c a c tio n and econom ic developm ent in c lu d in g th e Economic Development Corps (EDCOR) which had th e purpose o f r e h a b i l i t a t i n g and r e s e t t l i n g Huk p r is o n e r s and t h e i r f a m ilie s (and th ereb y t o induce fu r th e r su r r e n d e r s ). He r e s to r e d h o n est e l e c t i o n p r a c t i c e s , and th e e l e c t i o n o f 1951 which he had p o lic e d by tro o p s sto o d in s ta r k c o n t r a s t to th e "D irty E le c tio n " o f 1949. Through th e s e m easures and by h a r d - h it t in g m ilit a r y t a c t i c s , th e im m ediate Huk m ilit a r y menace was g ra d u a lly reduced u n t i l i t came to an end w ith th e su rren d er o f Luis Taruc in May, 1 9 5 4 ,88 Though th e c o n d itio n s which produced th e Hukbalahap were not a l l c o r r e c te d , th e imm ediate th r e a t was over and the R epublic cou ld tu rn t o o th e r problem s. 82M olnar, Undergrounds . . . , pp. 325-27; [C o lo n el Napoleon D. V a le r ia n o , AFP ( R e t . ) , “M ilita r y O p eration s" ] " C o u n ter-G u errilla O perations in th e P h ilip p in e s , 1946- 1953: A Seminar on th e Huk Campaign," p. 31. 88Romulo and Gray, op. c i t . , pp. 2 78-80 . Huk T a c tic s The t a c t i c a l s e t t i n g f o r th e Huk in su rgen cy fo llo w s c l o s e l y th e g e n e r a liz e d s e t t i n g d e sc r ib e d in th e t e x t a b o v e .81* They em ployed h it-a n d -r u n ambush and r a id s sup p o rted by t e r r o r and p ropagan da.88 T h e ir support came from an a p a th e tic or sy m p a th e tic p e a s a n t r y .86 Armed bands con ducted sa b o ta g e in th e c i t i e s and M anila was t e r r o r iz e d by Huk d e p r e d a tio n s. Even P r e sid e n t Q u irin o was a f r a id fo r a tim e t o le a v e M alacanang P alace (th e p r e s id e n t ia l r e s i dence) fo r fe a r o f a s s a s s i n a t i o n . 87 Such was th e s i t u a t i o n by 1949, and so i t con tin u ed w ith gradual dim inishm ent u n t i l th e su rren d er o f T a r u c .88 I t was in t h i s c o n te x t th a t th e r e la t io n s h ip s o f th e f i e l d s o l d i e r w ith l o c a l p e o p le s in co u n terin su rg en cy o p e r a tio n s in th e P h ilip p in e s were met. 8* * V id e , s u p r a , pp. 4 1 -4 8 . 86Sm ith, o p . c i t . , pp. 9 1 -9 9 . 86Loc. c i t . 87Romulo and Gray, op. c i t . , pp. 103-104. 8 8 For an accou nt o f th e Huk p e r c e p tio n o f t h e e v e r - in c r e a s in g fo r c e s a g a in s t them , v i d e , W illiam J. Pomeroy, The F o r e st: A P e r so n a l Record o f th e Huk G u e r r illa Strug g le i n th e P h ilip p in e s (New York; I n te r n a tio n a l P u b lish ers , 19 8 3 ) , passim . CHAPTER I I I SOLDIER AND.POPULATION: FACTORS FOR POLICY CONSIDERATION APPROPRIATE TO A TACTICAL SETTING The c o u n terin su rg en cy s e t t i n g d e sc r ib e d in Chapter I I i s r e p le t e w ith s i t u a t i o n s in which th e f i e l d s o l d i e r — th e in stru m en t o f c o u n te r in su r g e n t p o l i c y — must co n fro n t l o c a l p o p u la tio n s . In th e m ilie u o f c o n fu s io n , t e n s io n , and c r o ss-p u r p o se s , th e s o l d i e r must add t o h is purely m ilit a r y burden t h a t o f o b ta in in g l o c a l p o p u la tio n su p p ort — upon which h is su c c e s s and th a t o f th e c o u n te r in su r g e n t e f f o r t u lt im a t e ly depend. In most i n s t a n c e s , t h i s con f r o n t a t io n has in v o lv e d in d ig en o u s c o u n te r in su r g e n t s o l d ie r s and th e l o c a l p o p u la tio n s o f h is own s o c i e t y . T his may not always be s o . l W hile i t may, in d e e d , be a p o lic y desid eratum t o f i g h t g u e r r i l l a w arfare b e s t by a v o id in g a f i g h t , 2 th e re are growing p r e ssu r e s which may make o p e r a tio n a l a b s t e n tio n • W id e , Chapter I I , su p r a , pp. 2 0 -21. 2W . W . Rostow, "G u e r r illa Warfare in th e Underde v elo p ed A reas," The Department o f S ta te B u l l e t i n , XLV (August 7 , 1961)',"T3'7. 86 87 im p o s s ib le , or in t e r v e n t io n th e b e t t e r o f a l t e r n a t i v e ch o ice s* I f , as has been a lread y im p lie d , an area v i t a l to th e i n t e r e s t s o f a great power i s torn by in su rg en cy and th r e a te n e d by th e in t e r v e n t io n o f , or p o s s ib ly d e c is iv e support o f th e in su r g en cy b y , an a n t a g o n is t ic o u ts id e power, d ir e c t in t e r v e n t io n may be c o n sid e r e d im p e r a tiv e .^ There i s , as Pustay p e r s u a s iv e ly p o in ts o u t , some very r e a l danger in se n d in g tro o p s from a fo r e ig n n a tio n in t o a co u n te r in su r g e n t m ilie u . They are l i k e l y t o be r e s e n te d as sym bols o f some s o r t o f n e o - c o lo n ia lis m . The p r e sen ce o f i such t r o o p s , once th e in su rg en cy i s w e ll d e v e lo p ed , i s l i k e l y t o be a lo n g and c o s t l y u n d e rta k in g --ro b b in g th e se n d in g s t a t e o f i t s r e so u r c e s and i t s f l e x i b i l i t y in meet in g o th e r p r i o r i t i e s in i t s p o l i t i c a l - m i l i t a r y myriad o f c h a l l e n g e s .1 * N e v e r t h e le s s , d ir e c t in t e r v e n t io n i s , in one degree or a n o th e r , an in c r e a s in g ly common r e sp o n s e , ran gin g from th e American in te r v e n t io n in th e P h ilip p in e s , and the U n ited N ation s in t e r v e n t io n in th e Congo ( L e o p o l d v i l le ) , t o th e American in t e r v e n t io n in Vietnam. I t i s o f c o n s id e r ab le im portance t o th e s u c c e s s o f a p o lic y o f in te r v e n tio n 3V id e , f o r exam ple, Lyndon B, John son , "We W ill Stand in Viet-Nam ," (re p r o d u ctio n o f sta te m en t read a t opening o f a news c o n fer en ce a t th e White House on J u ly 2 8 , 1 9 6 5 ), The Department o f S ta te B u l l e t i n , L III (A ugust 16, 1 9 6 5 ), p a ssim . ^P ustay, C ounterinsurgency W arfare, pp. 1 5 7 -6 3 , e t p a ssim * 88 t h a t th e in te r v e n in g tro o p s be an e f f e c t i v e in stru m en t o f p o l i c y . I f m ilit a r y p r o f ic ie n c y p er se i s only th e b e g in n in g or u lt im a t e ly th e l e a s t e f f i c a c i o u s o f th e weapons o f c o u n t e r i n s u r g e n c y i t seems incumbent upon th o s e who fo rm u la te a p o lic y o f in t e r v e n t io n t o c o n sid e r th e fa c to r s w hich in f lu e n c e l o c a l p o p u la tio n s in th e t a c t i c a l s e t t i n g o f c o u n te rin su r g e n c y . Even i f th e r e i s no d ir e c t m ilit a r y in t e r v e n t io n , th e d e c is io n on th e p a rt o f an o u ts id e power t o support th e c o u n te r in su r g e n t e f f o r t s o f an in d ig en o u s fo r c e r e q u ir e s th e a b i l i t y t o m onitor th e a p p lic a t io n o f th a t a s s is t a n c e . I t cannot s e r v e p o lic y im p lem en tation i f th e su b sta n c e o f an a s s i s t i n g s t a t e i s w asted through i n e f f e c t i v e e f f o r t s on th e p a rt o f t h o s e b e in g su p p orted . P o lic y r e q u ir e s an ap p r e c ia t io n o f th e im p lic a t io n s o f any a c tio n ta k e n . The p o s s i b l e im p lic a t io n s o f a c tio n s o f an in d ig en o u s c o u n te r- in s u r g e n t fo r c e are no l e s s im portant in th e fo rm u la tio n o f p o lic y th an are th e im p lic a tio n s o f a c tio n by fo r e ig n tr o o p s . M oreover, in any c a s e , i t l o g i c a l l y sh ou ld be a p art o f a w e ll-fo r m u la te d p o lic y t h a t a c tio n s su p p o rtin g t h a t p o lic y be a n t ic ip a t e d and even p r e sc r ib e d . I f th e c o n fr o n ta tio n between th e f i e l d s o ld ie r - - w h e t h e r l o c a l o r f o r e ig n — and th e l o c a l p o p u la tio n i s as c r u c ia l t o th e o u t come o f in su r g e n c y -c o u n te r in su r g e n c y w arfare as both 5V id e , Chapter I , su p r a , pp. 2 - 5 , e t p assim . 89 a n ta g o n is t and p r o ta g o n is t argue,® th en th e resp on se o f th e f i e l d s o l d i e r t o th a t c o n fr o n ta tio n would seem t o be very much th e b u s in e s s o f th e p o licym ak er. As has been p o in te d o u t , th e c o u n te r in su r g e n t s o l d ie r i s l i k e l y t o be an o u t s id e r t o th e community in which h e - f in d s h im s e lf during a c tu a l o p e r a tio n s . He r e p r e se n ts th e vagu ely understood and fr e q u e n tly r e s e n te d e x i s t i n g p o l i t i c a l sy stem . He sy m b o liz es a c u lt u r e or su b -c u ltu r e extra n eo u s t o the l o c a l community. He, as w e ll as h i s in su rg en t a n t a g o n is t , i n h i b i t th e p e a c e f u l l i f e o f th e com m unity, th e p eop le o f w hich are n o t u s u a lly comm itted in advance t o a c tio n fo r one s id e or th e o th e r .^ His behav i o r under th e s e c ir c u m sta n c e s— assum ing t h a t th e support o f th e l o c a l p eo p le i s e s s e n t i a l t o th e s u c c e s s o f c o u n te r in su rg en t e f f o r t — i s p r o p e r ly th e s u b je c t o f p o lic y form ula t i o n . G alula s u g g e s ts th e need fo r such c o n s id e r a tio n in p o lic y : . . . A lthough a n a ly s e s o f r e v o lu tio n a r y [in s u r g e n t] wars from th e r e v o lu t io n a r y ’ s p o in t o f view are numer ous to d a y , th e r e i s a vacuum o f s t u d ie s from th e o th er s i d e , p a r t i c u la r ly when i t comes t o s u g g e s tin g c o n c re te c o u r ses o f a c tio n f o r th e c o u n te r -r e v o lu tio n a r y . Very l i t t l e i s o f f e r e d beyond form u las— which are 6Mao T se -tu n g , G u e r r illa W arfare (Yu Chi Chan), p a ssim ; Che Guevara, On G u e r r illa W arfare, p a ssim ; Vo Nguyen G iap, P e o p le 1 s War, p e o p le 1 s A r m y p a s s im ; L an sd ale, "The In su rg e n t B a t t l e f i e l d l o c . c i t . /'p a s s im ; and V a le r i- ano and Bohannan, C o u n te r -G u e r r illa (Spe r a t i o n s : The P h il ip p in e E x p e r ie n c e , p a ssim . ^V id e , Chapters I and I I , su p r a , p a ssim . 90 sound enough as fa r as th ey go— such a s , " I n t e llig e n c e i s th e key t o th e problem ," or "The su p p o rt o f the p o p u la tio n must be won." How t o tu rn th e k e y , how t o win th e su p p o r t, t h i s i s where f r u s t r a t io n s u su a lly b e g in , as anyone can t e s t i f y who, in a humble or in an e x a lt e d p o s i t i o n , has been in v o lv e d in a r e v o lu tio n a r y war on th e wrong— i . e . , th e arduous— s i d e . . . . There i s c l e a r l y a need f o r a com pass. . , .8 G alu la a l s o p o in ts out th a t . . . "No p o l i t i c s " i s an in g r a in e d r e a c tio n fo r the c o n v e n tio n a l s o l d i e r , whose job i s s o l e l y t o d e fea t t h e enemy; y e t i n cou n terin su rg en cy w a r fa r e , th e s o l d i e r T s jo b i s t o h e lp win th e su pp ort o f th e p o p u la tio n , and in so d o in g , he has t o engage in p r a c t i c a l p o l i t i c s . 9 • * • The s o l d i e r i n modern c o u n te rin su r g e n c y , th e n , r ep re sen ts or r e f l e c t s (and som etim es even makes) p o lic y i n h is r e l a t io n s h ip s w ith l o c a l p o p u la tio n s . To make h is con fron ta t i o n e f f e c t i v e r e q u ir e s h ig h er p o lic y gu id an ce. I t i s h ere p o s it e d th a t th e r e i s a r e c u r r in g t y p o l ogy o f r e l a t io n s h ip between s o l d i e r and p eo p le i n the m ilie u o f c o u n te r in su r g e n c y ; and th a t p r i n c ip l e s o f s o c i a l s c ie n c e can be a p p lie d t o th o se s i t u a t i o n s . ' The d isc e r n ment o f th o s e r e c u r r in g r e la t io n s h ip s and th e a p p lic a tio n o f such p r i n c ip l e s i s th e c e n tr a l is s u e o f t h i s t h e s i s , as im p lie d by th e t i t l e o f th e stu d y . The d iscern m en t o f such r e c u r r in g r e la t io n s h ip s b e tw een th e c o u n te r in su r g e n t from o u ts id e th e area and l o c a l p o p u la tio n s r eq u ire d in te r v ie w s w ith ran k in g m ilita r y ^ G alu la, C ounterinsurgency W arfare: Theory and P r a c t i c e , p. x i i . 9I b i d . , p. 95. 91 p e r so n n e l who have fo u g h t i n , determ ined p o lic y f o r , and commented upon a c tu a l c o u n terin su rg en cy o p e r a tio n s . I t a l s o r e q u ir e d in te r v ie w s w ith lo w er rank r e tu r n e e s who th e m se lv e s had i n t e n s i v e r e la t io n s h ip s w ith lo c a l p e o p le s . I t r eq u ired c o n feren ce w ith both m ilit a r y and s o c i a l s c i ence stu d e n ts o f c o u n te r in su r g e n c y to determ ine th e most p o ig n a n t o f r e c u r r in g s i t u a t i o n s and th o se most amenable to a p p lic a t io n o f s o c i a l s c ie n c e know ledge. T his was done by p roced ures summarized i n Chart I in t h is c h a p te r and de s c r ib e d in g r e a te r d e t a i l elsew h ere in th e stu d y. The a p p lic a t io n o f r e le v a n t p r i n c ip l e s o f s o c i a l s c ie n c e was made through s y s te m a tic r ec o u r se to q u a l if i e d s o c i a l s c i e n t i s t s in a p p ro p ria te f i e l d s . By means o f ques t io n n a ir e s , r e fe r e n c e t o r e le v a n t p r in c ip le s was made by p s y c h o lo g is t s and s o c i o l o g i s t s f o r each r e c u r r in g r e l a t i o n s h ip . The p r in c ip le s were judged by th e s o c i a l s c i e n t i s t s to be a p p ro p ria te fo r u se a c ro ss c u lt u r e s . T heir judgments and s e l e c t i o n o f p r i n c ip l e s were confirm ed through review by s o c i a l s c ie n c e c o ll e a g u e s , in c lu d in g p o l i t i c a l s c i e n t i s t s . S in g e r , w r itin g in the c o n te x t o f s t u d ie s o f con f l i c t , s u g g e s ts th a t t h e p o l i t i c a l s c i e n t i s t can adapt and use th e c o n tr ib u tio n s o f oth er s o c i a l s c i e n t i s t s . A fte r p o sin g a r h e t o r ic a l q u e s t io n , he e x p r e ss e s h im s e lf i n favor o f c o o p e r a tio n and c o o r d in a tio n o f the human s c ie n c e s : •^ V id e, Chapter I , su p ra, pp. 1 6 -1 8 ; and Appendix D, p o s t , pp"I J60-89 92 . . . A s th e " le g itim a te " and " t r a d it io n a l" p r o p r ie to r s o f in t e r n a t io n a l r e l a t i o n s , we in p o l i t i c a l s c ie n c e have watched t h i s i n f l u x o f newcomers [" p r im a r ily from th e d i s c i p l i n e s o f p s y c h ia tr y , p s y c h o lo g y , and s o c i o l ogy season ed w ith a sm a tte rin g o f a n th r o p o lo g is ts and econ om ists" ] w ith a m ixture o f awe, in a d eq u acy, and dismay. Should we f ig h t them , ign ore them , or j o i n them . . . The m ethodology develop ed fo r c o l l e c t i o n o f d a ta f o r t h i s c h a p te r r e f l e c t s an attem pt t o adapt and c o o r d in a te th e c o n tr ib u tio n s o f o th e r s o c i a l s c ie n c e s fo r an e s s e n t i a l l y p o l i t i c a l - m i l i t a r y in q u ir y . The p roced ures in v o lv e d are summarized in Chart I and d e sc r ib e d more f u l l y e lsew h er e in th e stu d y . ^ Because th e s e s p e c i a l p roced u res were u sed , i t i s assumed t h a t th e s i t u a t i o n s d is c u s s e d below are based in r e a l i t y and are r e c u r r in g . I t i s assum ed, by the same to k e n , th a t th e p r in c ip le s t e n t a t i v e l y a p p lie d t o them are r e le v a n t and have c r o s s - c u lt u r a l v a l i d i t y . I f th e -^ J . David S in g e r , "The P o l i t i c a l S c ie n c e o f Human C o n f lic t ," The Nature o f Human C o n f l i c t , e d . E lton B, McNeil (Englewood C l i f f s , N .J .: F reirtic e - H a l l , I n c . , 1965) pp. 193 -94. •l^V id e , Chapter I , su p r a , pp. 1 9 -2 1 ; and Appendix E, p o s t , pp"i 3 9 1 -4 0 3 . 93 s i t u a t i o n s are r e a l and r e c u r r in g -^ and th e p r i n c ip l e s v a l i d , th en i t i s fu r th e r assumed t h a t th e d is c u s s io n s are h ig h ly r e le v a n t t o fo rm u la tio n o f p o l i c y in th e c o n te x t a lr e a d y l a i d down in t h i s t h e s i s . I t seems u s e f u l t o r e i t e r a t e t h a t t h i s ch a p ter o f f e r s no f ix e d " s o lu tio n s" t o th e r e l a t i o n s h i p s t h a t r e c u r in th e c o n fr o n ta tio n betw een c o u n te r in s u r g e n t and l o c a l p o p u la tio n s . The d is c u s s io n s are s o c i a l s c ie n c e approaches t o t h e s e r e l a t io n s h ip s and are d e sig n e d t o p ro v id e i n s i g h t t o f a c t o r s w hich might be c o n sid e r e d in th e fo r m u la tio n o f p o lic y go v ern in g such r e l a t i o n s h i p s . The d is c u s s io n s are not d e sig n ed t o fu r n is h a p r e c i s e gu id e t o th e c o u n te r in su rg e n t s o l d i e r . He w i l l u lt im a t e ly have t o make h is own judgments based on l o c a l s c e n a r io s and d e t a i l s , which no attem p t has been made to su p p ly h e r e . There i s i n e v it a b ly some redundancy. The same p r in c ip le may have more than one a p p l ic a t io n . For exam p le, -^ H o ls ti and N o r th , c i t i n g H o r s t, su p p o rt th e com mon s e n s e c o n te n tio n t h a t a u s e f u l approach t o th e fu tu r e i s th e stu d y o f r e c u r r e n t e x p e r ie n c e s o f th e p a s t: "Wisdom about th e p r e s e n t and fu tu r e i s d e r iv e d w h o lly from what we have e x p e r ie n c e d — or le a r n e d ab ou t— in th e p a s t . . . 'O ther t h in g s b e in g e q u a l, th e more f r e q u e n tly th in g s have happened in th e p a s t , the more su re you can be th e y w i l l happen in th e fu tu r e ' (H o r s t, 19 63, p. 1 2 ). As human b e in g s w ith o u t o c c u lt p r e v is io n we have no o th e r way o f a s s e s s i n g , ju d g in g , and d e c id in g . Ole R. H o ls t i and R obert C. N o rth , "The H isto r y o f Human C o n f lic t ," The N ature o f Human C o n f l i c t , p. 157. The H orst r e f e r e n c e i s t o : Paul H o r s t, M atrix"A lgebra f o r S o c i a l S c i e n t i s t s (New York: H o lt , R inehart 6 W inston , I n c . , 1 9 6 3 ), p. T2. CH ART I POIGNANT RELATIONSHIPS BETW EEN COUNTERINSURGENT AND POPULATION: SUM M ARY OF SOURCE, SELECTION, AND CONTRIBUTION (For f u l l d e s c r ip t io n o f p r o c ed u r es, v id e , Chapter I , su p r a , pp. 15-2 4; Appendix D, p o s t , pp. 360-89 and Appendix E, p o s t , pp. 391-403* A l i s t o f primary so u rce c o n s u lt a n t s , w ith d i s c i p l i n e and a f f i l i a t i o n , appears in Appendix F , p o s t , pp. 4 0 5 -4 0 8 ). SELECTED COUNTERINSURGENCY SOCIAL SCIENTISTS RELATIONSHIP SPECIALISTS SUGGESTING M AKING ADVISORY SITUATION* SELECTED SITUATION* CONTRIBUTIONS** CO M M ITM ENT OF LEADERS RELOCATION OF PEOPLES Capt, R. A. Jones Lt. Col, Frank Watson D. M . Condit Andrew R. Molnar Lt. C ol. Frank Watson D aryl J . Bern ( p s y c h .) I r v in g J . Casey ( s o c . ) Mason G r iff ( s o c .) Robert D. Hoge ( p s y c h .) K eith A. Murray ( p s y c h .) John L. Colombotos ( s o c . ) Robert D. Hoge ( p s y c h .) K eith A. Murray ( p s y c h .) Robert M . O'Shea ( s o c .) Arthur R. P la tz (p s y c h .) C harles E. R ice (p s y c h .) James E. Trinnaman, J r. (p o l. s c i . ) V ic to r H. Vroom ( p s y c h .) Myron Woolman (p s y c h .) Robert M . O'Shea ( s o c .) James E. Trinnaman, J r . ( p o l. s c i . ) V ic to r H. Vroom ( p s y c h .) CO - P CHART 1— Continued SELECTED COUNTERINSURGENCY SOCIAL SCIENTISTS RELATIONSHIP SPECIALISTS SUGGESTING M AKING ADVISORY SITUATION* SELECTED SITUATION* CONTRIBUTIONS** NEEDS AND IN D. M . Condit John L. Colombotos Robert M . O’ Shea ( s o c .) TERESTS O F Maj. Gen. Edw. G. ( s o c . ) James E. Trinnaman, J r . RURAL POPU Lansdale Robert D. Hoge ( p o l. s c i . ) LATIONS Andrew R. Molnar ( p s y c h .) V ic to r H, Vroom C r i t i c a l I n c id e n t K eith A. Murray (p s y c h .) In te r v ie w s ( p s y c h .) IM AGE O F D. M . Condit John L. Colombotos Robert M . O’ Shea ( s o c . ) SOLDIER O R Maj, Gen, Edw. G. ( s o c , ) James E. Trinnaman, J r . POLICEMAN L ansdale Robert D. Hoge ■ ( p o l. s c i . ) (p s y c h .) V ic to r H. Vroom K eith A. Murray ( p s y c h .) ( p s y c h .) EFFECT O F D. M . Condit I r v in g J . Casey Mason G r if f ( s o c . ) MILITARY Andrew R. Molnar ( s o c . ) Robert D. Hoge (p s y c h .) SUCCESS O N Lt. C ol. John Wahl John L. Colombotos James E. Trinnaman, J r . THE LOCAL ( s o c . ) ( p o l. s c i . ) POPULATION POSITIVE L t. Col. Chas. T. R. I r v in g J. Casey Mason G r iff ( s o c .) MISSION O F Bohannan ( s o c . ) Robert D. Hoge (p s y c h .) GOVERNM ENT Maj,. Gen. Edw. G. John L. Colombotos James E. Trinnaman, J r . Lansdale ( s o c . ) ( p o l. s c i . ) ID C n CHART 1— Continued SELECTED RELATIONSHIP SITUATION* COUNTERINSURGENCY SPECIALISTS SUGGESTING SELECTED SITUATION* SOCIAL SCIENTISTS 1 MAKING ADVISORY CONTRIBUTIONS** REFORM AND Lt* C ol. Chas. T, R. I r v in g J , Casey Robert D. Hoge (p s y c h .) LOCAL POPU Bohannan ( s o c . ) K eith A. Murray LATIONS D. M . Condit Mason iG riff ( s o c .) ( p s y c h .) Maj, Gen, Edw. G. } James E. Trinnaman, J r . Lansdale ( p o l. s c i . ) Andrew R. Molnar FINDING C O M L t. C ol. Chas. T. R. Robert D. Hoge Arthur R. P la tz M O N ELEMENTS Bohannan (p s y c h .) ( p s y c h .) IN A FRAG D. M , Condit K eith A. Murray C harles E. Rice M ENTED POPU Andrew R. Molnar ( p s y c h .) ( p s y c h .) LATION C r i t i c a l I n c id e n t James E. Trinnaman, J r . In te r v ie w s ( p o l. s c i . ) COM M UNICA L t. C ol. Chas. T. R. John L. Colombotos Arthur R. P la tz TION CHAN Bohannan ( s o c . ) ( p s y c h .) NELS WITHIN D. M . Condit Robert D. Hoge C harles E. Rice LOCAL POPULA Andrew R. Molnar ( p s y c h .) (p sy c h * ) TIONS Maj. Gen. Edw. G. K eith A. Murray James E. Trinnaman, J r . ■Lansdale ( p s y c h .) ( p o l. s c i . ) C r i t i c a l I n c id e n t In te r v ie w s W ORKING WITH Capt. R. A. Jones Edwin H. B la k elo ck A rthur R. P la tz A DISLIKED Maj. Gen. Edw, G. ( p s y c h .) ( p s y c h ,) OFFICIAL Lansdale Robert D. Hoge C harles E. Rice L t. C ol. Frank Watson ( p s y c h .) (p s y c h .) CHART 1— Continued SELECTED RELATIONSHIP SITUATION* COUNTERINSURGENCY SPECIALISTS SUGGESTING SELECTED SITUATION* SOCIAL SCIENTISTS M AKING ADVISORY CONTRIBUTIONS** DETECTING Maj. Gen. Edw. G. K aryl J . Bern K eith A. Murray HOSTILITY IN Lansdale ( p s y c h .) (p s y c h .) A LOCAL Jeanne S. Mintz Robert D. Hoge James E. Trinnaman, J r . POPULATION L t. C ol. John Wahl ( p s y c h .) ( p o l. s c i . ) BOLSTERING Capt. R. A. Jones D aryl J. Bern K eith A. Murray M O RA LE Lt. C ol. Frank Watson ( p s y c h .) ( p s y c h .) C r i t i c a l I n c id e n t Robert D. Hoge James A. Trinnaman, J r . In te r v ie w s ( p s y c h .) ( p o l. s c i . ) *N.B. As n o ted in Chapter I , supra and in Appendix D, p o s t , i n i t i a l in s ig h t s as t o th e r e la t io n s h ip s between cou n terxn su rgen t and l o c a l p e o p le s were gained through a d m in istr a tio n o f a c r i t i c a l in c id e n t in te r v ie w sc h e d u le t o c o u n te r in su r g e n t r e tu r n e e s a t F a y e t t e v i l l e , North C a ro lin a . B esid es th e employment o f t h i s te c h n iq u e , v a rio u s stu d e n ts or p r a c t it io n e r s o f co u n terin su rg en cy were i n t e n s i v e l y and in d ep en d en tly i n ter v iew e d in order t o i d e n t i f y p o ig n a n t s i t u a t i o n s in th e r e la t io n s h ip between c o u n ter in s u r g e n t and l o c a l p e o p le s . The secon d column r e f l e c t s th e o r ig i n a l so u rce o f sug g e s t io n s fo r the s i t u a t i o n s which were s e l e c t e d . F in a l s e l e c t i o n o f th e s i t u a t i o n s in th e f i r s t column were made by th e author in p an el c o n fer en ce w ith th e fo llo w in g : Lt. C ol. Frank Watson, USA; F, Loyal Greer ( p s y c h .) ; Maj. John Joh n s, USA; James E. T rinna man, J r . ( p o l. s c i . ) . **N.B. The c o n tr ib u tio n s made by th e s o c i a l s c i e n t i s t s l i s t e d in th e th ir d column were s y n th e s iz e d by th e au th or. The sy n th e se s were th en su b m itted t o th e f o l low in g f o r independent review : F. Loyal Greer ( p s y c h .) ; Lola M . Ir e la n d ( s o c .- a n t h r o .) C harles Windle ( p s y c h .) ; George K. S c h u e lle r ( p o l. s c i . ) . A fte r review and concur- CHART 1— Continued r e n c e , th e d r a fts were c o n sid e r e d in p an el co n fer en ce (a s n o ted in Chapter I , su p ra ) fo r s c i e n t i f i c v a l i d i t y , c r o s s - c u lt u r a l a p p lic a t io n , and m i l i t a r y - p o l i t i c a l p r a c t i c a l i t y . In a d d itio n t o th e a u th o r, th e f o llo w in g p a r t ic ip a t e d in th e s e d is c u s s io n s : James E. Trinnaman, J r . ( p o l. s c i . ) ; Robert D. Hoge ( p s y c h .) ; Norman D. Smith (p s y c h .) George K. S c h u e lle r ( p o l. s c i . ) ; Maj. John Jo h n s, USA; L t. C ol. Frank Watson, USA; Maj. W illiam Buchannan, USA. 99 th e developm ent o f t r u s t and c o o p e r a tio n can improve i n t e r p e r so n a l com m unications, b u ild harmony among g ro u p s, and g e n e r a lly c o n tr ib u te t o a fa v o r a b le r e s o lu t io n o f s e v e r a l o f th e s i t u a t i o n s d e sc r ib e d . There are a l s o n o t ic e a b le w eakn esses in some o f th e d is c u s s io n s . The s o c i a l s c ie n c e s sim p ly do not y e t have a g r e a t d e a l t o o f f e r in some areas o f v i t a l concern to th e conduct o f modern c o u n te r in su r g e n t w a r fa re . For exam ple, th e d e t e c t io n o f a c la n d e s t in e enemy i n th e m id st o f a l o c a l p o p u la tio n r e q u ir e s much more r e s e a r c h . The d is c u s s io n o f t h a t problem i n t h i s ch a p ter may be u s e f u l as fa r as i t g o e s— but i t i s not i n any s e n s e d e f i n i t i v e . T aking i n t o accou n t such w e a k n e sse s, th e d is c u s s io n s s t i l l p rov id e c lu e s t o fo rm u la tio n o f p o lic y regard in g th e c o n fr o n ta tio n o f c o u n te r in su r g e n t and l o c a l popula t i o n . In t h i s s e n s e , th e y may c o n s t i t u t e a u s e f u l and pragm atic c o n tr ib u tio n t o th e knowledge o f c o u n te r in su r gency phenomena. Of even g r e a te r u ltim a te s i g n i f i c a n c e , th e d is c u s s io n s may and presum ably do im ply a b a s is fo r h y p o th e se s t o guid e fu tu r e r e se a r c h in p o l i t i c a l s c ie n c e and th e o th e r human s c ie n c e s concerned w ith s t u d ie s o f v i o l e n t c o n f l i c t . The d ata are s y s t e m a t ic a lly e l i c i t e d from so u r c e s which are primary in th e s e n s e t h a t th ey con s t i t u t e persons who have ob served th e phenomena or who have s p e c i a l and r e le v a n t s o c i a l s c ie n c e know ledge. I f such data do n ot le a d t o firm and d e f i n i t i v e c o n c lu s io n s , th e y 100 a t l e a s t b r in g some ord er t o what h e r e to fo r e has been a w ild e r n e s s o f vague and p e r so n a l im p r e ssio n s. There are 12 d is c u s s io n s o f r e la t io n s h ip s i t u a t i o n s o f c o u n te r in su r g e n t p e r so n n e l w ith l o c a l p o p u la tio n s in t h i s c h a p te r . The f i r s t b a s ic co u n terin su rg en cy s i t u a t i o n i s th e r e l a t io n s h ip o f th e c o u n te r in su r g e n t w ith l o c a l le a d e r s in h is attem pt t o s e c u r e t h e i r t o t a l commitment t o th e c o u n te r in su r g e n t cau se and through them o b ta in pop ular su p p o rt. T his problem i s o f g r e a t p o l i t i c a l im p o rt. I t a l s o subsumes a g r ea t many c o n s id e r a tio n s r e le v a n t t o o th e r r e l a t i o n s h i p s . I t th e r e fo r e r e c e iv e s th e most d e t a ile d a t t e n t io n . Two o th e r s i t u a t i o n s have t o do w ith l o c a l popula t io n s in t h e i r own im m ediate su rro u n d in g s. The f i r s t d e a ls w ith op tim al p s y c h o lo g ic a l c o n d itio n s f o r th e r e lo c a t io n o f p e o p le s . The secon d in v o lv e s d e ter m in a tio n o f l o c a l needs upon which ap p eals can be b ased . The n e x t fo u r r e la t io n s h ip s d e a l w ith l o c a l pop ula t io n s and t h e i r own government or i t s r e p r e s e n t a t iv e s . D isc u sse d in t h i s c a te g o ry are th e m itig a tio n o f un favor a b le images o f s o l d i e r or p o licem a n , th e t r a n s l a t i o n o f m ilit a r y s u c c e s s i n t o th e i n t e r e s t s o f th e l o c a l community, e x p r e s s io n o f th e p o s i t i v e m issio n o f government in term s m ean in gfu l t o th e p e a s a n t, and th e encouragem ent o f reform in th e i n t e r e s t s o f l o c a l p o p u la tio n s . Harmony and common purpose among groups are the 101 f o c a l p o in t s o f th e n ex t two d is c u s s io n s . The i d e n t i f i c a t i o n o f and appeal t o common elem en ts in a fragm ented l o c a l p o p u la tio n i s one. The e sta b lish m e n t or d iscern m en t o f comm unication ch an n els among l e v e l s and groups i s an oth er. The r e l a t io n s between m ilit a r y p e r so n n e l and l o c a l p o p u la tio n s are c o n sid e r e d in two o th e r d i s c u s s io n s . One fo c u se s on te c h n iq u e s t o o f f s e t th e e f f e c t s o f a s s o c ia t io n w ith a l o c a l o f f i c i a l who has a bad image among th e pop ula t i o n . The n ext c o n s id e r s th e developm ent o f tec h n iq u es fo r d e t e c t in g h o s t i l i t y or th e p r e sen ce o f a c la n d e s tin e enemy in the m id st o f a l o c a l p o p u la tio n . The l a s t two s i t u a t i o n s in v o lv e o u ts id e m ilit a r y p e r so n n el and l o c a l a u t h o r i t i e s or c o u n te r p a r ts . The f i r s t d is c u s s e s th e b r id g in g o f gaps in communication between such p e r so n n e l and th e l o c a l a u t h o r i t i e s . F i n a l l y , ways in which damaged m orale can be b o ls te r e d among l o c a l m ilita r y c o u n te r p a r ts are d is c u s s e d . O b v io u sly , th e r e are many o th e r r e la t io n s h ip s which may be en cou n tered in a c o u n te rin su r g e n c y s e t t i n g . As a l ready n o te d , the attem p t h ere was t o s e l e c t some o f the more p o l i t i c a l l y and m i l i t a r i l y p r e s s in g r e l a t i o n s h i p s , as determ ined by th o se who have fou gh t in or observed a t f i r s t hand a c tu a l c o u n te rin su r g e n c y o p e r a tio n s , and to a s s e s s th e s o c i a l s c ie n c e s fo r a p p lic a b le p r in c ip le s o f presumed c r o s s - c u lt u r a l v a l i d i t y . Wherever p o s s i b l e , m a te r ia l d e r iv e d from the P h ilip p in e Huk co u n terin su rg en cy 102 e x p e r ie n c e i s p rov id ed t o i l l u s t r a t e p o i n t s . Commitment o f In digenou s L ocal Leaders t o an A ll- o u t E f f o r t A g a in st I n s u r g e n ts ^1 * A v ery b a s ic c o n fr o n ta tio n betw een a c o u n te r in s u r g en t s o l d i e r and l o c a l p o p u la tio n s may occu r when he i s c a l l e d upon t o o b ta in t h e commitment o f l o c a l le a d e r s t o th e cau se he s e r v e s . Y et w ith o u t t h a t commitment he i s n o t l i k e l y to s e c u r e the c o o p e r a tio n o f th e l o c a l p e o p le . The m o tiv a tio n o f a pop u lace r e q u ir e s th e commitment o f i t s l e a d e r s . 1 6 Under c e r t a in c o n d it io n s , a com m itted le a d e r s h ip may be brought i n through e l e c t i o n or app ointm en t; b u t more o f t e n , and e s p e c i a l l y in i n i t i a l c o u n te r in su r g e n t a c t i o n , e x i s t i n g (and l o c a l l y r e s p e c te d ) le a d e r s have t o be le d t o the p o in t o f commitment.16 The a b i l i t y and th e m o tiv a tio n t o e x e r t s tr o n g and l**The r e l a t io n s h ip in v o lv in g t h e s e c u r in g o f com m itment on t h e p art o f l o c a l le a d e r s was f i r s t s u g g e s te d as im p ortan t by L ieu ten a n t C o lo n e l Frank W atson, U .S .A ., and C aptain R. A. J o n e s , U .S .A ., both o f whom have se r v e d i n c o u n te r in su r g e n c y o p e r a tio n s and both o f whom w ere th en on duty t h a t co n tin u ed t o req u ire c lo s e a t t e n t io n t o c o u n te r in su r g en cy problem s. On th e a d v ic e o f o th e r v e te r a n s o f c o u n te r in su r g e n c y a c t io n in both th e P h ilip p in e s and V ie t nam, and th rou gh th e p a n el p r o c e ss d e s c r ib e d s u p r a , pp. 16- 1 8 , t h i s s i t u a t i o n was f i n a l l y accou n ted th e most b a s ic o f t h o s e s e l e c t e d fo r d is c u s s io n in t h i s stu d y . 15G a lu la , op. c i t . , p a ssim . 16V i d e R osw ell B. Wing, C ounte^insurgency Opera t i o n s in S.'L. A sia and th e R ole o f th e Army (B e th e sd a , Md. : R esearch A n a ly s is C o rp o ra tio n , 1 9 6 3 ), p . 77 Wing r e j e c t s th e te m p ta tio n o f th e o u ts id e c o u n te r in su r g e n t p reem p tin g le a d e r s h ip i n th e name o f e f f i c i e n c y o r d e d ic a t io n . 10 3 e f f e c t i v e le a d e r s h ip may have an im p ortan t e f f e c t on th e i s s u e o f le g it im a c y d is c u s s e d in Chapter II .T h u s th e i d e n t i f i c a t i o n o f p o t e n t i a l o r a c tu a l le a d e r s who are r e c o g n iz e d by a l o c a l p o p u la tio n as v a l i d spokesm en, and t h e i r commitment t o th e ca u se o f c o u n te r in su r g e n c y , can su p p ly an elem en t o f le g it im a c y t o th e f o r c e s o f the h a r a sse d l e g a l government fo r c e s in th e l o c a l arena which m ight o th e r w ise be la c k in g . On th e o th e r s id e o f th e same c o in , e f f e c t i v e le a d e r s h ip su p p o r tin g th e cau se o f c o u n te r in su rg en cy can be a c o u n te r t o th e a g i t a t o r s , p r o p h e ts , a c t i v i s t s , and m an a gerial le a d e r s o f th e v a rio u s p h ases o f in s u r g e n c y . Com m itted, e f f e c t i v e le a d e r s h ip i s both a t a c t i c a l and s t r a t e g i c req u irem en t in a c o u n te r in su r g e n t e f f o r t t o "win h e a r ts and m in d s," b ecau se i t in t e r r u p t s th e developm ent o f in su r g en cy and b eca u se i t i s a n e c e s s a r y , even i f n o t f u l l y s u f f i c i e n t , r esp o n se t o an im p ortan t i s s u e o f in s u r g e n c y . A c l a s s i c model o f com m itted le a d e r s h ip a t th e very top e c h e lo n (a s Congressm an, S e c r e ta r y o f D e fe n se , and P r e s id e n t) e x i s t e d in th e p erson o f th e l a t e Ramon Magsay- s a y . Magsaysay d id a g r e a t d e a l to g a lv a n iz e th e F i l i p i n o p eo p le and government app aratu s t o g rea t and s u c c e s s f u l e f f o r t s a g a in s t th e Huk in s u r g e n c y . He su cc ee d e d in -*-7V id e , C hapter I I , s u p r a , pp. 3 1 -3 2 , 3 4 -3 5 , -18Vide t Chapter I I , s u p r a , pp. 4 6 -5 1 . e s t a b l i s h i n g h im s e lf as a le a d e r o f th e n a tio n in a way no o th e r p o l i t i c a l fig u r e has b e fo re or s in c e in th e P h i li p p in e s . That h is major b io g r a p h ie s seem a d u la to ry i s an i n d ic a t io n o f th e profound im p ressio n he made upon h is b io g r a p h er s; and, from the e v id e n c e o f th e l i t e r a t u r e which has been su rveyed fo r t h i s s tu d y , on th e v a st m a jo rity o f F il i p i n o s (some o f them not p o l i t i c a l l y c o n sc io u s or a c t iv e b e fo r e th e advent o f M agsaysay).19 P art o f h i s su c c e s s was due t o h is own great en th u siasm , p a rt t o th e s p e c i f i c p o s i t i v e a c tio n s which he to o k , and p a r t to h i s r e c o g n iz in g th e a s p ir a t io n s o f th e a g ra ria n p ea sa n try and t h e i r l o c a l le a d e r s and h is p u llin g t h a t group i n t o th e p o l i t i c a l l i f e o f th e n a tio n . He made th e most o f th e support o f l o c a l p ea sa n t le a d e r s and p eop le and rewarded them w ith r e a l p a r t ic ip a t io n in the body p o l i t i c . But top le a d e r s o f th e c a li b e r o f Magsaysay are r a r e . I f th e y were n o t , in s u r gency might be l e s s l i k e l y t o o c cu r, and s u c c e s s f u l coun te r in s u r g e n c y e a s i e r to a c h ie v e . With or w ith o u t a Magsay s a y , th e b a s ic work needs t o be done in th e t a c t i c a l s e t t i n g o f co u n te rin su r g e n c y — t o a c h iev e th e commitment o f the le a d e r s in th e area in which th e a c tio n ta k e s p la c e . Even i f th e l o c a l le a d e r s do n ot l i k e th e p resen ce o f in s u r g e n ts in th e a r e a , some may s t i l l n o t be w i l l i n g or 19V id e , fo r exam ple, Romulo and Gray, The Magsaysay S t o r y , p a ssim ; and Q u irin o , Magsaysay o f th e P h i li p p i n e s , p a ssim . 105 a b le t o commit th e m se lv e s t o e f f e c t i v e a c t i o n . Other p rob lems or i n t e r e s t s may seem more im p o rta n t t o them. The le a d e r s may n ot r e a l i z e th e im p lic a t io n s o f th e in su r g e n c y t o them and t h e i r p e o p le . Or th e r is k s may seem t o o g r e a t; e f f e c t i v e m i li t a r y s e c u r i t y may be n e c e s s a r y t o a s s u r e co o p e r a tiv e le a d e r s ' s a f e t y from in s u r g e n t r e p r i s a l s . To o b ta in th e commitment o f p e r so n s who are i n d i f f e r e n t i s a d i f f i c u l t ta s k a t b e s t . I t i s more d i f f i c u l t where in s u r g e n ts have a lr e a d y i n f i l t r a t e d th e p o p u la tio n — and even th e le a d e r s h ip — and have i n s t i t u t e d t e r r o r i s t i c c o n t r o l. There a r e , h ow ever, some approaches t o th e t a s k which g iv e some hope o f s u c c e s s . Leaders and th e P eop le The term " lead er" s u g g e s t s t h a t th e r e are f o llo w e r s . The form al t i t l e s and tr a p p in g s o f le a d e r s h ip may or may n o t i n d i c a t e th e e x i s t e n c e o f a f o l lo w in g . Leaders may in d eed be fo rm a lly d e s ig n a te d (t h e v i l l a g e headman, th e p r o v in c e c h i e f , t h e l o c a l r e l i g i o u s l e a d e r , th e ranking m ilit a r y a u t h o r i t y ) , but th e y may a l s o o r a l t e r n a t i v e l y be in fo r m a l le a d e r s o r le a d e r s who emerge f o r a s p e c i f i c fu n c t i o n . L eaders in a community are th o s e t o whom th e p e o p le go fo r a d v ic e and c o u n s e l; th o s e w ith pow er, who c o n t r o l and d is p e n se goods and s e r v i c e s t h a t th e p eo p le w ant; and th o s e who r e f l e c t th e p e o p le 's needs and a s p ir a t io n s and have th e r e s p e c t o r a f f e c t i o n o f th e p e o p le . I t has been 106 dem onstrated th a t th e members o f a community can r e l i a b l y i d e n t i f y th o s e p erso n s who e x e r t th e most in f lu e n c e upon them— both form al le a d e r s and in fo r m a l l e a d e r s . 20 The i d e n t i f i c a t i o n o f r e a l le a d e r s — th o s e who in f a c t e x e r c i s e in f lu e n c e — may b e s t be s o u g h t, t h e n , from th e p e o p le t h e m s e l v e s . There are le a d e r s in each m ajor a rea o f a c t i v i t y in th e community or s o c i e t y ( e . g . , r e l i g i o u s , a d m in is t r a t iv e , p o l i t i c a l , m i l i t a r y ) . L eadership i s d iv e r s i f i e d and h i e r a r c h i a l . 22 I f th e u ltim a te aim i s th e ac t i v a t i o n o f th e p o p u la c e , th e r e sh o u ld be i d e n t i f i c a t i o n o f le a d e r s h ip in a l l o rd in a ry w alks o f l i f e and at a l l u s e f u l l e v e l s . T hen, i f t h e s e le a d e r s are m o tiv a te d , th e e f f e c t w i l l be m u ltip le and r e i n f o r c i n g . 2^ C e c il A. G ibb, "The S ociom etry o f L eadership in Temporary Groups," S o c io m e tr y , X III (A u g u st, 1 9 5 0 ), 2 32; Robert J . Wherry and Douglas H. F ry e r, "Buddy R a tin g s: P o p u la r ity C on test o r L eadership C r it e r ia ," P e r so n n e l P sy ch o lo g y , I I ( 1 9 4 9 ), 1 4 9 . American m i li t a r y a d v is o r s t o P r e sid e n t Q u irin o and th e P h ilip p in e m i li t a r y seem e a r ly t o have p ick ed Ramon M agsaysay as a dynamic anti-H uk le a d e r and a "w inner." They encouraged h i s appointm ent t o th e p o s i t i o n o f S e c r e ta r y o f D efense and h i s ra p id r i s e t o h ig h e r le a d e r s h ip , and th e p u b l i c i t y w hich a tte n d e d th a t r i s e . The s e l e c t i o n was f o r tu n a te in t h a t th e en erg y and m o tiv es o f Magsaysay were p e c u l ia r l y s u i t e d t o a p p ea l t o th e p e a sa n try and h i s p e r s o n a lit y was t h a t o f a c r u sa d e r . V id e, H. B radford W e s t e r f ie ld , In stru m en ts o f American For e ig n P o lic y ( Bingham pton, N. Y .l Thomas Y. C row ell Com- p a n y , 196 3) , p. 40 9 ; and Q u ir in o , o p . c i t . , p. 75. 2 1 V id e, p o s t , pp. 127-34 and Appendix B, pp. 293- 303. 22j . h . C a r te r , " M ilita r y L ea d ersh ip ," M ilita r y Re v ie w , XXXII ( 1 9 5 2 ), 1 4 -1 8 ; John K. H em p h ill, "TKe'ory o f L eadership" (u n p u b lish ed S t a f f R eport; Columbus: Ohio S t a te U n iv e r s it y P e r so n n e l R esearch B oard, 1 9 5 2 ), p a ssim . 107 Any le a d e r i s con cern ed w ith th e m aintenance and enlargem en t o f h i s p o s itio n * He i s aware th a t t o some e x t e n t h i s power depends upon th e support o f h is f o llo w e r s . He i s a l s o aware t h a t h is co n tin u ed power i s dependent upon h i s c o n tin u in g t o more or l e s s sh a re and r e f l e c t th e a t t i tu d es and g o a ls o f h is f o llo w in g . Thus, alm ost from the b e g in n in g in any e f f o r t t o m o tiv a te th e le a d e r , t h e r e must be an attem p t t o inform and persuad e th e t o t a l membership o f th e community t h a t c o u n te r in g th e in su rg en cy i s in t h e i r own b e s t i n t e r e s t s and t h a t t h e i r l e a d e r 's e f f o r t s in t h i s regard are b e n e f i c i a l t o them. Mass m e e tin g s , r a l l i e s , p a r a d e s, d e m o n str a tio n s, p o s t e r s , mass m edia, and o th e r ways o f r e a c h in g p e o p le can be u s e d . C o m m u n i c a t i o n te c h n iq u es sh o u ld f i t th e c u l t u r a l ways o f th e p e o p l e . 2 ^ The c o n te n t o f th e campaign w i l l become fo c u se d as a d d it io n a l s t e p s in th e p roced u res o u t lin e d below are u n d erta k en , but even i n i t i a l l y th e r e can be p r e s e n t a t io n , in c u l t u r a l l y r e le v a n t te r m s , o f th e ad van tages o f c o o p e r a tin g w ith the l e g a l government a g a in s t th e in s u r g e n ts and th e d isad van t a g e s o f a llo w in g th e in s u r g e n ts t o c o n tin u e t h e i r d isru p t i o n o f t h e p ea ce and p r o g r ess o f th e community. There i s one c a u tio n f o r such a campaign: th e c o u n te r in su r g e n c y 23T his was done i n th e P h i li p p i n e s , v i d e , f o r exam p le, V a le r ia n o and Bohannan, op. c i t . , p^ T i l . 2^ G en eralized p r i n c ip l e s o f com m unication a r e d i s c u sse d in Appendix C o f t h i s stu d y . V id e , p o s t , pp. 329- 58. 108 is s u e can s p l i t a community so t h a t f a c t io n s d ev elo p and th e le a d e r s ' powers are d im in ish ed and d i v e r t e d .25 in sum, d egrees o f commitment from both th e p eop le and t h e i r le a d ers w i l l tend toward mutual r e in fo r c e m e n t. R e la tin g L ocal Needs and Goals to M otivation A le a d e r both s e t s and r e f l e c t s th e g o a ls o f h is f o llo w e r s .^ 6 These g o a ls d e r iv e from th e n e e d s, both lea rn ed and b a s i c , o f th e p eop le o f th e s o c i e t y o r commun i t y . To th e e x te n t th a t th e community has i d e n t i f i a b l e le a d e r s w ith d i f f e r i n g areas and l e v e l s o f r e s p o n s i b i l i t i e s , some o r g a n iz a tio n f o r p u r s u it o f common g o a ls i s i m p l i e d . ^7 The le a d e r s o f th e v a r io u s a r e a s o f a c t i v i t y are alm ost c e r ta in to be among th e more a r t i c u l a t e members o f the community or s o c i e t y , and so may be used t o h elp d e fin e and i d e n t i f y c o l l e c t i v e g o a ls . J The assessm en t o f l o c a l needs and th e i d e n t i f i c a t io n o f le a d e r s and c o l l e c t i v e g o a ls w i l l g iv e th e c o u n te r - in su r g e n t th e m a te r ia l he needs t o s e l e c t g o a ls w hich can be r e la t e d to th e n a tio n a l government o b j e c t i v e — th e 25James S, Coleman, Community C o n f lic t (G le n c o e, 1 1 1 .: The Free P r e s s , 1 9 5 7 ), pp. 7 -8 . 26C e c il A. Gibb, "L eadership," S p e c ia l F ie ld s and A p p lic a t io n s , V ol. II o f Handbook o f S o c ia l P sy c h o lo g y , ed . Gardner Lindzey (Cam bridge, Mass.: A ddison-W esley P u b lish - in g C o ., I n c . , 1 9 5 4 ), p. 882. 2 7galph M . S t o g d i l l , " L ead ersh ip , Membership and O rg a n iza tio n ," P s y c h o lo g ic a l B u l l e t i n , XLVII (1 9 5 0 ), 3. 109 rem oval o f in s u r g e n ts from th e l o c a l a rea and th e m o tiv a t i o n o f le a d e r s and p e o p le t o t h a t end. I t must be assumed th a t th e l o c a l le a d e r w i l l be a b le to commit h im s e lf t o th e e r a d ic a t io n o f in s u r g e n ts w ith o u t d e p a r tin g r a d i c a l l y from th e b eh a v io r e x p e c te d o f him by h i s f o llo w e r s and th e g o a ls th e y h o ld in common, or r i s k i n g l o s s o f p r e s t ig e and p o s i t i o n . ^8 The needs and g o a ls th e s o l d i e r from o u ts id e th e community has in common w ith th e l o c a l le a d e r s (and th e r e b y w ith th e p e o p le ) w i l l en a b le him t o b e t t e r judge how much c o o p e r a tio n he can hope to g e t from th e le a d e r . D uring th e anti-H uk campaign in th e P h i li p p i n e s , a t l e a s t th r e e d e v ic e s se rv e d in d is c o v e r in g th e need s and d e s i r e s o f th e F i l i p i n o p e a s a n tr y . One was th e e s ta b lis h m e n t o f a C i v i l A f f a ir s O ffic e under th e Department o f N a tio n a l D efen se w hich c o n ta c te d th e p e o p le d i r e c t l y a t th e b a r r io l e v e l . ^9 Another was a human r e l a t i o n s bureau o r g a n ize d by M agsaysay, where Huk p r is o n e r s were in te r r o g a te d w ith o u t fo r c e or c o e r c io n or a ttem p ts t o c o n v e r t ; th e sim p le p o in t was t o fin d out what th e y wanted o f th e governm ent, t h e i r g r ie v a n c e s , and why th e y f e l t t h a t j o in in g th e Huks would h e lp them a c h ie v e a b e t t e r l i f e . From such ap p ro a ch es, ^ S t a n l e y S c h a c h te r , " D e v ia tio n , R e je c tio n and Com m u n ic a tio n ," Jo u rn a l o f Abnormal and S o c ia l P sy c h o lo g y , XLVI ( 1 9 5 1 ) , p a ssim . 29The work o f th e C i v i l A f f a ir s O ff ic e i s d e s c r ib e d in B a c la g o n , L esson s from th e Huk Campaign in th e P h i l i p p in e s , pp. 174 f f . , e t p a ssim . 110 le a d e r s ga in ed i n s i g h t t o th e need s o f t h e p e a sa n t p e o p l e s . 3® J i t h ir d d e v ic e was l e s s p e r s o n a l and o f lo n g term s i g n i f i c a n c e . Two r e p o r ts p u b lish e d by.A m erican stu d y m is s io n s s tim u la t e d fu r th e r in q u ir y and fo cu se d a t t e n t io n on th e b a s ic econom ic c o n d itio n s o f th e cou n try and th e u n d e r ly in g p e r c e p tio n s on th e p a rt o f th e r u r a l p e a sa n tr y in th e P h i l i p p i n e s . 3 i M o tiv a tin g Leaders t o D e sire d Commitment A number o f f a c t o r s may be c o n sid e r e d in th e p r o c e s s o f m o tiv a tin g a le a d e r (o r any i n d iv id u a l) t o a c t i v e l y su p p ort c o u n te r in su r g e n c y . There a r e , f o r ex am p le, th e elem en tary c o n s id e r a t io n s o f tim e and demeanor. An i n i t i a l advantage may accru e t o th o s e who have p r e se n te d t h e i r ca se f i r s t . In some c u l t u r e s , a f t e r h a v in g l i s t e n e d t o an argu m ent, th e p e o p le ten d t o r e j e c t l a t e r cou n terargu m en ts. In any c a s e , c o n ta c t s th a t encourage fr ie n d s h ip and t r u s t ob v io u s ly a r e ad va n tageou s. A lso elem en ta ry i s th e r e q u ir e ment t h a t th e le a d e r r e a l i z e th a t h is own i n t e r e s t s can be 3®Romulo, Crusade in A sia : P h ilip p in e V ic t o r y , p. 144. 3lU . S. Department o f S t a t e , R eport to th e P r e s i d en t o f th e U n ited S t a t e s by th e U. S. Economic Survey TTis- s io n t o th e P h i l i p p i n e s , Departm ent o f S ta te P u b lic a t io n huITT^ O ctober 9 , 19S0 (""Bell Report") (W ashington: Govern ment P r in t in g O f f ic e , 1 9 5 0 ), p a s s im ; and U. S . , Mutual S e c u r it y A gency, S p e c ia l T e c h n ic a l and Economic M is s io n , P h ilip p in e Land Tenure Reform, A n a ly s is and Recommenda t i o n s , by Robert S. H ardie (M a n ila , ISfiT'i), p a ssim . I l l se r v e d by commitment to th e g o a l o f in s u r g e n t r e m o v a l.32 Commitment w i l l come e a s i e r i f he can s e e how he b e n e f i t s p e r s o n a lly and in what way h is i n t e r e s t s and th o s e o f th e l e g a l government a r e i d e n t i c a l or c o m p a t ib le .33 The l e a d e r s sh o u ld be f r e e from fe a r s o f e v e n tu a l in s u r g e n t v ic t o r y and co n seq u en t r e p r i s a l s . E vidence o f government s u c c e s s in h is own and o th e r a r e a s - - a n d } o f c o u r s e , adequate and ob viou s m ilit a r y s e c u r i t y — w i l l a s s i s t in th e a l l e v i a t i o n o f any such f e a r s . L ocal le a d e r s a re more e a s i l y m o tiv a ted to su p p o rt c o u n te r in su r g e n c y i f th e r e s u l t s o f in s u r g e n t a c t i v i t y are u n d e s ir a b le . They f i r s t s e e ad verse e f f e c t s in term s o f t h e i r im m ediate m a te r ia l i n t e r e s t s , but th ey may a l s o come t o p e r c e iv e t h a t th e in s u r g e n ts ' d e s t r u c t io n o f b a s ic s o c i a l i n s t i t u t i o n s and underm ining o f k in sh ip t i e s and r e l i g i o u s b e l i e f s w i l l damage th e s o c i e t y and th r e a te n t h e i r own p o s i t i o n . In a t r a d i t i o n a l s o c i e t y , a le a d e r l o s e s f a c e i f he does not perform a c c o r d in g t o e x p e c te d norms— in c lu d in g th e p r o t e c t io n o f h i s f o llo w e r s and th e 32M ilton J . R osen berg, " C o g n itiv e S tr u c tu r e and A t t i t u d in a l A f f e c t ," Jo u rn a l o f Abnormal and S o c i a l P sy - c o lo g y , L III ( 1 9 5 6 ) , 3'6?-?2. 33H elen Peak, " A ttitu d e s and M o tiv a tio n ," Nebraska Symposium on M o tiv a tio n , e d . M arsh all R. Jones ( L in c o ln , N ebraska: U n iv e r s ity o f Nebraska P r e s s , 19 5 5 ) , pp. 1 4 9 -8 9 . 112 i n s t i t u t i o n s which s a n c tio n h is l e a d e r s h ip .34, M otivation w i l l be more r a p id ly a c h ie v e d i f th e le a d e r and h is p eo p le can be induced t o focu s t h e i r h o s t i l i t i e s on t h e in s u r g e n t s , ^ e a s i l y done when th e in s u r g e n ts are in f a c t th e cau se o f f r u s t r a t io n . I t i s d e s ir a b le fo r th e in s u r g e n ts t o be seen as d i s t i n c t from th e l o c a l p o p u la tio n — as a "they" g r o u p .33 I n c r e a s in g " v i s i b i l i t y " o f th e in s u r g e n ts as a d i s t i n c t group in c r e a s e s the p o s s i b i l i t y o f t h e i r b e in g th e sc a p e g o a t f o r numerous and o f t e n u n r e la te d prob- lem s. The f e e l i n g sh ou ld be encouraged th a t th e in s u r g e n ts p ose a th r e a t t o th e w e ll- b e in g and com fort o f th e commun i t y and are a so u r c e o f fu tu r e co m p etitio n and c o n f l i c t . 37 3^Helen H. J e n n in g s, L eadership and I s o l a t i o n (New York: Longmans, Green & Co. , It) * + 31 , pp. lb 5-5 y ; W illiam F. Whyte, S t r e e t C om er S o c ie t y : The S o c i a l S tr u c tu r e o f an I t a l i a n Slum (C hicago: The U n iv e r s ity o f C hicago P r e s s , 1343)', pp. 275-68 ; Alan P. Merriam, Congo: Background o f C o n f lic t (E v an ston , 1 1 1 .: N orthw estern U n iv e r s ity P r e s s , 1 3 b u , p. 176; David E. A p ter , The Gold Coast in T r a n s itio n (P r in c e to n , N. J . : P rin c eto n U n iv e r s ity P r e s s , 19SbJ, p. 80; Aidan S o u t h a ll, "K insh ip, F rie n d sh ip , and th e N e t work o f R e la tio n s in K is e n y i, Kampala," S o c ia l Change in Modern A f r i c a , ed . Aidan S o u th a ll (New York: Oxford U ni v e r s i t y P r e s s , 19 6 1 ), p. 36, 3 5 lr v in g L. J a n i s , A ir War and E m otional S t r e s s : P s y c h o lo g ic a l S tu d ie s o f Bombings and C iv ilia n D efense ( 1 s t e d . ; New York: McGraw-Hill Book C o ., I n c . , 1 9 5 1 ), pp. 116- 2 3 , 1 5 3 -7 9 , 2 5 1 -5 3 , 22 1-22. 36jJeonard Berkow itz and Douglas S. H olm es, "The Gen e r a l i z a t i o n o f H o s t i l i t y t o D is lik e d O b jects," Jou rn al o f P e r s o n a lit y , XXVII (1 9 5 9 ), p a ssim . 37Q0rdon W. A l l p o r t , The N ature o f P r e ju d ic e (Cam b r id g e , M ass.: A ddison-W esley P u b lish in g C o ., i n c . , 1 9 5 4 ), pp. .243-60 . 113 I f t h e le a d e r can be brought i n t o c l o s e a s s o c i a t i o n w ith f e l l o w countrym en whose o p in io n he r e s p e c t s and who are a lr e a d y com m itted , th e d e s ir e d a t t i t u d e may be more e a s i l y a c h i e v e d .38 Thus, a t r u s t e d s o u r c e , su ch as a le a d e r from a n o th er a rea or a f r ie n d from th e l o c a l com m unity, can b e s t p r e se n t th e ad van tages o f commitment and th e d i s ad van tag es o f f a i l u r e t o remove th e in s u r g e n t s . Such an in te r m e d ia r y i s l e s s l i k e l y t o be p e r c e iv e d as b ia s e d and can have c o n s id e r a b le in f l u e n c e . I f a le a d e r b e l i e v e s t h a t groups in w hich he d e s ir e s membership are com m itted t o th e rem oval o f in s u r g e n t s , he w i l l be f u r th e r i n f l u e n c e d . 38 I f a le a d e r o p en ly su p p o rts governm ent e f f o r t s in even a sm a ll w ay, h e may move toward g r e a t e r com m itm ent, in consonance w ith h i s p u b lic p o s i t i o n . 1 *8 P u b lic commitment i s encouraged i f a le a d e r makes a sp e e c h o r g iv e s a p ie c e o f news on b e h a lf o f th e government d u rin g a r a l l y or dem o n s t r a t io n . He m ight be b e t t e r prepared t o do t h i s i f h is a d v ic e and c o u n s e l were p r e v io u s ly so u g h t. There sh o u ld be 38H arold H. K e lle y and Edmund H. V o lk a r t, "The Re s i s t a n c e t o Change o f Group Anchored A t t i t u d e s ," American S o c i o l o g i c a l R eview , XVII (A u g u st, 1 9 5 2 ), 4 5 3 -6 5 . 33A lb e r ta E. S i e g e l and S id n ey S i e g e l , "R eference Groups, Membership Groups, and A tt itu d e Changes," J o u rn a l o f Abnormal and S o c ia l P sy c h o lo g y , LV ( 1 9 5 7 ) , 3 6 0 -6 4 . * * 8Leon F e s t in g e r , A Theory o f C o g n itiv e D isso n a n ce (S ta n fo r d , C a lif o r n ia : S ta n fo rd U n iv e r s it y P r e s s , i y 5 / J , pp. 9 0 -9 4 ; Edgar H. S c h e in , "The C h in ese I n d o c t r in a t io n Program f o r P r iso n e r s o f War," P s y c h ia t r y , XIX (May, 1 9 5 6 ), 1 4 9 -7 2 . 11*+ s u i t a b l e rewards f o r each s m a ll g e s tu r e o f su p p o rt t h a t a le a d e r g i v e s . The reward sh o u ld be se e n by him as commen s u r a te w ith th e r i s k in v o lv e d or th e c o n c e s s io n made, but sh o u ld n o t be to o la r g e or to o a t t r a c t i v e . ^ In any c a s e , he sh o u ld n e v e r f e e l fo r c e d t o make even a sm a ll g e s t u r e , but sh o u ld th in k o f i t as b e in g in h i s own b e s t i n t e r e s t . 1 ^ A le a d e r n a t u r a l l y , ta k e s h is cu es from o th e r le a d e r s . T h e r e fo r e , group r ein fo r c e m e n t ten d s t o s t r e n g th en h i s commitment. I f le a d e r s are c a l l e d upon as a group t o d e v is e c o u r se s o f a c t io n su p p o r tin g th e c o u n te r in s u r gency e f f o r t , th e y are l i k e l y t o r e in f o r c e each o t h e r ' s commitment. Leaders from th e same community who have v a r y in g d eg rees o f commitment may d is c u s s th e problem o f in s u r g e n t a c t i v i t y i n t h e i r a r ea and t o g e t h e r d ev elo p s h o r t - and lo n g -r a n g e p la n s o f a c t i o n . I d e a l l y , th e le a d e r s in su ch a group sh o u ld be o f m o r e - o r - le s s e q u a l s t a t u s . ^ The ^ L e o n F e s tin g e r and James H. C a r lsm ith , " C og n itive Consequences o f Forced C om pliance," J o u rn a l o f Abnormal and S o c ia l P s y c h o lo g y , LVIII ( 1 9 5 9 ) , 2 0 3 -1 0 , ^2Jack W . Brehm and A rthur R. Cohen, E x p lo r a tio n s i n C o g n itiv e D isson an ce (New York: W iley 8 Sons'i"Tnc". , 19 6 2 ) , pp'” 9'; " B '4" T f , 6 8 , 2 4 6 -4 8 , 291-92 . ^ M i c h a e l A. W a lla ch , Nathan Kogan, and D aryl J . Bern, "Group I n f lu e n c e on I n d iv id u a l R isk T ak in g," J o u r n a l o f Abnormal and S o c i a l P s y c h o lo g y , LXV ( 1 9 6 2 ) , p a ssim . 115 m a tters t h a t are d e c id e d 44 and a c te d upon45 can be c o n t in ued even a f t e r o u t s i d e r s , such as s o l d i e r s o f government r e p r e s e n t a t i v e s , have l e f t th e a r e a . 45 An a l t e r n a t i v e r e i n f o r c i n g c o n fig u r a tio n i s one i n which th e h ig h e r s t a t u s members are a lr e a d y fa v o r a b ly i n c li n e d tow ard c o o p e r a tin g w ith th e governm ent. I f t h i s c o n fig u r a t io n does n ot in c lu d e o u ts id e a d v is e r s ( s o l d i e r or government o f f i c i a l s ) , th e change in a t t i t u d e i s l i k e l y t o be s t r o n g e r . O u tsid er s may be view ed by th e le a d e r s as fa v o r in g p a r t i c u la r c o u r se s o f a c t io n . W hile t h e i r p r e s ence m ight le a d t o more fa v o r a b le d e c i s i o n s , from th e o u t s i d e r s ’ p o in t o f v ie w , th e le a d e r s w i l l have a g r e a te r 44D aryl J . Bern, M ichael A. W a lla ch , and Nathan Kogan, "Group D ecisio n -m a k in g Under Risk o f A v e r siv e C onse q u en ces," J o u rn a l o f P e r s o n a lit y and S o c i a l P sy c h o lo g y , I ( 1 9 6 5 ), 4 5 3 -6 0 ; Roger Brown, S o c i a l P sych ology (G le n c o e , 1 1 1 .: The Free P r e s s , 1 9 6 5 ), Chapter 1 3 , pp. 656-70 8; W allach , Kogan, and Bern, "Group I n f lu e n c e on I n d iv id u a l R isk T ak in g," l o c . c i t . , pp. 7 5 -8 6 ; M ichael A. W a llach , Nathan Kogan, and D aryl J . Bern, " D iffu s io n o f R e s p o n s ib il i t y and L e v el o f R isk Taking i n Groups," J o u r n a l o f Abnorm- a l and S o c i a l P s y c h o lo g y , LXVIII ( 1 9 6 4 ) , 2 6 3 -7 4 . 45Kurt L ew in, "Group D e c is io n and S o c ia l Change," Readings in S o c ia l P sy c h o lo g y , ed , E lea n o r E. Maccoby, Theodore M . Newcomb, and Eugene L. H a r tle y (3d e d . r e v .; New York: H o lt , R inehart and W in ston , I n c . , 1 9 5 8 ), pp. 1 9 7 -2 1 1 ; E d ith B. P e lz , "Some F a cto r s in ’ Group D e c i s i o n , ’ " R eadings in S o c ia l P sy c h o lo g y , e d . Maccoby, New comb, and H a r tle y , pp. 1 1 2 -2 6 ; Brehm and Cohen, op. c i t . , pp. 8 8 -9 1 . 45D aryl J . Bern, "An E xp erim en ta l A n a ly s is o f S e l f p e r s u a s io n ," J o u rn a l o f E xp erim en tal S o c i a l P sy c h o lo g y , I ( J u ly , 1 9 6 5 ), p a s sim ; Hubert C. Kelman, " P r o c e sse s or O pinion C h a n g e ,* P u b lic O pinion Q u a r te r ly , XXV ( 1 9 6 1 ) , 5 7 - 5 8 . 1 1 6 d eg ree o f commitment t o th e c o u r se a g r ee d upon i f th e y f e e l t h e r e has been no p r e ssu r e upon them from o t h e r s . A perma n e n t a t t i t u d e change i s more l i k e l y i f th e le a d e r s s e e th e p la n as t h e i r p la n . However, under a d v erse c ir c u m sta n c e s , i t m ight be n e c e ss a r y t o have an o u t s id e r p r e se n t t o en courage a d e s ir e d group d e c i s i o n , even though t h i s weakens group commitment. A nother ty p e o f group co m p o sitio n i s t h a t o f an alogou s le a d e r s from d i f f e r e n t com m unities. Such m eet i n g s — i f f e a s ib le - - w o u ld have alm ost th e same e f f e c t as d e s c r ib e d above and in a d d itio n would f a c i l i t a t e fu tu r e co o p e r a tio n among com m u n ities, th u s c o n tr ib u tin g t o n a t io n a l u n i t y . 1 + 7 D e c isio n s on s m a ll, e a s i l y a ccom p lish ed ta sk s a re e a s i e s t to s t a r t w i t h , and th en more d i f f i c u l t ta sk s can be broached l a t e r . D is c u s s io n s sh o u ld p roceed u n t i l the d e c i s io n s are made by c o n s e n s u s .1 *® (There i s some ev id en ce th a t d is c u s s io n a lo n e -- w ith o u t co n se n su s— w i l l le a d to some l*7R en sis L ik e r t , Mew P a tte rn s o f Management (New York: M cGraw-Hill, 1 9 61)7~ p a ssim ; M uzafer S h e r i f , "E xperi- ments in Group C o n f l i c t , ” S c i e n t i f i c A m erican, CXCV (Novem b e r , 1 9 5 6 ), p a ssim ; Norman R. F. M aier, ProbT em -solving D is c u s s io n s and C onferences (New York: McGraw-Hill Book C o ., I n c . , 1 9 6 3 ), p a ssim . **®Bem, W allach , and Kogan, "Group D ecision -m ak in g Under Risk o f A v e r s iv e C o n seq u en ces,” l o c . c i t . , passim . 117 o f th e d e s ir e d r e s u l t s . 4 9 ) In any c a s e , group d is c u s s i o n ten d s t o y i e l d group d e c is io n s w hich a re o f t e n b o ld e r and more r is k y than th e average d e c is io n o f an in d iv id u a l a lo n e . Rewards in term s o f p r e s t i g e , t r u s t , o r m a te r ia l goods f o llo w in g each s u c c e s s i v e s t a g e o f commitment ten d t o s tr e n g th e n a t t i t u d e s . In im p lem en tin g a c t io n program s, t h e f i r s t easy ta s k s which c o s t th e le a d e r s and p e o p le compara t i v e l y l i t t l e are rewarded a c c o r d in g ly . I f t a s k s o f gradu a l l y in c r e a s in g d i f f i c u l t y are fo llo w e d by r e s p e c t i v e l y g r e a t e r rew a rd s, and rewards a r e postp on ed o r d en ied when th e r e s u l t s a re u n a c c e p ta b le , t h e p r o c e ss o f commitment w i l l be s t e a d i l y c a r r ie d forw ard. However, i f t h e r e i s a h i s t o r y o f broken government prom ises i n th e a r e a , i t m ight be n e c e s s a r y t o s t a r t th e o p e r a tio n w ith a s m a ll g i f t f o r th e p eo p le and t h e i r l e a d e r s , so as t o e s t a b l i s h some con fid e n c e on t h e i r p a rt t h a t prom ised l a t e r rewards would be fo r th c o m in g . Rewards, in g e n e r a l, sh o u ld be d i r e c t l y and immedi a t e l y r e l a t e d t o in s t a n c e s o f a c t i v e s u c c e s s f u l coop era t i o n . They sh o u ld be t a n g ib le and , i f p o s s i b l e , r e la t e d t o f u r t h e r a c t io n ( f o r exam p le, ammunition which can be u sed f o r h u n tin g and f o r p a t r o l l i n g a v i l l a g e a t n i g h t ) . They " ^ M ic h a e l A. W allach and Nathan Kogan, "The R oles o f In fo rm a tio n D is c u s s io n , and Consensus in Group R isk Tak i n g ," J o u rn a l o f E xp erim en tal S o c i a l P s y c h o lo g y , I (1965) , p a s sim . I 118 sh o u ld n e v e r be vagu e, i n d i r e c t , or put o f f i n t o an unseen and im p e rso n a l f u t u r e . (An example o f an in a p p r o p r ia te r e ward w ould be th e prom ise o f a b i l l i o n - d o l l a r a id program upon t h e e r a d ic a t io n o f in s u r g e n t s .) The rew ards sh o u ld be ! s y m b o lic a lly a s s o c i a t e d w ith th e n a t io n a l government as much a s p o s s i b l e . The c o n n e c tio n betw een l o c a l a c co m p lish ments and government o b j e c t i v e s must be c l e a r i f n a t io n a l u n ity i s t o grow and th e commitment a g a in s t in su r g e n c y be r e in f o r c e d . The r e l a t i o n s h i p betw een government v ic t o r y and t h e a c tio n s o f th e p e o p le sh o u ld be e s t a b l i s h e d . W hile reward may be w ith h e ld in th e ca se o f f a i l u r e , th e use o f t h r e a t s i s n ot in th e lo n g run u s e f u l . C oercion may fo r c e im m ediate c o o p e r a tio n but i t does n o t in d u ce any tr u e or s t a b l e commitment. 5^ However, an im p erso n a l t h r e a t — t h a t i s , t h a t th e n a tu r a l r e s u l t s o f n o n c o o p e r a tio n w i l l be un p le a s a n t sim p ly b ecau se o f th e p r e v a il i n g c ir c u m sta n c e s— i s SOKelman, " P r o c e sse s o f O pinion Change," l o c . c i t . , p a s sim ; Bern, "An E xp erim en ta l A n a ly s is o f S e lf - p e r s u a s io n ," l o c . c i t . , p a ssim . The e a r ly f a i l u r e o f t h e P h ilip p in e government f o r c e s t o end Huk a c t i v i t y i l l u s t r a t e s t h i s p o in t. L eigh ton and h i s c o lle a g u e s d e s c r ib e th e s i t u a t i o n : "In May 1946, th e Huks . , . opened h o s t i l i t i e s . . . . The governm ent announced a p o lic y o f e x te r m in a tio n , h op in g t o e lim in a t e th e Huk menace in two m onths. Government t r o o p s , i l l - t r a i n e d , p o o r ly e q u ip p e d , and w ith o u t en th u sia sm f o r th e t a s k , took th e f i e l d s l u g g i s h l y p u rsu in g th e s w i f t l y moving Huk b a n d s, s h e l l i n g b a r r io s s u s p e c te d o f h a r b o r in g g u e r r i l l a s , u s in g g e sta p o t a c t i c s t o e x t r a c t in fo r m a tio n from v i l l a g e r s . They made no headway w h a tso e v e r , and i n t e n s i f i e d th e a lr e a d y w id esp read u n p o p u la r ity o f th e r eg im e. . . , L e ig h to n , S a n d e rs, and T in io , The Huk R ebel l io n : A Case Study in th e S o c ia l Dynamics o f I n s u r r e c t io n , p. 23 . 119 n o t as damaging as a d i r e c t t h r e a t o f punishm ent by coun t e r in s u r g e n t p e r s o n n e l. P a r t ic u la r le a d e r s can be s e l e c t e d t o ch a n n el group rewards th rou gh . As d is p e n s e r s o f good t h i n g s , th e le a d e r s have an enhanced s t a t u s and a r e thus encouraged t o i d e n t i f y w ith th e governm ent and c o u n te r in s u r g e n t f o r c e s . The r e wards sh o u ld be s o s e l e c t e d and d i s t r i b u t e d t h a t a maximum number o f i n d iv id u a ls f e e l th e y are g e t t i n g som eth in g f o r t h e i r e f f o r t s . O b v io u sly , th e rewards sh o u ld s u i t th e s e t t i n g , b e in g d eterm in ed on t h e b a s is o f a ss e s sm e n t o f c u lt u r e and c o n s u lt a t io n w it h th e l o c a l le a d e r s . I t must be assumed t h a t a r a n k in g c o u n te r in s u r g e n t s o l d i e r i s a b le t o m onitor th e b e h a v io r o f t h e l o c a l le a d e r s and p e o p le and can e v a lu a t e t h e i r s t a g e s o f commitment and c o o p e r a tio n and reward them a c c o r d in g ly . In o th e r w ord s, someone r e s p o n s ib le f o r p o lic y im p lem en ta tio n must be c lo s e enough t o th e s i t u a t i o n t o e v a lu a t e a c t io n in a way t h a t t h e le a d e r s and th e p e o p le w i l l se e as f a i r . 5 1 ^ D a n i e l K a tz , " M o tiv a tio n a l B a sis o f O r g a n iz a tio n a l B eh avior," B e h a v io r a l S c i e n c e , IX (196*+), 139-*+l. Mag- sa y sa y o f th e P h i li p p i n e s , b o th as S e c r e ta r y o f D efen se and a s P r e s id e n t , i n s i s t e d on th e c lo s e c o n ta c t o f government o f f i c i a l s a n d -m ilita r y o f f i c e r s w ith th e le a d e r s o f th e p e a sa n try a t th e b a r r io l e v e l . O ptim al C o n d itio n s fo r t h e R e lo c a tio n and R e o r g a n iz a tio n o f P e o p le ^ In an in s u r g e n c y -c o u n te r in su r g e n c y s e t t i n g i t i s som etim es n e c e s s a r y ^ to " r e lo c a t e p e o p le b ecau se o f m i li t a r y a c t i o n , f o r c o n t r o l , f o r r e h a b i l i t a t i o n , or b eca u se th e p e o p le concerned are r e f u g e e s . Such r e l o c a t i o n i s o r d in a r i l y a form o f s o c i a l change (o r r e s u l t s in s o c i a l c h a n g e ), and can e x a c e r b a te th e c h a lle n g e t o th e s o c i a l o r d e r . 53 o f c o u r s e , when th e c o n d it io n s o f a community are r e s e n te d by i t s p o p u la ce and are in th e m se lv e s a ca u se o f d i s c o n t e n t , a l i e n a t i o n , and i n c i p i e n t o r a c t u a l in s u r g e n c y , s t r a t e g i c r e s e t t le m e n t may be in o r d e r in a w e ll-p la n n e d and e f f i c i e n t l y e x e c u te d program. O r d in a r ily , h ow ever, th e rem oval o f a p e o p le from a t r a d i t i o n a l d w e llin g p la c e s h o u ld be a v o id ed i f at a l l c o n s i s t e n t w ith m i li t a r y r e q u irem en ts and th e p h y s ic a l s a f e t y o f th e p e o p le . When r e l o c a t i o n i s a n e c e s s i t y , i t may b e s t be a cco m p lish ed w ith c a u tio n and c o n s id e r a t io n . The p r e s s u r e o f tim e and m i li t a r y c ir cu m sta n c es may r e q u ir e th e r e l o c a t i o n o f a p o p u la tio n w ith o u t adequ ate p s y c h o lo g ic a l p r e p a r a tio n . In such c ir c u m s ta n c e s , an e x p la n a tio n sh o u ld be made f o r th e n e c e s s i t y f o r S^This r e l a t i o n s h i p s i t u a t i o n was f i r s t s u g g e s te d by Dr. Andrew R. M olnar, D. M. C o n d it, and L ie u te n a n t C o lo n e l Frank W atson, U .S .A . I t was s e l e c t e d f o r d is c u s s i o n h ere through th e p r o c e s s e s d e s c r ib e d s u p r a , pp. 1 6 -1 8 . 53V id e , Chapter I I , su p r a , pp. 2 9 -3 1 . 121 r e l o c a t i o n ^ 4 in term s o f th e i n t e r e s t s and s a f e t y o f th e community, r a th e r th an in term s o f government o f m i li t a r y i n t e r e s t s w hich do not o b v io u s ly tou ch th e l i v e s o f th e p e o p le con cern ed . I f th e l o g i s t i c s o f th e move p e r m it, th e p e o p le sh o u ld be a llo w e d t o have a l l tr a n s p o r ta b le p o s s e s s io n s th e y w ish t o r e t a in moved w ith them. W hatever i s l e f t be h in d must be im m ed ia tely i n v e n t o r ie d , and co m p en sa tio n , t h a t th e group i t s e l f view s as r e a s o n a b le , w h eth er in kind o r in c a s h , sh o u ld be e f f i c i e n t l y and v i s i b l y a ss u r e d . For th e m se lv e s and th e t h in g s th e y ta k e a lo n g , e f f i c i e n t and f a i r l y co m fo r ta b le l o g i s t i c su p p o rt sh o u ld be p r o v id e d . F i n a l l y , th e r e s e t t le m e n t a r ea sh o u ld be ch osen so as t o a p p e a l to th e group as more a t t r a c t i v e than th e o ld lo c a t i o n . A f t e r an u rg en t r e l o c a t i o n has been made, an e f f o r t can s t i l l be made t o win th e p e o p le t o t h e i r new l o c a t i o n and t o th e rea so n s f o r th e move. Such an e f f o r t in v o lv e s some o f th e f a c t o r s d is c u s s e d b elow . I f tim e i s a v a i l a b l e , a l o c a l p o p u la tio n may be ^4C o e rc iv e power m ight be more e f f e c t i v e in a c h ie v i n g u rgen t r e l o c a t i o n , and a t tim es i t may be n e c e s s a r y ; b u t i t s e x e r c i s e would n o t be w ith in th e meaning o f "optim a l c o n d itio n s " and i t would be l i k e l y t o c r e a te r e s i s t a n c e f o r c e s . V id e , John R. P. F ren ch , J r . , H. W illia m M orrison , and George L e v in g e r , "C oercive Power and F orces A f f e c t i n g C on form ity," J o u rn a l o f Abnormal and S o c ia l P sy c h o lo g y , LXI (J a n u a ry , I 9 6 0 ) , p a s s im ; A lexander H. L e ig h to n , Human R ela- t i o n s in a Changing World (New York: E. P. Dutton C o ., I n c . , 19^9) , pp. 4 4 , 12 4 , 133 , 1 3 8 , 165 , 299. 122 brought t o move v o l u n t a r i l y . 55 When th e group i t s e l f i s amenable t o r e l o c a t i o n , th e move i s v a s t l y f a c i l i t a t e d and th e problems o f adju stm ent t o th e new l o c a t io n are m in i m ized. O p p o sitio n t o th e change w i l l d im in ish i f made f r e e l y and in p u b lic by th e group i t s e l f or i t s r e p r e se n ta t i v e s ( e l e c t e d or t r a d i t i o n a l ) . 56 Thus, th e r e are th r e e f a c t o r s which encourage v o lu n ta ry r e lo c a t io n : one i s th e endorsem ent o f l o c a l le a d e r s ; a n o th er i s th e d e c is io n o f th e p o p u la tio n i t s e l f — or a r e p r e s e n t a t iv e sample o f i t ; th e t h ir d i s a com bination o f th e tw o. The r e l a t i v e e f f e c t i v e n e s s o f th e s e f a c t o r s depends on th e t r a d i t i o n a l means o f e s t a b l i s h in g group g o a ls w ith in th e community and th e r o le th e le a d e r s p la y in fo rm u la tin g and en cou ragin g th e achievem ent o f such g o a ls . The le a d e r or le a d e r s w ith in th e group who can i n flu e n c e th e p o p u la tio n toward ad o p tio n o f th e goa l o f r e l o c a t i o n , and who are comm itted t o some degree (o r amenable to commitment) t o t h a t g o a l, must be i d e n t i f i e d . 5? Then th e means by which th e le a d e r can most e f f e c t i v e l y e x e r c is e power and in f lu e n c e ov er th e p o p u la tio n must be c o n sid e r e d ; 55Peter Rossi, W hy Families Move: A Study in the Social Psychology of Urban Residential Mobility (Glencoe, 111.: The Free Press , 19^5), passlnu 56Lewin, op. c i t . , pp. 330-344. 57yjde, su p r a , pp. 102-119. 123 he may r e q u ir e a d d it io n a l su p p o r t, a p p ro p ria te t o th e c u l t u r a l s e t t i n g , in h is e f f o r t t o encourage group a ccep ta n ce o f th e g o a l . 88 For th e p o p u la tio n i t s e l f t o a c t as a d ecisio n -m a k in g group, two s t e p s seem n ecessary* F i r s t , th e r e lo c a t io n p la n sh ou ld be t r a n s la t e d in t o terms which make i t a group c o n s id e r a tio n r a th e r than an in d iv id u a l one. The needs and g o a ls o f in d iv id u a ls w ith in th e community sh ou ld be d e te r mined^9 and a n a ly z e d , so th a t i t can be dem onstrated th a t some o f them can be met by group e f f o r t s . Thus, p a r t i c i p a t io n in group a c tio n to s a t i s f y in d iv id u a l needs becomes more a t t r a c t i v e . 69 Group f e e l i n g in th e m atter can a ls o be cem ented by accep tan ce o f th e f a c t th a t e x te r n a l th r e a ts t o th e group e x i s t . I f th e problem can be i d e n t i f i e d as be lo n g in g t o th e group, a c o h e siv e n e ss sh o u ld d e v e lo p , and t h i s in turn can le a d to adop tion o f th e r e lo c a t io n plan as a group g o a l . 8- * - For t h i s , th e r e lo c a t io n must be r e la t e d 58John R. P. French, J r . and Bertram Raven, "The Bases o f S o c ia l Power," S tu d ie s in S o c ia l Power, e d . Dorwin C artw right (Ann Arbor: U n iv e r s ity o f M ichigan, 1 9 5 9 ), pp. 1 5 0 -6 7 . 59V id e , p o s t , pp. 127-34 , and Appendix B, p o s t , pp. 293-303 f o r d is c u s s io n on ways t o determ ine n e e d s. 80David K rech, Richard S. C r u tc h fie ld , and E gerton L. B a lla c h e y , I n d iv id u a l in S o c ie ty (New York: McGraw-Hill Book C o ., In c. , 1^(32), pp. 247, 4 0 7 -4 0 8 , 486-530. ^ L eo n a rd B erk ow itz, "Group S tan d ard s, C o h esiv e n e s s , and P r o d u c tiv ity ," Human R e la t io n s , VII (November, 1 9 5 4 ), p a ssim . 124 to th e fu tu r e w e ll- b e in g o f th e l o c a l p o p u la tio n , and th e g o a ls o f th e r e lo c a t io n p la n must o f f e r som ething in terms o f th e p e o p le 's own v a lu e sy stem . F u rth er, th e g o a ls must be s t a t e d as c le a r ly as p o s s i b l e , and th e p eop le sh o u ld p a r t ic ip a t e in t h e i r d e te r m in a tio n . C le a r ly s t a t e d and understood g o a ls are more r e a d ily a ccep ted by a g r o u p .62 W hile g e n e r a l g o a ls d e fin e d by th e group i t s e l f may be vague and am biguous, a s p e c i f i c a l l y d e sir e d a c tio n seems b e t t e r se rv e d by th e e n u n c ia tio n o f a c le a r l y s t a t e d g o a l. F in a ll y , accep tan ce o f r e lo c a t io n as a group g o a l sh o u ld be p e r c e iv e d as. an in t e r n a l d e c i s i o n , not as an e x t e r n a l ly im posed d e c i s i o n . 6 3 The p o p u la tio n w i l l be more amenable to th e ch an ge, and th e adjustm ent w i l l be more r a p id , i f th e r e lo c a t io n can be p e r c e iv e d as h a v in g r e l a t i v e advantages ( o f f e r in g economic o p p o r tu n ity , g r e a te r com fort or b e a u ty , and so f o r t h ) , and as b ein g com p atib le w ith e x i s t i n g v a lu e s and th e p a st e x p e r ie n c e s o f the group; i f th e rea so n s f o r i t are e a s i l y u n d erstood ; i f i t can be accom plish ed in s t a g e s or p h a ses; and i f th e r e s u l t s o f e a r ly s t a g e s (o r th e ex 62 Bertram H. Raven and Jan R ietsem a, "The E f f e c t s o f V aried C la r it y o f Group Goal and Group Path Upon th e In d iv id u a l and H is R e la tio n t o His Group," Human R e la t io n s , X (F eb ru ary, 19 5 7 ) , 35. 6^Kurt Lewin, " F ro n tiers in Group Dynamics: I ; Concept Method and R e a lit y in S o c ia l S c ie n c e ; S o c ia l E q u ilib riu m and S o c ia l Change," Human R e la t io n s , I (Febru a r y , 1 9 4 8 ), 5 -4 1 . 12 5 p e r ie n c e s o f r e lo c a t io n by o th e r s) can be communicated t o the g r o u p .64 Whether or n ot th e r e lo c a t io n can be a c ce p ted as a group d e c i s i o n , i t can be made e a s i e r fo r the p eo p le who must move and f o r th e p eop le who must move them. The new area sh o u ld be s e l e c t e d w ith c a r e , and i t s advan tages over th e o ld em phasized. In alm ost any p l a c e , th e r e are some a sp e c ts o f th e environm ent which th e p eo p le fin d in a d e q u a te , u n d e s ir a b le , or f r u s t r a t in g . I f th e s e can be d e t e r mined and a new lo c a t io n found where th e y are m inim al or la c k in g , e f f e c t i v e a p p eals fo r r e lo c a t io n in th e group's own term s can be made. A d d itio n a l rea ssu ra n ce can be p rovid ed f o r th e p eop le by c a r e f u lly p la n n in g th e l o g i s t i c s o f th e move in advance s o t h a t th e r e lo c a t io n w i l l p roceed sm oothly w ith minimal a d d it io n a l s t r e s s e s fo r th o s e b e in g r e lo c a t e d . Once a g a in , com pensation sh o u ld be f a i r , f u l l , and f a s t . S t a b i l i t y o f r o le s and ex p e cted b eh a v io r sh o u ld be d i s tu rb ed as l i t t l e as p o s s i b l e . I d e n t i f i a b l e subgroups sh o u ld be kep t to g e th e r w ith le a d e r s o f th e s e u n its a c tin g as d isse m in a to r s o f orders and i n s t r u c t i o n s . Under no con d it io n s sh o u ld f a m ilie s be a r b i t r a r i l y broken up. During th e cou rse o f th e move, even i f i t was n ot a group d e c is io n , th e group o r i t s le a d e r s h ip sh o u ld be given 64E v e r e tt M. R ogers, D iff u s io n o f In n o v a tio n s (New York: Free P ress o f G len coe, 1 9 6 2 ), p p . '1 2 1 -4 7 . 126 th e o p p o rtu n ity t o s e l e c t a l t e r n a t i v e ways o f doin g c e r t a in t h i n g s . S u b s ta n tiv e ta sk s and d e c is io n s t o be made sh o u ld be g iven t o th e group, i t s l e a d e r s , and v a rio u s subgroups as soon as th e p o p u la tio n has reached i t s new l o c a t i o n . A l l e f f o r t s sh ou ld be q u ic k ly and f u l l y rewarded in term s o f c u lt u r a l v a lu es ( t h a t i s , money, p r a i s e , s t a t u s , m ed als, or w hatever i s a p p r o p r ia te ). The p o p u la tio n , r e g a r d le s s o f t a s k s perform ed, sh o u ld q u ic k ly be rew arded, i f only f o r th e f a c t o f havin g made th e move. These advantages o f r e lo c a t io n which were p r e se n te d t o th e p e o p le in p r e p a r a tio n f o r th e move sh ou ld now tak e t a n g ib le form. With a l l t h i s , i t i s im p ortan t th a t r e lo c a t io n n o t be undertaken l i g h t l y — th a t i t be planned only fo r o v er r id in g m ilit a r y req u irem en t. E s p e c ia lly in t r a d i t i o n a l s o c i e t i e s , th e r e are deep r e l i g i o u s and a n c e s t r a l a t t a c h m ents to la n d and home o f b i r t h . These attachm ents can make th e problem very great in d e e d , d e s p ite a l l e f f o r t s a t p r e p a r a tio n and p e r s u a s io n .65 6 £ i T h e p r in c ip a l r e lo c a t io n p r o je c t undertaken d u rin g th e P h ilip p in e co u n terin su rg en cy campaign was n o t p a r t o f any t a c t i c a l scheme t o ev acu ate c i v i l i a n s from an a r e a o f heavy f i g h t i n g . The Economic Development Corps (EDCOR) was e s t a b l i s h e d (w ith funds a p p ro p ria ted as p a r t o f th e Army bu dget) t o lu r e Huks i n t o su rr e n d e r in g by e s t a b l i s h i n g Huk p r is o n e r s and t h e i r f a m ilie s in new s e tt le m e n t s w ith the o p p o rtu n ity t o buy t h e i r own lan d on easy c r e d it and become s e l f - s u f f i c i e n t , and t o p rov id e a model fo r a g ra ria n reform f o r th e country as a w h ole. In f a c t , on ly about 30 0 f a m ilie s were r e s e t t l e d under EDCOR du rin g the a c t i v e in s u r g e n c y , b u t the p s y c h o lo g ic a l im pact o f t h i s program was s i g n i f i c a n t . W hile i t does n o t comport p re c i s e l y w ith th e d is c u s s io n on th e problem o f t a c t i c a l Needs and I n t e r e s t s o f Rural and/or* Poor P o p u la tio n s The needs and i n t e r e s t s o f im p o verish ed r u r a l p eo p les are l o g i c a l l y o f concern t o th e p olicy m ak er and to the c o u n te r in su r g e n t in h i s r e la t io n s h ip s w ith l o c a l popu la t io n s . I t i s p r e c i s e ly among th e r u r a l poor th a t in s u r gency i s l i k e l y t o have ap p eal and in t h e i r areas th a t t a c t i c a l a c tio n i s most l i k e l y t o ta k e p la c e in modern i n s u r g e n c i e s .66 A p p r e c ia tio n o f th e neecis and i n t e r e s t s o f an im p o verish ed p ea sa n try can le a d t o rem ed ia l a c tio n and a p p ro p ria te a p p ea ls can change or r e d ir e c t a l o c a l p op u la t i o n ' s p e r c e p tio n o f "m alignancy” i n th e s o c i e t y in which they l i v e . 6 ^ I f i t were a p r a c t i c a l p o l i t i c a l p o s s i b i l i t y , the s a t i s f a c t i o n o f a l l th e needs and i n t e r e s t s o f such a p o p u la tio n would remove ordinary ca u se s o f d is c o n te n t and a l ie n a t i o n . Awareness o f an o v e r t , s i n c e r e , attem pt t o f i l l t h e i r needs can awaken th e sympathy or weaken th e a n tip a th y o f a p o p u la tio n t o th e c o u n te r in su r g e n t e f f o r t . r e lo c a t io n ( e s p e c i a l l y s i n c e th e r e s e t t l e d Huks were w ith out homes and lan d and im prisoned a t th e tim e o f th e r e s e tt le m e n t ) , t h e p r e p a r a tio n s made f o r th e EDCOR program can be p r o f it a b ly s t u d ie d by th o s e c o n tem p la tin g s t r a t e g i c r e l o c a t i o n s . V id e , S c a f f , The P h ilip p in e Answer to Commun ism , pp. 3 7 -3 8 , e t p a ssim . There was one in s ta n c e when a v i l l a g e (San L u is , Pampanga, th e home o f L uis Taruc) was tr a n sp la n te d and the v i l l a g e r s made more p rosp erous and happy as a r e s u l t . V a le ria n o and Bohannan, op. c i t . , pp. 22 4 -2 5 . 66V id e, Chapter I I , su p r a , pp. 5 6 -6 4 . 6 ^V id e, Chapter I I , su p r a , pp. 4 9 -5 1 . 128 E f f e c t i v e a c t io n a lo n g t h e s e l i n e s would depend upon i d e n t i f i c a t i o n o f a m b itio n s , a s p i r a t i o n s , and need d r iv e s among t h e l o c a l p e o p l e s , and r e c o g n it io n o f th e t r a d i t i o n a l means f o r a c h ie v in g them w ith in th e c u lt u r e . The needs o f any p e o p le may be c l a s s i f i e d on a s c a l e ra n g in g from p o s i t i v e t o n e g a t iv e : a s p i r a t i o n s , e x p e c t a t i o n s , f r u s t r a t i o n s . P a r t ic u la r needs both in c lu d e , and a r e subsumed u n d er, th o s e n eeds d e sc r ib e d in Appendix A o f t h i s r e p o r t: pow er, e n lig h te n m e n t, w e a lth , w e l l- b e i n g , s k i l l , a f f e c t i o n , r e s p e c t , and r e c t i t u d e . 68 i n Appendix B o f t h i s r e p o r t ways o f making c u l t u r a l a sse ssm e n ts are d i s c u sse d . 69 A l l o f t h e s e methods a re r e le v a n t t o th e d e t e r m in a tio n o f n eed s in th e c o n te x t o f t h i s problem . There a re a l s o o th e r methods which can be u sed in th e i d e n t i f i c a t i o n o f n e e d s , and some v a r ia t io n s or r e f i n e ments on methods a lr e a d y d is c u s s e d sh o u ld be n o te d . A l l o f th e methods d e s c r ib e d below have been used in one form or a n o th er fo r i n q u i r i e s made in o th e r c u lt u r e s (some o f them n on -W estern ). N e v e r t h e le s s , t h e i r p o t e n t i a l u s e f u ln e s s and o c c a s io n a l s u c c e s s f u l use does n o t o b v ia te th e o f t - r e p e a t e d c a u tio n t o a v o id th e appearance o f p r y in g or sp y in g and t o be aware o f and com pensate f o r , i f n e c e s s a r y , th e ten dency o f p e o p le q u e s tio n e d t o t e l l th e in q u ir e r what he wants to 68V ide, Appendix A, p o s t , pp. 256-59. 69V ide, Appendix B, p o s t , pp. 293-312. 129 h e a r . An a d d it io n a l c a u tio n i s n e c e ssa r y : t o ask a group o f p eop le what t h e i r needs a r e , may be t o arou se e x p e c ta t io n s w h ich , i f n o t s a t i s f i e d , w i l l in c r e a s e t h e i r d is c o n te n t . S in ce i t may be im p o s s ib le t o employ th e more s y s te m a tic su rvey methods d is c u s s e d b elo w , a rough determ ina t io n o f l o c a l needs may be made by use o f in fo r m a n ts. In in s ta n c e s where l i t t l e p r io r in fo r m a tio n e x i s t s , th e use o f in form an ts and area e x p e r ts sh ou ld p recede any e f f o r t t o d evelop and use su rv e y s and q u e s t io n n a ir e s . The use o f inform ants i s d is c u s s e d t o some e x te n t in Appendix B under th e head in g "Depth I n t e r v ie w ." 7 1 ^ I t seem s on ly n e c e ss a r y to add here th a t l o c a l le a d e r s (t h o s e who are o f th e p e o p le , not o f f i c i a l s s e n t from a c e n t r a l a u th o r ity ) are g e n e r a lly more aware o f th e m otives o f t h e i r group members than are n o n le a d e r s .71 L eadership s t a t u s i s l a r g e ly d e pendent upon su ch know ledge. Thus, i t may be p o s s ib le to o b ta in u s e f u l in fo r m a tio n from a few su ch s o u r c e s . Another good inform ant so u r c e i s th e i n d iv id u a l who i s moving up in s t a t u s or p o s it io n in h is s o c i e t y (ju d ged by h is own occu p a tio n , s t y l e o f l i f e , e t c . , as c o n tr a s te d w ith th o s e o f 70V id e , Appendix B, p o s t , pp. 301-302 . 71C e c il A. Gibb, "L eadership," S p e c ia l F ie ld s and A p p lic a t io n s , V o l. I I o f Handbook o f S o c ia l P sy c h o lo g y , ed. Gardner- L in d ze y , pp. 8 8 2 -8 3 j Kalma Chowdhry ana Theoaore M . Newcomb, "The R e la tiv e A b i l i t i e s o f Leaders and N on -lead ers t o E stim a te O pinions o f T h eir Own Groups," Jou rn al o f Ab normal and S o c ia l P sy c h o lo g y , XLVII ( 1 9 5 2 ), 5 1 -5 7 . 130 h is p a r e n ts ). Such a p erson i s l i k e l y to be k n o w led g ea b le, i n t e l l i g e n t , and p e r c e p tiv e enough t o have observed and r e f l e c t e d upon th e f e e l i n g s o f the group, and he may be more a b le and w i l l i n g t o communicate h is o b s e r v a tio n s .* ^ To e s t a b l i s h an in fo r m a n t's r e fe r e n c e group— from w hich he w i l l d e r iv e h is in t e r p r e t a t io n s o f t h a t which he o b s e r v e s - - t h e r e are s e v e r a l methods: f i r s t , th e in d iv id u a l can be asked what group he se e s h im s e lf a member o f ; s e c ond, o th e r s can be asked w hether th e y c o n sid e r t h i s i n d i v id u a l a member o f t h e i r group. I f both th e in d iv id u a l and o th e r s s e p a r a t e ly agree t h a t he i s a member o f th e group, he i s l i k e l y to r e p r e se n t th e view s and i n t e r e s t s o f t h a t group, and— i f he i s a r t i c u l a t e — t o be a good in form an t. A d d itio n a l in fo r m a tio n may be gain ed by f in d in g out whom th e p o t e n t i a l inform ant a s s o c ia t e s w it h , whom he a c t s , d r e s s e s , or sp eak s l i k e , and so fo r t h . The g e n e r a l u t i l i t y o f l i s t e n i n g t o a l l c o n v e rsa t i o n s f o r c lu e s to c u lt u r a l v a lu es and needs i s d is c u s s e d in some d e t a i l in Appendix B . ^ Under c e r t a in circum s t a n c e s , t h i s procedure m ight be fo rm a lize d by o r g a n iz in g sm a ll d is c u s s io n groups w ith in the community and p r o v id in g them w ith g e n e r a l e x p r e s s io n to p ic s d e sig n ed t o b r in g out needs by e x p r e s s io n o f h o p e s, e x p e c t a t io n s , f r u s t r a t i o n s , ^^Kurt Back, "The W ell-Inform ed In form an t," Human O r g a n iz a tio n , XIV (W in ter, 1 9 5 6 ), 3 0 -3 3 . *^3vide , Appendix B, p o s t . , pp. 299-301. 131 and f e a r s . 7 1 + B aclagon r e p o r ts t h a t du rin g th e P h ilip p in e anti-H uk cam paign, a s e r i e s o f " h e a r t-to -h e a r t" t a lk s r e s u l t e d i n th e su r r e n d e r o f a g r ea t many sm a ll arms w hich c o u ld have been s u p p lie d t o th e H u k s.7^ A g a in , th e cau t i o n s so o f te n r e p e a te d in t h i s stu d y apply h e r e , and th e r e i s one a d d it io n a l c a u tio n : i f th e p eo p le f e e l th a t th e y a r e b e in g herded l i k e s c h o o lc h ild r e n , t h e i r d is c u s s io n s are n o t l i k e l y t o be v e r y r e v e a lin g . O b serv a tio n i s a s im p le but v a lu a b le way t o i d e n t i f y needs and i n t e r e s t s . One s y s t e m a t ic approach would be t o d ev elo p a sim p le c a te g o r y sy stem w h erein o b served b e h a v io r c o u ld be reco rd ed and th en in f e r e n c e s made about m otives and a t t i t u d e s . 7^ For exam p le, o b s e r v a tio n s on th e amount o f tim e d e v o ted t o form al and c er em o n ia l g r e e tin g s can s u g g e s t th e r e l a t i v e im portance o f form al c o u r te s y . A d is c u s s i o n o f th e g e n e r a l im portance o f o b s e r v a tio n can be e x te n d e d , in terms o f ex a m p le, to i n f i n i t y . One can ob serve t h e r i t u a l l i f e o f th e community ( l i k e l y to r e f l e c t th e p e o p le 's b a s ic n e e d s ); t h e way sp a c e and m a te r ia l r e so u r c e s a r e a l l o c a t e d t o v a r io u s a c t i v i t i e s and p e r so n s ; "^George A. K e lly , "Europe's M atrix o f D e c is io n ," Nebraska Symposium on M o tiv a tio n , e d . M arsh all R. Jones ( L in c o ln : Nebraska U n iv e r s it y P r e s s , 1 9 6 2 ), p a ssim . 75B aclagon , op. c i t . , p. 182. 76V ic to r B. C lin e and James M. R ic h a r d s, J r . , "Ac curacy o f I n te r p e r s o n a l P e r c e p tio n — A G eneral T rait?" J o u rn a l o f Abnormal and S o c i a l P sy c h o lo g y , LX (Ja n u a ry , 1 9 6 0 ), 1 - 7 . 132 who in th e community r e c e iv e s d e fe r e n c e ( o f t e n he w i l l be a v a lu e c a r r i e r ) ; how c h o ic e s f a l l in a l t e r n a t i v e s i t u a t i o n s ; what p eop le pay a t t e n t io n t o and say i s im p ortan t; th e p o in t s o f d is c u s s io n th a t evoke e m o tio n a l r e a c t i o n s ; behav i o r t h a t i s rewarded and th a t i s p u n is h e d .77 A su rvey i s perhaps th e most s y s te m a tic and most l i k e l y to produce v a lid r e s u l t s o f th e s e v e r a l means o f in q u iry d is c u s s e d . The use o f su rveys t o o b ta in in fo r m a tio n can be based on e la b o r a te and very t e c h n ic a l procedures and d ata a n a ly s is or can be r e l a t i v e l y s im p le . Surveys can be conducted by use o f in te r v ie w or by q u e s tio n n a ir e . E ith e r tech n iq u e can be used to su rvey an e n t i r e p o p u la tio n o f a community, a sam ple o f th e p o p u la tio n , or c e r ta in key e l e ments o f th e p o p u la tio n . The u se o f a s i m p l i f ie d su rvey sh o u ld be p r a c t i c a l fo r u se in th e f i e l d , i f th e coopera t io n o f l o c a l a u t h o r it ie s and a c c e ss t o th e p eo p le can be arranged. The fo llo w in g d is c u s s io n la y s th e ground r u le s f o r such an in q u ir y . In th e use o f q u e s t io n n a ir e s , i t i s d e s ir a b le t o have a sta n d a r d iz e d and s tr u c tu r e d form at s o t h a t th e same q u e s tio n s a re asked o f e v e r y o n e .78 Only in t h i s way can 77Robin M . W illia m s, "What i s Meant by V alue," American S o c ie t y : A S o c i o lo g i c a l I n t e r p r e t a t io n (2d e d . ; New York: Knopf, 1 9 6 0 ), pp. 3 9 9 -4 0 8 . 78Robert L. Kahn and C harles F. C a n n e ll, The Dynam- i c s o f In te r v ie w in g (New York: W iley 6 S o n s, 195 7 ) , pp. 10 8-2 3 . 133 comparable o p in io n s be o b ta in ed and judgem ents made. The q u e s tio n n a ir e te c h n iq u e i s e s p e c i a l l y u s e f u l when i t i s s u sp e c te d t h a t in s u r g e n ts are p r e se n t and l i k e l y t o make r e p r i s a l s a g a in s t in fo r m e r s. The su rv ey o f an e n t ir e p o p u la tio n , w ith o u t e x c e p t io n , p r o t e c t s th o s e who are w i l l i n g t o g iv e in fo r m a tio n . I f " p a r tia l" in fo rm a tio n must be o b ta in ed q u ic k ly , in te r v ie w in g s e l e c t e d elem en ts o f a community i s more de s i r a b l e . Such in te r v ie w s are b e t t e r l e f t in fo rm a l and un s t r u c tu r e d . The in t e r v ie w e r , as a ty p e o f com m unicator, sh ou ld be one who i s b e lie v e d by th o s e in te r v ie w e d t o be tru stw o r th y and to have ex p e rt k n o w l e d g e . 79 He sh o u ld a l s o be em p a th etic w ith th o s e whom he in te r v ie w s and have a com p le t e u n d erstan d in g o f th e l o c a l la n g u a g e. The use o f in d ig en o u s p erson s i s an advantage when a f o r e ig n e r o r o u t s i d e r may p r e se n t an a d v e r se im age. I n c r e a s in g ly , th e r e are p eo p le a v a ila b le in alm ost any c u ltu r e who have r e c e iv e d some t r a in in g in su rvey in te r v ie w in g — e i t h e r fo r p r iv a te firm s or fo r government. I f th e s e p eo p le are a v a ila b le t o th e c o u n te r in su r g e n t s o l d i e r , t h e i r use m ight w e l l be c o n sid e r e d . When a s y s t e m a tic op in ion su rvey c o v e r in g l e s s than th e t o t a l p o p u la tio n i s u se d , an adequate sam ple sh ou ld be 7^Carl I . H ovland, I r v in g L. J a n i s , and Harold H. K e lle y , Communication and P er su a sio n (New Haven: Y ale U ni v e r s i t y P r e s s , 1 3 5 3 }, pp. 2 1-22. 134 s e le c t e d * Sam pling can be a c o m p lic a te d and t e c h n i c a l problem , b u t f o r t h e l im i t e d and p r a c t i c a l p u rp oses o f th e f i e l d s o l d i e r , a few g u id e lin e s can be s e t f o r t h . S in c e i n t e r p r e t a t i o n s o f a c u ltu r e vary from each i n d i v i d u a l ' s p o s i t i o n t h e r e s h o u ld be an e f f o r t t o in c lu d e r e p r e s e n ta t i v e s o f e v e r y im p o rta n t e le m en t w ith in a p a r t i c u la r popu l a t i o n in th e sam ple: th e r e sh o u ld be th e young and th e o l d , men and women, farm ers and t r a d e r s , w ea lth y and p o o r , and o th e r f u n c t i o n a l , n a t u r a l , o c c u p a t io n a l, and e t h n ic e le m e n ts . The sam ple sh o u ld a l s o in c lu d e th o s e who have " b ridges" t o groups o th e r than th e one t o w hich th e y p r im a r ily b e lo n g . ( B ilin g u a lis m i s one i n d i c a t o r . ) T r a d it io n a l ways o f f u l f i l l i n g n eed s w i l l be d i s c o v er ed as t h e need s th e m se lv e s are i d e n t i f i e d . O bserva t i o n may prove t o be th e s i n g l e most im p o rta n t te c h n iq u e fo r f in d in g su ch t r a d i t i o n a l m eans, bu t a l l te c h n iq u e s w i l l c o n t r i b u t e . (The c u l t u r a l a sse ssm e n t te c h n iq u e s o u t lin e d in A ppendix B can be u s e f u l a l s o . ) ® ! U n fa v o ra b le H i s t o r i c a l and Contemporary Images o f S o ld ie r s or P o lic e Major G eneral Edward G. L ansdale and o th e r v e te r a n s O^Two o b se r v e r s have r e p o r te d on t h e needs o f p e a sa n t v i l l a g e r s d u rin g t h e Huk in s u r g e n c y . A v a r ie t y o f te c h n iq u e s were a p p a r e n tly u sed t o o b ta in t h e in fo r m a tio n , b u t i t i s c l e a r t h a t o b s e r v a tio n and in t e r v ie w were among them— V a le r ia n o and Bohannan, op . c i t . , pp. 3 4 -4 0 , 41. ® !yide, Appendix B, p o s t . 293-312. 135 and o b ser v er s o f c o u n te rin su r g e n c y were quoted in Chapter I as s a y in g e m p h a tic a lly t h a t th e c o u n te r in su r g e n t s o l d i e r i s th e most v i s i b l e sym bol o f government a rem ote l o c a l popu l a t i o n i s l i k e l y t o know .82 Because uniform ed men, s o l d ie r s and p o lic e m e n , e n fo r c e th e laws o f th e p o l i t i c a l sy s te m , t h e i r b e h a v io r g r e a tly a f f e c t s th e f e e l i n g s o f th e l o c a l c i v i l i a n s toward government in g e n e r a l. A fa v o r a b le image o f th e c o u n te r in su r g e n t i n uniform i s a r e q u i s i t e a s s e t t o th e governm ent; an u n fa v o ra b le image i s a l i a b i l i t y th e government can i l l a f f o r d . In d e ed , i f th e s o l d i e r i s se e n as c r u e l , c o r r u p t, a r r o g a n t, u n f a ir , or o th e r w ise r e p r e s s i v e , t h i s may be p e r c e iv e d as a m alignancy fo r which in su r g en cy i s a rem ed y.88 The s o l d i e r ' s b eh a v io r a l s o has b e a r in g on th e i s s u e o f s t r a t i f i c a t i o n . 8^ I f segm ents o f a p o p u la tio n are a s s e r t i n g t h e i r e q u a lit y or t h e i r a s p ir a t io n f o r new p o s i t i o n in s o c i e t y , t h e p e r c e iv e d o v e r lo r d sh ip o f uniform ed men w i l l c e r t a i n ly evoke t h e i r h o s t i l i t y . Both th e o v e r t b e h a v io r o f uniform ed men and th e s u b j e c t iv e p e r c e p tio n s o f th e c i v i l i a n p o p u la tio n b ea r upon th e image which w i l l in f a c t be c a s t , and one a f f e c t s th e o th e r . When a s e n s e o f s o c i a l and p h y s ic a l d is ta n c e be tween th e uniform ed s e r v i c e s and th e p eop le has been 82V id e , Chapter I , s u p r a , pp. 4 -5 . 88V id e , Chapter I I , s u p r a , pp. 4 9 -5 1 . 8^V ide, Chapter I I , s u p r a , pp. 3 6 -3 7 . 136 c r e a te d , t h e s e r v i c e s ten d t o b eh ave, or are th ou gh t t o d is p la y t h e i r resen tm en t o f such tre a tm en t and thus i n v i t e fu r th e r h o s t i l i t y on th e p a r t o f s o l d i e r s or p o lic e m e n . The problem i s r e a l l y one o f b reak in g t h i s downward c y c le o f in te rg r o u p r e l a t io n s by red u cin g t e n s io n s between th e tw o g r o u p s--th e c i v i l i a n p eo p le and uniform ed p e r s o n n e l .88 To begin a r e d u c tio n in t e n s i o n , th e s o l d i e r and policem an must c e a s e th o s e a c t i v i t i e s which a re o b j e c t i v e ly u n fa ir or which are o f f e n s i v e in c u l t u r a l p e r c e p tio n . I f su ch p r a c t ic e s can be c u r t a i l e d , th e problem i s w e ll on i t s way to s o l u t i o n s in c e i t s major cau se w i l l have been r e moved. W ithout c u r ta ilm e n t o f o f f e n s i v e a c t i o n , th e prob lem w i l l be c o n tin u a l or r e c u r r in g . F a cto rs m entioned in t h e d is c u s s io n o f commitment o f l e a d e r s , knowledge o f th e c u lt u r e , and the p r i n c ip l e s o f communication d is c u s s e d in Appendix C a l l m ight be u s e f u l in p ersu a d in g uniform ed s e r v ic e u n it s to change t h e i r a t t i t u d e . 88 The change in the Armed F orces o f th e P h ilip p in e s , brought abou t e s s e n t i a l l y by Ramon Magsaysay as S e c r e ta r y o f D e fe n se , marked a tu r n in g p o in t in c o u n te rin su r g e n c y a c tio n and was p rob ab ly th e s i n g le most e f f e c t i v e d e v e lo p ment in tu r n in g th e t id e a g a in s t the Huks. B efore th e 88Robin M . W illia m s, The R eduction o f In terg ro u p T e n s io n s , B u lle t in 5 7 (New York: S o c ia l S c ie n c e R esearch C o u n c il, 1 9 4 7 ), passim . 86V id e, s u p r a , pp. 102-1 9 ; and Appendix C, p a ssim . 137 appointm ent o f M agsaysay, much o f th e burden o f c o u n te r in surgency a c t io n was p la c e d on th e P h ilip p in e C onstabulary which was i n e f f e c t i v e as a m ilit a r y fo r c e and d is c r e d it e d in th e e y e s o f th e p e o p l e . N o t a t y p i c a l were th e c a se s o f crim es r ep o rted by th e w ell-know n j o u r n a l i s t , Leon 0. T y: A nother a p p ro p ria te t i t l e fo r t h i s a r t i c l e would be , "MURDER AT DAW N" b ecau se i t was a t daybreak l a s t A p r il 21 when a group o f b l o o d - t h i r s t y members o f th e Bulacan co n sta b u la ry sh o t two in n o cen t men— a fa th e r and h is so n — in B arrio P e r e z , some fo u r k ilo m e te r s away from th e m u n ic ip a lity o f Meycauayan, B ulacan. W ill t h i s c a se end j u s t l i k e th e murder o f two farm ers in B a rrio M anatal, P a n d i, B u lacan , in December, 1946? . . . Then th e r e was th e mass k i l l i n g o f 49 c i v i l i a n s in B a rrio M asico in P i l a , Laguna, s e v e r a l months ago. The M P murderers were a l s o known and th e re were e y e w it n e s s e s t o th e m assacre. But no case was f i l e d because "the v ic tim s were e i t h e r Huks or Huk s u s p e c t s ." So what? Are Huks n o t p e o p le , e n t i t l e d t o j u s t i c e ? 88 The army, t o o , was i n e f f e c t i v e and c o rr u p t. Many h ig h -ra n k in g o f f i c e r s had gained t h e i r p o s i t i o n through fam ily c o n n e c tio n s and fa v o r s to p o l i t i c a l le a d e r s . Army trea tm en t o f th e p eop le was a r b itr a r y and a b u siv e . P eople p a s sin g through army check p o in ts in Huk areas were de la y e d , manhandled, and d en ied c o u r te s y , w h ile a t th e same tim e ask ed fo r g r a t u i t i e s in money or goods (which were 8?A. H. P e te r s o n , G. C. R ein h a rd t, and E. E. Conger ( e d s . ) , Symposium on th e Role o f Airpower in C ou n terin su r gency and U n con ven tion al W arfare: T h e" P h ilip p in e Huk Cam paign (S an ta M onica, C a l i f . : The RAND C o r p o r a tio n , 196 3) , 88Leon 0. T y, "Double Murder," P h ilip p in e s Free P r e s s , May 15, 1948, pp. 4 - 5 , 57. 138 u s u a lly fo rth co m in g s in c e th e s o l d i e r p o s s e s s e d both arms and th e a u th o r ity t o l e t in d iv i d u a l s p a s s ) . Magsaysay was a p p o in te d S e c r e ta r y o f D efen se in Septem ber, 195 0. H is a t t e n t io n was im m ed ia tely g iv e n t o th e armed f o r c e s . S c a f f r e p o r ts : The f i r s t move was th e r e o r g a n iz a tio n o f th e armed f o r c e s , i n t e g r a t in g th e C on stab u lary w ith th e army and c r e a t in g a u n i f i e d command under th e C h ie f o f S t a f f . G eneral Dunque was promoted t o t h i s p o s i t i o n and began a t once in January 1951 t o a t t a c k th e problem o f army m o ra le. U n d e sira b le o f f i c e r s and men were d isch a rg e d or r e t i r e d ; e f f e c t i v e o f f i c e r s were prom oted. S a la r ie s and a llo w a n c e s were in c r e a s e d . Perform ance in th e f i e l d r e c e iv e d s p e c i a l r e c o g n it io n . Abuse o f c i v i l i a n s was s e v e r e ly p u n ish ed . For exam p le, m i li t a r y i n t e l l i gence a g e n ts who manhandled a newsman and a b ook store o p e r a to r were fa c e d w ith im m ediate co u rt m a r tia l . . . Magsaysay s a id in a r a d io a d d r e s s , "I f e l t th a t b e fo r e we c o u ld meet th e peace and o r d e r problem in e a r n e s t , i t was n e c e s s a r y f i r s t t o r e s t o r e th e c o n fid e n c e o f our p e o p le in t h e i r armed f o r c e s . " 88 I l l u s t r a t i v e o f th e pace a t w hich Magsaysay and G eneral Duque began t h i s "shak e-u p1 1 o f th e armed f o r c e s i s t h i s sta te m e n t by C arlos Q u irin o: S e c r e ta r y Magsaysay in th e f i r s t s i x months o f h i s te n u r e e i t h e r f i r e d , r e l i e v e d or t r a n s f e r r e d more than 300 o f f i c e r s and 3,000 e n l i s t e d men who w ere found g u i l t y o f v a r io u s o f f e n s e s ra n g in g from murder and b r ib e r y to p l a i n s t u p i d i t y and i n e f f i c i e n c y . 88 C o lo n el V a le ria n o r e c a l l s M agsaysay's p e r s o n a l h a n d lin g o f some o f t h e s e c a s e s : I t was i n ch an gin g t h i s s i t u a t i o n i . e . , t h a t o f l o s s o f c o n fid e n c e in government th a t Mr. Magsaysay sc o r e d h is g r e a t e s t s u c c e s s in com bating th e Huk. He 89S c a f f , op. c i t . , pp. 36-37 " Q u i r in o , op. c i t . , p. 52. 139 shook up th e army. I d o n 't mean w h o le sa le r e l i e f o f o f f i c e r s , t r i a l s , c o u r t m a r t i a l s , or an y th in g l i k e t h a t ; he j u s t sim ply shook them . And I mean th e y were shook. I s a t in h i s o f f i c e one a fte r n o o n . F i r s t , he c a ll e d in C o lon el Lapus, th e G-2, I f I r e c a l l c o r r e c t l y (th a t was a lo n g tim e a g o ) , he s a id t o C olon el Lapus: Go fin d out p e r s o n a lly why such and such a u n it h a s n 't g o tte n i t s r a t i o n s . He c a ll e d in th e G-4 to make an i n v e s t i g a t io n why a lie u t e n a n t way out in th e boondocks h a d n 't been promoted a f t e r k i l l i n g a Huk le a d e r . G -l was s e n t out on an i n t e l l i g e n c e m issio n . . . He was r u t h le s s in p u t tin g h i s f o o t down on m is b eh a v io r by armed f o r c e s p e r s o n n e l.91 Some o f th e e f f e c t s o f th e Magsaysay p o l i c y were r ep o rted l a t e r by a F i l i p i n o c i t i z e n : During a r e c e n t v i s i t t o my home in T a r la c , I ob serv ed a d i s t i n c t change in th e b eh a v io r o f th e PC, army, p o l i c e , and c i v i l i a n g u a r d s --a change fo r th e b e t t e r . O n th e way t o T a r la c , n ea r army camps and d eta ch ment b a r r a c k s, road s ig n s p o l i t e l y read: "slow PLEASE — Troops c r o s s in g , PLEASE Go Slow— Camp Zone." At c h e c k p o in ts , sig n s read : "Stop PLEASE— C heckpoint." And when bu ses were ch eck ed , utm ost c o u r te sy was ob se r v e d . The once harsh command had changed to a p o l i t e : "excuse us f o r d is tu r b in g you. But i t i s p art o f our duty in s e e in g t o i t th a t you have a s a f e t r i p . C ed u las, p le a s e ." On my b u s, I saw th r e e e n l i s t e d men w i l l i n g l y pay t h e i r f a r e s . O ften b e f o r e , s o l d ie r s would not pay on b u s e s . L ater a s o l d i e r got on at Camp O liv a s , Pam- panga, and got o f f a t th e 6th BCT camp. S in ce th e d i s ta n c e w a s n 't f a r , th e con d u ctor r e fu s e d th e s o l d i e r ' s f a r e . But th e s o l d i e r i n s i s t e d , rem arking, "Thank you fo r th e c o u r te s y , but ta k e t h i s f a r e . I d o n 't want to ta k e advantage o f my uniform ." In T a r la c , I a l s o n o ted th e improved b e h a v io r o f peace o f f i c e r s . I t was a p le a s a n t s u r p r is e not t o see a s i n g le in c id e n t o f a b u siv e n e ss o r drunkenness bv armed a u t h o r i t i e s d u rin g my two w eeks' s ta y . . . 2 V a le r ia n o ] , " C o u n te r-G u er rilla O perations in th e P h ilip p in e s , 1 946-53 ," p . 54. ®2M eliton C. C a s t i l l o , "What a R eform ation!" ( l e t t e r t o ) P h ilip p in e s Free P r e s s , January 3 , 1953, p. 36. 140 A sim p le and e x p l i c i t code o f conduct fo r s e r v i c e p e r so n n el ten d s t o d isc o u r a g e o f f e n s i v e b e h a v io r . The code sh o u ld touch upon th o se a rea s o f l i f e where resentm ent i s most l i k e l y t o be tou ch ed o f f , r e p la c in g ru d en ess and a r b it r a r in e s s w ith u n o ffe n s iv e and ordered b e h a v io r . When a s t r i c t code i s o b ser v ed , th e p e o p le know what t o e x p e c t o f p o l i c e and s o ld ie r s --k n o w th a t th e r e are l i m i t s beyond which th e uniform ed men w i l l not g o , and know th a t t h e i r r ig h t s w i l l be r e s p e c te d . In th e P h i li p p i n e s , th e p r o v i s io n o f th e code ranged from th e way in w hich tro o p s were to e n t e r a v i l l a g e t o th e q u e s tio n o f who was t o se a rc h whom. Troops had c u sto m a r ily roared in t o v i l l a g e s in tru ck s w ith weapons a t t h e ready. One o f M agsaysay’s f i r s t a c tio n s was t o order tr o o p s to e n t e r w ith o u t any e x a g g er a ted p o stu re o f r e a d in e s s , and th e combat u n it s were g iv en candy and chew ing gum t o d i s t r i b u t e among th e c h ild r e n o f th e a r e a .93 Many in n o c e n t c i v i l i a n s had been s h o t when tro o p s f i r e d b lin d ly i n t o a rea s where i t was su sp e c te d t h a t Huks m ight be p r e s e n t. They were ordered t o c e a se th e p r a c t i c e . 94 As part o f th e new ch eck p o in t p roced ures th e r e c r u ite d v o lu n te e r s from among l o c a l n u rses and te a c h e r s to se a rc h women t r a v e l l e r s ; a l l t r a v e l l e r s were giv en forms t o s i g n , a t t e s t i n g t o th e proper b eh a v io r o f th e 93V a le ria n o and Bohannan, op. c i t . , pp. 205 -206. 9L *Tbid. , p. 194. s e a r c h e r s ." While i n f r a c t i o n o f i n t r a s e r v i c e r u le s may be kept out o f p u b lic v i s i o n fo r th e sake o f s e r v i c e m o ra le, p u b lic and cerem on ial rewards f o r th o se s o l d ie r s o r p o licem en who have good reco rd s in p u b lic r e l a t io n s sh o u ld be g iv e n and the punishm ents o f th o s e who c o n tin u e t o h a r r a ss th e p eo p le sh ou ld be p u b l i c i z e d .9® One c a u tio n sh o u ld be ob served : th e developm ent o f a code o f conduct fo r s e r v ic e p e r so n n el must be accom panied by an e x te n s iv e program o f e d u c a tio n and in d o c t r in a t io n t o e x p la in th e need fo r changes and t o encourage a c c e p ta n c e . I n s u f f i c i e n t in d o c t r in a t io n o r in s u f f i c i e n t rewards fo r com p lian ce can aggravate th e problem . When th e o ld ab u ses are stop p ed a new image o f th e s e r v i c e s can be c r e a te d . As many v i s i b l e symbols as pos s i b l e — u n ifo rm s, i n s i g n i a , t i t l e s — sh o u ld be changed, and the new should be as r a d i c a l l y d i f f e r e n t from th e o ld as p r a c t i c a b l e , w h ile s t i l l s e r v in g t o i d e n t i f y th e p o l i c e or m i l i t a r y . " R e s p e c tfu l term s o f a d d r e ss , used by p o l i c e and s o l d i e r s in g r e e tin g and s a l u t i n g p e o p le , can in d ic a t e a f f e c t i o n as w e ll as e ste e m . Other ch a n g e s, depending on 95I b i d . , p . 170. " w i l l i a m s , op. c i t . , p r o p o s itio n n o s. 6 6 , 7 3 , 74, 95, lO ld . " M ic h a e l A. W allach , "On P s y c h o lo g ic a l S im ila r i t y , " P s y c h o lo g ic a l R eview , LXV (1 9 5 8 ) , 1 04-106. 142 th e l o c a l c u l t u r e , can be made. Local le a d e r s , r e p r e s e n t in g many a rea s o f c u l t u r a l a c t i v i t y ( r e l i g i o n , t r a d e , p o l i t i c s , p r o f e s s io n s ) may be ind uced t o speak in fa v o r o f th e new ch a n g e s, in t e r p r e t in g th e new fu n c tio n o f s e r v ic e p e r so n n e l as guardians o f th e community and s o c i e t y . 9 8 A tt it u d e s can be a l t e r e d by a s s o c ia t io n o f a neu t r a l l y or u n fa v o ra b ly view ed o b je c t w ith a h ig h ly valu ed o n e .99 S e r v ic e p e r so n n e l can be a s s o c ia t e d w ith th in g s t h a t p eop le l i k e . I f th e y l i k e games, th e s o l d i e r s can ta k e p a r t. I f th e y l i k e t o s i t in th e v i l l a g e sq uare and l i s t e n t o impromptu c o n c e r t s , th e p o lic e can form bands t o e n t e r t a in them. The new image r e a l l y b e g in s t o tak e shape when th e p o lic e and s o l d i e r s show th a t th ey sh are the g o a ls o f th e p eop le by en gag in g in community improvement p r o j e c t s or by p r o v id in g s e r v i c e s such as m ed ica l a i d . 190 C ontacts may be u s e f u l between p eop le and uniform ed p e r so n n e l working t o g e th e r in c o n s t r u c t iv e a c t i v i t i e s such as flo o d c o n t r o l, 98Ramon J . Rhine and B etsy A. S i l u n , " A c q u isitio n and Change o f a Concept A tt itu d e as a F unction o f C o n s is t ency o f R ein forcem en t," Jou rn al o f E xperim ental P sy c h o lo g y , LV (1 9 5 8 ), p a ssim . " P e a k , " A ttitu d e s and M o tiv a tio n ," Nebraska Sym posium on M o tiv a tio n , l o c . c i t . ; Theodore M . Newcomb, "An Approach t o th e Study o f Communicative A c ts," P s y c h o lo g ic a l R eview , LX ( 1 9 5 3 ), p a ssim ; V id e , a l s o , Appendix A, p o s t , pp. 2 4 8 -5 0 , e t p a ssim . 190 Mi I t on W . H orow itz, Joseph Lyons, and Howard V. P e r lm u tte r , " In d u ctio n o f F orces in D isc u ssio n Groups," Human R e l a t i o n s , IV (F eb ru ary, 19 5 1 ), passim . 143 em ergency a c t i o n , and even crop h a r v e s t i n g . 1 0 - 1 - C on tact b e tw een p a r t i c u l a r u n iform ed men and t h o s e i n th e community o f s i m i l a r a g e , econ om ic s t a t u s , c a s t e , e t h n ic o r i g i n , e t c . , can be f o s t e r e d t o i n c r e a s e i d e n t i f i c a t i o n o f th e c i v i l i a n w ith th e s e r v i c e . 1 0 ^ E x te r n a l t h r e a t s w h ich a f f e c t b oth s e r v i c e p e r s o n n e l and t h e g e n e r a l p o p u la tio n e n co u ra g e th e f e e l i n g t h a t "we a r e a l l in t h i s t o g e t h e r ," and can d i r e c t t h e h o s t i l i t i e s o f th e p e o p le tow ard a n o th e r g ro u p , p a r t i c u l a r l y th e enemy in s u r g e n t s . In t h e P h i l i p p i n e s , c i v i c a c t i o n p r o j e c t s h e lp e d c r e a t e a new im age o f t h e armed f o r c e s under M agsaysay. Both r e g u la r m i li t a r y and v i l l a g e guards to o k on su ch p r o j e c t s as r e p a ir o f roads and c o n s t r u c t io n o f s c h o o l - h o u s e s , as w e l l a s o th e r u s e f u l t a s k s . T h is b ro u g h t w h ole v i l l a g e s a c t i v e l y t o t h e governm ent s i d e . 1 0 0 In a d d i t i o n , good p u b lic r e l a t i o n s w ere c o n d u cte d . Community s i n g i n g , r a l l i e s , and e n te r ta in m e n t o r g a n iz e d or p a r t i c i p a t e d i n by s o l d i e r s were en co u ra g ed and e v e r y o p p o r tu n ity t o a d v e r t i s e th e new im age o f t h e s o l d i e r was s e i z e d . Such a c t i v i t y n o t o n ly made f o r b e t t e r r e l a t i o n s b u t a c t u a l l y a s s i s t e d in b u i ld in g up an a n ti-H u k i n t e l l i g e n c e n e tw o r k . 1 0 4 1 0 1 W illia m s , op. c i t . , p r o p o s it io n n o . 78. 10^I b i d . , p r o p o s itio n n o. 79. 103V a le r ia n o and Bohannan, op. c i t . , p . 129. 1 0 4 B a c la g o n , o p . c i t . , p. 1 8 4 . m In some c u lt u r e s i t i s a p p ro p ria te t o s t a t i o n s o l d ie r s or p o l i c e in or near t h e i r own home a r e a s . I f th e uniform i s n ot in such d is r e p u te as t o a f f e c t t h e i r s t a t u s , th ey have th e r e s p e c t and com panionship o f th e many p eo p le th e y know and t o whom th ey may be r e l a t e d by b lo d . How e v e r , problems o f d i s c i p l i n e ( e . g . , d e s e r t i o n , AWOL, and fam ily problem s) and o f l o c a l p e r c e p tio n o f th e tro o p s ( e . g . , t r a in e d y o u n g ste r s view ed as th r e a t to t r a d i t i o n a l order) co u ld make t h i s l e s s than f u l l y d e s ir a b le . M ilita r y c o n s id e r a tio n s o f m o b ility and d i s t r i b u t io n a l s o have a b e a r in g . With s u i t a b l e p r e c a u tio n s a g a in s t d is p la y o f arro gan ce, s e r v ic e p e r so n n e l sh o u ld be encouraged t o h igh m orale. I f a man i s proud t o be a member o f th e p o l i c e o r m i l i t a r y , he i s l e s s l i k e l y t o behave in ways h is o f f i c e r s and f e llo w s c o n s id e r sh a m efu l. He w i l l gain p r id e i f th e s e r v ic e g iv e s him som eth in g w hich-he did not have as a c i v i l i a n : t r a in in g in r ea d in g and w r itin g or c o u r se s in b e t t e r farm ing p r a c t ic e s fo r h is p o s t s e r v ic e l i v e l i h o o d can be e s t a b l i s h e d . V arious s k i l l s h e l p f u l both t o h im s e lf and t o h is s e r v i c e can be ta u g h t. Other in d u cem en ts, such as a s s is t a n c e t o h is fa m ily , o p p o r tu n ity f o r r e l i g i o u s o b serv a n c e s , and th e l i k e , can make a man's p e r io d o f s e r v ic e a t t r a c t i v e and encourage v o lu n ta ry e n lis t m e n t s . In any s e r v i c e under any c o n d it io n s , men must have l e i s u r e and r e c r e a t io n . The more a t t r a c t i v e a c t i v i t i e s th e 145 s e r v ic e i t s e l f p r o v id e s th e l e s s l i k e l y are d is o r d e r ly fo ra y s i n t o tow n, which r e s u l t in c i v i l i a n harassm ent and p ro p erty damage. When t r i p s t o town are made, th e s o l d i e r sh ou ld have s u f f i c i e n t money t o pay fo r what he n e e d s , t o e n t e r t a in v i l l a g e r s who f r a t e r n iz e w ith him , and to make him proud o f h is p o s i t i o n . However, he should not be markedly b e t t e r o f f than th o se w ith whom he a s s o c i a t e s and i f th e s o l d i e r i s from an oth er n a t io n , money in e x c e s s o f t h a t o r d in a r ily r e c e iv e d by l o c a l servicem en can cause resentm ent.IQ S E f f e c t o f M ilita r y S u ccess on t"he L ocal P o p u la tio n I f c o u n te r in su r g e n t m ilit a r y s u c c e s s i s p e r c e iv e d by l o c a l p o p u la tio n s as b ein g in t h e i r own i n t e r e s t , th e apathy which o r d in a r ily c h a r a c te r iz e s the i n a c t i v i s t m asses o f a t r a n s i t i o n a l and in s u r g e n t-to r n s o c i e t y w i l l norm ally d e c r e a s e . O n e can h ard ly be t o t a l l y u n in te r e s te d in t h a t which a f f e c t s o n e 's own i n t e r e s t s . However, i t i s d i f f i c u l t t o c r e a te a c le a r lin k between m ilit a r y s u c c e s s e s ^-QSUnder M agsaysay, th e r a tio n fo r F il i p i n o s o l d ie r s in c r e a s e d from 30 cen ta v o s t o one p e so w ith b e n e f i c i a l r e s u l t s , v i d e , P e te r s o n , R ein h ard t, and Conger, op. c i t . , p. 18. The P h ilip p in e e x p e r ie n c e has a ls o le d t o the recommendation th a t commanders sh ou ld have some money a v a ila b le fo r g e n e r a l good w i l l and sm a ll p u r c h a se s, v id e , V a leria n o and Bohannan, op. c i t . , p. 138. IQS V id e, Chapter I , su p r a , p . 13. •^Q^Vide, Chapter I I , su p ra, pp. 58-59 , 6 2-63. 146 and p a r o c h ia l p r e o c c u p a tio n s and p r e d i s p o s i t i o n s . Many p ersons i n a d e v e lo p in g and t r a n s i t i o n a l s o c i e t y may a c t u a lly be unaware o f th e e x i s t e n c e o f a c e n t r a l govern ment and i t s armed f o r c e s . O thers sim p ly d o n 't c a re i f su ch a government e x i s t s or w in s v i c t o r i e s a g a in s t an "enemy" w h ich o f t e n in c lu d e s f e llo w v i l l a g e r s o r tr ib e s m e n . The m a jo r ity o f t r a d i t i o n a l i s t r u r a l p e o p le i d e n t i f y w ith t h e i r e x te n d ed f a m i ly , c a s t e , and l o c a l community, r a th e r than w ith t h e n a t io n . I t i s d i f f i c u l t t o encourage i d e n t i f i c a t i o n w it h th e n a t io n and i t s m i li t a r y s u c c e s s e s b eca u se t h e i s s u e s are l o c a l , and b e c a u se t h e r e are c o n f l i c t s in v a lu e sy ste m s and n e e d s . The v a lu e o f t r a d i t i o n c o n f l i c t s i n some m easure w ith th e v a lu e o f m o d e r n iz a tio n ; th e v a lu e o f s t a b i l i t y c o n t r a s t s w ith th e v a lu e o f c h a n g e . 108 N e v e r t h e le s s , a l l p e o p le r e a c t i n some way t o e v e n ts around them. The e x i s t i n g a t t i t u d e s w ith r e s p e c t t o m ilit a r y s u c c e s s s h o u ld be d eterm in ed : What do p e o p le g e n e r a lly p e r c e iv e as th e co n seq u en ces o f v ic t o r y in term s o f t h e i r own n e e d s , i n t e r e s t s , g o a l s , and a s p ir a t io n s ? What do t h e y c o n c e iv e to be t h e c o s t t o them o f th e e f f o r t t o a c h ie v e v ic to r y ? Even thou gh i d e n t i f i c a t i o n w ith th e l e g a l government may n o t be c o m p le te , i t i s p rob ab le t h a t some con seq u en ces o f a government m i l i t a r y v i c t o r y w i l l ■^•^^John J . Johnson ( e d . ) , The Role o f t h e M ilita r y in U nderdeveloped C o u n tr ie s ( P r in c e t o n , f f . J . : P r in c e to n U n iv e r s ity P r e s s , 19^2 ) , p a s s im . 14-7 c o in c id e w ith th e i n t e r e s t s o f some o f th e l o c a l p e o p le . W hatever th e s e may b e , l o c a l i n t e r e s t s sh ou ld be s tu d ie d in o rd er to d evelop p e r c e p tio n s o f common b e n e f i t . N e g a tiv e p e r c e p tio n s sh o u ld be s tu d ie d fo r means to d im in ish or change them . The n atu re and e x te n t o f th e problem o f de v e lo p in g i d e n t i f i c a t i o n w ith th e c e n tr a l government and i t s v i c t o r i e s can be roughly measured by th e d eterm in a tio n o f such p e r c e p tio n s . One o f th e b e s t ways t o make m ilit a r y s u c c e s s mean in g f u l t o l o c a l p e o p le s i s w ith dem onstrable e v id e n c e t h a t th e s u c c e s s r e l a t e s t o l o c a l g o a ls and has p r a c t i c a l v a lu e t o th e i n d i v i d u a l . 109 A s e r i e s o f v i c t o r i e s may be n e c e s sary b e fo r e fundam ental needs are s a t i s f i e d and t h e i r s a t i s f a c t i o n lin k e d to th e f a c t o f government v ic t o r y . M eanwhile, each m ilit a r y s u c c e s s in a given area fo llo w e d by an im m ediate d em on stra tion o f a p o s i t i v e consequence or reward, a ffo r d s secon dary r e in fo r c e m e n t. The l o c a l s i t u a t i o n w i l l d i c t a t e th e n a tu re o f th e rew ard, but i t could be an in c r e a s e i n food a l lo t m e n t s , th e r e la x a t io n o f t r a v e l or s e c u r it y r e s t r i c t i o n s , l i f t i n g o f a cu rfew , r e tu r n in g son s i n th e armed fo r c e s home f o r a v i s i t , or a l o c a l c e le b r a t i o n w ith fir e w o r k s , d a n cin g , or w h atever e l s e i s 10^R osenberg, " C o gn itive S tr u c tu r e and A t t i t u d in a l A f f e c t ," l o c . c i t . , pp. 3 7 1 -7 2 . 1M -8 a p p r o p r ia te .il® j n -j-hg P h ilip p in e s , monetary rewards were o ffe r e d to b a r r io f o l k a f t e r th e p roced ures o f how to supply army detachm ents w ith in fo r m a tio n about th e enemy had been th o ro u g h ly e x p la in e d . S u c c e s s f u l a p p ea ls were a l s o made t o v i l l a g e r s on th e sim p le b a s is o f r id d in g t h e i r b a r r io s o f b a n d i t r y . m The use o f v ic t o r io u s tro o p s in community p r o je c t s s u g g e s ts t h a t , i f th e in s u r g e n ts were perm anently d e f e a t e d , more a s s is t a n c e and c o o p e r a tio n from th e government would be fo rth co m in g . Of c o u r s e , th e tro o p s in v o lv e d m ust not o ffe n d l o c a l mores and s e n s i b i l i t i e s . H 2 The p o in t i s t h a t a l o c a l l y a c c e p ta b le reward sh o u ld f o llo w each s u c c e s s i v e v i c t o r y . P eo p le can be c o n d itio n e d t o lo o k forw ard t o and p e r so n a lly i d e n t i f y w ith a known e v en t which alw ays b r in g s a g r a t if y in g con seq u en ce. Q uoting from a m ilit a r y paper w r it t e n by L ieu ten a n t Gomas S. S a jo r on th e u se o f p s y c h o lo g ic a l w arfare a g a in s t th e Huks in Hermosa, B ataan, Baclagon r e c o r d s: The c i v i l i a n s were s u s p ic i o u s , a l o o f , and uncooper a t iv e t o th e s o l d i e r s a t f i r s t . They would n o t t e l l on th e Huks even i f th ey had d e f i n i t e knowledge o f t h e i r a c t i v i t i e s and w hereabouts . . . Our s o l d i e r s , t h e r e f o r e , r e s o r t e d t o th e p la n o f p s y c h o lo g ic a l a c t io n not o n ly a g a in s t th e d ieh a rd and -^® Ernest R. H ilgard and Donald G. M arquis, Condi t io n in g and L earning (New York: A p p le to n -C e n tu r y -C r o fts, I n c . , 1 9 6 1 ), pp. 1 6 7 -2 0 2 . ^ B a c la g o n , l o c . c i t . v i d e , t h i s c h a p te r , su p r a , pp. 13*+-H5. 149 m isle d d i s s i d e n t s but a l s o a g a in s t th e h o s t i l e c i v i l i a n s. Our men were g iv e n i n s t r u c t i o n s t o mix f r e e l y , a lth o u g h w ith th e utm ost c a r e , w ith th e c i v i l i a n popu l a t i o n o f Hermosa, in a l l i t s tw e lv e b a r r io s , in ev ery nook and corn er . . . W e made o u r s e lv e s p a r t ic ip a n t s in ev ery a c t i v i t i e s [ s i c ] o f t h e i r s . W e jo in e d them in t h e i r games and a t h l e t i c c o m p e t it io n s , and in a l l forms o f t h e i r s o c i a l a c t i v i t i e s among which were d a n c e s, open forum s, m o v ie s, b a p tism s, w ed d in gs, b irth d a y p a r t i e s , and a n n iv e r s a r ie s . . . W e h e lp e d w ith m ed ical s u p p lie s whenever th e r e was a q u a n tity we co u ld sp a r e . W e gave them p e r so n a l p r o t e c t io n a s id e from th e r e g u la r p r o t e c t io n t h a t our detachm ent was sworn t o g iv e . . . W e a l s o h elp ed in th e h a r v e s tin g o f t h e i r crops and jo in e d them in t h e i r sumptuous f e a s t s d u r in ^ .t h e ir town and b a r r io f i e s t a s . . . Thus we s e t th e c i v i l i a n s ’ minds a t e a se by our d em on stration o f d e s ir e t o h e lp or accom odate them. Through a ss e m b lie s and l e a f l e t s , we propagated th e i n form ation th a t th e c i v i l i a n s and th e s o l d i e r s o f the Armed F orces o f th e P h ilip p in e s were m utual le a r n e r s and sto o d t o b e n e f i t to g e t h e r in th e m aintenance o f p eace and o rd er; t h a t th e army was t h e i r own, t o pro t e c t them from th e Huks and from o th e r forms o f law l e s s n e s s and d is o r d e r . . .113 Such a s s is t a n c e and b le n d in g o f groups (augmented by army a s s is t a n c e in c a se o f f i r e and th e loan o f tru ck s fo r h a u l in g and t r a n s p o r ta t io n and o th e r p h y s ic a l a id ) made th e l o c a l p e o p le i d e n t i f y t h e i r own i n t e r e s t s w ith th e m ilit a r y su c c e s s o f th e s o l d i e r s . There a r e , as p r e v io u s ly n o te d , c o n t r a s ts in v a lu e s between th e t r a d i t i o n a l i s t and th e m odern ist elem en ts in a d e v e lo p in g s o c i e t y , b u t, both can fin d an i n t e r e s t in coun te r in s u r g e n t m ilit a r y s u c c e s s on t h e i r own term s. Most o f the r u r a l f o lk are t r a d i t i o n a l i s t s , p eo p le d e s ir in g s o c i a l H ^B aclagon , op. c i t . , p. 190 f f . 150 stability. To them , u ltim a te m ilit a r y s u c c e s s w i l l b r in g an end to c o n sta n t d is r u p tio n o f l i f e in t h e i r com m unity by th e c la s h e s between in s u r g e n t and c o u n te r in s u r gen t f o r c e s . Government f o r c e s would then be fr e e t o p ro t e c t th e p eop le from p h y s ic a l in t e r f e r e n c e and la w le s s n e s s . For th o s e who v a lu e m o d e rn iza tio n , m ilit a r y v ic t o r y may be i d e n t i f i e d w ith modern, i n d u s t r i a l l y produced goods and c o n v e n ie n c e s , and w ith th e peace and t r a n q u i li t y which perm it th e b u ild in g o f a modern s o c i e t y . There are many needs and g o a ls which both groups have in common. For e x am ple, th e g o a l o f modem h e a lth p r a c t ic e s may be esteem ed f o r i t s modern q u a l it y and fo r i t s p r o t e c t io n o f th e t r a d i t i o n a l and c l o s e l y in te r -d e p e n d e n t fa m ily . To both th o s e who se e k change and th o s e who se e k s t a b i l i t y , a r o le in th e achievem en t o f a v ic t o r y which c o n tr ib u te s t o some o f t h e i r own a s p i r a t i o n s , can fu r th e r th e d e s ir e fo r c o u n te r in s u r gen t m ilit a r y s u c c e s s . G e n e r a lly , in an area where m ilit a r y engagements w ith in s u r g e n ts are ta k in g p la c e , many in d iv id u a ls have l o s t a r e l a t i v e , p r o p e r ty , or some p e r so n a l r i g h t . Not much i s known about how t o channel f e e l i n g s o f revenge and p e r so n a l h o s t i l i t y fo r th e c o l l e c t i v e good, but i f th e r e i s a p a tte r n o f in s u r g e n t t e r r o r or a t r o c i t y , th e s e f e e l i n g s H ^ V id e, Chapter I I , p assim ; Appendix A, pp. 265 71; Appendix B, passim . 151 w i l l e x i s t in th e community. The l o c a l s i t u a t i o n may provide cues as t o how to ta p such f e e l i n g s in l o c a l l y sa n c tio n e d ways s o as to ch a n n el them i n t o app roval fo r c o u n te rin su r g e n t a c t io n . The P o s i t iv e M ission o f th e Government in Terms M eaningful to th e P easant For very p r a c t i c a l r e a s o n s , in su rg en cy i s most lik e ly t o begin and grow in t h e p easan t areas o f a d e v e lo p in g s o c i e t y . The p easan try i s th e mass base upon which e it h e r t h e fo rc es o f in su rg en cy or th e fo r c e s o f c o u n te r in surgency depend. In t h i s , b ecau se th ey are in im m ediate a s s o c ia t io n with t h e p easan try and b eca u se they can f r e qu en tly perform t h e p ro m ises, th e in s u r g e n ts have a b u i l t - in advan tage. They are not encumbered w ith the com peting r e s p o n s i b i l i t i e s and d iv e r s io n s th a t b e s e t e s t a b lis h e d gov ernments nor w ith th e h a b it o f in d if f e r e n c e . -*--^Carlos P. Romulo r e l a t e s th e s to r y o f a b a r r io lie u te n a n t (headman) who c o n fid e d t o Magsaysay d u rin g a v i s i t o f th e S e c r e ta r y to h is v i l l a g e t h a t fou r Huks had forced him to h id e them in h is home. Magsaysay gave the man some s le e p in g t a b l e t s and a d v ised him t o put them in Coca C o la which he could th en g iv e th e Huks and when they were a s l e e p , h i t them on th e head and b r in g them i n . In two weeks th e man appeared in M agsaysay’s o f f i c e w ith a bag which he s a id c o n ta in e d " co co n u ts” he had prom ised th e S e c r e ta r y --th e y w ere th e s e v e r e d heads o f th e fo u r Huks. D esp ite h i s b iz a r r e method, th e man was rewarded f o r h is c o n tr ib u tio n to t h e ca u se, b u t perhaps h i s g r e a t e s t reward was rev en g e on th o s e who had in tr u d ed i n t o th e p r iv a cy o f home and fa m ily . Romulo and Gray, op. c i t . , pp. 134-35. l l S y j d e , t h i s c h a p te r , s,upra, pp. 1 0 2 -1 1 9 , and p o s t , pp . l6 7 -? 5 . M o tiva tio n o f l o c a l le a d e r s and d e v e lo p ment o f group c o h e s iv e n e s s r e l a t e s i g n i f i c a n t l y to t h i s problem. 152 I f th e n a tu r a l p r o p e n sity toward in su rg en cy i s t o be th w a rte d , th e government must d evelop and ex p r ess i t s p o s i t i v e m issio n in terms which are m ean ingful t o th e p ea sa n t. The very in t e n t i o n t o do s o lea d s th e government t o f a c e , in v a ry in g d e g r e e s , th e th r e e i s s u e s o f in s u r gency p r e v io u s ly d is c u s s e d . The i s s u e o f ad ap tion w i l l be a n e c e ssa r y in g r e d ie n t in c o n s id e r a tio n s o f how t o . a s s i s t th e p e a sa n try . How fa r t o go m ight remain a q u es t i o n , but a d e c is io n t o b r in g th e m ajesty o f government t o b ear fo r th e d ir e c t b e n e f i t o f a d is c o n te n te d p ea sa n try a t l e a s t b rin gs th e i s s u e i n t o focu s and i s i t s e l f a commit ment in d i r e c t io n . I f th e peasan t i s d is e n fr a n c h is e d (as he i s q u ite l i k e l y t o be in d e v e lo p in g a r e a s ) , or i f he i s in any o th e r way d e n ig r a te d in th e s o c i e t y , th e d e c is io n t o a tten d t o p easan t p l a i n t s b rin g s th e i s s u e o f s t r a t i f i c a t i o n in t o g r e a te r f o c u s , a t l e a s t w ith regard t o one c l a s s . F in a lly , th e e x p r e ss io n o f th e m issio n o f government in terms m ean ingful t o th e p easan t (accom panied and fo llo w e d by a c ts commensurate w ith th e in t e n t io n s a r t ic u la t e d ) can r e in f o r c e or h e lp t o r e s to r e th e le g itim a c y o f th e e s t a b lis h e d government among i t s p easan t b e n e f i c i a r i e s and c o n s t i t u e n t s . The m issio n o f governm ent, how ever, w i l l be mean i n g f u l t o th e p easan t only when he s e e s h is own needs , -L-^V id e , Chapter I I , s u p r a , pp. 3 4-3 7. 153 v a lu e s , and i n t e r e s t s as b e in g a t s t a k e . The p a r t i c u la r needs o f p e a sa n ts vary in d i f f e r e n t c u ltu r e s and in a rea s w ith in a c u lt u r e . Government, t o be e f f e c t i v e , must de term in e what th o s e needs a r e. I t has a lrea d y been n o ted t h a t men comprehend, and are s t i r r e d t o a c tio n by, t h e i r n e e d s. -*-^8 The p o s i t i v e m issio n o f government w i l l be c r e d ib le on ly i f government a c tio n n o t on ly s a t i s f i e s some o f th e p e a s a n ts ' needs but i s seen as th e on ly way i n which th ey can be s a t i s f i e d . The p ea sa n t i s , by d e f i n i t i o n , p a r o c h ia l. He does n o t o r d in a r ily ca re about b u r e a u c r a tic e f f i c i e n c y a t th e n a t io n a l c a p i t a l ; he does care about h is c r o p s , h is f a m ily 's w e l l- b e i n g , and h is p la c e in h is own community. I f government can a s s i s t him in th e s e im m ediate a f f a i r s , he w i l l b e g in to ca re about th e government and t o i d e n t i f y w ith i t . The e sta b lish m e n t o f t r u s t i s a l s o e s s e n t i a l to a c cep tan ce o f th e p o s i t i v e m issio n o f governm ent. T ru st i s b u i l t over tim e and based on an assum ption t h a t what has been prom ised w i l l be done— and th a t i t i s r e le v a n t . When t r u s t has been f u l l y d e v e lo p e d , th e problem i s v i r t u a l l y s o lv e d . T ru st and th e p r e d is p o s it io n to t r u s t must b egin somewhere. There i s a r e la t io n s h ip between c o o p e r a tio n and l-^T he d is c u s s io n s e lsew h er e in t h i s ch a p te r and in Appendixes A and B o f t h i s stu d y are cu m u la tiv ely r e le v a n t t o t h i s r e l a t io n s h ip s i t u a t i o n . V id e , su p r a , pp. 12 7 -3 4 , 147; and p o s t , pp. 203-59 , 273^327"! 154 t r u s t . I -*-9 I f th e governm ent and th e p e o p le o f a community can c o o p e r a te i n th e achievem en t o f common g o a l s , t r u s t i s l i k e l y t o be an i n c r e a s in g byproduct o f t h a t c o o p e r a tio n . S u cc e ss in s m a ll c o o p e r a tiv e p r o j e c t s w i l l le a d t o th e be l i e f t h a t th e g o a ls o f th e l o c a l p e o p le can b e s t be a c h ie v e d through c o o p e r a tio n w ith th e governm ent. I f he s e e s t h a t c o o p e r a tiv e a c tio n has le d t o in c r e a s e d crops in a n e ig h b o r in g v i l l a g e , he i s more l i k e l y t o want t o coop e r a t e . On th e o th e r s i d e o f t h e c o in , a m o tiv a tio n or o r ie n t a t i o n toward c o o p e r a tio n can be in d u ced by s t r e s s i n g th e c o s t t o th e p e a sa n t o f f a i l u r e t o c o o p e r a te , - ^ 0 In s p e c i f i c in s ta n c e s and c ir c u m s ta n c e s , i n i t i a l t r u s t m ight be e l i c i t e d by e x p l i c i t p u b lic a ssu r a n c e on th e p a rt o f government t h a t c e r t a i n b e n e f i c i a l sm a ll a c tio n s are g o in g t o ta k e p la c e a t c e r t a i n t i m e s , and by then dem o n s t r a t in g t h a t th e y do in d e e d ta k e p la c e on s c h e d u le . 1 2 1 The m issio n o f government w i l l n e v e r be u n d erstood and a c c e p te d i f i t i s n ot comm unicated— i f th e p e a sa n t does n o t r e a l l y know or r e a l i z e what i t i s t h a t th e government i s t r y i n g t o do t h a t w i l l h e lp him. The p e a s a n t , l i k e w i s e , 119]vjorton D e u tsch , "C ooperation and T r u st: Some T h e o r e t ic a l N o te s," Nebraska Symposium on M o tiv a tio n , ed . M arsh all R. Jones (L in c o ln : Nebraska U n iv e r s it y P r e s s , 1962) , pp. 2 7 5 -3 1 9 . l ^ N e i l w. Chamberland, A G eneral Theory o f Econom- i c P ro c ess (New York: Harper and B roth ers , 19l>5') ; pp. 22- 3 9 , 4 9 -5 0 , 7 9 -8 0 , 1 0 0 -1 0 2 . ^ ^ lp e u tsc h , l o c . c i t . 155 must be a b le t o t e l l th e government what he b e lie v e s t o be h i s own needs and what he th in k s sh ou ld be done about them. There must be a genuine sh a rin g o f id e a s between government and p e a s a n t s .I 2 2 The o p in io n le a d e r s in any community o r group are th e key t o i n f l u e n c e . 3-2 3 Mass com m unications are g e n e r a lly i n e f f e c t i v e when d ir e c t e d t o l o c a l p o p u la tio n s w ith o u t in te r v e n in g o p in io n le a d e r s t o s e l e c t and in t e r p r e t th e message in l o c a l term s. Opinion le a d e r s in d e v e lo p in g so c i e t i e s are l i k e l y t o in c lu d e th e head o f a fa m ily , th e r e l i g i o u s le a d e r , v i l l a g e headman, t e a c h e r , and o th e r s o f h igh s t a t u s in th e community— and e s p e c i a l l y e ld e r s among th e s e g r o u p s .3-21* E f f e c t i v e communication between th e c e n tr a l government and l o c a l o p in io n le a d e r s i s accom p lis h e d by p u t t in g comm unications about th e m issio n o f gov ernment in a form th a t su p p orts th e le a d e r s ' v a lu e s and g o a ls , and by arran gin g fo r him t o r e c e iv e th e m essage ^22Anselm S t r a u s s , "C oncepts, Communication, and Groups," Group R e la tio n s a t th e C ro ssro a d s, e d s. Muzafer S h e r if and M . 0 , WilsorT (I'iew York: Harper 8 B r o th e r s , 1 9 5 3 ), pp. 1 1 4 -1 5 . 3 -23P aul F. L a z a r s fe ld , Bernard B e r e ls o n , and H azel Gaudet, The P e o p le 's C hoice (2d e d . ; New York: Columbia U n iv e r s ity P r e s s , 19f§T , pp. 150-58 ; E lih u Katz and Paul L a z a r s fe ld , P erso n a l I n flu e n c e (G le n c o e, 1 1 1 .: The Free P r e s s , 1 9 5 5 ), pp. 12U '-S 'O " ,' 316-20. 3-2 l* L a z a rsfe ld , B e r e ls o n , and G audet, l o c . c i t . ; H oviand, J a n i s , and K e lle y , Communication and P e r s u a s io n , pp. 1 3 5 -3 6 , 1 6 6 -6 7 , e t p a ssim . 156 th rou gh p erson s or m edia which he c o n s id e r s c r e d i b l e . 1 2 5 Media p r e fe r e n c e and c r e d i b i l i t y must be d e te r m in e d , t h e n , j u s t as v a lu e s and g o a ls must be d e ter m in e d . P e r so n a l in t e r m e d ia r ie s must a l s o be s e l e c t e d w ith c a r e . Undoubted l y , an in te r m e d ia r y who sh a r e s th e same v a lu e s i s a p p ro p ri a t e . R esp ected n a t i o n a l p e r s o n a l i t i e s who are n o t i d e n t i f i e d w it h p a r t i c u l a r and s e l f i s h i n t e r e s t s are s u i t a b l e i n some i n s t a n c e s . The e s s e n t i a l t h in g i s t h a t th e in te r m e d i ary be t r u s t e d by th e r e c i p i e n t o f th e com m u nication . Government r e p r e s e n t a t iv e s or t h o s e f r i e n d ly to governm ent can a l s o u n d ertak e o t h e r a p p ro a ch es. In any s o c i e t y , and p a r t i c u l a r l y in d e v e lo p in g s o c i e t i e s , w o r d -o f- mouth com m unication i s e f f e c t i v e . 1 2 5 I f i n d i v i d u a l s w it h in a community who are s y m p a th e tic t o th e m is s io n o f govern ment c o n ta c t o t h e r i n d i v i d u a l s , o r i f com m unications are p r e s e n t e d t o groups w ith members p r e s e n t who a lr e a d y are fa v o r a b ly d is p o s e d tow ard th e com m unication and th e com m unicator, t h e m essage i s ap t t o be e f f e c t i v e . 1 2 * ^ The com m unicator m ust have a c l e a r u n d e r s ta n d in g o f th e 1 2 5 H ovlan d , J a n i s , and K e lle y , op, c i t . , pp. 269- 70. 1 2 5 L a z a r s f e l d , B e r e ls o n , and G aud et, l o c . c i t . ; v i d e , a l s o , A ppendix C, p o s t , pp. 329-58 f o r e x te n d ed d i s c u s s i o n on com m unication and p e r s u a s io n . '12 ^Leonard L. M itn ick and E l l i o t t M cG in n ies, "In f l u e n c in g E th n o c e n tr ism in Sm all D is c u s s io n Groups Through a F ilm Com m unication," J o u r n a l o f Abnormal and S o c i a l P sy c h o lo g y , LVI (J a n u a r y , isi 5 6 ) , 8 2 -9 0 . 157 language or lan gu ages used i n th e community. Where th e r e i s no common la n g u a g e , as i s fr e q u e n tly th e ca se i n d e v e l op in g s o c i e t i e s , each language group sh o u ld be ap p ealed to in i t s own l a n g u a g e .-*-2 8 The communicator i s more e f f e c t i v e when he i s c o n sid e r e d a t t r a c t i v e and tr u stw o r th y by th e l o c a l p o p u la tio n . I f l o c a l le a d e r s h e lp fo rm u la te mes sa g e s , frames o f r e fe r e n c e are l i k e l y t o be th o se o f th e l o c a l p e o p le ; and e s p e c i a l l y i f th e le a d e r h im s e lf t r a n s m its th e m essage to h i s p e o p le . 1 2 9 T rust can be d e str o y e d and comm unication ren d ered i n e f f e c t i v e i f no c o n c r e te b e n e f i t s o f th e government m is s io n are se e n by th e l o c a l p e o p le . I t i s b e t t e r t o put up w ith an i n d i f f e r e n t p e o p le than c r e a te a h o s t i l e p e o p le by f a i l i n g t o " d e liv e r th e good s." Thus, ap p roval and im p le m en ta tion by h ig h e r a u th o r ity i s necessary, Only 12 8 ^ rth u r L. Campa, "Language B a r r ie r s in I n t e r c u l - t u r a l R e la tio n s ," Jo u rn a l o f Com m unication, I (November, 1 9 5 1 ) , 4 1 - 4 6 . 129p erCy Tannenbaum, " I n i t i a l A tt itu d e Toward Source and Concept as F a ctors in A ttitu d e Change Through Communication," P u b lic O pinion Q u a r te r ly , XX ( 1 9 5 6 ) , 4 13- 25. 130<phis p r in c ip a l was r e c o g n iz e d in th e c o u n te r in su r g e n t e x p e r ie n c e in th e P h i li p p i n e s . Baclagon fo rm u la te s t h i s in j u n c t io n . "To m ain tain a c o o p e r a tiv e and f r ie n d ly a t t i t u d e o f th e c i v i l i a n s , th e m ilit a r y commander sh o u ld e x p lo r e a l l p o s s i b l i t i e s o f g iv in g com p en sation o r a s s i s t ance t o th e h e l p f u l c i v i l i a n s . However, he sh o u ld be c a r e f u l t h a t he does n ot commit h im s e lf and the government to a n y th in g t h a t i s not a ssu r e d o r backed by h ig h e r a u th o r i t i e s . " B a cla g o n , op. c i t . , p. 231. 15 8 through c o n c r e te a c tio n s which se r v e h is needs can th e p ea sa n t be persuaded t o a c ce p t and work fo r th e m issio n o f governm ent. Reform and L ocal P o p u la t io n s : The Role o f th e C ou n terin su rgen t I t has been n o ted th a t th e im pu lse fo r change p re d ates and i s a c o n d itio n n e c e ssa r y fo r in s u r g e n c y - -in s u r gency r e f l e c t i n g r a th e r than c r e a tin g a d e s ir e f o r ch an ge, however vague and i n a r t i c u l a t e . 3-31 C ou nterinsurgen cy e f f o r t s depend upon th e e s t a b l i s h e d governm ent's r e c o g n iz in g th e need fo r change, d e c id in g th e a p p rop riate d i r e c t io n and degree o f change, fin d in g th e g e o g r a p h ic a l and f u n c t io n a l areas in which change i s e s s e n t i a l , and u n d erstan d in g th e a b s o lu te n e c e s s i t y fo r g a in in g c o n tr o l o f and d ir e c t in g the fo r c e s o f change. C on trol and d ir e c t io n o f th e fo r c e s fo r change g iv e th e i n i t i a t i v e and th e mass base e s s e n t i a l to s u c c e s s fo r e i t h e r s id e in a r e v o lu tio n a r y s t r u g g l e . In t e l l i g e n t and r e s p o n s ib le c o n t r o l d e c r e a se s or r e d ir e c t s p e r c e p tio n s o f "malignancy" w h ich , under some c o n d it io n s , are th e in c ite m e n ts to insurgency. gy a p p ly in g the remedy o f reform in s u f f i c i e n t tim e and in s u f f i c i e n t amount, th e government may capture an i n c i p i e n t r e v o lu tio n and make i t i t s own. There a r e , how ever, two p r a c t i c a l 1 3 1 V id e, Chapter I I , su p r a , p. 25. ^-32v i d e , Chapter I I , su p r a , pp. M-9-51. 159 concerns which fa ce th e c o u n te r in su r g e n t s o l d i e r as the agen t o f h ig h e r p o lic y in th e f i e l d . One i s th e d egree t o w hich he has freedom t o s u g g e s t or a c t under h i s p o lic y mandate and under th e c o n s t r a in t s o f h is r e la t io n s h ip w ith a p a r t ic u la r l o c a l p e o p le . Whether th e c o u n te r in su r g e n t i s from a fo r e ig n power su p p o rtin g th e e s t a b lis h e d government or w hether he i s from an oth er community w ith in h is own country w i l l have a b ea rin g on t h i s con cern . The o th e r concern i s th e n atu re and e x te n t o f th e reform s he sh o u ld s u g g e s t or i n s t i t u t e in order t o fu r th e r h is c o u n te r in su r g en t m issio n . In p u rsu in g h i s m issio n w ith in th e c o n s t r a in t s o f p o lic y d i r e c t iv e s and agreem ents between h is own and h o s t governm ents, th e f o r e ig n s o l d i e r a ttem p tin g t o persuade h o s t government le a d e r s a t any e ch elo n to i n s t i t u t e reform s must proceed w ith th e utm ost c a u tio n and c o u r te s y . In g e n e r a l, th e o u t s i d e r ’s r o le sh o u ld be kept subdued, and he sh o u ld c o n fin e h im s e lf t o p la n tin g s u g g e s tio n s which perm it th e h o s t le a d e r t o use h is own l o g i c to form u late th e de t a i l e d reform s. An o u t s id e r must av o id b e in g p e r c e iv e d as i n t e r f e r i n g o r o b n o x io u sly a g i t a t in g fo r unwanted reform . I f he i s n o t in th e h ig h e s t e ch elo n o f governm ent, he sh o u ld be d isco u ra g ed from g oin g to o fa r to o f a s t — and b e coming a trou blem aker who co u ld l o s e h is e f f e c t i v e n e s s or even h is p o s i t i o n . The s o l d i e r from a n o th er community in h is own country sh o u ld e x e r c is e very n e a r ly th e same c a u tio n in h is r e la t io n s h ip s w ith l o c a l c o u n te r p a r ts and en tren ch ed t r a d i t i o n a l le a d e r s . So lon g as he can i d e n t i f y needed and d e s ir e d reform s which are w ith in h is p o lic y te r m s, he can be more d ir e c t and f o r c e f u l than th e o u ts id e r in h is r e la t io n s h ip s w ith the p e o p l e - a t - l a r g e and w ith le a d e r s a lrea d y in fa v o r o f reform . But th e e x ig e n c ie s o f th e l o c a l s i t u a t i o n sh o u ld always be taken i n t o a c co u n t. O r d in a r ily , th e s o l d i e r from an o u ts id e power has some o p p o rtu n ity (though th e c a u tio n w ith w hich he ap proaches th e m atter sh o u ld be c o n s id e r a b le ) to in f lu e n c e l o c a l le a d e r s . A s o l d i e r from a str o n g and f r ie n d ly n a t io n , who has won r e s p e c t and t r u s t , can have e f f e c t i v e and u s e f u l c o n v e r sa tio n s w ith h is c o u n te r p a r ts and o th e r l o c a l le a d e r s . His ta s k i s to make s u g g e s t io n s in such a way t h a t th e y do not c o n f l i c t w ith e i t h e r th e h o st govern m en t's or h is own governm ent's g e n e r a l p o l i c y ; th a t th e y f i t l o c a l t r a d i t i o n s ; and th a t th e y do n o t u n in t e n t io n a lly or n e e d le s s ly em barrass th e p eo p le he wants t o have im p le ment them. C e r t a in ly , th e American m ilit a r y s t a f f o f JUSMAG in th e P h ilip p in e s during th e p e r io d 1950-1953 en joyed c o n sid e r a b le t r u s t and c o n fid e n c e and were a b le t o o f f e r and have a c ce p ted c o n s t r u c t iv e a d v ic e . 1 3 3 L ocal le a d e r s w i l l a ls o respond t o s o l d i e r s and o f f i c i a l s from 1 3 3 W e s t e r f ie ld , The In stru m en ts o f A m erica's For e ig n P o lic y , pp. M-12-13 , ~et p a s sim ; Q u irin b , op. c i t . , p a s sim ; Romulo and Gray, op. c i t . , pp. 238-39 , e t p a ssim . 161 t h e i r own n a tio n who o f f e r a d v ice which i s rea so n a b le and r e le v a n t t o th e m aintenance o f t h e i r own p o s i t i o n . Reform, as r e l a t e d to p op u lar m o tiv a tio n , i s under tak en fo r e i t h e r o f two r e a so n s: t o in c r e a s e pop u lar p a r t ic ip a t io n (by making p eople f e e l a p a rt o f th e govern ment) and t o in c r e a s e s a t i s f a c t i o n o f th e p e o p le 's f e l t n e e d s. I f t h in g s are g o in g w e l l — th a t i s , i f th e p eop le do f e e l c lo s e t o t h e i r government and f e e l t h a t i t i s o p e r a t in g on t h e i r b e h a lf — l o c a l and p a r t ic u la r reform may n ot be needed or a p p r o p r ia te . I f th in g s are n o t going w e l l , but the government as such can do n o th in g about th e d i f f i c u l t i e s , s o lu t io n s o th er th a n , or in a d d itio n t o , l o c a l reform sh o u ld be so u g h t. I f t h e r e are needs o f th e l o c a l p eop le w hich can be s a t i s f i e d by government a c t i o n , and th a t a c tio n has n o t been fo rth co m in g , then an attem p t can be made to persuade th e r e s p o n s ib le o f f i c i a l s and le a d e r s th a t reform i s n e c e s s a r y . I d e n t if y i n g needed reform s and a d v is in g and en cou ragin g l o c a l o f f i c i a l s to c o n sid e r them i s a le g it im a t e area o f a c tio n fo r th e m ilit a r y man w ith a coun te r in s u r g e n c y m is s io n . Such u n d e r ta k in g s, how ever, r e q u ir e t a c t and a s e n s i t i v e u n d ersta n d in g o f th e e x i s t i n g circum s t a n c e s . To i d e n t i f y t h o s e i s s u e s which sh o u ld be th e s u b j e c t o f reform i s t o conduct th e same kind o f in q u ir y as i s d is c u s s e d above in t h i s ch a p ter and in 'A p p en d ix B .134' iSM -y j d e , supra, pp. 129-33 , and p o s t , pp. 292-312. 162 The r e a l n e e d s and a s p i r a t i o n s o f t h e p e o p le must be id e n t i f i e d . So a l s o must t h e i r f e a r s and f r u s t r a t i o n s . In in d u c in g le a d e r s o f any e c h e lo n t o e f f e c t reform s t h e r e are s e v e r a l b a s i c a p p ro a c h e s. The r a t i o n a l e f o r t h e p ro p o sed change must be com m unicated t o th e le a d e r - - i n c l u d i n g th e n a tu re o f th e c r i s i s w hich makes i t e s s e n t i a l . Next i t must be d em on strated t h a t th e ch an ges a re r e a l l y r e i n f o r c i n g t h e g o a ls o f th e l e a d e r - - i f n o t h is im m ed ia te, th en h is lo n g -r u n g o a ls . Each i n d i v i d u a l con c ern ed sh o u ld be t o l d what i s e x p e c te d o f him and how h i s r o l e w i l l be b e t t e r perform ed by th e i n s t i t u t i o n o f th e reform . T h is su p p o r ts h i s p r id e and i d e a l i s m , as w e l l as h i s d e s ir e f o r p rom otion . He can be rem inded (w ith a p p r o p r ia te d e g r ee s o f g e n t le n e s s ) t h a t reform i s e s s e n t i a l f o r th e r e s o l u t i o n o f th e c r i s i s , and t h a t th e s e c u r i t y o f h i s p o s i t i o n ( t h a t i s , h is jo b as le a d e r ) i s th r e a te n e d by n o n r e s o lu tio n o f th e c r i s i s . - ^ 6 The le a d e r a t any l e v e l s h o u ld be en cou raged t o p a r t i c i p a t e in th e p la n n in g and con d u ct o f t h e n e c e s s a r y reform s o as t o in d u c e h is p e r so n a l commitment t o i t . F i n a l l y , h e s h o u ld be en co u raged t o s e e th e b e n e f i t t o him and h i s p o s i t i o n (a s w e l l as th e l ^ R o b e r t Tannenbaum, I r v in g R. W e sc h le r , and Fred M a ssa r ik , L ea d ersh ip and O r g a n iz a tio n : A B e h a v io r a l S c i - en ce Approach (New York: M cGraw-Hill Book Co. , I n c . , 1961) , pp. 22 , 31-42 . ^■^^Robert L. H am blin, . " L ead ersh ip and C r is e s ," S o c i- o m e tr y , XXI (D ecem ber, 1 9 5 8 ), 3 2 2 -3 5 . 163 good o f th e community) in th e n o tio n t h a t reform s sh ou ld be gen erated i n t e r n a l l y and n ot im posed from o u t s id e . ^ 3 7 The c o n te n t o f the argument i n th e approaches o u t lin e d above v a r ie s w ith the s i t u a t i o n and th e c u lt u r e . However, i t i s alw ays u s e f u l t o keep in mind th e con cep t o f m odernity. The f a c t th a t s o c i e t i e s i n which c o u n te r in su r gency i s l i k e l y t o occu r are t r a n s i t i o n a l s o c i e t i e s has been em phasized and r e i t e r a t e d . Local le a d e r s and govern ment o f f i c i a l s , some o f them W estern e d u c a ted , a re l i k e l y t o be among th o s e p la c in g a h ig h v a lu e on t h a t w hich i s "modern. 1 1 Thus, i f th e reform d e s ir e d i s g r e a te r pop ular p a r t ic ip a t io n in d e c is io n m aking, i t can be p o in te d out th a t a modern government i s r e p r e s e n t a t iv e o f th e p e o p le . I t can be f u r th e r n oted t h a t such a government sh o u ld r ep r e s e n t a l l groups w ith in th e s o c i e t y - - t h a t when one c a s t e , community, or r e l i g i o u s group i s fa v o r e d , f e a r and e s trangem ent are c r e a te d among o t h e r s , le a d in g th e n e g le c te d group t o withdraw t h e i r su p p o r t. ^ 3 8 S u ffr a g e can be id e n t i f i e d as a sym bol o f th e modern s t a t e — and as p r o t e c t in g th e s t a t e from s e iz u r e by th o s e opposed t o m oderniza- 1 3 7 Tannenbaum, W esch ler, and M assarik, op. c i t . , pa ssim * l 38Edward S h i l s , "The M ilita r y in th e P o l i t i c a l De velopm ent o f New S t a t e s ," The R ole o f th e M ilita r y in Un d erd evelop ed C o u n tr ie s , ed. John J . Johnson (P r in c e to n : P rin c eto n U n iv e r s ity P r e s s , 1 9 6 2 ), pp. 7 -68. 16 M - tion.^-^9 E f f ic ie n c y and th e need t o curb c o r r u p tio n can a l s o be i d e n t i f i e d w ith m o d ern ity . The e v e n tu a l s u c c e s s o f reform and th e achievem en t o f th e le a d e r 's own g o a ls can b e s t be met by a c t i v e pop u lar p a r t i c i p a t i o n in d e c is io n making. C e r ta in ly i t i s e s s e n t i a l fo r broadening th e p o l i t i c a l base o f governm ent. The le a d e r sh o u ld understand th a t community d e c is io n making encourages and p erm its th e in d iv id u a ls o f th e community t o i d e n t i f y him w ith th e program a t hand and th ereb y t o su p p o r t i t w ith g r e a te r v ig o r than i f i t were im posed on them (w h atever i t s m e r i t s ) . In t h i s way, th e w hole cause o f l e g a l government and c o u n te r in su r g e n c y i s s e r v e d , w h ile th e le a d e r s who are a p a r t o f th a t government se r v e t h e i r p e o p le . There may, o f c o u r s e , be no e s t a b lis h e d i n s t i t u t i o n s or p roced ures f o r p op u lar p a r t i c i p a t i o n in d e c is io n m aking. S e v e r a l approaches m ight be t e s t e d f o r t h e i r r e l a t i v e e f f i c a c y in th e p a r t ic u la r c u ltu r e and w ith th e p a r t ic u la r p e r s o n a lit y o f th e l o c a l le a d e r . The le a d e r can p r e s e n t h i s own t e n t a t i v e d e c is io n as t o what i s t o be done t o an assem b led group, i n d ic a t in g t o th e group t h a t i t i s s u b j e c t t o change on th e b a s is o f group d is c u s s io n . In 139John J . Joh n son , P o l i t i c a l Change i n L atin America (S ta n fo rd : S ta n fo rd U n iv e r s ity P r e s s , 19'S$), pp. 184— 85. ■ l-^ S h ils, l o c . c i t . - 165 a n oth er approach, th e le a d e r may p r e s e n t th e i s s u e t o a group, s o l i c i t th e o p in io n s o f th e group, and on th e b a s is o f th o s e s u g g e s tio n s make h is d e c is io n . In a n o th e r , th e le a d e r may d e fin e th e l im i t s o f th e problem or i s s u e and r e q u e st th e group t o make a d e c is io n . F i n a ll y , th e le a d e r may perm it th e group t o d e fin e th e i s s u e and make th e d e c i s io n w ith in th e predeterm in ed ground r u l e s . I n group d i s c u s s i o n s , a d em ocratic c lim a te may f o s t e r p e r so n a l com mitment and in c r e a s e group efficiency. Even i f t h e r e are e s t a b lis h e d l o c a l i n s t i t u t i o n s , one or more o f th e same approaches can be a p p r o p r ia te . However, no fundam ental c o n f l i c t w ith th e e s t a b l i s h e d i n s t i t u t i o n s f o r popular p a r t i c i p a t i o n sh o u ld be e n te r t a in e d — u n le s s i t i s th e i n e f f i c i e n c y or inadequacy o f t h a t i n s t i t u t i o n which i s th e s u b je c t o f proposed reform . I f he i s t o have any in f lu e n c e a t a l l , th e c o u n te r in s u r g e n t s o ld ie r 'm u s t a s s e s s th e r e a l i t i e s o f th e s i t u a t i o n . On th e o th e r hand, t h e r e may be f a c t o r s i n th e c u l tu r e or in p h y s ic a l a t t r i b u t e s o f th e a rea which l im i t reform — e s p e c i a l l y "reform ” as e n v isa g e d by a W esterner such as an American s te e p e d i n h is own New England town l^T annenbaum , W esch ler, and M assarik , op. c i t . , pp. 7 0-7 1. White and Ronald L i p p i t t , "Leader B ehavior and Member R eaction in Three ’ S o c ia l C lim a te s ,'" Group Dynamics, Research and T heory, ed . Dorwin C artw right and A lv in Zander (2d e d . ; New York: Harper and Row P u b lis h e r s , 1960) , pp. 5 2 7 -5 3 . 166 h a l l o r w estern P o p u lis t t r a d i t i o n . I f c e r ta in ty p e s o f group d e c is io n s depend upon th e t r a n s p o r ta t io n o f l o c a l le a d e r s fo r r e g u la r m e e tin g s , th en the ab sen ce o f roads or p o c k e ts o f in s u r g e n t a c t i v i t y a lo n g th e r o u te m ight a t l e a s t tem p o ra rily d elay such m e e tin g s. I f th e r e l i g i o u s v a lu e s o f th e a r ea do n o t s a n c tio n a p a r t ic u la r a c t i o n , th en t h a t a c t io n might be b e t t e r abandoned. Changes which do not ta k e in t o acco u n t t r a d i t i o n a l p a tte r n s o fte n c r e a te only r e s i s t a n c e . The f a c t o r s w hich l i m i t th e pos s i b i l i t i e s f o r change have t o be i d e n t i f i e d and c o n sid e r a t io n g iv en t o w hether th e l i m i t a t i o n s can be reduced or e lim in a t e d . O n th e o th er hand, c u l t u r a l f a c t o r s which g iv e m eaning and a c ce p ta n c e t o th e reform sh o u ld be u se d . Per haps th e analogou s e x p e r ie n c e s o f h i s t o r i c a l or m y th ic a l f ig u r e s can be used t o d em onstrate th e c o m p a t ib ilit y o f th e reform w ith l o c a l t r a d i t i o n . I f any s im ila r reform has been t r i e d and has su cceed ed fo r any le n g th o f t im e , i t sh o u ld be r e c a l l e d to memory. Reasons f o r p a st f a i l u r e o f reform s sh ould be used t o modify p r e s e n t reform s and to persu ad e le a d e r s and p o p u la tio n s t h a t th e reason s are no lo n g e r r e le v a n t . Changes which are d e sig n ed to f i t t r a d i t io n and are p e r c e iv e d as doing so have a r e a l chance o f ^Robert N. B e lla h , " R e lig io u s A sp ects o f Moderni z a t io n o f Turkey and Japan," American J o u rn a l o f S o c io lo g y , LXIV ( J u ly , 1 9 5 8 ), 1 -5 . 167 adoption and c o n t in u ity . Whatever th e u ltim a te w orth o f any proposed reform or change, i t i s q u it e l i k e l y to be p e r c e iv e d as t h r e a t e n in g to some in d iv i d u a l s . Land refo rm , f o r exam p le, d i s p o s s e s s e s th e la n d lo r d s , even i f th ey are com pensated fo r t h e i r monetary l o s s e s . G r o u p d e c is io n ta k e s some o f the power away from th e l e g a l or t r a d i t i o n a l d e c is io n maker. I t has a lre a d y been su g g e s te d t h a t when su ch a p erson i s drawn in t o t h e p lan s f o r reform a t t h e i r i n i t i a t i o n and has p a r t ic ip a te d in t h e i r d evelop m en t, he i s more l i k e l y t o ad j u s t h is own p o s i t i o n , save fa c e in th e e y e s o f o t h e r s , and d evelop in c r e a s in g commitment t o th e id e a . Elem ents o f Commonality i n a B a lk a n ized or Fragmented L ocal P o p u la tio n A fragm ented p o p u la tio n ten d s t o be counterp rod uc t i v e . The energy w hich could be a p p lie d t o c o n s tr u c tiv e u n d ertak in g i s in s te a d d iv e r te d t o in t e r n e c in e h o s t i l i t y . In a co u n terin su rg en cy e f f o r t su ch d iv e r s io n m inim izes or • ^ L ie u t e n a n t C olon el Bohannan im p lie s th e l o s s s u ff e r e d by th e la n d lo r d c la s s in th e c o u r ts o f th e P h i l i p p in e s when S e c r e ta r y Magsaysay ordered th e Judge Advocate G enerals Corps o f th e Armed F orces o f th e P h ilip p in e s to se r v e as p u b lic d e fe n d e r s. T h e r e a fte r i f an im p overish ed p easan t c o u ld n 't a ffo r d a law yer i n , s a y , a land te n u r e s u i t , an army law yer would r e p r e s e n t him. "The p e a sa n t knew th a t he would have f o r c e f u l r e p r e s e n ta t io n and t h a t th e judge would be a t l e a s t as much in awe o f a law yer from M agsaysay’s Army as he would be o f th e la n d lo r d 's law yer." [Bohannan], " C o u n ter-G u errilla O p eration s in th e P h i l i p p in e s , 1 9 4 6 -1 9 5 3 , . . . " p. 56. ltt5V id e , a l s o , Appendix B, p o s t , pp. 314-16, d e str o y s th e o p p o r tu n ity f o r s u c c e s s . The d im in u tio n o f in tra-com m u n ity h o s t i l i t y , on th e o th e r hand, can r e s u l t in an £ la n which c o n tr ib u te s t o c o u n te rin su r g e n c y s u c c e s s . Not only can th e r e be a fo cu se d energy among a l l subgroups who support c o u n te r in su r g e n c y , but th e r e s o lu t io n o f d i s p a r it y i t s e l f can be a resp o n se to th e i s s u e o f s t r a t i f i c a t i o n and th u s a m it ig a t io n o f one o f th e u n d e rly in g causes o f insurgency. Mutuality and common purpose among i n d i v id u a ls and groups a l s o d e c r e a se s th e s o c i a l i s o l a t i o n which i s a r e f l e c t i o n o f th e f r u s t r a t io n and c o n fu s io n o f a m aturing in su r g en cy m ilie u . 1^7 F in a ll y , th e r e i s a sim p le t a c t i c a l req u irem en t fo r c o o p e r a tio n and common e f f o r t among th o s e who se e k common pu rp ose. I f th e c o u n te r in su r gen t s o l d i e r fa c e s such fra g m e n ta tio n , he may have a few o p p o r t u n it ie s , not g iv en t o th e more remote p o lic y maker who i s h is s u p e r io r , to a f f e c t th e s i t u a t i o n fa v o r a b ly . N o tw ith sta n d in g the d i f f i c u l t y o f f i n a l r e s o l u t i o n , th e s o l d i e r in th e f i e l d has v i s - a - v i s c o n ta c t w ith d is p a r a te elem en ts and im m ediate t a c t i c a l problem s in which he has an o p p o rtu n ity t o app ly a few s o c i a l s c ie n c e p r i n c i p l e s . I t i s u n lik e ly th a t he can wash away th e antagonism s o f cen tu r i e s , but he may a s s i s t in a c h ie v in g a modus v iv e n d i which p erm its e f f e c t i v e p r o s e c u tio n o f th e c o u n te r in su r g e n t l ^ V i d e , Chapter I I , su p r a , pp. 3 6-37. ^ V id e , Chapter I I , su p r a , pp. 3 2 -3 3 . e f f o r t . The problems o f fra g m en ta tio n and d i s p a r it y a re d i f f i c u l t in d e e d . H isto r y i s r e p le t e w ith r a c i a l and r e l i giou s an ta g o n ism s, many o f them u n so lv ed a f t e r c e n t u r i e s . The tem porary problem s the U n ited S t a t e s has had in a b so rb in g some o f i t s im m igrant g ro u p s, such as th e I r i s h , German, I t a l i a n , and J a p a n ese, and th e lo n g -te rm problem o f i n t e g r a t io n o f Negro Americans during th e cen tu ry s in c e t h e i r em an cip ation i l l u s t r a t e the m agnitude o f th e problem . In t r a d i t i o n a l s o c i e t i e s , th e r o o ts and assu m p tion s o f d i f fe r e n c e s and s e n s e s o f " s u p e r io r ity " and " in f e r io r it y " are l i k e l y t o go even d eep er. In th e lo n g ru n , th e problem i s one o f changin g in te r g r o u p a t t i t u d e s . To change a t t i t u d e s o f each member o f s o c i e t y r e q u ir e s work a t th e l e v e l o f each component o f a t t i t u d e and becomes a co m p lica ted t a s k . I 1 *8 For th e p ra c t i c a l p u rp oses o f government and e f f e c t i v e c o u n te r in s u r gency a c t i v i t y , som ething l e s s than com plete a t t i t u d e change may be s e t t l e d f o r . F actors c o n t r ib u t in g t o i n t e r group r i v a l r y and h o s t i l i t y must be p r o g r e s s iv e ly reduced a t l e a s t t o th e p o in t o f t o l e r a t i o n s o t h a t some common 148David K rech, R ichard S. C r u t c h f ie ld , and Egerton L. B a lla c h e y , I n d iv id u a l in S o c ie t y (New York: McGraw-Hill Book Co., I n c . , 1962) , pp. 1 4 0 -4 2 , 223, 262-62. 170 d ir e c t io n can be a c h iev e d . A f i r s t s p e c i f i c s t e p i s th e encouragem ent o f c l o s e r p h y s ic a l p ro x im ity in l i v i n g and w orking groups. Such p roxim ity has been shown t o red uce d is p a r a te view s and a t t i t u d e s .15 0 T his e f f e c t may be on ly temporary b ecause p rev io u s group memberships o fte n prove t o be more i n f l u e n t i a l in th e lo n g r u n ,151 but i t may c o n tr ib u te t o th e s o lu t io n o f th e problem . A lso o f im m ediate p r a c t i c a l u t i l i t y i s th e en cou r agement o f r a th e r s h o r t-te r m a c tio n g o a ls — f o r th e a c h ie v e ment o f which t a s k - o r ie n t e d groups can be o rg a n ized w ith th e i n c lu s io n o f members from d i f f e r i n g s o c i a l and e th n ic groups. The group members may come t o a c ce p t th e g o a ls o f th e s e s p e c i a l ta sk -g ro u p s i f : ( 1 ) th ey are c le a r l y d e fin e d ;1 5 2 ( 2 ) th e y are p e r c e iv e d by members as m eetin g John Harding and R u ssel H o g re fe, " A ttitu d e s o f White Department S to r e Employees Toward Negro Co-W orkers," J o u rn a l o f S o c ia l I s s u e s , V III (1952), 18-28. 1 5 0 j. M aisonneuve, G. Palm ade, and C. Fourment, " S e le c t iv e C hoices and P r o p in q u ity ," S o c io m etr y , XV (Febru- ary-M ay, 1952), p a ssim ; D a n ie l M. W iln er, R o sa b e lle P. W alk ley, and S tu a r t W . Cook, " R e s id e n tia l P roxim ity and In terg ro u p R e la tio n s in P u b lic H ousing P r o je c ts ," J ou rn al o f S o c ia l I s s u e s , V III (1952), p a ssim . ^-Charles P. Loomis and A lla n J . B e e g le , Rural S o c ia l System s (New York: P r e n t i c e - H a l l , 1950), ppT SIT, 152Bertram H. Raven and Jan R ietsem a, "The E f f e c t s o f V aried C la r it y o f Group Goal and Group Path Upon th e I n d iv id u a l and His R e la tio n t o His Group," Human R e l a t i o n s , X (F eb ru ary, 1957), 35-36. 171 t h e i r n eed s *153 ancj ( 3 ) group members have some r o le in th e d eterm in in g o f t h e goals i n the f i r s t p la c e . 154 A cceptan ce of common group g oals may r e s u lt i n some a t t i t u d i n a l change and e v e n in th e developm ent o f a common id e o lo g y . Coopera tio n i s a le v e r t o t r u s t . I 5 5 However, th e changes h e r e to o may rem ain ephem eral and th e d e e p -se a te d d is p a r a te b e l i e f s may n o t be changed s i g n i f i c a n t l y o r perm anently.15& In any e v e n t, c e r ta in sh o r t-te r m g o a ls im p ortan t t o government a c tio n and to t h e conduct o f c o u n terin su rg en cy o p e r a tio n s may be accom p lish ed by su c h mixed ta sk -g r o u p s d e s p it e th e lack o f b a sic and permanent a t t i t u d e change. R acial d if f e r e n c e s among th e p o p u la tio n were n ot a primary d i f f i c u l t y or i s s u e during th e anti-H uk campaign in the P h i l i p p i n e s .1 5 ^ There w ere, how ever, some problem s, e s p e c i a l l y w ith th e m ountain N e g r ito s . Romulo and Gray -*-5^Robert L. Kahn, "An A n a ly s is o f S u p erv iso ry P r a c t ic e s and Components o f M orale," Groups, L e a d e r sh ip , and Men, ed. H arold S. Guetzkow (3d ed. ; New York: Pus s e l l S R u s s e l l , 1963), pp. 86-89. ^ L ester Coch and John R. P. French, J r . , "Over coming R e sista n c e to Change," Human R e la t io n s , I (November, 1948), 519-32. 155D eu tsch , op. c i t . , p a s s im ; v i d e , a l s o , t h i s c h a p te r , su p ra, p. 154. 156H arding and H o g re fe, " A ttitu d e s o f White Depart ment S to r e Employees Toward Negro Co-W orkers," l o c . c i t . , p. 26. 1 5 ? R u sse ll H. F i f i e l d , " P h ilip p in e s : Grave Econom i c T e n sio n s," C urrent H is t o r y , XXIII, No. 132 (A u gu st, 1952) , p. 105. 172 d e sc r ib e th e ta sk approach made by Magsaysay t o th e s e i s o l a t e d and g e n e r a lly h o s t i l e p e o p le : From every d i r e c t i o n , Magsaysay was b r in g in g f o r c e s t o g e t h e r t o sh a re in th e war a g a in s t th e Huks. Among th e r e c r u ite d was th e t r i b e o f pygmy f i g h t e r s , Magsay- s a y ' s boyhood com panions, th e N e g r it o s . E arly in th e campaign a g a in s t th e Huks he p aid a s e c r e t v i s i t t o t h e i r h id in g p la c e in th e m ountains o f Zambales. For y e a r s , e f f o r t s had been made t o e n l i s t th e N e g r ito s a g a in s t th e Huks. A l l e f f o r t s had f a i l e d . The in d ep en d en t m ountain t r i b e to o k no i n t e r e s t in who ran th e P h ilip p in e s or what id e o lo g y claim ed th e c o u n try . But i n t h e i r e y es Magsaysay was an e x c e p t io n a l F i l i p i n o . They lik e d and t r u s t e d him. On t h i s v i s i t Magsaysay was gam bling on th a t t r u s t . He took w ith him C o lo n el L a n sd a le, from th e J o in t U. S. M ilita r y Aid Group, and Major C h arles Bohannan, a l s o o f JUSMAG. The N e g r ito s were i n v i t e d t o d in n e r in th e m ilit a r y camp, and du rin g th e cou rse o f th e meal Magsaysay was a b le t o con vin ce th e N e g r ito s th a t th e F il i p i n o s o l d ie r s were f r ie n d ly w ith th e Americans (whom th e N e g r ito s t r a d i t i o n a l l y l i k e d ) , t h a t b oth were c o o p e r a t in g in th e e f f o r t to d i s p e l th e H uks, and th a t both s i d e s jo in e d t o g e t h e r i n th e hope t h a t th e N e g r ito s would p o in t out th e m ountain h id e o u ts o f th e Huks and a s s i s t in t h e i r e x te r m in a tio n . Magsaysay knew th e ways o f th e N e g r it o s , and how t o convince them. B efore he l e f t th e m ou n tain s, th e l i t t l e f i g h t e r s had agreed t o h e lp on th e s id e o f democracy— a word u t t e r l y w ith o u t meaning t o them .^ 88 Again over th e s h o r t term , c o o p e r a tiv e b e h a v io r b e yond th e immediate t a s k d e sc r ib e d above can be encouraged by o f f e r i n g a p p r o p r ia te i n c e n t i v e s . The b eh a v io r d e s ir e d sh ou ld be c a r e f u lly d e fin e d t o th e v a r io u s p a r t i c i p a t i n g groups. At l e a s t in th e i n i t i a l s t a g e s , th e c o o p e r a tiv e a c t i v i t y sh o u ld be one on w hich th e p a r t ic ip a n t s are l i k e l y to agree and fo r w hich they are l i k e l y t o work to g e th e r . • i-58Romulo and Gray, op. c i t . , p . 135. 173 The i n c e n t i v e s , in a d d itio n t o b e in g r e la t e d t o f e l t n e e d s , might be th o s e which a re b e n e f i c i a l t o th e whole group. I f ev ery on e p artak es o f th e reward as w e ll as p a r t i c i p a t i n g in th e e n d ea v o r, group g o a ls w i l l be f o s t e r e d . Group g o a ls lea d t o fu r th e r c o o p e r a tiv e a c t i v i t y and a p a tte r n o f coop e r a t io n might be e s t a b lis h e d over tim e. In any c a s e , th e V i n c e n t iv e rewards sh ou ld be d e liv e r e d on each o c ca sio n im m ed iately a f t e r th e c o m p letio n o f the d e s ir e d a c t o f c o o p e r a tio n . The very terms "group," " c u ltu r e ," " s o c ie t y ," or "nation" im ply th a t t h e r e are p eo p le who sh a re c e r ta in c h a r a c t e r i s t i c s and p r e d is p o s it io n s as a g a in s t th o s e who do n o t. The problem in th e d e v e lo p in g and t r a n s i t i o n a l s o c i e t i e s i s th a t th e fragm ented and m utu ally e x c lu s iv e groups are t o o many and to o sm a ll to perm it v i a b i l i t y o f th e n a tio n and p u r s u it o f t h e n a t io n a l i n t e r e s t . One way to c o n tr ib u te t o th e s o l u t i o n o f th e problem i s t o p u b lic ly s t r e s s and o b t a in , i f p o s s i b l e , p u b lic r e c o g n itio n o f what e v er s i m i l a r i t i e s , t i e s , and com m on alities th e r e may be among th e grou p s. I f two or more groups c la im common e th n ic o r i g i n , t h a t c la im can be s t r e s s e d . I f a l l groups want more e d u c a tio n , or more t r a in in g in crop husbandry, or a new road i n t o th e a r e a , th o s e common d e s ir e s can be s t r e s s e d . I f s e v e r a l groups b e l ie v e i n th e same go d s, but employ d i f f e r e n t w orship r i t u a l s , th e common b e l i e f s can be s t r e s s e d . D iffe r e n c e s between and among groups can be 174 d e - e m p h a s i z e d . ^ - 6 9 Sources o f c o n f l i c t and c o m p e titio n b e tween and among groups can be made m inim al or e l i m i n a te d . 1^0 in s h o r t , a "we" f e e l i n g among th e d is p a r a te groups may e v e n tu a lly d is p la c e a "they" f e e l i n g . As p r e v i o u sly m en tioned, th e p u b lic adherence t o t h i s f e e l i n g by members o f th e s e v e r a l groups w i l l have a r e in f o r c in g e f f e c t . P eople ten d t o u n ite a g a in s t som ething even more e a s i l y than th ey w i l l u n ite f o r so m e th in g , so a new " th ey 1 1 f e e l i n g sh o u ld be f o s t e r e d . The n o tio n t h a t "we are in t h i s to g eth er " can be encouraged i f sh a red h o s t i l i t i e s are fo c u se d on a group or groups p e r c e iv e d as th e enemy common t o a l l . H o s t i l i t y toward each o th e r by each o f s e v e r a l groups w i l l be d im in ish ed by each grou p 's r e d ir e c t in g t h a t h o s t i l i t y toward a n o th er " sca p eg o a t." A p r a c t i c a l s t e p in th e r e l a t io n s h ip between s o l d ie r and fragm ented l o c a l p o p u la tio n may be th e d i s t r i b u t i o n o f c e r t a in key goods or s e r v i c e s by e i t h e r th e c e n t r a l or th e l o c a l government fr a n k ly on th e b a s is o f in te r g r o u p c o o p e ra tio n and n o n co o p er a tio n . To th e e x te n t t h a t l^^Henry L. Manheim, " Intergroup I n t e r a c t io n as Re la t e d t o S ta tu s and L eadership D iffe r e n c e s Between Groups," S o c io m etr y , XXIII (December, 1 9 6 0 ), 41 5 -2 7 . l^^M uzafer S h e r if and Carolyn W . S h e r i f , Groups in Harmony and T en sion : An I n t e g r a t io n o f S tu d ie s on I n t e r - " group R e la tio n s (New York: H arper, 19 5 3 ) , pp. 2 72 f f . 16lB ernard B e r e ls o n , Paul L a z a r s fe ld , and W illiam McPhee, " P o l i t i c a l P e r c e p tio n ," Readings in S o c ia l P sy c h o l ogy , ed . Maccoby, Newcomb, and H a r tle y 7 pp« 7 2-65. 175 d is p a r a te groups depend upon th e s e l e c t e d i t e m s , th e behav i o r o f in d iv id u a ls o r groups can t o some e x t e n t be manipu la te d and c o n t r o lle d by e i t h e r su p p ly in g or w ith h o ld in g ite m s . I f such a p la n i s g o in g t o have any e f f e c t , th e d i s t r i b u t io n o f th e key ite m s must be s o l e l y f o r th e purpose o f drawing subgroups i n t o f u l l p a r t i c i p a t i o n - - n e v e r o f d is c r im in a tin g a r b i t r a r i l y a g a in s t any p a r t ic u la r group. To th e d egree t h a t cir cu m sta n c es p e r m it, th e gov ernment may change any l e g a l s a n c t io n s which c o n tr ib u te t o th e d is c r im in a tio n among groups and p a ss new law s to make d is c r im in a tio n more d i f f i c u l t . I t sh o u ld be c le a r l y under sto o d t h a t th e p a ssa g e o f la w s , and even t h e i r e f f i c i e n t en fo rcem en t, cannot change d eep ly f e l t b e l i e f s or pop ular m o r a lity in th e s h o r t term , bu t i t can in f lu e n c e b e h a v io r . Communication Channels Among Subgroups o f L ocal P o p u la tio n s and Be- 'tween S o l d ie r and Leaders Communication i s a s i n e qua non t o th e su c c e s s o f th e r e l a t io n s h ip o f th e c o u n te r in su r g e n t s o l d i e r and th e l o c a l p o p u la tio n w ith whom he i s in im m ediate a s s o c i a t i o n . I f he i s t o acco m p lish h is double m issio n o f m o tiv a tin g t h e p eople t o support t h e government e f f o r t and o f d e fe a t in g th e in s u r g e n t enemy in m ilit a r y term s, th e s o l d i e r must a t tempt t o p e r su a d e, d i r e c t , in fo rm , and c a jo le by variou s p r o c e sse s o f com m unication. The e f f e c t i v e n e s s o f communi c a tio n among a l l c l a s s e s and groups in the l o c a l community 176 a l s o a f f e c t s th e c o u n terin su rg en cy m issio n o f th e s o l d i e r . He i s dependent upon in fo r m a tio n d eriv ed from a l l c l a s s e s o f th e p e o p le — w hether t h i s has t o do w ith d e ter m in a tio n o f t h e i r needs and v a lu e s or w h eth er th e in fo r m a tio n has t o do w it h i n t e l l i g e n c e r e g a r d in g t h e enemy. A common e f f o r t g a in s in e f f i c i e n c y and &lan i f th e re i s f r e e and u n d is t o r t e d comm unication among th e c o n s t it u e n t human elem en ts o f th a t e f f o r t . Of even more fundam ental im p ortan ce, how e v e r , i s t h e p o t e n t i a l o f e f f e c t i v e comm unication t o h e lp break down th e s o c i a l i s o l a t i o n o f in d iv id u a ls and groups and thus t o d im in ish one m a n ife s ta tio n o f the s o c i a l a l i e n a t i o n which u n d e r lie s in s u r g e n c y .1^2 Communication W ithin a Community A rudim entary knowledge o f a community*s s o c i a l s tr u c tu r e i s e s s e n t i a l t o d is c e r n or e s t a b l i s h communica t i o n c h a n n e ls. The te c h n iq u e s f o r g a in in g knowledge and i n s i g h t w hich are p r e se n te d in Appendix B are r e le v a n t t o t h i s p u r p o s e . C o m m u n i c a t i o n flow s i n con form ity w ith t h e f e e l i n g s , a s p i r a t i o n s , and f r u s t r a t io n s o f th e pop ula t i o n . The more th e communicator i s aware o f th e p e o p le 's n eed s and a t t i t u d e s , th e g r e a te r l ik e l i h o o d th a t he w i l l be a b l e to in f lu e n c e them . "Feedback," or t h e c o n tin u in g p r o c e s s o f g a th e r in g in fo r m a tio n about th e im pact t h a t th e ^■62V ide? Chapter I I , su p ra , pp. 32-33. 163Vide, p o s t , pp. 273-327. com m unicator's a c t io n s are h a v in g on th e p e o p le , i s an e s s e n t i a l f a c t o r in a com m unications s y s t e m ,16* * ■ and i t can on ly come through knowledge o f th e c u ltu r e and i t s ways. The e f f i c i e n c y o f th e com m unication system can be determ ined through th e u se o f in fo r m a l in te r v ie w s or q u es t io n n a ir e s , Those who p a r t ic ip a t e in th e s t r u c tu r e can d e sc r ib e t h e i r r o l e s . They can t e l l from whom th e y norm a l l y a c ce p t in fo r m a tio n and t o whom th e y p ass i t a lo n g . They can t e l l who i s c r e d ib le and who i s n o t . I t may be p o s s ib le t o determ ine th e d egree o f s a t i s f a c t i o n o f th e s e p eop le w ith th e sy stem and th e e x te n t t o which th e y regard th e sy stem as r e l i a b l e or u n r e lia b le . A d d itio n a l in fo r m a tio n on p a r t i c u la r ch an n els in a p a r t ic u la r l o c a l s e t t i n g can be o b ta in ed through c a r e fu l p e r so n a l o b s e r v a tio n , alth ou gh t h i s i s a d i f f i c u l t and o ft e n im p r a c tic a b le proced u re. I t may be p o s s i b l e t o f o l low m essages from so u rce t o d e s t in a t io n . The s o l d i e r from o u ts id e th e community who needs t o have t h i s knowledge can n o te a p ie c e o f in fo r m a tio n , l e t i t be known t o a n o th e r , and ob serve th e ch an n els i t p a s se s th rou gh , and i t s flow from one p o in t in a ch an n el t o a n o th e r . He sh o u ld n o te th e p o in ts w ith in th e channel where changes a re made in th e — l 6- 4Tannenbaum, W esch ler, and M assarik , op, c i t . , pp. 2 2 , 3 1-42. 165v i d e , t h i s c h a p te r , su p r a , pp. 1 2 8 -1 3 3 , and Appendix B, p o s t , pp. 2 92-30 3. 178 m essage and th e forms in which i t i s r e c e iv e d a t i t s s e v e r a l d e s t i n a t i o n s . I t i s a ls o p o s s i b l e t o i n v e s t i g a t e t h i s in r e v e r s e — th a t i s , t o i d e n t i f y a reas in which m essages are or are n o t r e c e iv e d , are r e c e iv e d l a t e , or are n o t r e c e iv e d in th e o r i g i n a l form; then move from t h i s p o in t back t o th e so u r c e . By em ploying t h e s e m ethods, th e s o l d i e r can roughly map out comm unications ch an n els and roughly d i s c r im in a te between th o s e which o p era te w ith r ea so n a b le e f f i c ie n c y and accuracy and th o se w hich need im provem ent. S e v e r a l g e n e r a liz a t io n s can be made about th e flow o f in fo r m a tio n . F i r s t , s o c i a l s t r u c tu r e determ in es th e ch an n els o f com m unication. For exam ple, th e amount o f a c - ; c u r a te in fo r m a tio n and th e p r o b a b ilit y o f d iscr ep a n c y vary w ith th e s o c i a l d is ta n c e between th e so u rc e and r e c e iv e r o f th e com m unication. T hus, i f th e r e i s c o n s id e r a b le s o c i a l d is ta n c e between an e l i t e group in a community and th e w orking p e a sa n t, communication i s l e s s , and what t h e r e i s i s l i k e l y t o be d i s t o r t e d . Between d if f e r e n c e grou p s, th e amount o f comm unication depends upon th e e x t e n t t o which th e groups i n t e r a c t and how in te rd ep en d e n t th e y a r e . Groups w hich have e s t a b l i s h e d p a tte r n s o f c o o p e r a tio n in order t o work f o r common g o a ls a l s o have e s t a b l i s h e d e f f e c t i v e comm unication sy ste m s. Between groups which do not norm ally work t o g e t h e r , th e r e are l i k e l y t o be communica t i o n gaps and d i s t o r t i o n s . T h ird , w ith in grou p s, th e im portance o f group membership t o th e in d iv id u a l d oin g th e 179 com m unicating w i l l a f f e c t th e accu racy and amount o f h is com m unication. I f he v a lu e s h i s membership in th e group, he te n d s t o r ep o rt more a c c u r a t e ly ; i f he does n o t , h is m essage may be d i s t o r t e d . A ls o , th e p e r c e iv e d im portance o f th e m essage w i l l in f lu e n c e th e accu racy w ith w hich i t i s r e p o r te d . I t f o llo w s from th e f i r s t two g e n e r a liz a t io n s made above t h a t an e f f e c t i v e way t o improve com m unications i s t o e s t a b l i s h group g o a ls w hich r e q u ir e c o o p e r a tio n b e tween groups or l e v e l s and w hich r e s u l t in some r e w a r d .166 The e f f e c t o f sh ared g o a ls i s t o break down communication g a p s. B e tte r communication among l e v e l s r e q u ir e s l e s s r a th e r than more s o c i a l d is ta n c e betw een th e le a d e r s and e l i t e and th e low er c l a s s e s . Where t r a d i t io n te n d s t o p e r p e tu a te s o c i a l d is t a n c e , t h e r e are u s u a lly some p erson s in a community who ten d t o b rid g e th e l e v e l s and who can be used as in t e r m e d ia r ie s . The u se o f such in te r m e d ia r ie s in th e communication sy stem h e lp s t o e s t a b l i s h both upward and downward com m unications flo w . The upward flo w , o f t e n th e more d i f f i c u l t to d e v e lo p ,167 g iv e s th e le a d e r s th e n e c e s sa r y feedback fo r d e c is io n making. I t a ls o g iv e s th e 166V id e, t h i s c h a p te r , su p r a , pp. 154, 1 6 7 -7 3 . 167H arold H. K e lle y , "Communications in E xperim ent a l l y C reated H ie r a r c h ie s ," Human R e l a t i o n s , IV (F eb ru ary, 1951) , p a ssim ; John T h ib au t, "An E xp erim ental Study o f th e C oh esiven ess o f U n d e r p r iv ile g e d Groups," Human R e la t io n s , I I I (A u gu st, 1 9 5 0 ), 2 6 7 -7 3 . 180 lo w e r - le v e l person a s e n s e o f in volvem en t and p a r t i c i p a t i o n . Downward flow i s e s s e n t i a l t o in fo r m , t o p e r su a d e, and t o d i r e c t . O rg a n iz a tio n i s im p o s s ib le w ith o u t i t . In th e same s e n s e t h a t in te r m e d ia r ie s can b r id g e s o c i a l d i s t a n c e , s o in te r m e d ia r ie s or l i a i s o n a g en ts can a s s i s t in making communication e a s i e r among groups. Even i n th e case: o f a n t a g o n i s t i c groups th e r e are u s u a lly some members o f each group who are more or l e s s a c c e p ta b le t o members o f the o th e r group. These a c c e p ta b le in d iv id u a ls can communi c a te on b e h a lf o f t h e i r own group. I f such a person s i t s in on d e c isio n -m a k in g m eetin g s o f both g ro u p s, communica t io n i s f a c i l i t a t e d . I t may a l s o be u s e f u l t o encourage new i n s t i t u t i o n s or o c c a s io n s t o f a c i l i t a t e communication among v a rio u s groups and l e v e l s o f th e p o p u la tio n . These might in c lu d e community c o u n c ils fo r d is c u s s io n o f l o c a l problem s, annual or sem i-a n n u a l f a i r s , b a z a a r s, a t h l e t i c c o n t e s t s , or o th e r l o c a l l y a p p r o p r ia te fu n c tio n s where p eo p le can g a th e r t o d is c u s s a f f a i r s o f m utual i n t e r e s t . Communication Between Counter in s u r g e n t M ilita r y P erson n el and L ocal A u th o r itie s The l o c a l a u t h o r i t i e s w ith whom a c o u n te r in su r g e n t s o l d i e r from o u ts id e th e community i s l i k e l y t o need t o communicate in c lu d e m ilit a r y c o u n te r p a r ts , c h i e f s , headmen, and s o f o r t h . E f f e c t i v e communication u lt im a t e ly r e s t s on 181 a knowledge o f l o c a l mores and fo lk w a y s— p a r t ic u la r ly w ith r e fe r e n c e t o the c u l t u r a ll y p r e s c r ib e d p a tte r n s f o r i n t e r a c t io n . With such know ledge, the more obvious p i t f a l l s can b e a v o id e d . Communication i s f a c i l i t a t e d by a d a p tio n t o t h e s e l o c a l ways.^®® N e v e r th e le s s , members o f m ost s o c i e t i e s ten d t o fo r g iv e minor s o c i a l tr a n s g r e s s io n s on th e p a r t of a fo r e ig n e r s o long a s he shows a genuine d e s ir e t o le a r n th e lo c a l ways and i s making dem onstrab le p ro g r ess i n t h i s reg a rd . This seem s t o be tru e even in th o s e s o c i e t i e s where fo r e ig n e r s may be g e n e r a lly p e r c e iv e d as i n f e r i o r t o t h e r u lin g c a s te . One o f th e f i r s t and most im p ortan t r e q u i s i t e s f o r e f f e c t i v e comm unication betw een the s o l d i e r from a n oth er n a tio n o r from a n o th e r su b c u ltu r e w ith in h is own n a tio n and l o c a l a u t h o r it ie s i s a common u n d erstan d in g o f fr e q u e n tly u sed ter m s. I f t h e r e i s a d i f f e r e n t language or d i a l e c t in t h e p a r t ic u la r community, i t i s id e a l i f the o u t s id e r has com plete f a c i l i t y i n th a t langu age and no need f o r an i n t e r p r e t e r . I n te r p r e te r s who can be depended upon to t r a n s l a t e c o r r e c t ly , w ith ou t em b ellish m en t or changes w hich s u i t t h e i r own p le a s u r e , are hard to f i n d . On th e o th e r hand th e s u b t le nuances o f la n g u a g e, in c lu d in g g e stu r e and 16® If p o s s i b l e , some degree o f p r e s e l e c t i o n o f m il it a r y p e r so n n el a s s ig n e d o v e r se a s m ight be u s e f u l . Those a ss ig n e d sh o u ld have a high p o t e n t i a l f o r g e t t in g alo n g w ith in d ig en o u s p e r s o n s . (P erh a p s, as i n th e P eace C orps, c r i t e r i a f o r s e l e c t i o n o f o v e r se a s p e r so n n e l sh o u ld be on t h e b a s is o f a d a p tiv e f a c i l i t y . ) 182 f a c i a l e x p r e s s io n , are o ft e n ex trem ely d i f f i c u l t t o m aster in a s h o r t p e r io d and an i n t e r p r e t e r may be u s e f u l even i f th e o u t s id e r has some knowledge o f th e language* An i n t e r p r e t e r sh o u ld have flu e n c y in both lan gu ages and an a b i l i t y t o e x p la in v a r ia t io n s in meaning o f terms* In any c a s e , a g lo s s a r y o r d ic tio n a r y o f fr e q u e n tly used terms can f a c i l i t a t e comm unication betw een an o u t s id e r and a l o c a l le a d e r . Each commonly u sed term sh o u ld be d e fin e d in th e s o l d i e r ' s language and in th e l o c a l la n g u a g e . The term sh ou ld th en be used by b oth th e o u t s id e r and h i s co u n ter part in a l l a p p ro p ria te c a s e s ; f o r exam ple, " p etrol" i n ste a d o f " g a s o lin e ." Such a g lo s s a r y -- d e v e lo p e d through mutual e f f o r t — c o u ld do much to m inim ize am bigu ity and t o make communication more p r e c i s e . I f the s o l d i e r knows h is own job w e ll and i s a b le to im press th e l o c a l a u t h o r i t i e s w ith h is com petence, he w i l l have g r e a te r o p p o rtu n ity fo r e f f e c t i v e com m unication. P er ce iv e d e x p e r t is e i s an im portant elem en t i n e s t a b l i s h in g c r e d i b i l i t y .169 Qn -the o th e r hand, th e s h o r t ten u re o f most m ilit a r y p e r so n n e l p la c e s them i n th e p e c u lia r p o s i t i o n o f a d v is in g l o c a l a u t h o r i t i e s who may have been d oin g t h e i r jo b s f a i r l y w e ll f o r y e a rs and know c o n sid e r a b ly more about th e l o c a l problems than th e a d v is e r e v e r w i l l . S e r i ous communication gaps may r e s u l t i f th e s o l d i e r does n o t -*-69yide, Appendix C, p o s t , p u . 331. 183 r e c o g n iz e and p u b lic ly acknowledge th e com petence o f th e l o c a l a u th o r ity when i t i s c le a r he has som ething t o le a r n . A gain, e f f e c t i v e com m unication can d e r iv e from a c o o p e r a tiv e and t r u s t f u l r e l a t io n s h ip between o u ts id e m i l i ta r y p e r so n n el and l o c a l a u t h o r i t i e s . ^7^ The l o c a l le a d e r must come to t r u s t th e m ilit a r y p e r so n n el and t o f e e l th a t he e n jo y s t h e i r support i n h is e f f o r t s . E sta b lish m e n t o f such t r u s t o f t e n r e q u ir e s th a t c o u n te r in su r g e n t p e r so n n e l su pp ort th e le a d e r in h is f a i l u r e s as w e ll as in h is s u c c e s s e s . M ilita r y p e r so n n e l and l o c a l a u t h o r i t i e s sh o u ld meet to g e t h e r r e g u la r ly on ta sk s t h a t r e q u ir e j o i n t e f f o r t . Work on s p e c i f i c ta sk s f o s t e r s t r u s t and c o o p e r a tio n and f a c i l i t a t e s com m unication. D iffe r e n c e in s t a t u s sh o u ld n ot be p e r m itted t o compromise t h i s w orking r e l a t i o n s h i p . I 7- * - T rust and c o o p e r a tio n are a l s o su p p orted i f th e p e r so n a l needs and a t t i t u d e s o f th e l o c a l le a d e r are determ ined and an e f f o r t made t o a vo id f r u s t r a t in g t h e s e u n le s s th e s i t u a t i o n a b s o lu t e ly demands i t . 172 I f th e l o c a l le a d e r has a need t o appear dominant and such appearance does n ot impede th e t a s k a t hand, he sh o u ld be p e r m itted t o p la y th a t r o le . Communication between s o l d i e r and l o c a l le a d e r w i l l 170V id e , t h i s c h a p te r , s u p r a , p. 154, ■ L71Gordon W . A llp o r t , The Nature o f P r e ju d ic e (Cam b r id g e , M ass.: A ddison-W esley P u b lish in g C o ., In c .', 1 9 5 4 ), p assim . •I -72Joy P. G u ilfo r d , P e r s o n a lit y (New York: McGraw- H i l l , 1 9 5 9 ), pp. 205, 4 3 2 -4 7 , e t p a ssim . 184 be much e a s i e r and become an e s t a b lis h e d p a tte r n much more r a p id ly i f i t ta k e s p la c e w ith in e x i s t i n g fram eworks. The s u p e r i o r i t y - i n f e r i o r i t y r e l a t io n s h ip s and th e ch a n n els o f communication which e x i s t in th e l o c a l area sh o u ld be u t i l i z e d t o th e d eg ree p o s s i b l e . I f i t i s proper t o inform the headman o f an in t e n t io n to a ttem p t a c e r t a in a c tio n b e fo re a c t u a lly p la n n in g i t s im p lem en tation w ith a m ilit a r y c o u n te r p a r t, th en he sh o u ld be in fo rm ed — w ith as much c e r e mony as th e c u ltu r e demands. I t may a l s o make a d if f e r e n c e who among th e coun te r in s u r g e n t fo r c e s r e g u la r ly makes c o n ta c t w ith l o c a l c i v i l i a n o f f i c i a l s . Not o n ly sh ou ld he be sy m p a th e tic , but i t i s a l s o a p p ro p ria te i f th e n a tu re o f h i s job makes th e c o n ta c t more r e le v a n t . R e c a llin g th e an ti-H u k campaign in the P h i li p p i n e s , C o lo n el V a le ria n o s t a t e s : In my command w hich was t y p i c a l , th e c i v i l a f f a i r s o f f i c e r se r v e d as th e l i a i s o n o f f i c e r o f th e c i v i l gov ernment on my s t a f f . He was th e man who was my lin k w ith p r o v in c ia l governor and w ith th e o th e r c i v i l i a n government o f f i c i a l s in t h a t p r o v in c e . He a l s o serv ed as my l i a i s o n o f f i c e r w ith th e c i v i l i a n armed b od ies t h a t we had in my area o f r e s p o n s i b i l i t y . . . . Such i n t e g r a t i o n , such c o h e sio n o f a l l government and sem i- government a g e n c ie s was a ch iev ed t h a t I was a b le to accom p lish my p u rp ose.-1 -?3 The e x i s t i n g i n s t i t u t i o n a l arrangem ents may n o t be s a t i s f a c t o r y or e f f i c i e n t fo r th e pu rp oses o f l o c a l commun i c a t i o n . In such c a s e s , new s t r u c t u r e s s u i t a b l e t o th e 1?3C V a leria n o ], " C o u n te r-G u er rilla O perations in th e P h i li p p i n e s , 1 9 4 6 -1 9 5 3 , . . p. 32. 185 c u ltu r e can be arranged. I t may be t h a t a community coun c i l or a com m ittee o f v a r io u s r e p r e s e n t a t iv e le a d e r s cou ld be formed t o r e c e iv e and c o n sid e r on a r o u t in iz e d b a s is th e communications from th e c o u n te r in su r g e n t m ilit a r y au th or i t y . (The Community R e la tio n s A d visory C ou n cil— CRAC— in Korea o f f e r s an example o f t h i s ty p e o f o r g a n iz a t io n .) G eneral lo n g -term r o u tin iz e d communication m ight be f a c i l i t a t e d i f the new s t r u c tu r e were i n s t i t u t i o n a l - - t h a t i s , r e l i e s on r e g u la r and im p erson al p ro ced u res which w i l l su r v iv e even when th e p e r so n n e l a ss ig n e d change. In some c ir c u m sta n c e s , how ever, th e use o f a p e r so n a l in term ed ia ry who can tra n sm it com m unications in fo r m a lly between th e c o u n te r in su r g e n t p e r so n n el and l o c a l a u t h o r i t i e s can expe d it e th e p r o c e ss and avoid em b arrassin g head-on c o n f l i c t s when th ey seem l i k e l y t o o ccu r. In some c u l t u r e s , th e p e r so n a l in term ed ia ry i s alm ost mandatory— even i f i n s t i t u t i o n a l arrangem ents are a l s o made. S u c c e s s fu l in te r c h a n g e s betw een c o u n te r in su r g e n t m ilit a r y p e r so n n el and l o c a l a u t h o r i t i e s sh ould be r e warded, Sometimes th e reward i s i n t r i n s i c t o th e su c c e s s i t s e l f — everyone knows th e jo y o f r ea c h in g f u l l agreement on a p o in t which a llo w s m utu ally d e s ir e d p r o g r ess t o be made. Sometimes th e reward l i e s in th e a c tio n s which fo llo w s u c c e s s f u l com m unication. Sometimes i t might be u s e f u l t o reward in a c u l t u r a l l y a p p ro p ria te way w ith some s p e c i f i c g i f t or a c t io n — perhaps a to k en "medal" or c e r t i f - 186 i c a t e . The e s s e n t i a l p o in t i s th a t th e u t i l i t y o f coop era t io n and e f f e c t i v e communication sh o u ld be dem onstrated. Other p r in c ip le s o f communication and p e r su a sio n are s e t fo r th in Appendix C o f t h is s tu d y . R eferen ce t o th a t Appendix sh o u ld be made as a supplem ent t o th e commun ic a t io n a sp e c t o f th e c o u n te r in su r g e n t s o l d i e r ' s r e l a t i o n sh ip w ith lo c a l p o p u la t io n s . 4 Working W ith or Around a " T jislik e d L ocal O f f i c i a l The very f a c t o f in su rgen cy im p lie s d is c o n te n t and s o c ia l a l i e n a t i o n . 175 o f f ic ia ld o m , a t b e s t , i s a n a tu r a l ta r g e t f o r resen tm en ts. Some o f f i c i a l s e x a ce rb a te th e popular h o s t i l i t y toward th e m se lv e s and th e government th ey r e p r e s e n t. W hatever step s an e s t a b lis h e d government may have ta k e n to meet and r e c t i f y the s o c i a l t e n s io n s a s s o c i ated w ith th e developm ent o f in s u r g e n c y , i t i s u n lik e ly th a t a l l persons in the government apparatus are s im ila r ly e n lig h te n e d , or t h a t the government has th e tim e , en e rg y , or p r e s c ie n c e t o r i d i t s apparatus o f a l l unpopular p erso n n e l. The co u n terin su rg en t s o l d i e r , r e p r e s e n tin g la r g e r e n t i t y and la r g e r p o l i c y , i s l i k e l y t o en co u n ter a l o c a l o f f i c i a l who has a lie n a te d by p o lic y or p e r s o n a lit y th e p o p u la tio n whom he p r o fe s s e s to s e r v e . That o f f i c i a l can • 1 -7^v id e , Appendix C, p o s t , pp. 329-5 8, e t passim . • ^ ■ 7 5 t Chapter I I , supra, pp. 25-37. 18 7 so become a symbol o f r e p r e s s io n or c o rr u p tio n t h a t he d im in ish es a n y th in g p o s i t i v e th e im p erson al and a b s tr a c t government or th e c o u n te r in su r g e n t s o l d i e r from o u ts id e th e community may attem p t in m o tiv a tin g the populace t o support th e e s t a b lis h e d reg im e. Such an o f f i c i a l i s a s i g n i f i c a n t l i a b i l i t y t o th e c o u n te r in su r g e n t e f f o r t . A l t h o u g h some such unpopular le a d e r s a t th e community o r v i l l a g e l e v e l may be removed by th e c e n t r a l a u t h o r i t i e s upon r e c e i p t o f w e ll-fo u n d e d c o m p la in ts, d isp la cem en t o f such o f f i c i a l s may be d i f f i c u l t or hazardous in a r e a s not under firm c e n tr a l government c o n t r o l. In any c a s e , th e s o l d i e r may fin d him s e l f h avin g t o work o p p o site an unpopular le a d e r , and in v o lv e d in one th e more d i f f i c u l t s i t u a t i o n s o f a co u n ter in su r g e n c y . One approach t o th e problem i s t o make no p r e te n se th a t a l l o f f i c i a l s a s s o c ia t e d w ith th e l e g a l government and co u n terin su rg en cy e f f o r t are p e r f e c t . Examples o f h on est or pop ular o f f i c i a l s may be put f o r t h and i t may be sug g e s te d th a t i f th e p eop le co o p era te a t t h i s tim e w ith th e government d e s p ite th e e x is t e n c e o f some unpopular o f f i c i a l s , th e r e w i l l be g r e a te r o p p o rtu n ity t o get o f f i c i a l s t o t h e i r l i k i n g when th e in su r g en cy has been brought t o an ^•^V id e, Chapter I I , su p r a , pp. 62-63, end^77 and l i f e i s b e t t e r fo r ev ery o n e. This i s n e c e s s a r i l y a sh o r t-te r m and probably an i n s u f f i c i e n t approach. E f f e c t i v e r e l a t io n s h ip s w ith a l o c a l p o p u la tio n may depend upon th e lo n g e r range o b j e c t i v e — ch an gin g th e image o f th e le a d e r . To c r e a te a new and fa v o r a b le im age, i t i s n e c e s sa ry f i r s t to determ ine th e natu re and e x te n t o f th e u n fa v o ra b le im age. A g a in , th e te c h n iq u e s o f assessm en t d is c u s s e d p r e v io u s ly in t h i s ch a p ter and in Appendix B are a p p r o p r ia t e .178 Upon a ss e s sm e n t, many s p e c i f i c c o n s id e r a t i o n s f o r p a r t ic u la r s i t u a t i o n s w i l l o ccu r. A few g e n e r a l i z a t i o n s on ly can be made h e r e. I f th e u n fav orab le image i s th e r e s u l t o f popular d i s t r u s t b ased on la c k o f oppor t u n it y f o r d ir e c t c o n t a c t , th e image might be improved by c l o s e r c o n ta c ts and by making an e f f o r t t o show th a t th e o f f i c i a l i s t r u ly one o f th e community. I f th e o f f i c i a l i s from th e same e th n ic and econom ic background as th e p e o p le , such in c r e a s e d working c o n ta c t would probably be produc t i v e , I f th e le a d e r i s o f a d i f f e r e n t background, i n cre a sed c o n ta c t might o n ly in c r e a s e antagon ism . In such c a s e s , th e o f f i c i a l ' s concern fo r th e w e ll- b e in g o f h is 177B a s il S. G eorgop olu s, Gerald M . Mahoney, and N yle W. J o n e s, J r . , "A Path-G oal Approach t o P r o d u c t iv i t y ,” Journal o f A p p lied P sy c h o lo g y , XLI (December, 1 9 5 7 ), 345- 3-78V ide, t h i s ch ap ter, su p r a , pp. 128-33 and Appendix B, p o s t , pp. 291-312. 189 p eo p le and h is own i d e n t i f i c a t i o n w ith them can be conveyed t o th e populace through w ord-of-m outh comm unication chan n e l s . The good t h in g s th e o f f i c i a l does or has done sh o u ld be s t r e s s e d . H e sh ou ld be se e n as th e o r ig in o f rewards -- c o o p e r a t io n w ith him b ein g in str u m e n ta l t o th e procu re ment o f good things.-**®® In a d d it io n , i f th e unpopular o f f i c i a l i s d is p la y e d in p u b lic w ith o th e r o f f i c i a l s who are t r u s t e d and r e s p e c te d --a n d en d orsed by h is p op u lar c o lle a g u e s — p eop le w i l l ten d t o view him i n a more fa v o r a b le l i g h t . 181 a more d r a s t i c e x te n s io n o f t h i s con cep t would be f o r a p o p u lar o f f i c i a l t o a c t as th e p u b lic "mouthpiece" o f th e unpopular l e a d e r .^ 82 ■ *•79C harles E. Osgood, Method and Theory in E x p eri- m ental P sychology (New York: Oxford U n iv e r s ity P r e s s , 1953), pp. I 9 T - ^ 8 . ■ L80Peak, " A ttitu d e s and M o tiv a tio n ," Nebraska Sym posium on M o tiv a tio n , pp. 1 4 9 -8 9 . IS^-Charles E. Osgood, "An A n a ly s is o f th e Cold War M e n ta lity ," Jou rn al o f S o c ia l I s s u e s , XVII (1 9 6 1 ), 1 2 -1 9 ; C harles E. Osgood and Percy H. Tannenbaum, "The P r in c ip le o f C ongruity in th e P r e d ic tio n o f A t tit u d e Change," P sy c h o lo g ic a l R eview , LXII ( 1 9 5 5 ) , 4 2 -5 5 . 182Bohannan d e sc r ib e s one in c id e n t from th e P h i li p p in e anti-H uk campaign w h ich , w h ile i t d e a ls w ith th e prob lem o f an u n co o p era tiv e r a th e r than an unpopular l o c a l le a d e r , c e r t a i n ly d em on strates one way o f changin g an im age. Bohannan r e c a l l s : "This guy . . . knew f u l l w e ll th a t th e Mayor o f a c e r t a in v i l l a g e was a c t i v e l y a s s i s t i n g th e Huk, one o f t h e i r most t r u s t e d and valued men in th a t a r e a . But he c o u ld n 't touch him. He d id not have ir o n c la d e v id e n c e which he co u ld produce in c o u r t; w o rse, th e Mayor had e x c e l l e n t p o l i t i c a l in f lu e n c e running a l l th e way up t o th e P r e s i d e n t i a l P a la c e . (T h is was b e fo r e th e tim e o f M agsaysay.) A good d e a l o f th o u g h t was g iv en t o a m eans, s h o r t o f kid n ap p in g or a s s a s s i n a t i o n , by which t h i s 190 I f th e o f f i c i a l ’ s u n fa v o ra b le image i s due t o h i s own b e h a v io r , which i s view ed by th e p op ulace as damaging t o th e community, th e problem i s more d i f f i c u l t . Even i f th e le a d e r i s s u c c e s s f u l l y encouraged to change h is behav i o r , p u b lic a n im o sity may be such t h a t th e new b eh a v io r i s n o t f u l l y e f f e c t i v e in changing th e u n favorab le im age. In t h i s c a s e , i t may be u s e f u l , i f p o l i t i c a l l y f e a s i b l e , t o en cou rage th e emergence o f l o w e r - l e v e l le a d e r s as a s o r t o f b u f f e r . These em ergent le a d e r s sh o u ld be c l o s e l y a s s o c i a te d w ith th e p eo p le and regarded by them a s tr u stw o r th y . W hile th e y w i l l c e r t a i n ly have to work w ith and under th e d i s t r u s t e d o f f i c i a l , th e new le a d e r s sh o u ld n o t appear t o be to o c l o s e l y a s s o c ia t e d w ith him. By a v o id in g a s s o c i a t i o n w ith th e d is c r e d it e d le a d e r , th e new le a d e r s may have Mayor cou ld be taken o u t o f p la y . One day th e r e was a l i t t l e str o k e o f lu c k ; th e tro o p s knocked o f f an im p ortan t c o u r ie r , c a r r y in g im p ortan t docum ents, j u s t o u ts id e th e v i l l a g e . The n e x t morning Val [C o lo n e l Napolean V a le r i ano], drove in t o th e v i l l a g e , s ir e n b lo w in g , armed e s c o r t and a l l , and c a l l e d on th e Mayor. He brought him ou t in t o th e town sq u a r e , w ith a l l th e c i t i z e n s f e a r f u l l y crow ding around, shook th e Mayor by th e hand and p u b lic ly c o n g r a tu l a t e d and thanked him f o r h i s f in e p a t r i o t i c s e r v i c e in ■ fu rn ish in g th e in fo r m a tio n which le d t o th e k i l l i n g o f th e c o u r ie r . Val r e a l l y l a i d i t on t h i c k , w ouldn’ t l i s t e n t o any p r o t e s t a t i o n s , made a b ig th in g o f th e f i n e b e t r a y a l, and then clim b ed in h i s jee p and drove o f f . [B ohannan], " C o u n te r-G u er rilla O perations in th e P h ilip p in e s , 1946 - 1 9 5 3 , . . pp. 6 0 -6 1 . 191 o p p o r tu n itie s t o c r e a te a good f i r s t i m p r e s s i o n . T h e new o f f i c i a l s should be aware o f the n eed s o f th e community and ea rly e x p r e s s an in t e n t io n o f se e k in g s a t i s f a c t i o n o f th o s e need s— and th e r e should be e a r ly i n i t i a t i o n o f a c ts w hich support th e se intentions.-*-**4 The flo w o f communica t i o n downward t o the p e o p le and upward t o the s o l d i e r and h i s unpopular co u n te rp a rt can be channeled through th e more pop ular em ergin g le a d e r s h ip . For h is own p a r t, th e s o l d i e r sh o u ld try a s much as i s p o l i t i c and p r a c t i c a l t o d i s s o c i a te h im se lf when in p u b lic from th e unpopular f ig u r e and in c r e a s e h is a s s o c i a t i o n with t h e more p op u lar o f f i c i a l s . U n t il some s o r t o f accommodation i s r ea c h e d , i t may be n ecessa ry f o r p e r so n n e l who must d e a l w ith b oth the un d e s ir a b le le a d e r and t h e people t o seek a balan ce in t h e i r r e la t io n s h ip t o the tw o . I t w i l l be n e c e ss a r y t o a s s o c ia t e w ith th e le a d e r a t l e a s t in th e p r iv a cy o f o f f i c e or q u a rters t o g e t the work o b j e c t iv e s a cco m p lish ed . I t may a l s o be d e s i r a b l e , as c ir c u m sta n c e s p e r m it, t o a s s o c i a t e w ith th e p e o p le in d ep en d en tly o f th e le a d e r so t h a t the l e a d e r 's u n favorab le im age does n o t t r a n s f e r . A s s o c ia t io n w ith l o w e r - l e v e l o f f i c i a l s and d i r e c t l y w ith th e p eop le aAbraham S. L u ch in s, "E xperim ental A ttem pts to M inimize th e Impact o f F ir s t Im p r e ssio n s," The Order o f P r e se n ta tio n i n P e r s u a s io n , ed . C arl I . H ovland, e t alT (New Haven: Y ale U n iv e r s ity P r e s s , 1 9 5 7 ), pp. 6 2 -7 5 . ^ •a4Morton D e u tsch , "The E f f e c t o f M o tiv a tio n a l O ri e n ta tio n Upon Trust and S u sp ic io n ," Human R e la t io n s , XIII (1 9 6 0 ), 1 2 2 -3 9 . 192 w i l l be u s e f u l t o th e degree t h a t i t does not a l ie n a t e th e unpopular o f f i c i a l and make e f f e c t i v e c o o p e r a tio n impos s i b l e . The s o l d i e r may be o b lig e d t o b alan ce d e l i c a t e r e l a t io n s h ip s in an uneasy p r a c t i c a l compromise in order t o accom p lish h i s m i s s i o n . - * - 8 6 D e te c tin g H o s t i l i t y o r th e P resen ce o f a C la n d e stin e Enemy m a Local P o p u la tio n One o f th e p r in c ip a l advan tages o f an in su r g e n t i s h i s c a p a c ity t o hid e h im s e lf s u c c e s s f u l l y among a l o c a l p o p u la tio n , where he i s not e a s i l y d is t in g u is h e d from n e u tr a l or f r ie n d ly c i v i l i a n s by an o u t s id e o b se r v e r . For s u c c e s s f u l c o u n terin su rg en cy e f f o r t , i t i s n e c e ssa r y to o f f s e t in su r g e n t i n f i l t r a t i o n o f a l o c a l p o p u la tio n and t o p r e v en t th e in su r g e n t from ta k in g r efu g e among th e non- combatant c i v i l i a n s , - *- 86 I f t h e c o u n te r in su r g e n t has been m i l i t a r i l y s u c c e s s f u l a g a in s t th e in s u r g e n t s , and i f he and th e government he r e p r e se n ts have been s u c c e s s f u l in th e l o c a l r e la t io n s h ip s req u ired f o r m o tiv a tio n and a t t r a c t io n o f th e p o p u la c e , th e r e may be no problem . F u ll in fo r m a tio n g a th ered v o lu n t a r ily from a c i v i l i a n p o p u la tio n i s one in d ic a t o r o f v ic t o r y in an in su r g e n c y -c o u n te r in su r g e n c y c o n t e s t . Short o f th e c o lla p s e o f an in s u r g e n c y , how ever, 185For approaches which are a l s o r e le v a n t t o t h i s s i t u a t i o n , V id e, t h i s c h a p te r , su p r a , pp. 1 3 3 -4 5 , 1 5 1 -5 7 , 16 7-75 , and"T75"-86. •186 V id e , Chapter I I , su p r a , pp. 5 4-56 . 193 th e d i f f i c u l t y o f d e t e c t in g th e enemy in a l o c a l p o p u la tio n rem ains. I t i s compounded by th e con com itan t requirem ent o f n o t a l i e n a t i n g th e g e n e r a l p o p u la ce. T his may be one o f th e most im portant and y e t f r u s t r a t in g problem s th e coun te r in s u r g e n t s o l d i e r h a s. While th e r e i s n o th in g in th e s o c i a l s c ie n c e s which o f f e r s a su re way o f r e c o g n iz in g th e p resen ce o f h o s t i l i t y or a c la n d e s tin e enemy, th e r e are some e v o lv in g tec h n iq u es o f more o r l e s s p r a c t i c a l a p p l i c a b i l i t y w hich, when used by a h ig h ly tr a in e d e x p e r t whose f in d in g s are co rro b o ra ted by lo c a l in fo r m a tio n s o u r c e s , can a s s i s t th e s o l d i e r from o u t s id e th e community or h i s l o c a l co u n te rp a rt i n se e k in g c lu e s t o enemy p r e se n c e . P re se n ted below are a few a rea s o f p o s s i b i l i t y . The p a tte r n e s t a b lis h e d by t r a c in g th e a s s o c ia t io n s o f a number o f in d iv id u a ls who are c le a r l y n o t f u l l y com m itted t o the ca u se o f c o u n te r in su r g e n c y may g iv e c lu e s to enemy p r esen ce by r e p e t i t i v e c o n ta c ts w ith a s i n g l e i n d i v id u a l or sm a ll group. A man i s g e n e r a lly a t t r a c t e d t o a group or cause as a fu n c tio n o f h is n e e d s , h o p e s , and f r u s t r a t io n s . So a person h a rb orin g h o s t i l e f e e l i n g s t o ward th e l e g a l government i s l i k e l y t o a s s o c i a t e w ith th o se who are enem ies o f t h a t government (even i f he i s not fo r m a lly com m itted to th e in s u r g e n t c a u s e ). I f s e v e r a l such in d iv id u a ls w ith in th e community are i d e n t i f i e d , th e e x te n t o f t h e i r c o n ta c ts can be a n a ly z ed and fu r th e r 194 i n v e s t i g a t i o n such as sea rch and in t e r r o g a t io n may be w arran ted . I t sh o u ld be c le a r l y un d erstood t h a t t h i s t e c h nique i s n ot one o f a s c r ib in g " g u ilt by a s s o c ia tio n " i n th e se n s e t h a t anyone se en c o n t a c tin g a su sp e c te d p a rty th e re b y sta n d s accu sed a l s o . R ather i t i s th e t r a c in g o f a p a tte r n w h ich , when a n a ly z e d , r e v e a ls th a t h e r e to fo r e u n su sp ected Hr. X i s a p o in t o f r e g u la r c o n ta c t w ith a number o f p erson s who are c l e a r l y n o t fr ie n d s o f th e government. Mr. X then becomes a f o c a l p o in t fo r fu r th e r i n v e s t i g a t i o n . The method i s a m o d ific a tio n o f a s o c io m e t r ic in q u iry .^ -87 An e x p e r ie n c e d in t e r r o g a t o r can som etim es d is c o v e r c o v e r t a t t i t u d e s by u s in g a prearranged s e t o f q u e s tio n s in in te r v ie w s w ith in d iv id u a l s u s p e c t s . The in t e r r o g a t o r can ob serve th e v i s u a l avoid an ce p a tte r n s o f th e s u s p e c t t o q u e s tio n s r e l a t i n g t o enemy membership or a c t i v i t y .^ - 88 W hile i t i s by no means c l e a r th a t members o f a l l c u ltu r e s lo o k away or drop t h e i r e y es in some show o f " g u ilt ," i t seems t h a t over a number o f in te r v ie w s and a number o f q u e s t io n s , c e r t a in p a tte r n s may be e s t a b l i s h e d which a ff o r d a rough-an d-read y human l i e d e t e c t o r tec h n iq u e upon which fu r th e r i n v e s t i g a t io n s can be based . -* -87C harles P. Loom is, "Inform al Groupings in a S p anish American V illa g e ," S o c io m e tr y , IV (F eb ru ary, 1 9 4 1 ), p a ssim . ^88Ralph V. E x lin e , " E x p lo ra tio n s in th e P rocess o f Person P e r c e p tio n : V isu a l I n t e r a c t io n in R e la tio n t o Com p e t i t i o n , S ex, and Need fo r A f f i l i a t i o n , " J ou rn al o f P e r s o n a l i t y , X III ( 1 9 6 3 ) , p a ssim . 195 The com parison o f a number o f s i t u a t i o n s in which t h e r e was no enemy p r esen ce w ith a number o f s i t u a t i o n s in w hich th e r e was l a t e r r e v e a le d t o be such p r esen ce may a ffo r d c lu e s as t o w h eth er th e r e are enem ies in th e p op u la t i o n in q u e s t io n . -^9 The f i r s t s t e p i s t o c o l l e c t sy stem a t i c o b s e r v a tio n s o f a c t i v i t i e s and a s s o c i a t i o n s in s e v e r a l l o c a l v i l l a g e s under c l e a r l y f r ie n d ly c o n t r o l , where i t i s r e l a t i v e l y s a f e to assume th a t th e r e i s no c la n d e s tin e enemy a c t i v i t y . The same o b s e r v a tio n s , d e t a ile d in s im ila r fo rm a t, can th en be made o f s e v e r a l v i l l a g e s in which enemy a c t i v i t y i s known t o e x i s t or t o have e x i s t e d . The s o l d i e r can then compare th e two s e t s o f o b s e r v a tio n s and determ ine w h eth er th e r e are s u b tle d if f e r e n c e s w hich can g iv e him c lu e s t o th e a ssessm e n t o f th e s i t u a t i o n w ith which he i s im m ed iately co n cern ed . Such a com parison sh ould be made by a person t r a in e d in d is c r im in a tio n i n s t r u c t i o n and th e ob s e r v a t io n s sh o u ld be made by p ersons s i m i l a r l y t r a in e d . 1 8 9 ^ ith in th e s o c i a l s c ie n c e s th e te c h n iq u e s o f "programmed in s tr u c t io n " are b e in g in c r e a s in g ly s t u d ie d . Programmed i n s t r u c t i o n i s now moving more and more in th e d ir e c t io n o f d is c r im in a t io n t r a i n in g program s. For exam p l e , a program has r e c e n t ly been c o n s tr u c te d fo r te a c h in g d i v i n i t y stu d e n ts to d i s t i n g u i s h one G ospel w r it e r from a n o th er on th e b a s is o f very s u b t le c lu e s . ( D e t a ils on t h i s program may be a v a ila b le from th e C enter fo r R esearch on L earning and T eaching a t th e U n iv e r s ity o f M ich igan .) One advantage t o th e s e te c h n iq u e s f o r t h i s problem i s th a t i t i s n ot n e c e ss a r y even f o r th e person making th e discrim ' in a t io n t o v e r b a liz e th e c lu e s b e in g u t i l i z e d . In c r e a se d r e se a r c h a lo n g t h i s l i n e in th e fu tu r e may r e s u l t in r e l i a b le and p r a c t i c a l t o o l s which can be a p p lie d t o t h e s o lu t i o n o f th e problem h ere t r e a t e d . 19 6 However, i t i s c o n je c tu r e d th at an u n train ed person may p ic k up u s e f u l c lu es s o lon g as th e o r ig i n a l in fo rm a tio n i s c o l l e c t e d in a fa sh io n which p erm its s y s te m a tic com parison. A v a r ia t io n o f t h i s method was u sed s u c c e s s f u ll y in th e P h ilip p in e anti-H uk campaign. Here, t h e m ilita r y photographed an e n t ir e v i l l a g e tw ic e : once when th e r e were no rep orts o f Huk a c t i v i t y in th e area, and again when i n t e l l i g e n c e in fo r m a tio n su g g e ste d the p r esen ce o f Huks. A com parison o f th e photographs le a d t o c lu e s t o enemy p r e se n c e . B a cla g o n , q u o tin g C aptain F ra n cisc o V. B a u la, n o te s an even more p r e c i s e use o f t h i s v a r ia tio n : One o f th e methods th a t I observed e f f e c t i v e in th e f i e l d in i d e n t i f y i n g th e gen u in e Huks from th e p e a c e fu l c i v i l i a n s in the b a r r io s i s a s fo llo w s : a. I n i t i a l l y a B a tta lio n S-2 must have a thorough a n a ly s is o f th e t e r r a i n and knowledge o f p s y c h o lo g ic a l t r a i t s and customs o f the p e o p le in h i s s e c t o r . From t h e s e , he can lo c a t e by e v a lu a tio n th e . . . h id e o u t o f th e d i s s i d e n t s and determ ine th e p eop le in th e b a r r io s who are c o o p e r a tin g w ith th e Huks. b. The S2 sh o u ld then sen d a runner or an i n t e l l i gence a g e n t t o in form the b a r r io lie u t e n a n t t h a t on a c e r ta in d a te a t a c e r t a in t im e , the b a t t a lio n w i l l r a id th e b a r r io . As u s u a l, i f t h e r e are Huks in t h i s bar r i o , th e b a r r io lie u t e n a n t w i l l inform them about th e r a id . L o g ic a lly , t h e Huks w i l l lea v e t h e p la c e and on ly p e a c e f u l c i v i l i a n s w i l l be found. c . On th e s p e c i f i e d d a te and tim e th e S2 w i l l con duct th e r a id . I n s te a d o f b r in g in g a h e a v ily armed group o f men, he j u s t b rings a camera and a few armed com panions. The p e o p le in t h e b arrio a r e g ath ered and a group p ic tu r e ta k e n . d. T h is procedure i s done to a l l t h e b a r r io s where th e p eop le are sym p ath etic t o th e Huks. A fte r a l l th e c r i t i c a l a r e a s in th e b a t t a lio n s e c t o r are c o v e r e d , th e S2 u t i l i z e s th e p ic t u r e taken a s a b a s is fo r i d e n t i f y in g the genuin e H uks. e . When th e S2 r e c e iv e s a rep ort th a t a c e r ta in Huk u n it i s fo r a g in g in a c e r t a i n b a r r io , he send s com bat i n t e l l i g e n c e p a t r o ls to t h e p la c e . The p e o p le in 19 7 s a id b a r r io are ga th ered and anybody n o t in th e p ic tu r e taken du rin g th e f i r s t r a id are c o n sid e r e d Huk s u s p e c t s . . . . N in e ty p e r ce n t o f th e s u s p e c t s tak en by t h i s method were found t o be Huks or fo llo w e r s o f th e Huk o r g a n iz a tio n . There are a l s o , o f c o u r s e , s e v e r a l ty p e s o f e l e c t r o n ic d e v ic e s which can be used as " l i e d e te c to r s " w ith people who b elon g t o a c u ltu r e which c h a r a c t e r i s t i c a l l y p u nishes l y in g . ( I f ly in g i s an a c c e p te d norm, no p h y sio l o g i c a l r e a c tio n can be o b ta in ed and a " l i e d e te c to r " i s u s e l e s s . ) C a refu l stu d y o f th e c u ltu r e i n advance can de term ine w h eth er or n ot th e use o f su ch d e v ic e s a s a su p p le mentary t o o l fo r in t e r r o g a t io n i s f e a s i b l e . In any e v e n t, s u c c e s s f u l u t i l i z a t i o n o f such d e v ic e s presumes t h a t they w i l l be u sed only by h ig h ly t r a in e d t e c h n ic ia n s . Even th e n , t h e i r r e l i a b i l i t y rem ains in s e r io u s q u e s tio n . The use o f in form an ts can , under fa v o r a b le circum sta n c e s , produce in fo r m a tio n on th e p r esen ce o f th e enemy. This approach r e q u ir e s th e developm ent o f a c lim a te which i s con d u cive t o members o f th e l o c a l p o p u la tio n r e v e a lin g in fo r m a tio n about enemy p r e sen ce or a c t i v i t i e s . P r o te c tio n o f th e in d iv id u a l from enemy r e t a l i a t i o n i s a n e c e ss a r y p r e c o n d itio n . I f su ch a ssu ra n ce cannot be made, even persons f r ie n d ly t o th e government c a u se w i l l n ot jeop ard i z e t h e i r w e ll- b e in g and t h a t o f t h e i r f a m ilie s by g iv in g in fo r m a tio n . With su ch a ss u r a n c e , a system o f rewards to 190B aclagon , op. c i t . , p. 31. 198 th o s e who g iv e in fo r m a tio n and s u i t a b l e punishm ent fo r t h o s e who f a i l t o provid e in fo rm a tio n may e l i c i t th e d e s ir e d in fo r m a tio n . The v i l l a g e le a d e r s a l s o may be ind uced t o encourage th e v i l l a g e r s to g iv e in fo r m a tio n i f t a n g ib le b e n e f i t s are forth com in g. I f p eo p le can be made t o f e e l se c u r e from in su r g e n t r e p r i s a l s , but in s e c u r e abou t th e su p p r e ss io n o f in fo r m a tio n , they w i l l be most l i k e l y t o d iv u lg e in fo r m a tio n . This may be a c h iev e d by s y s te m a t ic a l l y in t e r v ie w in g every in d iv id u a l in a v i l l a g e s e p a r a t e ly . In most c a s e s someone has a g rie v a n c e a g a in s t th e enemy and w i l l g iv e in fo r m a tio n when he i s a ssu red t h a t th e enemy w i l l be unable t o determ ine who has inform ed. In t h i s ca se th e r e must be rea so n a b le a ssu ra n ce th a t th e enemy cannot r e t a l i a t e a g a in s t th e e n t i r e v i l l a g e . Some ad hoc methods o f va ry in g su c c e s s were used in th e P h ilip p in e anti-H uk campaign. They may or may n o t be u s e f u l g e n e r a lly . One was th e use o f th e "magic e y e 1 1 t e c h n iq u e . .For t h i s , an in d iv id u a l was p la c e d behind a s c r e e n , w ith in a t e n t , or under a hood w ith a sm a ll p e e p -h o le and a l l v i l l a g e r s were le d on e-b y-on e t o a p la c e where th ey c o u ld be se e n and knew th a t th ey cou ld be seen by th e hidden i n d i v i d u a l . I f th e in d iv id u a l under c o v er was in d eed a reform ed in s u r g e n t or in fo r m e r , he co u ld i d e n t i f y in s u r g e n t v i l l a g e r s , w h ile he and h is fa m ily were p r o te c te d 191V a le ria n o and Bohannan, op. c i t . , pp. 1 6 1 -6 3 . 199 by h i s anonym ity. I f he was not r e a l l y an in fo r m e r , h i s mere p resen ce w ith th e "magic eye" som etim es so a f f e c t e d Huk a g en ts or sym p ath izers t h a t th e y b e tra y e d th e m se lv e s and c o n f e s s e d .192 Such a method, how ever, may be o f f e n s i v e t o v i l l a g e r s and thu s damage sim u lta n eo u s e f f o r t s t o a t t r a c t them p o s i t i v e l y to th e government s i d e . Another method, w hich a l s o may be o f f e n s i v e , was used o c c a s io n a lly in th e P h ilip p in e s . T his i s a p a r a f f in t e s t to d e t e c t th e p r e s ence o f gunpowder on th e hands o f someone who has r e c e n t ly f i r e d a gun. This i s p o t e n t i a l l y u s e f u l when in s u r g e n ts are b e lie v e d to have "melted" in t o th e p o p u la tio n o f a v i l l a g e im m ed iately a f t e r some s o r t o f r a id or m ilit a r y a c t i o n . 193 F in a ll y , in s u r g e n ts th e m se lv e s som etim es r e s o r t t o some method o f i d e n t i f y i n g th e m se lv e s t o t h e i r f e l l o w s . In th e P h i li p p i n e s , during one phase o f the s t r u g g l e , th e Huks used red f in g e r n a i l p o l i s h on one f i n g e r . S y s t e m a t i c o b se r v a tio n and th e use o f i n t e l l i g e n c e in fo r m a tio n may r e v e a l such i d e n t i f i c a t i o n . R e sto r a tio n or Improvement o f Morale One o f th e most demanding and som etim es f r u s t r a t in g r e la t io n s h ip s th a t a c o u n te r in su r g e n t s o l d i e r has w ith a 1^2 [Major Medarde T. J u s t in i a n o ] , "C oionter-G uerril l a O perations in th e P h i li p p i n e s , 1946-195 3 , . . ."p. 43. 1 9 3 y a le r ia n o and Bohannan, op. c i t . , pp. 165-66 . l 94I b i d . , p. 64. 200 l o c a l p eop le d e r iv e s from th e requirem ent t o b o l s t e r m orale. The c o u n te rin su r g e n t o u ts id e r "may have t o work to im prove th e m orale o f both th e c i v i l i a n p o p u la tio n in t h e i r e f f o r t t o su p p ort co u n terin su rg en cy o p e r a tio n s and w ith l o c a l m i l i t i a or p a r a m ilita r y u n its which may be a s s i s t i n g th e r e g u la r m ilit a r y f o r c e . I f th e o u t s id e r i s a s o l d i e r from an o th er n a tio n p r e se n t under a p o lic y o f in t e r v e n t io n on b e h a lf o f a h a r r a sse d in d ig en o u s governm ent,195 may a l s o need t o b o l s t e r th e m orale o f th e r e g u la r f o r c e s he a d v is e s or a s s i s t s . In any c a s e , morale a t th e l o c a l l e v e l i s e s s e n t i a l f o r m a in ta in in g r e s i s t a n c e to in su rg en cy and fo r u ltim a te s u c c e s s o f the c o u n te rin su r g e n c y e f f o r t . I t i s a l s o n e c e ss a r y t o p rovid e th e r e q u i s i t e s e c u r it y t o th e community which th e support o f th e p op u lace fo r c o u n te r in su rgen cy demands. ^96 S u c c e s s f u l e f f o r t s t o r e s to r e or improve morale depend u lt im a t e ly on th e p e r c e p tio n o f p o s s i b l e v ic t o r y o v er th e in su r g e n c y . I t must be presumed th a t th e r e i s a l ik e l i h o o d o f a fa v o r a b le outcome and t h a t renewed commit ment t o th e g o a ls o f th e co u n terin su rg en cy o p e r a tio n w i l l be r e in fo r c e d by t a n g ib le rew ards. C on tin uin g f a i l u r e s to make p ro g ress toward v ic to r y w i l l worsen m orale. There are no p s y c h o lo g ic a l gimmicks to co u n te r th e r e a l i t y o f a -*-95Vide , Chapter I I , s u p r a , pp. 2 5 -2 7 . •*•95 Vide , Chapter I , s u p ra, pp. 1 2 -1 3 . 201 s i t u a t i o n w h ere the l o c a l s o l d i e r or c i v i l i a n b e l ie v e s a l l i s l o s t . In any s i t u a t i o n , c e r t a i n a sp e c ts o f r e a l i t y are damaging t o m orale and cannot th e m se lv e s be c o r r e c te d . The problem then i s to d eterm in e what a l t e r a t i o n s in th e a c tu a l s tr u c tu r e can be made t o fa v o ra b ly a f f e c t m o r a le .I9 7 Low m o ra le, e v e n under o b j e c t i v e l y s a t i s f a c t o r y c o n d it io n s , o f t e n o c cu rs because t h e in d iv id u a l (or group) compares h i m s e l f (or th e m se lv e s) t o a p a r t ic u la r group whose p o s i t i o n i s b e t t e r . 19® O fte n morale can be im proved by s h i f t i n g t h e frame o f r e f e r e n c e . 1 " In o th er w ords, i f o b je c tiv e c o n d itio n s ca n n o t be im proved t o meet e x i s t i n g e x p e c ta tio n s , p e r su a sio n may change the r e fe r e n c e group w hich the l o c a l s compare th e m se lv e s to . In a c o u n te r in su r gency s e t t i n g , th e l o c a l p o p u la tio n may te n d to compare w ith the c o u n te r in su r g e n c y r e g u la r m ilit a r y fo r c e w h ile th e r e g u la r m i l i t a r y may w e l l be com paring t h e i r l o t w ith t h a t o f foreign a d v iso r y m i li t a r y p e r so n n e l who may be l i v i n g b e t t e r , r e c e i v in g prom otions s o o n e r , and s o fo r th . By per s u a s iv e com m unication, t h e lo c a l p o p u la tio n o r m ilit a r y l 97R e n s is L i k e r t , "A M o tiv a tio n Approach t o a Modi f i e d Theory o f O rgan ization and Management," Modern O rgani z a t io n T h eory, ed. Mason Haire (New York: W iley 6 S o n s, I n c . , 1959) , p a ssim ; V ic t o r H. Vroom, Work and M o tiv a tio n (New York: W iley S S o n s , I n c ., 196*+), p a s sim . 198Sam uel A. S t o u f f e r , e t a l , , The American S o l d ie r : A djustm ent D uring Army L i f e (P r in c e to n : P r in c e to n U n iv e r sity P r e s s , 19*+9>, I» 1 1 2 -2 2 , *+98-502 . I 99Thomas F. P e ttig r e w , P r o f i l e o f th e Negro American (P r in c e to n : Van N ostran d , 196*+), p . 1967 202 u n it s may be brought to compare t h e i r p o s it io n w ith th a t o f th e in su r g e n ts who are probably s u f f e r in g under worse con d i t i o n s . ( I t may a ls o be u s e fu l i f t h e more co m forta b le c o n d it io n s o f any fo r e ig n p erso n n el a re made l e s s apparent to th e l o c a l p eo p le or m ilit a r y u n i t s .) R e a lity cannot be d is t o r t e d very f a r , how ever, and an attem p t t o r a is e m orale by change o f r e fe r e n c e group w i l l f a i l i f th e l o c a l p eo p le are c o n s t a n tly in c o n ta c t w ith a r e a d ily i d e n t i f i a b l e r e f eren ce group th a t i s l i v i n g under b e t t e r c o n d it io n s . When th e r e i s no feedback on th e e f f e c t i v e n e s s o f an a c t io n or on i t s c o n tr ib u tio n t o a c h ie v in g th e la r g e r g o a l, low morale o fte n o c c u r s . Improved feedback communi c a tio n s may p erm it th o se who p a r t ic ip a t e in l o c a l a c tio n to ■ comprehend th e con seq u en ces in terms o f th e la r g e r war e f f o r t . Those concerned m ight then f e e l th a t t h e i r e f f o r t s are worth som ething and, in a d d it io n , ten d t o i d e n t i f y w ith th e la r g e r c a u s e . I f m orale i s a lre a d y damaged and feedback system s have n o t y e t been e s t a b l i s h e d , th e r e may be a need fo r a s e r i e s o f sm all s u c c e s s e s . Tasks which are m ean ingful and c l e a r l y r e la t e d in l o g i c to th e t o t a l e f f o r t — but which are sim p le and a ffo r d high p r o b a b ilit y o f s u c c e s s — can be a s sig n e d t o th e u n it s or p erson s s u f f e r in g m orale damage. At t h i s s t a g e , f a i l u r e must be a void ed . Every p o s s i b l e support sh ou ld be given so th a t th e rewards o f su c c e s s can be t a s t e d . As morale i s r a is e d and s u s t a in e d , la r g e r and more d i f f i c u l t ta sk s can be a s s ig n e d . Low m orale o ft e n r e s u l t s from la c k o f p a r t i c i p a t i o n in d e c is io n making. Among c i v i l i a n s t h i s i s a p o l i t i c a l and s o c i a l problem which must be r e s o lv e d in a cco rd w ith c u lt u r a l ways and e x i s t i n g or c a r e f u l ly in tr o d u ce d new i n s t i t u t i o n s . The problem o f b r in g in g l o c a l i r r e g u la r m ilit a r y or p a r a m ilita r y u n it s in t o th e d e c is io n making p ro cess must be c o n sid e r e d i n th e l i g h t o f th e m ilit a r y s t r u c t u r e . Almost by d e f i n i t i o n , a m ilit a r y o r g a n iz a tio n i s h ie r a r c h ic , and lo w er e c h e lo n s do n o t p a r t i c i p a t e in a l l d e c is io n making. However, a c r o ss e q u iv a le n t r a n k s, th e s o l d i e r from o u ts id e th e community and th e l o c a l ir r e g u la r s o l d i e r can c o o p e ra te in th e making o f d e c is io n s l e f t to t h e i r l e v e l . Men a l s o ta k e cues from t h e i r o f f i c e r s . I f an o f f i c e r f u l l y p a r t ic ip a t e s in th e making o f an im portant d e c is io n , h is m orale and th a t o f h i s men i s l i k e l y t o be im proved. In p r a c t i c e , l o c a l m ilit a r y are o ft e n e f f e c t i v e ly ex clu d ed from sh a r in g in d e c is io n making i f th e r e g u la r fo r c e from o u ts id e th e community or f o r e ig n a d v is e r s are in f a c t running th e o p e r a tio n . At l e a s t a t th e upper e c h e lo n s , th e p a r t ic ip a t io n o f l o c a l m ilit a r y c o u n te rp a rts in d e c is io n s which a f f e c t them and t h e i r community w i l l im prove m orale. Such a p r a c tic e som etim es c a r r ie s th e r is k o f lo w erin g e f f i c i e n c y , and th a t has t o be w eighed a g a in s t th e need t o im prove m orale (as w e l l as o th e r p a r t ic u la r f a c to r s in any g iv en s i t u a t i o n ) , i n th e l i g h t o f th e l o c a l 204 m ilit a r y p r a c t ic e and req u irem en ts. The reward s t r u c t u r e o f a m o r a le -b u ild in g program i s im p o r ta n t. Rewards must be made c o n tin g e n t upon a c l e a r l y e x p la in e d s e t o f a c tio n s and p r e se n te d q u ic k ly and w ith o u t te m p o r iz in g when th e d e s ir e d b e h a v io r has been e x h ib it e d . I t i s im portant fo r both m orale and p r o d u c tiv i t y th a t some rewards are d i r e c t l y c o n tin g e n t upon perform ance o f th e ta s k s s p e c i f i c a l l y a ss ig n e d or in h e r e n t in th e d u t ie s o f th e l o c a l m ilit a r y p e r so n n e l. M orale o f th e Armed Forces o f th e P h ilip p in e s was f i n a l l y r a is e d t o an e f f e c t i v e l e v e l a f t e r th e appointm ent o f Ramon Magsaysay as S e c r e ta r y o f D e fen se . While a v a r i e ty o f f a c t o r s c o n tr ib u te d to th e b u ild in g o f m orale, in c lu d in g th e s h e e r fo r c e o f M agsaysay's p e r s o n a lit y and th e complex o f reform and § la n which he gave t o th e govern ment s t r u c t u r e and t o th e n a tio n as a w h o le , reward was c e r t a i n ly a key f a c t o r . S o ld ie r s who perform ed e f f e c t i v e l y were commended. Those who k i l l e d Huks won a s t r i p e and a p e r so n a l l e t t e r o f p r a is e from h im .200 M er ito r io u s conduct on th e p a r t o f an o f f i c e r won prom otion on th e sp o t and , as a p p r o p r ia te , honors as w e l l . 201 Not t o be d isc o u n te d was th e p s y c h o lo g ic a l reward o f h i s concern fo r th e AFP, S c a f f sums up M agsaysay's in f lu e n c e : 200pomulo and Gray, op. c i t . , p. 133. 201I b i d . , p. 132. 205 . . . He l iv e d h is own p h ilo so p h y o f a c tio n ["When an en gin e breaks down, f i x i t 1 1 ] . When th e tr o o p s cam p a ig n ed , Magsaysay was t h e r e . When a s o l d i e r was k i l l e d in a c t i o n , Magsaysay was th e r e to e x p r e ss h is care and con cern . When a c t s o f bravery were perform ed, Magsaysay was th e r e t o command and promote th e o f f i c e r s and men. When th e tr o o p s were in n eed , Magsaysay was th e r e w ith s u p p l ie s , in c r e a se d a p p r o p r ia tio n s , and l o g i s t i c a l su p p o rt. . . . This man w ith b ou n d less en ergy and a h ea rt r e s p o n s iv e to human need r a l l i e d th e n a tio n . His men worked around th e c lo c k and s l e p t o n ly when th e y were e x h a u s te d .202 With such an example and i n s p i r a t i o n , th e Magsaysay in flu e n c e touched th e b e t t e r o f f i c e r s (who were a lread y h ea rten ed and in more e f f e c t i v e p o s i t i o n s through Magsay s a y 's r e o r g a n iz a tio n o f th e armed f o r c e s ) and t h e i r own commands were g iv en s im ila r tr e a tm e n t. Morale was no lo n g e r a problem. 202scaff, op. cit., p. 36. CHAPTER IV SUM M ARY AND CONCLUSIONS Summary The s u b j e c t o f r e v o lu tio n and in su rg en cy has alw ays been a f a s c in a t in g one. On th e one hand, r e v o lu tio n seems th e very a n t i t h e s i s o f a u th o r ity and o f o r g a n iz a tio n --b o th o f which are among th e primary f a c to r s which s e t m en-in- community ap art from low er orders o f l i f e . On th e oth er hand, th e co n cep t o f r e v o lu t io n em bodies some o f the h ig h e s t i d e a ls o f man and r e v e a ls h i s t o r i c a l l y some o f h is f i n e s t moments. Nor has man in h is p o l i t i c a l c o r p o r a tio n r e fr a in e d from u sin g r e v o lu tio n o r in su rg en cy as a t o o l o f p o lic y .^ W hile t r a d i t i o n a l l y somewhat c a u tio u s i n s e t t i n g rabble a g a in s t b r o th e r p r in c e , men have n e v e r t h e le s s succumbed t o th e tem p ta tio n t o in t r ig u e a g a in s t r i v a l s t a t e s or p a r t ie s by th e c y n ic a l employment o f e x i s t i n g d is c o n t e n t . Thus, f o r exam ple, th e Holy League p e r m itted and even encouraged th e d is o r d e r s in P aris a g a in s t King Henry I I I in order t o fu r th e r th e "cause" o f Henry o f Guise whom th e y thought (n o ly i d e , Chapter I I , su p r a , pp. 2 6 , 4 9 -5 1 . 206 207 doubt c o r r e c t ly ) t o be more t r a c t a b le in regard t o t h e i r p o l i c i e s toward th e r e s t o f Europe. In su rg e n c y , and th e use o f in su rgen cy fo r e x te n s io n o f s t a t e p o l i c y , i s endemic in th e p r e se n t age. The world i s a ga in in an age o f r e v o lu t io n : not th e Age o f Revolu t io n in th e same sen se th a t t h i s term has been used to c h a r a c te r iz e such phenomena as th e r is e and p rogress o f lib e r a lis m or th e e f f e c t s o f in d u s t r ia lis m , but an age when the p eop le o f la r g e area s and whole c o n tin e n ts are str u g g lin g t o r e s o lv e th e c o n f l i c t s a r is in g from econom ic under developm ent and th e r e s p o n s i b i l i t i e s o f p o l i t i c a l independ ence and th o se between t r a d i t io n and m odernity.^ Revolu t io n s o r i n t e r v e n t i o n i s t in s u r g e n c ie s (wars o f lib e r a t io n ) a ls o g iv e f l u i d i t y and dynamism t o a s i t u a t i o n o f power co m p etitio n o th e r w ise v i r t u a l l y fro zen by th e o v e r k i l l power o f th e n u c le a r armed c o l o s s i . I t i s an age when r e v o lu tio n p r o v id e s r e l i e f t o th e unbearable te n s io n s o f to o much power p i t t e d a g a in s t t o o much power. I t i s an age when in t e r v e n t io n in in su rg en cy and r e v o lu tio n seems t o p rovid e a means t o change or t o m itig a te a r i v a l ' s power c o n fig u r a tio n w ith o u t th e r is k o f open c o n f r o n t a t io n .3 In su rg e n c y , how ever, cannot be c r e a te d at th e p o l i t i c a l whim o f a w ould-be i n t e r v e n t i o n i s t power. In su r ^V ide, Chapter I I , supra, pp. 27-37; Appendix A, p o s t , pp. 265-70. 3Vide, Chapter I , supra, p. 1. 208 g e n c ie s are th e d ir e c t r e s u l t o f th e f r u s t r a t io n s and d i s c o n te n ts o f th o s e who engage in them. Tannenbaum s t a t e s : I f a n y th in g d e f i n i t e can be s a id about p o l i t i c a l r e v o l u t i o n s , i t i s th a t th e y do not and cannot tak e p la c e in c o u n tr ie s where p o l i t i c a l s tr e n g th i s d i s p ersed in a thousand p l a c e s , and where myriads o f men f e e l p e r s o n a lly in v o lv e d i n th e c o n tin u in g problems o f a s e lf - g o v e r n in g p a r ish o r tow nship and p a r t ic ip a t e in making th e r u le s f o r th e la r g e r u n i t , cou n ty, s t a t e or n a t i o n .4 When in volvem en t and p a r t ic ip a t io n are a b sen t and o th e r n e g a tiv e c o n d itio n s o b ta in , a people or segm ent o f a p eop le may p e r c e iv e a s o lu t io n to t h e i r d i f f i c u l t i e s in in su rg en cy and r e v o lu t io n . The w orld cannot be i n d i f f e r e n t t o t h e i r d e c is io n . O ften an in su rg en cy can be su b v erted and made an in stru m en t f o r change in the power r e la t io n s h ip s w it h in an a r e a . Because such su b v e r sio n i s a c o n s is t e n t and avowed purpose o f both th e S o v ie t Union and th e P e o p le 's R ep u b lic o f C hina, b oth o f which powers compete w ith W estern n a tio n s fo r in f lu e n c e in th e underdeveloped a rea s where in su rg en cy i s l i k e l y , and because in su rg en cy i s a d is r u p tio n o f th e s t a b i l i t y which i s one o b j e c t iv e o f W estern p o l i c y , th e U n ited S ta te s as th e le a d e r o f th e W estern a l l i e s fr e q u e n t ly fin d s i t s e l f in th e p o s it io n o f su p p o rtin g c o u n te r in su r gency e f f o r t s . ^ Whether or n o t th e U n ited S ta te s commits i t s own tro o p s in such an e f f o r t , th e attem p t w i l l be ^Frank Tannenbaum, "On P o l i t i c a l S t a b i l i t y , " P o l i t i c a l S c ien ce Q u a r te r ly , LXXV (Ju n e, 1 9 6 0 ), 169, quoted in P u sta y , C ounterinsurgency W arfare, p. 150. ^Vide, Chapter I , supra, p. 2. 209 u lt im a t e ly f u t i l e or c o u n te rp ro d u c tiv e u n le s s one e s s e n t i a l f a c t o r i s co n sid er ed : t h a t th e m ilit a r y p o s s e s s io n o f t e r r i t o r y i s secon dary i n in su rg en cy w arfare t o th e support o f th e p e o p le . Morgenthau s t a t e s c a t e g o r ic a lly : A g u e r r i ll a war cannot be won w ith o u t th e a c t iv e su p p ort o f th e in d ig en o u s p o p u la tio n , sh o r t o f th e p h y s ic a l e x te r m in a tio n o f t h a t p o p u la tio n . And w ith weary em phasis: i . . I t i s tir e so m e but n e c e ss a r y to say again what has been s a id “ so many tim es b e fo re : The problem i s p o l i t i c a l and n ot m i li t a r y , and i t i s im p o ssib le to win . . . w ith o u t th e p o l i t i c a l su p p ort o f a t l e a s t a very s u b s t a n t ia l segm ent o f th e p o p u la tio n . Morgenthau i s by no means alon e in th e c o n te n tio n t h a t sup p ort o f l o c a l p o p u la tio n s i s fundam ental t o th e su c c e s s o f c o u n te rin su r g e n c y (or in s u r g e n c y ). In a more p o s i t i v e v e in , Pauker comments on th e s i n g l e f a c t o r he deems most s i g n i f i c a n t in th e s u c c e s s o f co u n te rin su r g e n c y e f f o r t s in the P h ilip p in e s and M alaya. He o b ser v es th a t in both c o u n tr ie s r e e s ta b lis h m e n t o f th e a u th o r ity o f th e government . . . was a c h iev e d by im plem enting firm p o l i c i e s and a l s o by reaw akening th e p e o p le ’ s c o n fid e n c e and hope through co n v in cin g , e v id en ce t h a t th e government did c a re about t h e i r w e lfa r e .^ ®Hans J . M orgenthau, Vietnam and th e U nited S ta te s (W ashington, D .C .: P u b lic A f f a ir s t’r e s s , 1965) , p. 70. 7I b id . , p . 45. ®Guy J . Pauker, N otes on N o n -m ilita r y Measures in C on trol o f In su rgency (S an ta M onica, C a l i f . : The RAND Cor- p o r a tio n , 1 9 6 2 ), p . 12. ( I t a l i c s m in e.) 210 Thus i t i s p o s ite d on th e b a s is o f c it e d auth ority® t h a t an im portant p o l i c y c o n s id e r a tio n in th e conduct o f s u c c e s s f u l c o u n terin su rg en cy o p e r a tio n s i s th e m o tiv a tio n o f l o c a l p o p u la tio n s t o support th e c o u n te rin su r g e n c y e f f o r t s - - t h e w in n in g , in th e popular p h r a se , o f "the h e a r ts and minds o f th e p e o p le ." The im plem entation o f t h i s p o l i c y i s f i n a l l y one o f th e r e s p o n s i b i l i t i e s o f th e coun te r in s u r g e n t s o l d i e r in th e f i e l d . T his r e s p o n s i b i l i t y demands an aw areness o f p o l i t i c a l and s o c i a l in t e r a c t io n s which has n ot h e r e to fo r e been a requirem ent o f th e m ilit a r y e s ta b lis h m e n t . The s o l d i e r ’ s in s u r g e n t a d v e r sa r ie s have been tr a in e d in t h i s aw aren ess. Pustay o b ser v es: . . . U n lik e th e t r a d i t io n s w ith in th e Western m ilita r y s e r v i c e s — e s p e c i a l l y the A nglo-Saxon m ilita r y e s t a b lis h m e n t s , which c a l l fo r th e " d e - p o lit ic iz a t io n " o f th e m i l i t a r y — Mao p r e s c r ib e s th e perm eation o f p o l i t i c s i n t o th e whole o f m ilit a r y o r g a n iz a tio n , t r a in in g and o p e r a t io n s . With regard t o c o u n te r in su r g e n c y , G alu la i n s i s t s th a t p o l i t i c a l a c tio n i s prim ary. He s t a t e s : That th e p o l i t i c a l power i s the undisputed boss in in s u r g e n t-c o u n te r in s u r g e n t w arfare i s a m atter o f both p r in c ip le and p r a c t i c a l i t y . What i s a t sta k e i s the c o u n tr y ’ s p o l i t i c a l reg im e, and t o defend i t i s a po l i t i c a l a f f a i r . Even i f t h i s r e q u ir e s m ilita r y a c t io n , th e a c tio n i s c o n s ta n tly d ir e c t e d toward a p o l i t i c a l g o a l. E s s e n t ia l though i t i s , th e m ilit a r y a c tio n i s secon dary to th e p o l i t i c a l on e, i t s primary purpose ® V id e, a l s o , Chapter I , su p ra , pp. 2 -5 . lO pustay, op. c i t . , p. 37. 211 b e in g to a ffo r d th e p o l i t i c a l power enough freedom to work s a f e l y w ith th e p o p u la tio n .-i-i The s o l d i e r in th e f i e l d r e p r e s e n ts th e p o l i t i c a l a u th o r ity t o the l o c a l p o p u la tio n w ith whom he must a s s o c i a t e . 12 This stu d y i s an attem pt t o d i s t i l l r e le v a n t p r in c ip le s o f s o c i a l s c ie n c e which can be used t o h e lp th e s o l d ie r in th e f i e l d work more e f f e c t i v e l y w ith l o c a l le a d e r s and l o c a l p eop le in p u r s u it o f c o u n te rin su r g e n c y ob jec t i v e s . The s o l d i e r , in d ir e c t and primary r e l a t io n s h ip w ith th e lo c a l p e o p le s , can be th e most im portant lin k in a p o lic y o f se e k in g support o f the p e o p le . S e n a to r Thomas J . Dodd, d efen d in g th e American p o lic y o f a s s is t a n c e to th e government o f South Vietnam in a major speech on th e f l o o r o f th e S e n a te , s t a t e d : One o f th e most obvious and most s e r io u s w eaknesses o f th e American p o s it io n in Viet-Nam i s th e lack o f adequate l i a i s o n w ith the le a d e r s o f the v a r io u s s e c t o r s o f th e Vietnam ese com m unity.1^ The r e la t io n s h ip must e x te n d even beyond the le a d e r s to th e ordinary members o f a l o c a l community and .must a l s o e x i s t between in d ig en o u s fo r c e s and l o c a l c i v i l i a n s . G alula s t a t e s t h i s as a " f i r s t law ," as fo llo w s : •^ G alu la, C ounterinsurgency Warfare: . . . , p. 89. ( I t a l i c s m ine.) 12V id e, Chapter I , su p r a , p. 5. 1 ^Thomas J . Dodd, "The New I s o la tio n is m " (from a sp eech in th e S en ate o f th e U nited S t a t e s , February 23, 1 9 6 5 ), The Viet-Nam R eader, ed. Marcus G. Raskin and Bernard B, F a ll (New York: Random House, 1 9 6 5 ), p. 195. 212 The F ir s t Law: The Support o f th e Popula- ‘ fcion Is As N ecessary fo r th e Counter in s u r g e n t as fo r the In su rg en t J What i s th e crux o f th e problem f o r th e c o u n te r in su rgen t? I t i s not how t o c lea n an a r e a . . . . The problem i s , how to keep an area c le a n s o t h a t th e c o u n te r in su r g e n t fo r c e s w i l l be f r e e t o o p erate e l s e where . T his can be a ch iev ed only w ith th e su p p ort o f th e p o p u la tio n . . . . The p o p u la tio n , t h e r e f o r e , becomes th e o b j e c t iv e f o r th e c o u n te r in su r g e n t. . . . I t s t a c i t su p p o rt, i t s su b m ission t o law and o r d e r, i t s con sen su s — taken f o r granted in normal tim e s — have Been undermined by th e in s u r g e n t's a c t i v i t y . And th e . . . in s u r g e n t, w ith h is o r g a n iz a tio n a t th e grass r o o t s , i s t a c t i c a l l y th e s t r o n g e s t o f opponents where i t c o u n t s , a t th e popula t io n l e v e l . T his i s where th e f i g h t has t o be con d u cted , in s p i t e o f th e c o u n te r in s u r g e n t's i d e o l o g i c a l handicap and in s p i t e o f the head s t a r t gained by th e in su r g e n t in o r g a n iz in g th e p o p u la tio n . The c o u n te r in su r g e n t must n ot only gain the su p p ort o f th e p eople but must d ep riv e the in s u r g e n t enemy o f t h a t su p p o rt. T his may not be an easy t a s k , b ecause th e in s u r gen t by d e f i n i t io n r e f l e c t s popular d is c o n t e n t . N ev erth e l e s s , th e attem pt must be made. Taber p o in ts ou t th e im portance o f th e p o p u la tio n t o th e in s u r g e n t g u e r r i ll a : The p o p u la tio n . . . i s th e key t o th e e n t ir e s t r u g g le . In d eed , a lth o u g h W estern a n a ly s t s seem t o d i s l i k e e n t e r t a in in g t h i s id e a , i t i s th e p o p u la tio n which i s doing th e s t r u g g lin g . The g u e r r i l l a , who i s o f th e p eop le i n a way which th e government s o l d i e r cannot be ( f o r i f th e regim e were not a lie n a t e d from th e p e o p le , whence th e r e v o lu t io n ? ) , f i g h t s w ith th e su pp ort o f th e non-com batant c i v i l i a n pop ulace: I t i s h is ca m o u fla g e, h is q u a rte rm a ster , h is r e c r u it in g o f f i c e , h is com m unications netw ork, and h i s e f f i c i e n t a l l - s e e i n g i n t e l l i g e n c e s e r v i c e . W ithout th e con sen t and a c t i v e a id o f th e p e o p le , 14G alula, op. c i t . , pp. 7H-75. 213 th e g u e r r i l l a would be m erely a b a n d it , and co u ld not lo n g s u r v iv e . I f , on th e o th e r hand, th e c o u n te r in s u r g e n t c o u ld c la im t h e same su p p o r t, th e g u e r r i l l a would n o t e x i s t , because th e r e w ould be no w ar, no r e v o lu t i o n . The ca u se would have e v a p o r a te d , th e p o p u lar im pulse tow ard r a d ic a l change— cau se or no c a u se — would be dead. I t i s th e s o l d i e r in th e f i e l d , w ith d ir e c t r e l a t io n s h ip s w ith th e l o c a l p e o p le , who must make government more a c c e p ta b le t o th e p e o p le . Rostow comments: . . . A g u e r r i l l a war must be fou gh t p r im a r ily by th o s e on the s p o t . T his i s so f o r a q u it e p a r t i c u la r r e a so n . A g u e r r i l l a war i s an in tim a te a f f a i r , fo u g h t not m erely w ith weapons but fo u g h t in th e minds o f th e men who l i v e in th e v i l l a g e s and in th e h i l l s , fo u g h t by th e s p i r i t and p o l i c y o f t h o s e who run th e l o c a l gov ernm ent. An o u t s id e r c a n n o t, by h i m s e l f , win a gu er r i l l a w ar. He can h e lp c r e a t e c o n d itio n s in which i t can be won, and he can d i r e c t l y a s s i s t . . . . The c o n s id e r a tio n r e le v a n t t o th e p o l i c y o f e l i c i t in g p op u lar su pp ort fo r c o u n te r in s u r g e n c y , p r e se n te d in t h i s stu d y sh o u ld a ls o be o f v a lu e in a s s e s s i n g th e conduct o f t h o s e im plem enting th e p o l i c y and c o u ld a s s i s t su b sta n t i v e l y in th e fo rm u la tio n o f d o c tr in e and t r a i n i n g . G alu la n o te s th a t . . . I t i s not enough t o g iv e a broad d e f i n i t i o n o f th e g o a l ( t o get th e support o f th e p o p u la t io n ) ; i t i s 15Robert T aber, The War o f th e F le a : A Study o f G uerril l a W arfare Theory and P r a c t ic e (New York: L yle S t u a r t , 19 6&), p. 2 0. l^ R ostow , " G u e r r illa W arfare in th e U nderdeveloped A reas," l o c . c i t . , p. 2 36 . 214 j u s t as n e c e ssa r y t o show how to reach i t . . . . The attem p t in t h i s stu d y has been t o i d e n t i f y s i g n i f i c a n t f a c to r s in th e r e la t io n s h ip s between th e s o l d i e r in th e f i e l d and the l o c a l p e o p le s . With a knowledge o f such / f a c t o r s and o f th e s o c i a l s c ie n c e p r in c ip le s r e le v a n t t h e r e t o , th e s o l d i e r perhaps . . . can lea r n t o preven t th e emergence o f the famous s e a in which Mao T se-tu n g ta u g h t h is men to swim. This r e q u ir e s , o f c o u r s e , not m erely a proper m ilit a r y pro gram o f d e te r r e n c e but programs o f v i l l a g e developm ent, com m unications, and i n d o c t r in a t io n .18 U nderlying the resea rch conducted fo r and th e i n form ation p r e se n te d in t h i s stu d y are two h y p o th e se s: f i r s t , t h a t th e r e i s a p a tte r n t o th e growth and d e v e lo p ment o f an in su rg en cy movement; se co n d , t h a t w ith in th e t a c t i c a l s e t t i n g o f co u n terin su rg en cy th e re are a number o f r e c u r r in g s i t u a t i o n s in th e r e la t io n s h ip s between s o l d i e r and c i v i l i a n t o which th e s o c i a l s c ie n c e s can c o n tr ib u te u s e f u l app roaches. Lacking a co n v en ien t la b o r a to r y fo r d ir e c t r ese a r c h on th e problems o f c o u n te r in su r g e n c y , th e p r e se n t w r it e r ■^G alula, op. c i t . , p. 85. Browne rep o rts one American u n it in Vietnam which has adopted th e p r e ce p ts o f Mao T se -tu n g and Vo Nguyen Giap in an e f f o r t t o make e f f e c t i v e p o s i t i v e r e la t io n s h ip w ith th e populace a primary go al in th e co u n terin su rg en cy e f f o r t in th a t cou n try. Such an e f f o r t , though s m a ll, i s an o b liq u e r e c o g n itio n of th e need fo r some kind o f gu id an ce. V id e , Malcolm W . Browne, The New Face o f War ( I n d ia n a p o lis , I n d .: The B ob b s-M errill Company, I n c . , 1 9 6 5 ), pp. 260 -6 1 . 18Rostow, op. c i t . , p. 237. 215 d e v is e d a m ethodology f o r i n d i r e c t , though s y s t e m a t i c , r e s e a r c h . A c r i t i c a l in c id e n t q u e s tio n n a ir e was a d m in is te r e d by in t e r v ie w t o r e c e n t r e tu r n e e s from c u r r e n t coun te r in s u r g e n c y o p e r a t io n s . From t h e s e in t e r v ie w s came some h e u r i s t i c i n s i g h t s i n t o t h e sim p le r e l a t io n s h ip s o f c o u n te r in s u r g e n t and p op ulace i n tim e o f s t r e s s . S p e c i a l i s t s in th e stu d y o f c o u n te r in su r g e n c y w a r fa r e , r e c o g n iz e d f o r t h e i r e x p e r t know ledge and t h e i r c o n t r ib u t io n t o coun te r in s u r g e n c y d o c tr in e and p r a c t ic e (some o f them renowned v e te r a n s o f th e Huk and Vietnam c o u n te r in su r g e n c y cam p a i g n s ) , were in te r v ie w e d i n t e n s i v e l y i n ord er t o i d e n t i f y some r e c u r r in g r e l a t io n s h ip s o f s i g n i f i c a n c e t o th e coun te r in s u r g e n c y m i s s i o n .2 0 A number o f r e c u r r in g r e l a t i o n s h ip s i t u a t i o n s and i n s i g h t s were d is c e r n e d about th e kin ds o f in fo r m a tio n a p p r o p r ia te to im p lem en ta tio n o f a p o lic y o f s e e k in g p op u lar su p p o rt fo r c o u n te r in su r g e n c y . A w r itt e n q u e s tio n n a ir e was th e n s e n t t o a number o f s o c i a l s c i e n t i s t s , and approaches t o th o se s i t u a t i o n s , based on p r i n c i p le s o f s o c i a l s c ie n c e and judged t o be c r o s s - c u l t u r a l l y r e l e v a n t , were e l i c i t e d . 2 3 - - 1 -9V id e , Chapter I , s u p r a , pp. 1 6 -1 7 ; and Appendix D, p o s t , p p . 3 60 -8 9 . o n *uV id e , Chapter I , su p r a , pp. 1 7 -1 8 ; and Chapter I I I , Chart 1 , s u p r a , pp. 94-9 8. 21 V id e , C hapter I , s u p r a , pp. 1 9 -2 1 ; Chapter I I , Chart I , s u p r a , pp. 9 4 -9 8 ; and Appendix E, p o s t , pp. 391- 403. 216 P a ttern s o f Insurgency The p a tte r n s o f in su rg en cy are d isc u sse d in the f i r s t p o r tio n o f Chapter II o f t h is t e x t . It i s p o s ite d th a t a s o c i e t y breaks down when old v a lu e s and r u l e s are no lo n g e r g e n e r a lly a ccep ted . In su rg en t movements do n ot o r ig in a te s o c i a l ch an ge, but attem p t to s e t i t s d i r e c t io n . Rostow summarizes th e t r a n s i t i o n a l c o n f l i c t s in t h e fo llo w in g sta tem en t: . . . Old s o c i e t i e s are changing t h e i r ways i n order t o c r e a te and m ain tain a n a t io n a l p e r s o n a lit y on th e world scen e and to b r in g to t h e i r p eo p les th e b e n e f i t s modern tec h n o lo g y can o f f e r . T h is p ro cess . . . to u c h e s e v ery a sp ec t o f th e t r a d i t io n a l l i f e - - e c o n o m i c , s o c i a l , and p o l i t i c a l . The in tr o d u c tio n o f modern te c h n o lo g y b rin g s about n o t merely new methods o f p ro d u ctio n but a new s t y l e o f , , . l i f e . . . . Like a l l r e v o l u t i o n s , th e r e v o lu tio n o f m oderniza tio n i s d is tu r b in g . I n d iv id u a l men are to m between the commitment t o the o ld fa m ilia r way o f l i f e and th e a t t r a c t io n s o f a modern way o f l i f e . The power o f old s o c i a l groups— n otab ly t h e la n d lo r d , who u s u a lly domi n a te s th e t r a d i t i o n a l s o c i e t y — i s reduced. Power moves toward th o se who can command the t o o l s o f modern tec h n o lo g y , in c lu d in g modern weapons. Men and women in th e v i l l a g e s and th e c i t i e s , f e e l in g t h a t the o ld ways o f l i f e are shaken and th a t new p o s s i b i l i t i e s a r e open to them, ex p ress o ld resen tm en ts and new h o p es.^2 In a t r a n s i t i o n a l s o c i e t y , r a p id and u n s e t t lin g s o c i a l changes may r e s u lt from in t e n s iv e con tact w ith anoth er c u lt u r e , p op u lation ch a n g es, n a tu r a l d i s a s t e r s , or s im ila r d is tu r b a n c e s . As s o c i a l change o ccu rs, in d iv id u a ls become con fu sed and behavior ten d s to be e r r a tic and ^^Rostow, o p . c i t . , p . 234. 217 i n c o n s i s t e n t , ^ The fundam ental is s u e s o f s o c i a l change are le g itim a c y (a cc ep ta n c e o f a u t h o r it y ) , adap tion to ch an ge, and r e s t r a t i f i c a t i o n o f rank and c l a s s . Out o f th e s e is s u e s a r is e s o c i a l m ovem en ts--in clu d in g in su rg en cy . In su r g e n c ie s b egin when a s u f f i c i e n t number o f p eop le p e r c e iv e a m alignancy in th e i n s t i t u t i o n s and p r o c e s s e s o f s o c i e t y which th ey b e l ie v e can be c o r r e c te d by c o l l e c t i v e a c tio n and which they f e e l must be c o r r e c te d w ith in a lim it e d tim e. In su rgen t movements go through th e s ta g e s o f in d iv id u a l u n r e s t, crowd e x c ite m e n t, form u lation o f sp e c i f i c i s s u e s and r e c r u itm e n t, and th e sea rch fo r le g itim a c y and s o c i e t a l o r g a n iz a t io n .24 The cou rse o f in su rg en cy i s storm y. The in su r g e n ts o rg a n ize a t s e v e r a l l e v e l s as do c o u n te r in su r g e n t f o r c e s . The g reat mass o f th e p o p u la tio n stands c o n fu se d , but con fu s io n le a d s t o a l ie n a t io n from th e incumbent government and i s thu s an advantage to th e in s u r g e n ts . The in s u r g e n ts have s e v e r a l ad van tages: they are f u l l y com m itted; they are "of th e people" and cannot be r e a d ily i d e n t i f i e d as an enemy by th e government f o r c e s ; th e y s t r ik e suddenly from hidden vantage p o i n t s ; and th ey can i n f i l t r a t e v i l l a g e s and i n s t i t u t i o n s u sin g both inducem ents and t e r r o r to win p e o p le . They b egin w ith a few d e d ic a te d p erson s and, 2^V id e, Chapter I I , su pra, pp. 25-33. ■^Vide, Chapter I I , su pra, pp. 25-3 3, 218 fe e d in g on d is c o n t e n t , g ra d u a lly expand t h e i r f o r c e s . 2^ A p r in c ip a l advantage l i e s in the ordinary p r a c tic e o f in s u r gent g u e r r i ll a s o f f i g h t i n g in and around t h e i r own home area. P u sta y , w ith a nod t o Mao T se -tu n g , o b serv es t h i s a d v a n ta g e: . . . Mao’s p r e s c r ip t io n th a t th e s e u n its op erate o n ly i n t h e i r home a r ea . . . . in s u r e s th e g u e r r i ll a s o f two p r in c ip a l advantages over th e enemy— s u p e r io r knowledge o f t e r r a in and s u p e r io r c la im t o i n t e l l i g e n c e from th e p o p u la c e .26 The in s u r g e n t g u e r r i l l a i s w e ll- t r a in e d in th e use o f p o l i t i c s as a weapon, as has a lre a d y been ob served . His r e s i s t a n c e to government i s not c h a o t ic or random; he has p o l i t i c a l purpose. Taber c o n t r a s t s th e g u e r r i ll a w ith th e savage headhunter whose f i g h t i n g t a c t i c s m ight seem s im ila r : Headhunters are n o t g u e r r i l l a s . The d i s t i n c t i o n i s sim p le enough. When we speak o f th e g u e r r i l l a f i g h t e r , we are sp ea k in g o f th e p o l i t i c a l p a r t i s a n , an armed c i v i l i a n whose p r in c ip a l weapon i s not h i s r i f l e or h is m achete, but h is r e la t io n s h ip t o the community, th e n a t io n , in and fo r w hich he f i g h t s . 2 7 Taber goes on t o n o te t h a t 25pustay d e fin e s in s u r g e n t w arfare in th e s e words: "The term in su rg en cy w arfare . . . r e f e r t s 3 t o t h a t com p o s it e c o n f l i c t phenomenon which can be d e fin e d as a c e l l u la r developm ent o f r e s is t a n c e a g a in s t an incumbent p o l i t i c a l regim e and w hich expands from th e i n i t i a l s t a g e o f sub- v e r s i o n - i n f i l t r a t i o n through the in te r m e d ia te s ta g e s o f o v e rt r e s is t a n c e by sm a ll armed bands and in s u r r e c t io n to f i n a l f r u i t io n in c i v i l w ar. P u sta y , op. c i t . , p. 5. 26I b i d . , p. 40. 2^Taber, op. c i t . , p. 18. 219 . . . t h i s i s th e e s s e n t i a l c o n t r a s t betw een con ven t i o n a l war and g u e r r i l l a w ar. The army f i g h t s t o occupy t e r r i t o r y , r o a d s , s t r a t e g i c h e i g h t s , v i t a l a r e a s ; t h e g u e r r i l l a f i g h t s t o c o n t r o l p e o p le , w ith o u t whose c o o p e r a tio n th e la n d i s u s e l e s s t o i t s p o s s e s s o r .2 8 The governm ent fo r c e s can hard ly a v o id b e in g tem p ted t o u se th e t e c h n o l o g ic a l s u p e r i o r it y i n weapons which th ey e n j o y , but su ch i s n ot th e way t o v i c t o r y . To i n d is c r im in a t e ly use heavy weaponry i s t o f i g h t th e p e o p le and i s o l a t e th e c o u n te r in s u r g e n t s o l d i e r . . . . Country p e o p le whose o n ly c o n ta c t w ith th e gov ernment comes in th e form o f napalm and ro ck et a tt a c k s can s c a r c e l y be e x p e c te d t o f e e l sy m p a th e tic t o th e government c a u s e , w h atever i t may b e . On th e o th e r hand, th e y have ev ery r ea so n t o f e e l s o l i d a r i t y w ith th e g u e r r i l l a s , u s u a lly r e c r u it e d from t h e i r own v i l l a g e s , who sh are t h e i r p e r i l and t h e i r h a r d s h ip s .29 The c o u n te r in s u r g e n t must compete w ith h i s in s u r g e n t enemy f o r th e su p p ort o f l o c a l p o p u la tio n s i f he i s t o conduct s u c c e s s f u l t a c t i c a l o p e r a t io n s . Out o f t h i s requirem ent a r i s e th e r e c u r r in g r e l a t i o n s h i p s i t u a t i o n s between s o l d i e r and c i v i l i a n w hich a ff o r d th e k n ow led geab le c o u n te r in s u r gent some o p p o r t u n it ie s in th e c o m p e titio n fo r p o p u lar s u p p o r t. 38 A b r i e f a n a l y s is o f an a c t u a l in su r g en cy s i t u a t i o n — t h a t o f th e P h ilip p in e Huk in s u r g e n c y - - f o llo w s th e th e o r e t i c a l d i s c u s s i o n in Chapter I I . R eferen ce to th e P h i l i p p in e s i t u a t i o n i n d ic a t e s th a t th e p r e -c o n d it io n s f o r 28I b i d . , p. 66. 291 b i d . , p. 95. 30V id e , Chapter I I , su p r a , pp. 5 2 -5 9 . in su r g e n c y were in d eed p r e s e n t among th e p e o p le in th e a r ea s in which in su r g en cy d e v e lo p ed . War i n t e n s i f i e d th e f a c t o r s which a lre a d y e x i s t e d : t h e breakdown o f o ld e r v a lu e s ; th e i s s u e s o f l e g i t im a c y , a d a p tio n , and r e s t r a t i f i c a t io n ; and th e p e r c e iv e d m a lig n a n c ie s o f th e s o c i e t y and in c r e a s in g ly a r t i c u l a t e d r a d ic a l r em ed ies. War was i t s e l f a profound d is tu r b a n c e t o th e s o c i e t y ; i t made armed r e s i s t a n c e t o an in v a d e r a p a t r i o t i c duty and a r e tu r n t o th e s t a t u s q u o im p o s s ib le . To t h a t p o in t , t h e Huk in s u r gency fo llo w s th e g e n e r a l h e u r i s t i c model p r e s e n te d . War, how ever, and th e e a r ly cap tu re o f th e movement by a d i s c i p lin e d Communist g u e r r i l l a le a d e r s h ip , d i s t o r t e d th e e x p e c te d developm ent o f ph ases and le a d e r s - - a lt h o u g h in th e a rea o f C e n tr a l Luzon i n which t h e a c tio n to o k p l a c e , some o f t h e p h ases o f c l a s s i c in su r g en cy up t o th e p o in t o f shadow government d id ta k e p la c e . Both d u r in g and a f t e r World War I I , th e t a c t i c a l s e t t i n g o f in su r g en cy in th e P h ilip p in e s c l o s e l y p a r a l le l e d t h e g e n e r a liz e d d e s c r ip t io n s e t fo r th in Chapter I I . E f f e c t i v e le a d e r s h ip and th e r e a l i z a t i o n t h a t th e s t r u g g le c o u ld be won o n ly by o b ta in in g th e su p p ort o f th e p e o p le le d t o a new approach by th e c o u n te r in su r g e n t f o r c e s , th e r e v i t a l i z a t i o n o f governm ent, and th e end o f e f f e c t i v e in su r g e n c y as c o n fid e n c e was r e s t o r e d in governm ent. 3 31V id e , Chapter I I , su p ra, pp. 6 0-85* 221 S o c ia l S c ie n c e Approaches to Some R ecu rring R e la tio n s h ip s In a war o f in s u r g e n c y , th e t a c t i c a l s e t t i n g pro v id e s the s c e n a r io and lo c a t io n fo r s t r a t e g i c a c t i o n . The war (u n le ss and u n t i l i t becomes f u l l - s c a l e c i v i l war or lim it e d war fo u g h t by th e f o r c e s o f o u t s id e pow ers) i s com posed o f an unending s e r i e s o f l o c a l engagem ents— and i s m i l i t a r i l y a war o f t a c t i c s . I t i s a l s o a war o f com p eti t i o n for p o p u la r su p p o r t. A number o f r e c u r r in g r e l a t i o n s h ip s i t u a t i o n s in v o lv in g the i n t e r a c t i o n s between c o u n te r in su r g e n t s o l d i e r and l o c a l le a d e r s and p e o p le s a r i s e from t h i s s e t t i n g ; they w ere i d e n t i f i e d and s e l e c t e d through a m ethodology d e s c r ib e d e lse w h e r e in t h i s s t u d y .3^ These r e c u r r in g r e l a t i o n s h i p s i t u a t i o n s are p r e se n te d and d i s c u ssed in C hapter I I I . S o c ia l s c ie n c e p r i n c ip l e s judged by q u a l if i e d s p e c i a l i s t s t o be r e le v a n t and c r o s s - c u l t u r a l l y ap p ro p ria te w ere a p p lie d to t h e s e r e c u r r e n t s i t u a t i o n s . 33 Pustay n o te s : I t h a s a lre a d y been amply dem onstrated t h a t th e p s y c h o - p o l i t ic a l m o b iliz a t io n o f t h e p eop le i s th e main o b j e c t iv e o f the op p osin g f o r c e s in an in su r g en cy -c o u n te r in s u r g e n c y s i t u a t i o n . As th e b a ttle g r o u n d s w i l l g e n e r a lly be lo c a t e d in th e d e v e lo p in g a r e a s , a coun te r in s u r g e n c y cam paign, t o have r e a so n a b le chances f o r s u c c e s s , w i l l have t o encompass broad s o c i o p o l i t i c a l 3^ V id e , Chapter I , s u p r a , pp. 1 5 -1 8 ; and Appendix D, p o s t , pp. 360-89 . 33V id e , Chapter I , s u p r a , pp. 1 8 -2 1 ; and Appendix E , p o s t , pp^ 591-403. 222 reform and econom ic developm ent p r o g r a m s . 3I + The p eop le in th e v i l l a g e s and th e a rea s touched or th r e a te n e d by in su rg en cy w i l l s e e reform and developm ent p r im a r ily and alm ost e x c l u s iv e ly in the conduct dnd com portment o f th e c o u n te r in su r g e n t s o l d i e r p r e se n t i n t h e i r community. Among th e s i t u a t i o n s d is c u s s e d in Chapter I I I , th e r e la t io n s h ip o f th e s o l d i e r t o l o c a l le a d e r s may determ ine th e l e a d e r s 1 commitment or lack o f commitment t o th e coun t e r in s u r g e n t 1 s c a u se . For e f f e c t i v e a c t io n a g a in s t in s u r g e n ts , th e support o f th e r e a l le a d e r s o f a community i s in d is p e n s a b le . They are th e lin k s to th e groups which make up th e community. T h eir support may a f f e c t th e i s s u e o f le g itim a c y in fa v o r o f c o u n te r in su r g e n c y . Both le a d e r s and the p eop le whom th e y in f lu e n c e w i l l be amenable t o th e gov ernment case i f th e y can s e e th e ad verse e f f e c t s o f in s u r gency upon t h e i r i n t e r e s t s in ways which r e in fo r c e th a t a m e n a b ility . They must s e e t h e i r own needs and g o a ls as th r e a te n e d by in s u r g e n t a c t io n and must h o ld th e in s u r g e n t r e s p o n s ib le . I f th e le a d e r s make some d egree o f p u b lic commitment to th e c o u n te r in su r g e n t c a u s e , th e y w i l l be more l i k e l y t o make a d d it io n a l commitment s u b s e q u e n tly . Appro p r ia t e rewards fo r every m a n ife s ta tio n o f support fo r 3^P ustay, op. c i t . , p. 158. 223 cou n terin su rg en cy w i l l r e in f o r c e commitment. 33 The r e lo c a t io n o f p eo p les can be a problem in r e l a t i o n s h i p s . I f th e r e i s a b s o lu te n e c e s s i t y t o r e lo c a t e com m u n ities, th e r e la t io n s h ip o f c o u n te r in su r g e n t and th e p eop le a f f e c t e d can be c r u c i a l. I t sh o u ld only be under taken w ith f u l l c o n s id e r a tio n o f i t s e f f e c t . M orgenthau, a n a ly z in g some e r r o r s o f th e co u n te rin su r g e n c y s t r u g g le in Vietnam , com plains: . . . W e thought we could d ep riv e th e V ie t Cong o f pop u lar support by h erd in g u n w illin g p e a sa n ts i n t o s t r a t e g i c h a m le ts, and i t d id n o t occu r t o us th a t . . . by u p ro o tin g th e p ea sa n ts we h elp ed th e V ie t Cong r e c r u it them. N e v e r t h e le s s , r e lo c a t io n i s som etim es demanded by circum s t a n c e s . Urgency may r eq u ire r e lo c a t io n o f whole communi t i e s w ith l i t t l e p r e p a r a tio n . A c le a r e x p la n a tio n o f why the move i s n e c e s s a r y , s e l e c t i o n o f an a t t r a c t i v e new a r e a , f u l l and prompt com pensation fo r prop erty and goods l e f t b eh in d , and adequate l o g i s t i c s can make th e move more p a la t a b le . With tim e , lea d er s and th e p o p u la tio n i t s e l f can be drawn in t o th e d ecisio n -m a k in g p r o c e s s . T his h e lp s to make th e r e lo c a t io n a group g o a l. Rewards fo r making th e move, a p p ro p ria te t o the c u ltu r e and th e c ir c u m sta n c e s , a ls o d im in ish rese n tm e n ts. S u b sta n tiv e ta s k s a s s ig n e d t o th e members o f th e community in c r e a s e p a r t ic ip a t io n in and 35V id e, Chapter I I I , su p r a , pp. 102-19. 36Morgenthau, op. c i t . , p. 14. 224 i d e n t i f i c a t i o n w ith th e a c t o f r e l o c a t i o n . Any r e l o c a t i o n , how ever, in a t r a d i t i o n a l s o c i e t y can cause problem s— th e p eo p le are g e n e r a lly d eep ly roo ted t o land and a n c e s t r a l home. I t i s im portant t h a t th e s o l d i e r understand th e needs and i n t e r e s t s o f im p o verish ed r u r a l p e o p le s . Appre c ia t i o n o f th o s e needs and i n t e r e s t s can le a d t o rem ed ial a c tio n and a p p ro p ria te a p p e a ls ; t h e s e can change or r e d i r e c t a l o c a l p o p u la tio n 's p e r c e p tio n o f m alignancy in th e s o c i e t y . S in c e r e attem p ts to meet needs can awaken sym pathy fo r th e co u n terin su rg en cy e f f o r t . I n d iv id u a l and group needs o f a community can be i d e n t i f i e d through in fo r m a n ts, d is c u s s io n g ro u p s, o b s e r v a tio n , d ir e c t i n t e r v iew , and q u e s tio n n a ir e s u r v e y s . L ea d ers, who must be p a r t ic u la r ly s e n s i t i v e t o t h e i r grou p 's n e e d s , are p a r t ic u l a r l y u s e fu l as sou rces o f know ledge. C u ltu r a lly a c c e p t ab le ways t o f u l f i l l needs can o f te n be d isc o v e r e d from th e same s o u r c e s .38 The "image" o f t h e man i n uniform a f f e c t s a l l h i s r e la t io n s h ip s w ith th e l o c a l p e o p le . C ounterinsurgency fo r c e s are among th e uniform ed men who e n fo r c e th e r u le s o f the incumbent p o l i t i c a l sy stem . As such th ey sy m b olize t o th e l o c a l p e o p le s th e c h a r a c te r o f th e sy stem . I f view ed 3^Vide, Chapter I I I , su p ra, pp. 120-26. 38V ide, Chapter I I I , supra, pp. 127-34. 225 as sym bols o f co rru p tio n or o p p r e s s io n , th e s o l d i e r or policem an w i l l o b v io u sly have co u n te rp ro d u c tiv e r e l a t i o n s w ith th e p o p u la ce. I f th e y are view ed as symbols o f s e r v ic e and p r o t e c t io n , a major advantage t o th e cau se o f cou n terin su rg en cy w i l l p r e v a il. With such fa v o r a b le p e r c e p tio n , th e y can be a u n ify in g f o r c e in th e c o u n try . Pustay comments as f o l l o w s : . . , In many d e v e lo p in g n a tio n s th e governm ent's p resen ce in th e o u t ly in g areas i s m aintained e x c l u s iv e ly by s o l d i e r s a s s ig n e d t o o u tp o st g a r riso n d u t i e s . Through d i s c i p l i n e , com m unications, and proper o r g a n i z a t i o n , th e s e d is p e r se d u n its are in t e g r a t e d i n t o th e n a tio n a l whole and are c o n t r o lle d through a ch ain o f command by r e s p o n s ib le d e c isio n -m a k in g p e r so n n e l a t th e s e a t o f th e c e n tr a l governm ent. T his s u g g e s ts t h a t th e m ilita r y can be not o n ly a primary agency in o u tly in g l o c a l v i l l a g e developm ent p r o je c ts but a l s o an im p ort ant hub i n any l a r g e - s c a l e r e g io n a l or n a tio n a l pro grams r e q u ir in g e x t e n s iv e c o o r d in a tio n p lu s adherence t o d i r e c t iv e s from h ig h a u t h o r i t y . ^ More o fte n than n o t , how ever, th e s o l d i e r i s view ed as p art o f th e m alignancy o f s o c i e t y t o be c o r r e c te d by in s u r g e n t a c tio n . A h i s t o r y o f c r u e l t y , a rro g a n ce , and r e p r e s s io n , may have c o n tr ib u te d t o t h i s image. C l a r i f i c a t i o n o f the l im i t s o f m ilit a r y and p o l i c e a c t i v i t y can m it ig a t e th e h o s t i l i t y o f a l o c a l p o p u la ce. D is c ip lin e d b e h a v io r and conduct t h a t i s "proper” w ith in th e c o n te x t o f th e c u ltu r e i s a n e c essa ry p r e c o n d itio n t o th e c e s s a t io n o f r ese n tm e n ts. S p e c ia l t r a in in g o f th e uniform ed p e r so n n e l ( l i t e r a c y , t r a d e s , s k i l l s , e t c . ) can add t o t h e i r p r e s t ig e w ith in th e 39pustay, op. c i t . , p. 141. 226 community they s e r v e and b r in g t a n g ib le b e n e f it s t o t h a t community, as w e ll as c o n tr ib u te t o th e s o l d i e r ' s own s e l f - s a t i s f a c t i o n and m o r a le .^ The s o l d i e r r e la t e s t o th e v i l l a g e r in h is r o le as a f i g h t e r for th e cause o f c o u n te r in su r g e n c y , and i f th e v i l l a g e r i s going t o support him, h i s v i c t o r i e s must be a p p r e c ia te d and u n d ersto o d . Yet i d e n t i f i c a t i o n w ith m i l i tary v i c t o r y i s an a b s tr a c tio n fo r t h e p eop le o f d e v e lo p in g n a tio n s — where i d e n t i f i c a t i o n i s p r im a r ily w ith fa m ily , c la n , o r c a s t e , and when i s s u e s are l o c a l . N e v e r t h e le s s , u ltim a te su c c e ss demands p op u lar i d e n t i f i c a t i o n w ith th e progress o f c o u n te r in su r g e n t f o r c e s . An in d iv id u a l i s more lik e l y t o i d e n t i f y w ith m ilit a r y v ic t o r y i f he i s rewarded t o h is s a t i s f a c t i o n every tim e a v ic t o r y o c c u r s; i f he se es th e v ic t o r y as p r o t e c t in g t h o s e p a r ts o f h i s l i f e t h a t he v a lu e s; o r i f he s e e s a m ilit a r y v ic t o r y as r e t r ib u t io n fo r d ep red a tio n s he h a s s u f f e r e d . * * 1 As the v i s i b l e sym bol o f governm ent, th e s o l d i e r ' s r e la t io n s h ip w ith a lo c a l community determ ines w hether or not the p o s it iv e m issio n o f government i s a p p r e c ia te d or w hether government i s view ed e x c l u s iv e ly as th e agent o f o p p re ssio n and e x t o r t i o n . I t has been p o in ted out t h a t a people may be b rou gh t to su p p ort th e m issio n o f government Vide, Chapter I I I , supra, pp. 134-45. ^ V id e , Chapter I I I , supra, pp. 145-51. 227 i f th e y se e th e government s e r v in g them in terms t h a t they understand and w ith a c t i v i t i e s th a t th ey d e s ir e . The gov ernment must p rovid e con crete b e n e f it s and, through l o c a l le a d e r s h ip , make th e b e n e f it s known. E f f e c t i v e communica t i o n and t r u s t are key elem en ts in e s t a b l i s h in g p ea sa n t su p p ort fo r governm ent. ^ In h is r e la t io n s w ith a l o c a l p e o p le , th e c o u n te r in s u r g e n t s o l d i e r , as agent and symbol o f governm ent, sh o u ld encourage reform s to meet lo c a l a s p ir a t io n s and to o f f s e t th e claim s o f th e in s u r g e n ts . P ustay n o te s: S in ce th e c o n tr o l o f th e populace i s th e key o b j e c t iv e fo r both c o u n te rin su r g e n ts and in s u r g e n ts , i t fo llo w s th a t th e incumbent government must g e t as many p eo p le in v o lv e d in su pp ort o f i t s reform s as i s p o s s i b l e . * * 3 I t i s th e p eop le th e m s e lv e s , how ever, who must in some way i n d ic a t e th e reform s th ey need and want. G alula t e l l s th e c o u n te r in s u r g e n t: Fie would be w ise a ls o t o a s c e r t a in whether what he o f f e r s i s r e a lly wanted by th e p e o p le . Reforms con c e iv e d in th e a b s tr a c t a t a high l e v e l may o fte n sound prom ising on paper but do n o t always correspond t o the popular w ish . A p r a c t i c a l method, t h e r e f o r e , would c o n s is t in i n v e s t i g a t in g o b j e c t i v e ly th e p e o p le 's demands, making a l i s t o f them , c r o s s in g out th o s e th a t cannot be granted s a f e ly and prom oting th e r e s t . 1 *1 * There are th r e e e s s e n t i a l elem en ts in v o lv e d in en cou ragin g reform in th e i n t e r e s t s o f th e l o c a l p e o p le s: th a t o f Vide , Chapter I I I , s u p r a , pp. 151 -5 8 . ^ P u s t a y , op. c i t . , p. 130, ^ G a l u l a , op. c i t . , p. 103. 228 i d e n t i f y i n g th o s e reform s w hich are a p p r o p r ia te and a t t r a c t i v e t o l o c a l c o n s t i t u e n c i e s ; t h a t o f in d u c in g n a t i o n a l, r e g io n a l, and l o c a l p o l i t i c a l le a d e r s t o i n s t i t u t e n e c e s sary reform s; and t h a t o f p ersu ad in g l o c a l p o p u la tio n s t o p a r t ic ip a t e in the a c t i v i t i e s o f govern m en t--th ereb y g iv in g them a se n se o f commitment to th e g o a ls o f governm ent.^5 Because o f th e c lo s e r e l a t io n s h ip w ith th e p eop le which circu m stan ces a ffo r d th e c o u n te r in su r g e n t s o l d i e r , he has o p p o r t u n it ie s , d en ied h is more remote s u p e r io r s , fo r b r in g in g t o g e t h e r fo r common purpose d iv id e d and r e c a l c i tr a n t groups in th e community i n which he s e r v e s . While th e h is t o r y o f race and r e l i g i o u s antagonism s i l l u s t r a t e s th e d i f f i c u l t y o f ra p id s o l u t i o n t o th e problem o f r e s o l v in g th e antagonism s o f a fragm ented s o c i e t y , c e r ta in p r a c t ic a l s t e p s can be ta k en . P h y s ic a l p roxim ity in l i v i n g and working w ith groups and th e developm ent o f mixed t a s k - o r ie n te d groups are s p e c i f i c rem ed ies, but t h e i r e f f e c t may be on ly tem porary. C oop erative a c t i v i t y over tim e and a p u b lic em phasis on s i m i l a r i t i e s and common g o a ls w i l l r e i n fo r c e th e e f f e c t s o f s p e c i f i c a c tio n . R eco g n itio n o f a common enemy w i l l encourage working t o g e t h e r . E q u ita b le d i s t r i b u t io n o f goods and n a t io n a l or l o c a l l e g i s l a t i o n can support th e se m e a su r e s.1 *^ ^ V id e, Chapter I I I , su p r a , pp. 158-67. 46Vide, Chapter I I I , su p ra, pp. 167-75. 229 E f f e c t i v e comm unication i s both a means and an end in the r e l a t io n s which a c o u n te r in su r g e n t s o l d i e r has w ith a l o c a l p e o p le . E f f e c t i v e communication w ith in a community demands a knowledge o f th e s o c i a l s tr u c tu r e o f th e s o c i e t y and i t s c u l t u r a l w ays, so th a t comm unication ch a n n els may be t r a c e d . D is t o r t io n in communication i s r e la t e d t o s o c i a l d is ta n c e between sou rce and r e c e i v e r . Between grou p s, th e amount and accu racy o f communication depend on p a tte r n s o f i n t e r a c t io n and in terd ep en d en cy fo r common g o a ls . W ithin grou p s, th e more im portant an in d iv i d u a l 's r o le i s t o him , th e more a c c u r a te are h is com m unications. Communication among groups can be improved by s e t t i n g ta sk s which r e q u ir e c o o p e r a tio n and by s e l e c t i n g " lia is o n " ag en ts t o work w ith th e groups in q u e s tio n ; between l e v e l s , im provement r e q u ir e s e sta b lish m e n t o f ch a n n els in which in fo r m a tio n flo w s both upward and downward and s e l e c t i o n o f proper in te r m e d ia r ie s between c la s s e s and between le a d e r s and p e o p le . I t has been p o in te d out t h a t f o r e f f e c t i v e comm unication betw een th e s o l d i e r from o u t s id e th e commun i t y and th e l o c a l p e o p le , knowledge o f l o c a l custom s i s a f i r s t s t e p . Use o f commonly understood term s i s im p o rta n t. I f th e r e i s a d if f e r e n c e in language or d i a l e c t , t h a t o f th e l o c a l p eop le i s t o be p r e fe r r e d . Communication sh ould be p la c e d w ith in th e e x i s t i n g s o c i a l s t r u c t u r e , and chan n e ls and power r e la t io n s h ip s used t o ad va n tage. In p a r t ic u la r i n s t a n c e s , th e use o f in te r m e d ia r ie s may be c u l t u r a ll y 230 a p p r o p r ia te or in te r m e d ia r ie s may be employed t o a v o id em b a rrassin g c o n f l i c t when i t seems l i k e l y to o c c u r . ^ The r e l a t i o n s h i p o f s o l d i e r t o p eo p le may be f i l t e r e d or d i s t o r t e d by h i s a s s o c i a t i o n w ith a d i s l i k e d o f f i c i a l . I f th e s o l d i e r p e r fo r c e must work w ith such an o f f i c i a l , he can a ttem p t t o d im in ish t h a t a s s o c i a t i o n i n th e e y e s o f th e p op u lace o r im prove th e image o f th e o f f i c i a l among th e p e o p le . I f th e p op u lace b e l i e v e s th a t v ic t o r y and th e end o f w a rfare i s more im portant than th e e x is t e n c e o f th e p a r t i c u la r o f f i c i a l , th e y may d evelop a p a tie n c e and t o le r a n c e which w i l l e n a b le th e s o l d i e r to accom p lish h i s m is s io n . The o f f i c i a l , t o o , m ight improve h is im age by in c r e a s e d c o n ta c t w ith th e p eop le and h is b e n e f i c i a l a c t s m ight be in c r e a s e d and communicated to th o s e he s e r v e s . I f th e o f f i c i a l rem ains r e c a l c i t r a n t and the p e o p le c o n tin u e t o d i s l i k e him t o th e p o in t t h a t th e c o u n te r in s u r g e n t m issio n i s i n je o p a r d y , he may be su p p la n te d or i s o l a t e d a t th e to p by th e emergence o f lo w e r- l e v e l le a d e r s who can b ear th e burden o f d i r e c t r e l a t i o n s w ith t h e p e o p l e .1 * ® The c o u n te r in s u r g e n t s o l d i e r f a c e s th e s i t u a t i o n o f f in d in g in s u r g e n ts hidden among th e p op u lace he s e r v e s w h ile r e t a i n i n g e f f e c t i v e and p r o d u c tiv e r e la t io n s h ip s w ith ^ V i d e , Chapter I I I , su p ra, pp. 175-86. **®Vide, Chapter I I I , su p ra , pp. 186-92. 231 th a t p op u lace. There i s no sure way y e t d evelop ed t o r e c o g n iz e the p resen ce o f a c la n d e s tin e enemy in a l o c a l p o p u la tio n , but th e re a r e sy s te m a tic methods t o se ek c lu e s to h i s p r e sen ce . One i s by t r a c in g th e a s s o c ia t e s o f in d i v id u a ls who are c le a r ly n ot committed to th e l e g a l govern ment c a u se . A nother i s by a n a ly s is o f v i s u a l avoidance p a t t e r n s in in t e r v ie w s . Another i s by comparing l o c a l a c t i v i t i e s to d e s c r ip t io n s o f s i t u a t i o n s in which c la n d e s tin e enem ies w ere p r e sen t and th o se in which th ey were n o t. E le c t r o n ic " l i e d e te c to r s" are o f very lim it e d u t i l i t y . Under some c ir c u m sta n c e s , and w ith adequate p r o t e c t io n , th e use o f inform ants may be o f v a l u e .^9 In th e s t r e s s f u l s i t u a t i o n s o f in su rgen cy w a r fa re , th e c o u n te r in su r g e n t in h i s r e la t io n s w ith th e p eo p le may be r eq u ire d t o r e sto r e o r improve morale among both c i v i l i ans and lo c a l m i l i t i a or p a r a m ilita r y f o r c e s . T his can be a demanding and even f r u s t r a t in g r e l a t io n s h ip . M orale, at b a s e , i s a q u e s tio n o f w hether one can f o r e s e e th e s u c c e s s fu l c u lm in a tio n o f an e f f o r t . Morale can be low ered be cause o f comparison to a group which appears t o have b e t t e r c o n d itio n s or b e t t e r f u t u r e . A change in r e fe r e n c e group may b e encouraged and m orale th u s improved. Morale may a ls o be improved i f men know th a t what th ey do f i t s the t o t a l p ic tu r e and c o n tr ib u te s t o th e achievem ent o f th e ^ V ide, Chapter I I I , su p ra, pp. 132-99. 232 la r g e r goal o f v i c t o r y . Small ta s k s s u c c e s s f u ll y accom p lis h e d can le a d to g r e a te r § la n . Morale i s improved when a g iven ta sk has a m eaningful b e g in n in g and end. S im i l a r l y , p a r t ic ip a t io n in d e c is io n making (even i f r e s p o n s i b i l i t y i s not sh ared ) w i l l ten d t o r a is e m o r a l e . ^0 The S u b sta n tiv e Appendices Not d i r e c t l y a p a r t o f th e t h e s i s put forw ard, th r ee ap p en d ices t o t h i s stu d y n e v e r t h e le s s c o n tr ib u te t o an u n d erstan d in g o f th e ways in which l o c a l p o p u la tio n s can be reach ed and m o tiv a te d . For t h a t r ea so n , th ey sh ou ld be c o n sid e r e d as an im portant complement t o th e body o f th e s tu d y . Appendix A i s a d is c u s s io n o f th e n atu re o f m otiva t i o n , The s u b j e c t i s a complex o n e. Some m otives are b i o l o g i c a l l y g iv e n ; o th e r s are lea rn ed from th e s o c i e t y in which one i s r a is e d ; and s t i l l o th e r s are sh ared by men d e s p ite c u l t u r a ll y d i f f e r i n g backgrounds. In r e a l l i f e , man has o v e rla p p in g and c o n f l i c t i n g m otives from which he s e l e c t s and " tr a d e s 1 1 in h is search fo r a path t o h is own h a p p in e ss. To win th e support o f l o c a l p o p u la tio n s , m i l i tary f o r c e s must h e lp t o s a t i s f y th e needs p eop le f e e l most s t r o n g l y , and th en s tim u la te l o c a l r e c o g n itio n o f needs which a r e r e le v a n t t o co u n terin su rg en cy and s t a b i l i t y 50V ide, Chapter I I I , supra, pp. 199-205. o p e r a t io n s . 5- * - Appendix B i s a guide t o knowledge o f and r e sp o n se t o a n o n - in d u s t r ia l o r non-W estern c u lt u r e . I t r e q u ir e s p a tie n c e and f l e x i b i l i t y t o a d ju s t to v a lu e s v a s t l y d i f f e r e n t from o n e ’s own. In fo rm a tio n on th e w a y s, n e e d s , and v a lu e s o f a non-W estern p o p u la tio n can be o b ta in e d from a rea s t u d i e s , e x p e r ie n c e d p e o p le , s k i l l e d o b s e r v a t io n , and keen a n a l y s i s . E f f e c t i v e n e s s r e q u ir e s a p p e a ls t o u n iv e r s a l as w e ll as l o c a l v a lu e s . Among t h e o b s t a c l e s t o be o v e r come are d i f f e r i n g fram es o f r e fe r e n c e and th e v a r io u s t h r e a t s t o th e s t a t u s o f th e i n d iv i d u a l . The t o t a l e f f e c t s o f any a c t i o n , how ever, must be taken i n t o a c c o u n t ,52 Appendix C d is c u s s e s th e use o f p e r s u a s io n in th e m o tiv a tio n o f p e o p le s . P er su a sio n i s a r e c u r r in g elem en t in th e approaches t o problem s o l u t i o n s p r e s e n te d i n Chapter I I I ; in t h i s a p p en d ix , i t i s d is c u s s e d more f u l l y . E f f e c t i v e p e r su a s io n demands u n d ersta n d in g o f th e com m unicator's o p p o r tu n itie s and l i m i t a t i o n s . P er su a sio n r e q u ir e s a knowledge o f th e t a r g e t , p u rp o se, and p la n , as w e l l as rap p ort w ith r e p r e s e n t a t iv e members o f th e t a r g e t groups t o in s u r e fee d b a ck . Key communicators sh o u ld be i d e n t i f i e d and used t o tr a n sm it th e comm unication and t o g iv e i t c r e d e n c e .. A ttem pts t o persuad e s h o u ld c o in c id e w ith t a r g e t 51V id e , Appendix A, p o s t , pp. 243 -7 1. 52V id e , Appendix B, p o s t , pp. 273-327. 234 i n t e r e s t and u n d e r sta n d in g , and th e n be d e v e lo p ed . C r e d i b i l i t y sh o u ld be d ev elo p ed and m a in ta in e d . P r in c ip le s o f p e r su a s io n d ev elo p ed in W estern r e se a r c h sh o u ld be con s id e r e d f o r u se in i n t e r c u l t u r a l c o m m u n ic a tio n .^ The rem ain in g ap p en d ices (D and E) a r e t e c h n ic a l n o te s and n eed n o t be summarized h e r e . They are o f primary i n t e r e s t to th e m e th o d o lo g ist and do n o t d i r e c t l y bear on th e problems o f th e p o lic y maker or s o l d i e r in th e f i e l d . C on clu sion s R e su lts The te stim o n y o f th o s e who have engaged in c o u n te r in su r g en cy su p p o rts th e t h e s i s t h a t th e s u c c e s s f u l outcome o f c o u n te r in su r g e n c y a c t io n depends i n la r g e measure on l o c a l p o p u la tio n m o tiv a tio n and su p p o r t. In fo rm a tio n t h a t may be c r i t i c a l t o th e o p e r a tio n can be p ro v id ed at v i t a l moments. Of even g r e a te r im p o rta n ce, a f r ie n d ly l o c a l p o p u la tio n w i l l deny th e enemy h is b ase o f o p e r a tio n s and h i s a b i l i t y t o a v o id m ilit a r y c o n ta c t w ith c o u n te r in su r g e n t f o r c e s . L ocal p o p u la tio n s become a primary weapon in an in s u r g e n t-c o u n te r in s u r g e n t s t r u g g l e , and th u s s y s t e m a tic and e f f i c i e n t ap p eal t o th e s e p o p u la tio n s becomes an im p o r ta n t m a tter o f p o l i c y . L ocal p o p u la tio n s , how ever, are g e n e r a lly con ^3y i d e , Appendix C, p o s t , pp. 329-58. fr o n te d by t h e f i e l d s o l d i e r and l o c a l le a d e r s in th e t a c t i c a l s i t u a t i o n s o f c o u n te r in su r g e n c y e f f o r t s . The s o l d i e r and l o c a l le a d e r , th e n , are th e in str u m e n ts o f a la r g e r p o lic y t o win su p p ort o f l o c a l p o p u la tio n s . As su c h , th e y must u n derstand th e n a tu re and a t t r a c t i o n o f in su r g e n c y and th e y must meet and d e a l w ith th e p eo p le on term s which th e p eo p le understand and t o w hich th ey can resp o n d . Chapter I I o f t h i s stu dy p r e s e n ts a sim p le m odel o f th e developm ent o f a c o u n te r in su r g e n c y s e t t i n g w hich i s p ar t i a l l y v a lid a t e d by e v e n ts which to o k p la c e in th e P h i l i p p in e s and are n o te d in t h i s s tu d y . The model was n o t f u l l y v a lid a t e d b eca u se the P h ilip p in e Huk in su r g e n c y had c e r ta in a t y p i c a l fe a tu r e s d e r iv in g from i t s growth in a wartim e s i t u a t i o n and i t s e a r ly ca p tu re by th e d i s c i p l i n e d le a d e r s h ip o f communism. N e v e r t h e le s s , th e t h e o r e t i c a l d is c u s s io n does s u g g e s t th e a c t u a l p r e -c o n d itio n s and t a c t i c a l s e t t i n g th a t c h a r a c t e r iz e d th e P h ilip p in e e x p e r ie n c e ; and i t sh o u ld p ro v id e a b a s is fo r u n d ersta n d in g t h e phenomena o f in su rg en cy on th e p art o f th e stu d e n t o f c o u n te r in s u r gency as w e l l as th e p o lic y maker and th e f i e l d s o l d i e r who must d e a l w ith l o c a l p o p u la tio n s and u n d erstan d th e fo r c e s w hich a f f e c t them. I t i s p a r t o f th e t h e s i s o f t h i s stu d y t h a t th e r e a re a number o f r e c u r r in g r e l a t i o n s h i p s in w hich th e s o l d i e r p o ste d in a fo r e ig n c u ltu r e or rem ote s e c t i o n o f h is own n a tio n must c o n fro n t a l o c a l p o p u la tio n . By v a rio u s m ethods, 12 r e la t io n s h ip s i t u a t i o n s , t o which th e r e cou ld be some s o c i a l s c ie n c e r e sp o n se , were i d e n t i f i e d as b ein g o f m ilit a r y and p o lic y im portance. From s y s te m a tic con s u l t a t i o n w ith a number o f q u a l if i e d s o c i a l s c i e n t i s t s , approaches to t h e s e problems o f u t i l i t y t o th e s o l d i e r in th e f i e l d , were d e r iv e d . Experim ents which support th e th eory c i t e d were m ostly conducted in a Western m i li e u , but were judged by th e s o c i a l s c i e n t i s t s c o n su lte d t o be appro p r ia t e f o r use w ith non-W estern p e o p le s . The approaches were a l s o judged by m ilita r y men e x p e r ie n c e d in c o u n te r in surgency o p e r a tio n s t o be a p p ro p ria te fo r f i e l d u se . There are no t o t a l " so lu tio n s" t o th e s i t u a t i o n s which the s o l d ie r in co u n terin su rg en cy a c tio n must f a c e , but some u s e fu l approaches are su g g e s te d . These a re i l l u s t r a t e d , whenever p o s s i b l e , by th e a c tu a l e x p e r ie n c e s from th e s u c c e s s f u l anti-H uk cou n terin su rgen cy campaign in the P h ilip p in e s . With t h i s m a te r ia l t o in c r e a s e h is u n d ersta n d in g , th e s o l d i e r and o th e rs in th e f i e l d sh o u ld be in a b e t t e r p o s i t i o n to implement a p o lic y o f pop ular m o tiv a tio n fo r c o u n te r in su r g e n c y . The p o lic y maker sh ou ld have more on which t o base h is d e c is io n s and i n s t r u c t i o n s . Such i s the t h e s i s and in t e n t o f t h i s stu d y . Im p lic a tio n s The c o n c lu sio n s o f t h i s s t u d y , im portant and r e l e vant t o th e phenomena o f cou n terin su rg en cy and p o lic y developm ent though they may b e , must o f n e c e s s it y be 237 c o n sid e r e d t e n t a t i v e . There i s e v id e n c e t o su p p ort th e t h e s i s t h a t m o tiv a tio n o f l o c a l p o p u la tio n s fo r th e b e n e f i t o f c o u n te r in su r g e n c y e f f o r t i s a c r u c i a l f a c t o r in th e su c c e ss o f th a t ty p e o f o p e r a tio n . There i s e v id e n c e of. a p a tte r n in th e growth and developm ent o f in s u r g e n c y . There i s e v id e n c e t h a t s i t u a t i o n s in th e r e l a t io n s h ip betw een s o l d i e r and c i v i l i a n in th e t a c t i c a l s e t t i n g o f c o u n te r in su rgen cy recu r and t h a t th e major r e c u r r in g s i t u a t i o n s can be i d e n t i f i e d , and t h a t s o c i a l s c ie n c e r e se a r c h can con t r i b u t e t o th e approach t o th e s e s i t u a t i o n s . For t h i s s tu d y , how ever, th e d ir e c t e v id en ce i s i n s u f f i c i e n t fo r f i n a l c o n c lu s io n s . The t e n t a t i v e c o n c lu s io n s o f t h i s stu d y must be c o n sid e r e d h y p o th e se s f o r fu tu r e s tu d e n ts o f th e s u b j e c t . These h y p o th e se s must be t e s t e d in th e la b o r a to r y o f a number o f c a se s o f in s u r g e n c y -c o u n te r in su r g e n c y as th ey may o ccu r. H ere, i n c i d e n t a l l y , th e war b e in g condu cted in South Vietnam as o f 1966 (t h e p r e se n t w r it in g ) i s n e i t h e r a s u f f i c i e n t t e s t in i t s e l f n or can i t any lo n g e r be con s id e r e d a pure in s u r g e n c y . Always h a v in g th e c h a r a c t e r i s t i c s o f an i n t e r v e n t i o n i s t as w e l l as a r e v o lu tio n a r y i n su r g e n c y , i t has by th e tim e o f t h i s w r itin g a l s o assumed th e c h a r a c te r o f lim it e d war fou gh t by o u ts id e powers on th e t e r r i t o r y o f South Vietnam . L a b o ra to r ie s o f a c tu a l in su r g en cy are th e o n ly r e a l t e s t o f th e s o c i a l s c ie n c e p r i n c ip l e s now m erely judged by -238 e x p e r t o p in io n t o be a p p ro p ria te and u s e f u l t o th e fa v o r a b le r e s o l u t io n o f r e c u r r in g r e l a t io n s h ip s i t u a t i o n . Sh ort o f t h a t t e s t , th e r e i s room fo r and, in d e e d , need fo r c r o s s - c u l t u r a l and i n t e r - c u l t u r a l e x p e r im e n ta tio n in a l l o f the s o c i a l s c i e n c e s . To what e x t e n t do th e w e ll- a c c e p t e d r e s u l t s o f ex p erim en ts conducted in a W estern m ilie u have v a l i d i t y in o th e r c u ltu r e s ? Which o th e r c u ltu r e s ? What new p r i n c ip l e s can be d is c e r n e d and v a lid a t e d by e x p e r i m ental e f f o r t s in and among o th e r s o c i e t i e s ? M oreover, w h ile th e h y p o th e se s s u g g e s te d by t h i s stu d y can b e s t be t e s t e d in new and f u r th e r c a se s o f in s u r - g e n c y -c o u n te r in su r g e n c y — where p a tte r n s and problem s can be exam ined a t f i r s t hand as th e y emerge and d evelop and where primary so u rc e m a te r ia l i s r e a d ily a v a ila b le fo r s y s t e m a t ic a n a l y s i s — much a l s o rem ains to be done i n th e com parative stu d y o f p a st in su r g e n c y o v er a number o f d i f f e r i n g c u l t u r e s . T his paper fu r n is h e s a framework f o r such an a n a l y s i s , and th e i l l u s t r a t i v e m a te r ia l d e r iv e d from th e Huk in su r g e n c y may a l s o guid e th e fu tu r e i n v e s t i g a t o r . A ll t h i s , as tim e goes o n , must be in t e g r a t e d w ith o th e r t h e o r e t i c a l i n v e s t i g a t i o n s . As in d ic a t e d in th e t e x t , th e r e can be no c la im t o u ltim a te tr u th in t h i s s tu d y ; th e r e i s c la im t o new th in k in g b ased on th e e v id e n c e th a t c o u ld be accum ulated and a n a ly z e d . F i n a l l y , th e im p lic a t io n s t o th e p o lic y maker and h is in s tr u m e n t, th e s o l d i e r in th e f i e l d , must n o t be l e f t 239 w ith o u t comment. In th e absen ce o f c o n tra ry e v id e n c e , th e t e n t a t i v e f in d in g s and c o n c lu s io n s o f t h i s stu d y mighl; w e ll be c o n s id e r e d f o r p o lic y and d o c t r in e . Not th a t a l l t h a t i s r e p o r te d here i s new. The s o l d i e r has alw ays been an in stru m en t o f p o lic y and th e req u irem en t f o r th e e f f i c i e n t p r a c tic e o f h i s p r o f e s s io n i s as o ld as th e h is t o r y o f war f a r e . Of l a t e , t o o , th e r e i s grow ing r e c o g n it io n o f th e need fo r th e s o l d i e r t o make f r ie n d s w ith — or a t l e a s t not a l i e n a t e — th e c i v i l i a n p o p u la tio n w ith whom he must a s s o c i a t e . C iv ic a c t i o n , community r e l a t i o n s and d evelop m en t, and p s y c h o lo g ic a l o p e r a tio n s are a l l c o n c e p ts and p r a c t ic e s which r e f l e c t th e p o l i c y o f b e t t e r use o f an armed fo r c e than j u s t t o o p e r a te l e t h a l weapons e f f e c t i v e l y . What t h i s stu d y m ight c o n t r ib u t e i s an em phasis on th e kinds o f new s k i l l s a s o l d i e r must have and a t h e o r e t i c a l framework around w hich s p e c i f i c programs co u ld be d e v is e d and c e r t a i n l y around which th e in d o c t r in a t io n and t r a in in g o f th e c o u n te r in su r g e n t s o l d i e r c o u ld be d ev elo p ed . Not by any means l e a s t in im portance i s one l a s t c o n s id e r a tio n : th e f in d in g s and d i c t a in t h i s stu d y may a s s i s t th e developm ent o f p o l i c y by c o n fir m in g or s u g g e s t in g w ith renewed em phasis and some gu id an ce th e d e l i c a t e p rob in g f o r l o c a l n eeds and ways o f l i f e w hich must be done when s o l d i e r s (o r c i v i l i an s) are s e n t t o a n o th er c u ltu r e o r t o a remote a r ea and s u b c u ltu r e o f t h e i r own. The assu m p tion s o f th e members o f one c u ltu r e ca n n o t w i l l y - n i l l y be im posed on a n o th e r . T his 2 40 has r e le v a n c e even f o r p o lic y d evelop ed fo r n o n -m ilita r y a f f a i r s . For exam p le, a program f o r r u r a l developm ent con c e iv e d by a N orthern urban e l i t e in th e U n ited S ta te s f o r im p lem en tation in a r e c a l c i t r a n t South might have b e tte r chance fo r s u c c e s s i f some o f th e p r in c ip le s and some o f th e framework o f t h i s t h e s i s were used t o gu id e th a t im p le m en ta tion . In any e v e n t , th e p a tte r n s and problems o f m otiva t i o n , w ith s o c i a l s c ie n c e approaches and i l l u s t r a t i v e m a te r ia l from th e Huk c o u n te r in su r g e n t cam paign, may c o n tr ib u te to a f u r th e r u n d erstan d in g o f th e complex phe nomena o f in s u r g e n c y -c o u n te r in s u r g e n c y . A P P E N D I X E S 241 APPENDIX A GENERAL DISCUSSION OF THE NATURE OF MOTIVATION 242 APPENDIX A GENERAL DISCUSSION OF THE NATURE OF MOTIVATION To in f lu e n c e l o c a l p o p u la tio n s to su p p ort c o u n te r in s u r g e n c y — or any o th e r a c t i o n — r e q u ir e s an u n d ersta n d in g o f th e n a tu r e o f m o tiv a tio n . Sim ple e x h o r ta tio n i s r a r e ly e f f e c t i v e ; a person i s not m o tiv a ted m erely b ecau se someone t e l l s him t o be s o . M o tiv a tio n s p r in g s from th e " in n er man," th e p rod u ct o f h is p h y s i o l o g ic a l makeup and s o c i a l en viron m en t. Some o f th e b a s i c c h a r a c t e r i s t i c s o f m otiva t i o n are d is c u s s e d in t h i s ap p en d ix. The t e x t o f th e appendix has been review ed by s p e c i a l i s t s whose d i s c i p l i n e i s p r im a r ily in v o lv e d . The m a te r ia l p r e se n te d i s ^The d r a ft t e x t o f t h i s appendix was review ed fo r g e n e r a l v a l i d i t y o f in fo r m a tio n by C h arles W indle (p s y c h o l o g i s t ) and F. Loyal Greer ( p s y c h o l o g i s t ) . H e lp fu l su g g e s t i o n s were made as t o approach and form at by V ic to r H. Vroom ( p s y c h o l o g i s t ) , a s tu d e n t o f m o tiv a tio n a l phenomena ( v i d e , V ic to r H. Vroom, Work and M o tiv a tio n [New York: W iley and S o n s, 19 6 4 ] ) . Other s u g g e s tio n s were made by L ola M . Ir e la n d ( s o c i o l o g i s t - a n t h r o p o l o g i s t ) and James E. Trinnaman, J r . ( p o l i t i c a l s c i e n t i s t ) . Edwin H. B la k e lo c k ( p s y c h o lo g is t ) was c o n s u lte d fr e q u e n tly and c o n s ta n t ly d u rin g p r e p a r a tio n o f th e d r a f t , and h is c o n tr ib u t io n has been c o n s id e r a b le . W hile he bears no r e s p o n s i b i l i t y fo r th e r e s u l t s h e r e , i t was he who guided th e au th or through th e v a st s p e c i a l i z e d l i t e r a t u r e on m o tiv a tio n , and who a s s i s t e d in th e t a s k o f e x p r e s s in g th e com plexes o f m o tiv a - 243 244 e s s e n t i a l l y th e p rod u ct o f p s y c h o lo g ic a l r e s e a r c h , but th e im p lic a t io n s cu t a c r o ss th e human s c ie n c e s and in th e con t e x t o f t h i s d i s s e r t a t i o n are im m ed iately a p p ro p ria te t o th e p o l i t i c a l s c i e n c e - i n t e r n a t i o n a l r e l a t i o n s i s s u e s o f in s u r g e n c y -c o u n te r in s u r g e n c y . 2 A few p o in t s a re more d i r e c t l y a concern o f p o l i t i c a l s c i e n c e . 3 The d e t e c t i v e and th e t r i a l law yer both concern th e m se lv e s w ith m o tiv es during many o f t h e i r working h ou rs. T h eir d e d u c tiv e m ethods, how ever, do n o t se e k or r e v e a l t h e s u b j e c t i v e a s p e c ts o f m o tiv a tio n . E vidence may su g g e s t t h a t a c r im in a l had som eth in g t o g a in o b j e c t i v e ly by h is crim e and t h a t he th u s had a m o tiv e , or was m o tiv a te d , t o perform th e a c t . I f i t i s assumed th a t th e law yer and d e t e c t i v e were c o r r e c t and th e a r r e s te d man i s g u i l t y as ch a r g ed , we s t i l l h a v e n 't been t o l d very much about th e man or th e i n t e r n a l p r o c e s s e s w hich le d and p e r m itted him t o do th e deed. t i o n a l r e se a r c h in a form and i n term s s u i t a b l e f o r a p p l i c a tio n s t o th e p o l i t i c a l phenomena o f d e v e lo p in g a rea s and in s u r g e n c y -c o u n te r in su r g e n c y m ilie u . The many w r itte n works c o n s u lte d a r e l i s t e d in th e b ib lio g r a p h y t o t h i s d i s s e r t a t i o n ( v i d e , p o s t , pp. 4 1 0 -3 7 ). Only a r e l a t i v e few are c i t e d s p e c i f i c a l l y in th e t e x t o f th e appendix s in c e th a t t e x t i s a g e n e r a l d i s t i l l a t i o n in sim p le r term s o f many c o n t r ib u t in g s o u r c e s . 2V id e , J . David S in g e r , "The P o l i t i c a l S c ie n c e o f Human C o n f l i c t ," The N ature o f Human C o n f l i c t , e d . E lto n B. McNeil (Englewood C l i f f s , N. J . : P r e n t ic e - H a ll, I n c . , 1965) , pp. 1 9 3 -9 4 . 3Vide, p o s t , pp. 255-259. 245 The ord in a ry c i t i z e n o f a la w -a b id in g community i s sh ock ed , i f som etim es t i t i l l a t e d , by u n law fu l v io le n c e . The r e s p o n s ib le c i t i z e n i s d is tu r b e d by any i n s t a b i l i t y in human a f f a i r s ; because he i s n o t so im p e lle d h i m s e l f , he cannot e a s i l y understand how an in d iv id u a l can engage in in s u r g e n t a c t io n . He se e k s some u n d e r s ta n d in g --th e s o l d i e r a s s ig n e d to c o u n te r in su r g e n t a c t i v i t y must have i t . T h is stu d y cannot tr a c e w ith v a l i d i t y th e a c tu a l fo r c e s w hich m ight le a d t o murder in a p a r t ic u la r c a se or t o in su r g en cy or c o u n te r in s u r g e n c y . R ath er, i t i s hoped t h a t a few o f th e p r o c e s s e s in f lu e n c in g any a c t io n can be sim p ly e x p la in e d , and th ereb y m en's a c tio n s i n g e n e r a l made more co m p reh en sib le. The s c i e n t i f i c stu d y o f m o tiv a tio n s t a r t s from a d ir e c t io n o p p o s ite t o t h a t o f th e d e t e c t iv e and law yer. The s c i e n t i s t b u ild s e m p ir ic a lly and in d u c t iv e ly : he spends much tim e ex p erim en tin g w ith sm all p a r t ic u la r s in c o n t r o lle d s i t u a t i o n s ; from t h e s e he may be a b le a t some fu tu r e d ate t o make g e n e r a liz a t io n s w ith p r a c t i c a l d a y - to - day v a lu e . Such stu d y i s h ig h ly com plex, and many o f th e r e s u l t s have l i t t l e p r a c t i c a l a p p lic a t io n t o d a te . Here an attem pt w i l l be made to tou ch o n ly upon p o in t s which do seem t o c o n tr ib u te to a p r a c t i c a l u n d ersta n d in g o f th e m o tiv a tio n a l p r o c e s s . The m o tiv es o f man form a complex sy s te m . The s y s tem i s o r g a n ize d around needs and g o a ls which are ir ite r d e - 246 pend en t— one does not e x i s t w ith o u t th e o th e r . A need i s th e i n i t i a t i n g and s u s t a in in g fo r c e o f b e h a v io r . I t may im p e l, th a t i s , i t may a t t r a c t - - f o r exam p le, a hunger need w i l l make th e a c tio n s n e c e s s a r y t o o b ta in food b oth r e qu ired and a t t r a c t i v e . I t may a l s o r e p e l , t h a t i s , i t may r e l a t e t o an a v e r s i o n - - f o r exam p le, f e a r o f b e in g sh o t may lea d t o an avoid an ce o f a b a t t l e area or even t o p a n ic . A g o a l i s th e in te n d e d te r m in a l a c t io n w hich fo llo w s and d e r iv e s from a need— f o r exam p le, to p a rta k e o f food i s a g o a l based on th e hunger need. M otivated b e h a v io r i s cau sed by some need and i t s c o r o lla r y g o a l. The in d iv id u a l a c ts in order t o s a t i s f y th e need and a c h ie v e th e g o a l. T his may n ot alw ays be a c o n sc io u s p r o c e s s . The r e a l m otive behind a c tio n need not be w ith in th e c o n s c io u s n e s s o f th e in d iv i d u a l . I f th e a c tio n r e q u ir e s some s o r t o f j u s t i f i c a t i o n , he may s u b s t i t u t e a t the c o n sc io u s l e v e l (and q u ite s i n c e r e l y ) what he p e r c e iv e s as an a c c e p ta b le ( t o him and t o s o c i e t y ) e x p la n a tio n fo r th e r e a l but su b c o n sc io u s c a u s e . The p r in c ip a l ele m en ts and c h a r a c t e r i s t i c s o f man's complex system o f m o tiv a tio n a r e d is c u s s e d very b r i e f l y in th e rem ainder o f t h i s c h a p te r. Two C a te g o r ie s o f M otivated B ehavior There are two b a s ic c a t e g o r ie s o f b e h a v io r which are m o tiv a te d . P h y s io lo g ic a l needs a re prim ary; the 247 I n d i v i d u a l' s own body and b o d ily f u n c t io n s demand some s o r t o f a c t io n f o r su s te n a n c e . Learned need s are secondary and s o c i a l ; th e y are th e r e s u l t o f th e i n d i v i d u a l ' s in t e g r a t io n w ith h i s s o c i e t y . P h y s i o l o g i c a l Needs There i s a g r e a t d e a l in "human nature" which i s b i o l o g i c a l l y d eterm in ed . Men everyw here sh are c e r ta in b a s ic p h y s i o l o g ic a l n e e d s , such as th e hunger and t h i r s t , a lr e a d y m en tion ed , which are n e c e ss a r y to keep them a l i v e — t o w h ic h , among o t h e r s , can be added th e need t o s l e e p , b r e a th e , and e x c r e t e . 1 1 In a d d i t io n , th e r e are o th e r b a s ic p h y s io lo g ic a l needs w hich norm al p erso n s have— a t l e a s t du rin g most o f t h e i r l i f e sp a n --b u t th e f u l f i l l m e n t o f which i s not n e c e s s a r y f o r l i f e i t s e l f . I t can be a rg u ed , f o r exam ple, t h a t s e x u a l s a t i s f a c t i o n i s n e c e ss a r y f o r th e "good" l i f e , and i t i s u n d isp u ta b ly n e c e ss a r y fo r th e per p e tu a tio n o f th e r a c e . Sex i s a s o c i a l a b s o lu t e , an i n d i - v id u a l d e s i r e . I t i s not so g e n e r a lly w e l l known th a t o th e r a c t i v i t i e s , such as e x e r c i s e , which i s needed fo r ^Clark H u ll, A B ehavior System (New Haven, Conn.: Yale U n iv e r s it y P r e s s , 1 9 5 2 ), p assim T " See p o r tio n s o f t h i s work which d e s c r ib e b a s ic n e e d s. V id e , a l s o , Fred S. K e lle r and W illiam S c h o e n fe ld , P r in c ip le s o f P sych o log y: A S y ste m a tic T ext in th e S c ie n c e o f B eh avior (New Yorik: A p p le to n -C e n tu r y -C r o fts, 1950) , pp. 262-315 ; and C. N. C ofer and M. H. A p p ley, M o tiv a tio n : Theory and R esearch (New York: John W iley and' S o n s, I n c . , 19 6 4 ) , pp. 1 9 7 -2 6 8 . 248 normal se n so r y and motor d evelop m en t, are u n i v e r s a l ly r e q u ire d . 5 Much o f th e g e n e r a l co u rse o f p h y s ic a l developm ent i s l a i d down f o r th e s p e c ie s and i s presum ably th e same in a l l s o c i e t i e s a t a l l tim e s . The seq u en ce o f ch ild h o o d de velop m en t, fo r exam ple, i s s i m i l a r th rou gh ou t th e world.® I t may th u s be assum.ed t h a t much th a t men have in common i s a fu n c tio n o f t h e i r p h y s i o l o g ic a l makeup. T his makes i n t e r c u l t u r a l comm unication e a s i e r than i t m ight o th e r w ise b e . Learned Needs While much o f human n atu re and m o tiv a tio n i s b io l o g i c a l l y d eterm in ed , th e r e i s probably more t h a t i s h e a v ily in f lu e n c e d by s o c i e t y and does n o t d e v e lo p w ith o u t i t . W ithout human s o c i e t y p e o p le do n o t d ev elo p t o t h e i r f u l l c a p a c i t i e s , and t h e i r m otive system s are n o t co m p lete. In a few reco rd ed c a se s o f c h ild r e n who have been r a is e d w ith l i t t l e or no human com p anion ship , th e c h ild r e n showed few o f t h e , q u a l i t i e s a t t r ib u t e d t o th e human b e in g .^ Even ^A ustin H. R ie s e n , "The Development o f V isu a l Per c e p tio n in Man and Chimpanzee," S c ie n c e , CVI (A ugust 1 , 1 9 4 7 ), 1 0 7 -1 0 8 . ®Bernard B e re lso n and Gary A. S t i e n e r , Human Behav io r : An In v en to ry o f S c i e n t i f i c F in d in gs (New York: H a rco u rt, Brace and W orld, I n c . , 1964) , pp. 5 1 -5 2 . ^Otto K lin e b e r g , S o c ia l P sych ology ( 1 s t e d . r e v . ; New York: H o lt , R in e h a r t, and W inston, 195 4 ) , p. 72. 249 th e orphan r a is e d in an im p erso n a l i n s t i t u t i o n som etim es has d i f f i c u l t y m eetin g th e demands o f a s o c i e t y which assumes he has le a r n e d c e r t a i n system s o f m o tiv es M a t h is m oth er’s k n e e .” Han, th e s o c i a l a n im a l, c r e a t e s a s o c i e t y and th en i s l a r g e ly th e c r e a tu r e o f th a t s o c i e t y . A s o c i e t y or c u ltu r e w i l l ten d t o p e r p e tu a te i t s e l f . F a m ily , s c h o o l s , and r e c r e a t io n a l f a c i l i t i e s a l l have th e tr a n s m is s io n o f v a lu e s or m otive s y s t e m s -- t h e "wisdom" o f th e c u l t u r e - - a s a prim ary fu n c t io n . In a g r ea t com plex o f c o n v e r s a tio n , g e s t u r e , exam ple, a s s o c i a t i o n w ith o t h e r s , d e lib e r a t e i n s t r u c t i o n , and reward and punishm ent, th e d e v e lo p in g i n d iv id u a l le a r n s t o want c e r t a in t h in g s . He le a r n s t h a t th e p le a su r e o f c e r t a i n n o n co n fo rm ist a c t i v i t y i s not worth th e s o c i a l e x i l e i t i s l i k e l y to b r in g . He even may le a r n th a t power or hon or may be more im p ortan t to him than l i f e i t s e l f . A pproach-A voidance in L earning L earning b e g in s w ith an "ap proach -resp onse" t o t h a t which o r i g i n a l l y i s sou gh t or an " a v o id a n ce-resp o n se" t o t h a t which i s r e p e l l e n t . Som ething t h a t i s n a t u r a lly d e s ir e d (fo o d ) becomes a s s o c ia t e d i n sp ace and tim e w ith som eth in g t h a t i s o r i g i n a l l y n e u tr a l (good m ann ers). Then th e p r e v io u s ly n e u tr a l a c t i v i t y , or t h i n g , comes t o be 250 d e s ir e d i n i t s own r ig h t.® The same c o n d itio n in g a p p lie s t o n e g a t iv e v a lu e s o r m o tiv es. Something th a t i s n a t u r a lly r e p e l l e n t (a cu t f o o t ) can be a s s o c i a t e d w ith th a t which was o r i g i n a l l y n e u tr a l (going b a r e fo o t) t o change t h e m o tiv es and way o f l i f e o f th e person who i s le a r n in g . Thus, le a r n in g can be summed up in what i s som etim es c a lle d th e law o f e f f e c t : Of s e v e r a l r e sp o n se s made to th e same s i t u a t i o n , th o se w hich are accom panied or c l o s e l y fo llo w e d by s a t i s f a c t i o n . . . w i l l . . . be more firm ly co n n ected w ith th e s i t u a t i o n , so t h a t , when i t r e c u r s , th e y w i l l be more l i k e l y t o recur; t h o s e which are accompanied or c l o s e l y fo llo w e d by d is c o m fo r t . . . w i l l . . . have t h e ir c o n n e c tio n s with th e s i t u a t i o n weakened, s o t h a t , when i t r e c u r s , th e y w i l l be l e s s l i k e l y to o c c u r . The g r e a te r th e s a t i s f a c t i o n or d is c o m fo r t, the g r e a t e r the s tr e n g th e n in g or weakening o f the lin k .® Some C h a r a c t e r is t ic s o f M otives Four s p e c i f i c c h a r a c t e r i s t i c s r e f l e c t a sequ en ce t h a t i s d e s c r i p t iv e o f most b e h a v io r , and b ehavior which e v in c e s t h e s e c h a r a c t e r i s t i c s i s c o n sid e r e d m o tiv a te d . The c h a r a c t e r i s t i c s f o llo w . 1. I n i t i a t i o n o f a c t i v i t y . — M otivated a c t i v i t y i s o ft e n " t r i g g e r e d .” A need and a stim u lu s m eet. A man is hungry; he s m e lls fo o d in the k itc h e n and begins t o walk in ®Neal E. M il l e r , "Learnable D r iv e s and Rewards," Handbook o f E xp erim en ta l P sy c h o lo g y , e d . S. S. S te v a n s (New York! John W iley £ S o n s, In c . , i9 6 0 ) , 4 3 5 -7 2 . ®Edward L. Thorndike, Animal I n t e l l i g e n c e (New York: M acm illan, 1 9 1 1 ) , p. 244 . 251 th a t d i r e c t io n . The a c t i v i t y was i n i t i a t e d by th e s m e ll o f fo o d . The m o tiv a tio n f o r th e a c t i v i t y was th e man's hu n ger. 2. D ir e c tio n o f a c t i v i t y . — M otivated a c t i v i t y has d i r e c t io n . I t i s n ot random or c h a o t i c , though i t may be f o o l i s h . F r e q u e n tly , i t i s what has been c a l l e d c h o ic e b e h a v io r : one d ir e c t io n o f a c t i v i t y i s s e l e c t e d , con s c i o u s l y or u n c o n s c io u s ly , over a l t e r n a t i v e b e h a v io r s becau se o f a s tr o n g e r m o tiv a tio n . A man works t o put h is c h ild r e n through s c h o o l, sp en d in g lo n g n ig h ts a t h i s desk th a t might be more p le a s a n t ly sp en t e ls e w h e r e ; a woman ch ooses one brand o f soap ov er a n o th e r . In both o f th e s e c a s e s a c e r ta in d ir e c t io n o f a c t i v i t y i s m a n ife s t, and a c h o ic e or a s e r i e s o f c h o ic e s i s made. 3. E n e r g iz in g o f a c t i v i t y . — An in c r e a s e d need o f th e p erson who has i n i t i a t e d an a c t i v i t y w i l l in c r e a s e th e ardor w ith which he perform s th e a c t . His m o tiv a tio n demands f u l f i l l m e n t o f h i s c o n sc io u s o r u n co n scio u s n eed . His b e h a v io r w i l l be e n e r g iz e d a c c o r d in g ly . 4 . P e r s is t e n c e o f a c t i v i t y . — Man te n d s t o p e r s i s t in h i s b eh a v io r u n t i l th e need which i n i t i a t e d h is a c t i o n , gave i t d ir e c t io n and e n e r g y , has been s a t i s f i e d . Only i f a s tr o n g e r m otive or need in te r v e n e s w i l l h is p e r s i s t e n c e s la c k e n . A gain, th e man w alk in g t o th e k itc h e n f o r food i s 252 l i k e l y t o c o n tin u e u n t i l he g e ts th e re and e a t s th e foo d . These fou r c h a r a c t e r i s t i c s o f m o tiv a ted b e h a v io r apply t o th e com plex a c t i v i t i e s o f man a s w e ll as to th e sim p le exam ples g iv en t o i l l u s t r a t e them. The lo n g , i n v o lv e d seq u en ce o f a c tio n and d e c is io n which may le a d a man to g iv e up p o s i t i o n and fa m ily to f i g h t as an in s u r g e n t, or c o u n te r in s u r g e n t, in a c i v i l war is longrun b e h a v io r t h a t s t i l l has th e same fo u r c h a r a c t e r i s t i c s m en tioned. In a d d itio n t o t h e s e fo u r s p e c i f i c and s e q u e n t ia l c h a r a c t e r i s t i c s , th e r e are s e v e r a l g e n e r a l c h a r a c t e r i s t i c s o f m o tiv a te d b e h a v io r . C a n a liz a tio n o f M otives I t has been m entioned th a t m o tiv a te d a c t i v i t y has d i r e c t io n . Sometimes t h i s becomes a c o m p lic a te d p r o c e s s . M otives are o fte n s p e c i a l i z e d or arranged in p a tte r n s a t moments or over tim e by a p r o c e ss t h a t i s l i t t l e u n derstood but w id e ly o b serv ed . Such a s p e c i a l i z a t i o n or p a tte r n i s term ed " c a n a l i z a t i o n .” A man ch oo ses n o t o n ly food but a c e r t a i n ty p e o f fo o d . The a d v e r t is in g in d u s tr y spends m i ll i o n s o f d o lla r s a ttem p tin g t o m a n ip u late or c a n a liz e m o tiv es so t h a t a person w i l l c o n s i s t e n t l y p r e fe r t o pur ch ase one brand o f th e same commodity over a n o th e r . F u n c tio n a l Autonomy M otives may le a d to b eh a v io r w hich c o n tin u e s even i f th e o r i g i n a l m otive i s n o t f u l l y s a t i s f i e d . The new 253 b e h a v io r g iv e s r i s e t o new m o tiv a tio n . T his i s c a lle d f u n c t io n a l autonomy. To reach a lo n g -te r m g o a l, a man makes c e r ta in o r i g i n a l c h o ic e s and o r g a n iz e s a la r g e por t io n o f h is b e h a v io r . He may, f o r exam p le, j o in an in s u r gen t group o u t o f an o r i g i n a l m o tiv a tio n to b e t t e r th e l o t o f h is p e o p le . The c o n v ic t io n t h a t he i s in d eed h e lp in g h is s o c i e t y rnay fade over t im e , but he c o n tin u e s to be a member o f th e in s u r g e n t group b eca u se membership has become a c e n t r a l p a rt o f h is i d e n t i t y . He has o r g a n ize d h is b e h a v io r in such a way t h a t th e o r i g i n a l m otive a lo n e i s no lo n g e r n e c e s s a r y t o s u s t a in h i s a c t i o n . Accommodation o f C o n f lic t In fo rm a tio n which runs c o u n te r t o th e a lrea d y e s t a b lis h e d b e l i e f s o f an in d iv id u a l w i l l c r e a te in him an uncom fortable c o n f l i c t c a l l e d c o g n i t iv e d i s s o n a n c e , H e w i l l t r y t o reduce th e c o n f l i c t . An example o f t h i s m ight be th e heavy smoker who, when c o n fr o n te d w ith ev id en ce o f th e damaging e f f e c t s o f sm oking, t r i e s t o ta k e com fort from’ o th e r r e p o r ts which a s s e r t t h a t th e r e l a t i o n s h i p between ca n cer and sm oking has n o t been p ro v en . He w i l l be m oti v a ted t o read t h e s e o th e r r e p o r ts so t h a t h is b e l i e f s con cur w ith h i s co n tin u ed heavy sm oking. •^Leon A. F e s t in g e r , A Theory o f C o g n itiv e D is s o nance (S ta n fo r d , C a l i f . : S ta n fo r d U n iv e r s ity P r e s s , 1957) , p assim . 254 S tim u la tio n I t has a lr e a d y been n o te d th a t a m otive i s o ft e n i n i t i a t e d by an o u t s id e s t im u la tio n o f some s o r t , which a c ts as a t r i g g e r . A "d rive" i s a h ig h d egree o f s tim u la t i o n . D rive i s a common cau se fo r a c t io n . There are d e f i n i t e in t e r n a l s t a t e s a s s o c ia t e d w ith such p s y c h o lo g i c a l u rges as hunger or t h i r s t , and t o some va ry in g d egree w ith th e l e s s c r u c i a l u rges o f f e a r , s e x , and f a t i g u e . A ctio n may c e a se when t h e s e in t e r n a l s t a t e s are m o d if ie d .12 The human seems t o se e k a m oderate l e v e l o f stim u l a t i o n as a p le a s a n t state.-*-3 The t o l e r a b l e r is k o f d r iv in g a sp o r ts car or w a te r s k iin g i s a t t r a c t i v e t o many p e r s o n s . The s t a t e o f l i t t l e o r no s t i m u l a t i o n , such as one m ight e x p e r ie n c e i f lo c k e d in s o l i t a r y c o n fin e m e n t, i s b o rin g and damaging t o th e mind and s e n s e s o v er tim e . Some human b e in g s may be m o tiv a te d toward g o a ls o th e r s c o n s id e r to o r i s k y . Mountain c lim b in g , s h o o tin g ra p id s in a c a n o e , -*--*-Miller, op. c i t . , p. 439. •^There i s e v id e n c e t h a t much o f s o - c a l l e d b a s ic b e h a v io r i s determ ined p a r t ly by e x te r n a l and p a r tly by i n t e r n a l f a c t o r s . The i n t e r n a l s t a t e s o f th e body u s u a lly a s s o c ia t e d w ith such b e h a v io r need n o t , in f a c t , be s tr o n g ly r e p r e s e n te d . S exu al a c t i v i t y and s a t i s f a c t i o n may con t in u e when" th e hormone l e v e l a s s o c ia t e d w ith s e x u a l d r iv e has d e c lin e d . The e s s e n t i a l p o in t rem ains t h a t i f th e i n t e r n a l s t a t e i s m o d ifie d , a c tio n may c e a s e . ■ * * 3Donald 0 . Hebb, The O rg a n iza tio n o f B eh avior: A N e u r o p sy c h o lo g ic a l Theory (New York: John W iley 6 S o n s, I n c . , 1 9 4 9 ) , pp. 1 7 1 -2 3 4 , e t p a s sim . V id e , a l s o , David C. M cC lellan d , e t a l . , The A chievem ent M otive (New York: A p p le to n -C e n tu r y -C r o fts, 1953), p a ssim . 255 or i n v e s t i n g l i f e sa v in g s i n a w ild c a t o i l w e l l d r i l l i n g o p e r a tio n , are a l l examples o f a c t i v i t y undertaken by a few f o r g o a ls which a r e not se e n as "being worth i t " by many. M otives G en erally Found Among Men A number o f s o c i a l s c i e n t i s t s have attem p ted t o l i s t m o tiv es e i t h e r a p p ro p ria te t o s p e c i f i c s i t u a t i o n s or g e n e r a lly d e s c r ip t iv e o f mankind. Such l i s t s range from a very few human n eed s or m o tiv es to n e a r ly 3 0 .11 * There are o b j e c t io n s t o th e p r a c t i c a l u se o f t h e s e l i s t s by th e la y man: th e m otives o ft e n r e f e r t o t r i v i a l b e h a v io r : f r e q u e n tly th e l i s t s com prise m otives which are s e t in oppo s i t e s ( e . g . , a c q u i s it i v e n e s s vs a lt r u is m ) ; and th e m otives are o f t e n l i s t e d i n terms o f t h e i r d i f f e r i n g i n t e n s i t i e s in v a r io u s i n d i v i d u a l s , r a th e r than g e n e r a l i n s i g h t s t o u n i v e r s a l b eh avior. One l i s t w hich overcomes th e s e p a r t ic u la r d i f f i c u l t i e s i s worth s e t t i n g f o r t h h e r e. I t i s r e le v a n t to both s i g n i f i c a n t and t r i v i a l b eh a v io r and a p p lie s e q u a lly t o com plex urban and l e s s e r d evelop ed s o c i e t i e s . T his l i s t •^ D an iel K a tz, "Morale and M o tiv a tio n i n In d u str y ," C urrent Trends i n I n d u s t r ia l P sy c h o lo g y , ed. W . Dennis ( P it t s b u r g h : U n iv e r s it y o f P itts b u r g h P r e s s , 1949), 145- 71. V id e , a l s o , John F ayerw eath er, The E x e c u tiv e O verseas (S y r a c u s e , N. Y . : Syracuse U n iv e r s ity P r e s s , 1959), pp. 8 1 -1 1 1 ; David K rech , Richard S, C r u t c h f ie ld , and E gerton L. B a lla c h e y , I n d iv id u a l i n S o c ie t y (New York: M cG raw -H ill, 1962), p. 80S; arid Henry Murray (e d .) , E x p lo r a tio n s in Per s o n a l i t y : A C l i n i c a l Study o f F ifty Men o f C o lle g e Age (New York: Oxford U n iv e r s ity P r e s s , 1938) , pp. 80-83'. 256 o f g e n e r a l need s in c lu d e s : 1. Power-- i n t r i g u e , e l e c t i o n , war, a s s e r t io n o f w i l l: The q u e s t f o r power in human a f f a i r s has lo n g been n oted and d isc u sse d * H is to r y i s r e p l e t e w ith the c h r o n ic le o f power, and p h ilo s o p h e r s both b e fo r e and s in c e A r i s t o t l e have d is c u s s e d man as a p o l i t i c a l or p o w er-seek in g an im al. B eca u se, how ever, most p erso n s do n o t a s p ir e t o h igh o f f i c e , th e power need i s not alw ays r e c o g n iz e d . Perhaps a more sim p le fo rm u la tio n m ight a s s i s t such r e c o g n itio n : p eo p le l i k e to make d e c is io n s which a f f e c t th e m se lv e s and o t h e r s - - t h e y a t l e a s t l i k e t o sh a re in d e c is io n s which a f f e c t them. 2. E n lig h te n m e n t— g iv in g and r e c e iv in g in form a t i o n : Man r e q u ir e s in fo r m a tio n or e d u c a tio n in ord er t o cope w ith l i f e around him and t o f i t h i s c u lt u r e . He needs t o e x p la in th e th in g s which happen t o him. He needs th e in fo r m a tio n which w i l l a f fo r d him a b e t t e r l i f e , w h eth er in t h i s w orld or in th e n e x t . A l l p e o p le se ek e d u c a tio n in t h i s se n se even i f th e y r e j e c t form al e d u c a tio n or in n o v a t i v e e d u c a tio n . I n c r e a s i n g l y , as th e b e n e f i t s o f t e c h n o l ogy are o b se r v e d , some rudim ents o f a t e c h n o lo g ic a l ed u ca t io n are sou ght by even th e m ost un d erd evelop ed p e o p le s . 3. W e a lth - -t r a d e , le n d in g , b orro w in g, a c q u i s it i o n o f d e s ir e d goods: P eo p le se e k th o s e th in g s which th e y h o ld d ear. In most s o c i e t i e s monetary w e a lth i s th e means 257 whereby such th in g s are a c q u ir e d . S in ce w ith w e a lth may come p r e s t ig e and power, as w e ll as w o r ld ly g o o d s, w e a lth may come t o be a g o a l i n i t s e l f . Even th e sim p le p e a sa n t or unw orldly p r i e s t u s u a lly se ek s some t a n g i b le o b j e c t s f o r which he must tr a d e , b a r g a in , or o th e r w is e arran ge to p r o c u r e . 4. W e ll-b e in g — s a f e t y , h e a l t h , c o m fo r t, s e c u r i t y , and p o s s ib ly se x u a l e x p r e s s io n : I t has been s a i d , and r e c o g n iz e d in some s o c i e t i e s , th a t s u r v i v a l i s th e fo rem o st o f a l l la w s. S u r v iv a l i s r e l a t e d t o and d e r iv e d from p h y s i c a l p r o t e c t io n , m ed ical c a r e , s h e l t e r , c l o t h i n g , fo o d , and a l l th in g s which man b a s i c a l l y n e e d s. Beyond s u r v i v a l , man wants com fort and h a p p in e s s— a se n s e o f w e l l- b e i n g . 5. S k i l l — s e l f - e x p r e s s i o n in a r t s , c r a f t s , and p r o f e s s io n s : Man as an i n d iv id u a l se e k s t o e x p r e ss h im s e lf i n some way. Even i f p r e s t i g e were not a f a c t o r , man would t r y to do c e r ta in th in g s in c e r t a i n ways j u s t t o p le a s e h im s e lf . I f he can p a in t a p ic t u r e or t i l l a f i e l d b e t t e r than he jud ges h is f e llo w s to do, he w i l l d e r iv e s e l f - s a t i s f a c t i o n . He may n o t even compare: i t i s enough t h a t he p le a s e s h im s e lf . A f f e c t io n — lo v e and in tim a c y , fa m ily and f r ie n d s h ip : I t i s no s e c r e t t h a t "man cannot l i v e a lo n e ," The r e a s s u r in g to u c h , th e s i l e n t u n d e r sta n d in g , th e m utual 258 i t y o f a f f e c t i o n i s sou gh t from b ir th t o death in a l l c u ltu r e s though i t s m a n ife sta tio n may be d i f f e r e n t in ea ch . ^4 R e s p e c t--m utual r e s p e c t and c o n s id e r a t io n , d i s c r im in a tio n and d i s t i n c t i o n : The need fo r r e s p e c t , e stee m , or s o c i a l r e c o g n itio n has l a t e l y r e c e iv e d c o n sid e r a b le a t t e n t io n . I t has even been put forward as a b a s ic n e e d .-^ In any c a s e , i t seems t o be u n iv e r s a l and to go a lo n g way in e x p la in in g s o c i a l b e h a v io r . Esteem or r e s p e c t from o n e 's own group may be th e u n d e rly in g m otive f o r such d iv e r s e b eh a v io rs as th e s e lf - e f f a c e m e n t o f th e Zuni In d ian s o f th e American Southw est and the a g g r e s s iv e p e r s o n a lit y o f th e Madison Avenue e x e c u t iv e . The d e s ir e fo r esteem may a c t as s tr o n g ly on th e c o u n te r in su r g e n t le a r n in g h u n t e r - k i l l e r te c h n iq u e s as on th e in s u r g e n t s t e a l t h i l y p la n tin g a mine in th e road . I f th e v a lu e s o f th e group bestow r e s p e c t and esteem f o r a giv en a c t or b e h a v io r , th e in d iv id u a l member o f th e group w i l l be m oti v a ted to perform a c c o r d in g ly in order t o partake o f th a t esteem . 8 . R ectitud e;—mutual m oral, e t h i c a l n o tio n s o f r ig h t and wrong: Man in h is c u ltu r e d evelo p s n o tio n s o f what i s r ig h t and what i s wrong. He g e n e r a lly seek s t o do, ■^Conrad M. Arensberg and A rthur H. N ie h o f f , I n t r o ducing S o c ia l Change (C hicago: A ld in e P u b lish in g Co., 19 6 4 )7 P* 13* 259 and have o th ers d o , th a t w h ich i s " r ig h t ." W hile th e s p e c i f i c n o tio n s are c u l t u r a l l y d eterm in ed , th e urge t o adhere t o m u tu a lly a c c e p te d and t r a d i t io n - s a n c t i o n e d norms o f c o r r e c t b e h a v io r and b e l i e f i s g e n e r a l. These m o tiv e s or v a lu e s app ly t o a l l s o c i e t i e s , though one c u lt u r e may s t r i v e fo r one more th an o t h e r s . I t i s u s e f u l t o n o te th a t v a r io u s e l i t e w ith in s o c i e t y c o n t r o l th e v a lu e s . Thus, th ere i s a power e l i t e , a s k i l l e l i t e , e t c . T hese e l i t e s t r i v e t o m ain tain t h e i r p o s i t i o n , bu t a re s u b j e c t to d is p la c e m e n t. T h is framework, t h e n , p erm its th e a n a l y s is o f r a p id and v i o l e n t change in both W estern and non-W estern s o c i e t i e s . I t a ls o p e r m its th e i d e n t i f i c a t i o n o f d i f f e r e n t segm ents or groups in a s o c i e t y , w hich can be app ealed to in term s o f t h e i r v a lu es and m o tiv e s. M otives i n Real L if e However u s e f u l a l i s t o f m o tiv e s m ight b e , th e com p le x o f m otives w hich a c t i v a t e a p erso n in r e a l l i f e i s n o t s im p le . Most o f l i f e i s s p e n t among o th e r p e o p le , and th e i n d iv i d u a l must make p ragm atic ad ju stm en ts t o t h e i r needs and demands. Beyond t h i s sim p le t r u t h th e r e are even fu r th e r c o m p lic a tio n s . Sometimes a s i n g l e b e h a v io r c h o ic e i s determ ined by I^H arold L a ssw e ll and D a n iel L ern er, World R evolu- tio n a r y E l i t e s (Cam bridge, Mass.: MIT P r e s s , 19 651, p. S’. 260 s e v e r a l m o tiv e s. I f a p r o s p e c tiv e c o l l e g e s tu d e n t, f o r exam p le, can fin d a u n iv e r s it y th a t o f f e r s him a p le a s a n t s o c i a l l i f e , high academ ic sta n d a r d s, s c h o la r s h ip money, and e x c e l l e n t t r a in in g in h is chosen p r o f e s s i o n , he w i l l be m o tiv a ted t o s e l e c t i t because o f th e m u ltip le needs i t s e r v e s . P eo p le a ls o may do th e same t h in g s fo r q u ite d i f f e r e n t m o tiv e s. A man may v o lu n t a r ily j o in th e Armed F o rc es to g a in th e e stee m o f h i s f r i e n d s , another t o a v o id t h e n e c e s s i t y to se e k employment, a n o th er because m ilit a r y l i f e p ro v id es a sa n c tio n e d o u t l e t fo r a g g r e s s iv e ten d en c i e s , and s t i l l a n o th er to se c u r e some e d u c a tio n and a path t o b e t t e r t h in g s . C o n flic t o f M otives Man i s fr e q u e n tly — perhaps c o n s t a n t ly — co n fro n ted w it h a c o n f l i c t o f m o tiv e s. He wants t o "have h is cake and e a t i t t o o . ” Such c o n f l i c t s o f te n a r is e in combat s i t u a t i o n s . In order t o w in and m ain tain th e r e s p e c t or esteem o f h is u n it com panions, a man must meet some th r e a t to h i s w e l l- b e i n g . At l e a s t fo r a t im e , he may v a lu e r e s p e c t more th a n he v a lu e s w e ll- b e in g . There a r e , how ever, psychophys i c a l l i m i t s — combat f a t ig u e may be r e la t e d to th e a t t r i t i o n c a u se d by su ch a m o tiv e c o n f l i c t , as w e l l as t o o th e r f a c t o r s o f h a rd sh ip . 1. Approach-approach c o n f l i c t ; th e c h o ic e between m u tu ally e x c lu s iv e a t t r a c t i v e g o a ls . Such a c h o ic e becomes more d i f f i c u l t and tak es lo n g e r when th e g o a ls are s e e n as h a v in g eq u al v a lu e . O r d in a r ily , how ever, c h o ic e s o f t h i s ty p e are r e l a t i v e l y e a sy and are made r a p id ly w ith l i t t l e v a c i l l a t i o n , b ecau se once th e g o a l i s chosen and one approaches i t , i t becomes more c o m p e llin g . A pproach-avoidance c o n f l i c t : th e am bivalence toward a g o a l w ith b oth a t t r a c t i v e and r e p e l l e n t c h a r a c t e r i s t i c s . In t h i s kind o f c o n f l i c t th e r e i s a ten dency t o pursue th e goal i f i t s achievem ent i s somewhat d i s t a n t . As th e g o a l comes n e a r e r , th e ten d en cy t o ’’avoid" i s g r e a t e r . The in d iv id u a l te n d s t o s t a b i l i z e th e c o n f l i c t , i f he ca n , a t th e p o in t where th e two te n d e n c ie s c r o s s — g o in g j u s t so fa r tow ard th e g o a l, but n e v e r q u ite c o m p letin g th e p r o c e s s . A void an ce-a void a n ce c o n f l i c t : th e dilemma be tween two or more t h r e a t s . T h is s o r t o f con f l i c t i s s t a b l e and te n d s to s t a y u n r e so lv e d . The p erson may approach one, or th e o t h e r , t h r e a t only t o r e t r e a t and approach th e oppo s i t e t h r e a t . Fear andr a n x ie ty are l e a s t when b o th , or a l l m u tu ally e x c lu s iv e t h r e a t s , are 262 fa r removed from n e c e s s i t y f o r a c t i o n . Con s c i o u s l y o r u n c o n s c io u s ly , th e p erson w i l l se ek t h i s e q u i l i b r iu m .17 Need T r a n sa c tio n s In s o c i a l i n t e r a c t io n o ft e n a k in d o f tr a d e or t r a n s a c t io n among p e o p le s ' n eed s goes o n , in f l u e n c in g one a n o th e r 's b e h a v io r --a s o r t o f n a tu r a l exchange o f s a t i s f a c t i o n o f n e e d s , "you g i v e , I g iv e ." Commercial a c t i v i t y i s a s e r i e s o f t r a n s a c t io n s in m o tiv es a s w e ll as in commodi t i e s : a man goes t o work in a f a c t o r y t o h e lp produce an item t o be s o ld by o t h e r s ; in r etu rn he g e ts s a la r y and fr in g e b e n e f i t s . M arriage, t o o , i s a "trade" s i t u a t i o n . In a d d itio n to any m utual se x -n e e d s a t i s f a c t i o n s , th e w ife may gain s e c u r i t y and d e s ir e d c h ild r e n , among o th e r t h i n g s , and th e husband may g a in com panionship and home cooked m e a ls. In r e se a r c h condu cted f o r t h i s d i s s e r t a t i o n , i t was found th a t n e e d -t r a n s a c t io n was a r e c u r r in g , im p ortan t a sp e c t o f th e r e l a t io n s h ip s betw een m i li t a r y a d v is e r and l o c a l p o p u la t io n s . Even a f t e r y e a rs o f c o n f l i c t and am b iv a le n t l o y a l t i e s , a person or p e o p le w i l l accommodate to th e r e a l i t i e s o f n e e d - t r a n s a c t io n s . I f a l o c a l p o p u la tio n n eeds (and knows t h a t i t n e e d s) a so u r c e o f pure w a te r , and •* -7Berelson and S t i e n e r , op. c i t . , pp. 271-73. ^ V i d e , Appendix D, p a ssim . 263 c o u n te r in su r g e n t fo r c e s a s s i s t in m eeting t h a t n eed , th e pop ulace w i l l l i k e l y support th e fo r c e s in some roughly comparable way— such as by g iv in g in fo r m a tio n or food . Path-G oal C o n stru cts I f a person needs or wants so m eth in g , s a t i s f a c t i o n o f th a t need becomes a g o a l. (G oals are o ft e n c a l l e d i n c e n tiv e s in th a t th ey can evoke b e h a v io r .) The in d iv id u a l th en se e k s a path or way t o a c h ie v e th e g o a l. F req u en tly th e r e are " b a rriers" which must be overcome or circum v en ted . A man may need esteem which he f e e l s can be secu red o n ly by e n te r in g a p r o f e s s io n such as e n g in e e r in g . In t h i s c a se th e e n g in e e r in g degree becomes h is g o a l. The path l i e s in s u c c e s s f u l com p letion o f th e n e c e ss a r y c o lle g e cou rse work. There looms a b a r r ie r , however: th e person as a youth had dropped out o f h ig h s c h o o l. In order to resume p r o g r ess on th e path toward h is g o a l, he must e it h e r overcome th e b a r r ie r , perhaps by n ig h t s c h o o l a tte n d a n c e , or circu m ven t i t , perhaps by s p e c i a l e n tra n ce exam in ation s fo r h is u n i v e r s i t y . F a ilin g th e s e a l t e r n a t i v e s , he must fin d a new, more f e a s i b l e , g o a l t o s a t i s f y h is need. E quity In s o c i a l in t e r a c t io n p eo p le g e n e r a lly have a 19Kurt Lewin, P r in c ip le s o f T o p o lo g ic a l P sy c h o lo g y , t r a n s . F r it z H eid er (New York: M cG raw-H ill, 19 3 6 ) , p a ssim . V id e, a l s o , Edward Tolman, P u rp osive Behav i o r in Anim als and Men (New York: The Century Co. , 19 3 2 ) , pp. 2 4 -9 4 . 264 n o tio n o f "equity" which th ey use in e v a lu a tin g th e kinds o f n e e d -tr a n s a c tio n s th e y make and th e kind o f p a th -g o a ls th e y s e t t o s a t i s f y t h e i r n e e d s. ^ For what th e y do, do th ey g e t what th e y th in k i s a r ea so n a b le reward? Do th ey have th e o p p o rtu n ity t o do th e th in g s th ey want t o do, or f e e l th e y ought t o be a b le to do? Are th ey g e t t in g a " f a ir shake" compared t o o th e r s in th e same p o s itio n ? I t i s d i f f i c u l t to d is c u s s o b j e c t iv e e q u ity apart from i t s s o c i a l c o n te x t . Every man and every c u ltu r e p er c e iv e s i t s own e q u it y . In e q u ity i s p e r c e iv e d as u n fa ir a c t i o n , e x p l o i t a t i o n , or a d e n ia l o f r i g h t s . I t i s an e x t e r i o r f r u s t r a t io n to m otive achievem ent in th e mind o f th e man who p e r c e iv e s i t . Concepts o f e q u ity are d evelop ed by th e in d iv i d u a l , but th e same con cep t i s o f te n shared by many p erson s or a whole c u lt u r e . U n iform ity reg a rd in g is s u e s o f e q u ity stem in p art from communications o f le a d e r s and e l i t e s . I t stem s a l s o from what p a st ex p e rien ce has tau gh t th e i n d i v id u a l. I f he has been c o n s i s t e n t l y rewarded f o r a p a r t ic u la r a c t i o n , he w i l l view as an in e q u ity any f a i l u r e to be rewarded f o r th e same a c tio n in th e fu t u r e . I f , fo r exam p le, he was accustom ed t o going w ith ou t punishment fo r a c e r t a in ty p e o f b eh a v io r and i s su dd en ly punished fo r 2 ° G e o r g e Homans, S o c ia l B ehavior: I t s Elem entary Forms (New York: H arcourt Brace and Co. , 1961) , p. 75 P e te r B la u , Exchange and Power in S o c ia l L ife (New York: John W iley £ S o n s, 1 § 6 4 ), p. I51TT 265 th a t same b e h a v io r , he w i l l l i k e l y p e r c e iv e th e punishm ent as an i n e q u i t y . 2 ^ However s u b j e c t i v e th e c o n c ep t o f e q u it y m ight b e , th e re i s no doubt th a t i t s p e r c e iv e d ab sen ce provokes f r u s t r a t i o n and a n g e r .22 I f th e men in one Army command u n it p e r c e iv e t h a t p e r so n n e l in a n o th er comparable u n it are g e t t in g more p r i v i l e g e s , f o r exam p le, more p a s s e s t o tow n, fo r no apparent r e a s o n , th e y w i l l n a t u r a lly be angry. In d u s t r i a l s t r i k e s , d iv o r c e , and c e s s a t io n o f f r ie n d s h ip are common m a n if e s t a t io n s o f p e r c e iv e d i n e q u i t i e s . A s e n s e o f in e q u ity i s a m ajor so u rce o f t e n s i o n . 23 W h ile, in i t s e l f , p e r c e iv e d in e q u it y may n o t be s u f f i c i e n t t o cause in s u r gency and r e v o lu t io n , i t i s g e n e r a lly a p r e c o n d itio n t o attem p ts to a c h ie v e su p p o rt fo r v i o l e n t s o c i a l ch an ge. Needs o r M otives i n D ev elo p in g S o c i e t i e s B a s i c a l l y , the e i g h t g e n e r a l needs o r v a lu e s l i s t e d above ap p ly to d e v e lo p in g o r even c h a o t ic c u ltu r e s j u s t as they a p p ly to W estern i n d u s t r i a l i z e d s o c i e t y . The em phasis on e a c h , th e p a th -g o a l r e l a t i o n s h i p s , as w e ll as th e p e r c e p tio n s o f e q u i t y , how ever, may be q u ite d i f f e r e n t . In ’’developed" W estern s o c i e t i e s , f o r exam p le, p h y s ic a l w e ll- b e in g l a r g e ly i s tak en fo r g r a n te d . There 21Homans, op. c i t . , p. 73. 22I b id . 23W . E. Moore, S o c i a l Change (Englewood C l i f f s , N. J . : P r e n t i c e - H a l l , 1 9 6 3 ) , pp. BJ+-85. 266 are p o c k e ts o f p o v e r ty and segm ents o f th e d i s p o s s e s s e d , but t h e s e are a b e r r a tio n s ; th e m achinery e i t h e r e x i s t s o r can be b u i l t t o a l l e v i a t e them . In th e d e v e lo p in g s o c i e t i e s , p h y s ic a l w e ll- b e in g i s o fte n la c k in g . The g e n e r a l p a tte r n i s th a t many p e o p le in non-W estern c u lt u r e s do not have enough to a d eq u a tely f e e d and c lo t h e t h e i r f a m ilie s d e s p ite econom ic a s s is t a n c e from more d evelop ed n a t io n s . There i s no i n s t i t u t i o n a l i z e d machinery^ t o a l l e v i a t e e c o nomic d e s p a ir , and th e p o p u la tio n e x p lo s io n , la c k o f e c o nomic and p o l i t i c a l s t a b i l i t y , and p s y c h o lo g ic a l c o n fu sio n combine t o absorb o u ts id e e f f o r t s t o r e l i e v e th e s i t u a t i o n . P h y s ic a l w e ll- b e in g which in c lu d e s c l o t h i n g , h o u sin g , n u t r i t i o n , and p h y s ic a l and m ental h e a l t h , i s a b a s ic need in many o f th e d e v e lo p in g a r e a s. The d ev elo p ed n a tio n s have e s t a b l i s h e d more or l e s s w orkable ways and means f o r a t t a i n i n g th e o th e r g e n e r a l n e e d s. S e c u r ity i s taken fo r gran ted by most p e o p le . To be s u r e , v io le n c e o c c u r s , but i t i s r e l a t i v e l y rare and c o n t r o lle d by p o l i c e or o th e r government u n it s a c co r d in g t o a t r a d i t i o n in which th e o rd in a ry c i t i z e n f e e l s th e govern ment i s working f o r him by h i s s u f f r a n c e . E d ucation may be d en ied t o som e, but i t s grow ing u n i v e r s a l i t y i s a p op u la r e x p e c t a t io n . There i s c o m p e titio n f o r pow er, but i t i s i n s t i t u t i o n a l i z e d and o p e r a te s w ith in u n d erstood norms. The q u e st fo r w e a lth goes o n , but th e r e are p roced u res fo r i t s p a r t i a l and p e r io d ic r e d i s t r i b u t i o n . So i t g o e s . The 267 d ev elop ed n a tio n s have by no means p e r fe c te d a s o c i o p o l i t i c a l sy stem , but th ey have produced s o c i e t i e s t h a t perm it m ost in d iv id u a ls t o se ek s a t i s f a c t i o n o f t h e i r major needs w ith som ething o f a se n s e o f e q u ity a lo n g i n s t i t u t i o n a l i z e d p a t h - g o a ls . Not so th e d e v e lo p in g a r e a s . I f th e need fo r w e l l b ein g i s paramount in some c a s e s , th e o th e r seven v a lu e s d is c u s s e d above are a l s o im portant o p e r a tin g m o tiv e s. The d i f f i c u l t y i s th a t th e r e i s to o l i t t l e agreem ent as t o how or when s a t i s f a c t i o n i s t o be a t t a in e d . There i s a chaos o f m o tiv a tio n in a s e t t i n g o f sen sed in e q u it y . I t was n o t alw ays th u s. T r a d itio n a l s o c i e t i e s , though v a s t l y d i f f e r e n t from th e modern W est, a l s o o ffe r e d s t a b i l i t y and th e i n s t i t u t i o n a l i z e d s a t i s f a c t i o n o f m otives and n e e d s. The problems o f chaos and in e q u ity do not sp r in g from an i n t r i n s i c i n f e r i o r i t y o f t r a d i t i o n a l s o c i e t y . What has happened i s th a t advanced com m unications and tr a n s p o r ta tio n have brought th e p eo p le o f th e s e s o c i e t i e s in t o c o n ta c t w ith c u lt u r e s p r o v id in g more m a te r ia l a t t r a c t i o n s , e . g . , b i c y c l e s , r a d io s , e t c . The s o c i e t y then d evelo p ed new needs and d e s ir e s th a t th e t r a d i t i o n a l s o c i a l s tr u c tu r e co u ld not s a t i s f y . There i s a c h a o tic p o t e n t i a l in th e i n a b i l i t y o f a s o c i e t y t o meet new problem s, and even more in th e co n seq u en t attem p ts o f some p eop le to tran sform t h e i r s o c i e t y from t r a d i t i o n a l t o modern. The t r a d i t i o n a l f o lk s o c i e t y has many o f th e 2 68 f o llo w in g c h a r a c t e r i s t i c s : I t i s s m a ll, i s o l a t e d , and l a r g e l y i l l i t e r a t e ; i t has homogeneous a t t i t u d e s and b e l i e f s , c h a r a c te r iz e d by l i t t l e s o c i a l change; and s o c i e t a l r e l a t i o n s h i p s are l a r g e ly w ith in th e ex ten d ed fa m ily and c la n . There i s l i t t l e d i v i s i o n o f la b o r ; how an i n d iv id u a l ea rn s a l i v i n g i s l a r g e l y a m a tter o f b i r t h - - t h e fa rm er's son i s t r a in e d t o be a farm er. There i s a g r e a t degree o f sp on tan eou s b e h a v io r . E l i t e groups are few , and th e s e are u s u a lly e x c l u s iv e and h e r e d it a r y . Modern s o c i e t y i s a lm o st d ia m e t r ic a lly o p p o s it e , though by no means n e c e s s a r i l y s u p e r io r , t o t r a d i t i o n a l f o l k s o c i e t y . Modern W estern s o c i e t y i s l a r g e , in t e r d e p en d en t, and l i t e r a t e ; th e r e i s m o b i l it y , change, and much d i v e r s i f i c a t i o n . Employment ten d s to be a r e s u l t o f im per s o n a l t r a i n in g and e d u c a tio n . There i s c o n s id e r a b le r e p r e s s io n o f im p u lsiv e a c tio n and l i t t l e sp ontan eou s b e h a v io r . There are many n o n e x c lu s iv e e l i t e ; membership i s based la r g e ly on a ch iev em en t. T his d e s c r ip t io n o f d i f f e r e n c e s between th e t r a d i t i o n a l f o lk and modern s o c i e t i e s i s o v e r s im p lif ie d and i d e a l i z e d . In p o in t o f f a c t , th e p eo p le o f most d e v e lo p in g a r e a s are a lr e a d y l i v i n g in a t r a n s i t i o n a l s o c i e t y . The p e o p le are moving between two forms o f s o c i e t y t h a t are no lo n g e r embodied in a s i n g l e , h ig h ly o r g a n ize d c u lt u r e . Some w i l l c l i n g to th e t r a d i t i o n a l fo rm s, though th e s e forms are no lo n g e r s u f f i c i e n t t o s u s t a i n t h e i r n e e d s. 269 O thers w i l l s t r i v e fo r immediate m o d ern iza tio n , though they and t h e i r i n s t i t u t i o n s are not y e t ready. S t i l l o th e r s w i l l d r i f t in a s t a t e o f e m b itte r in g c o n fu s io n . An i n d iv id u a l may fin d h im s e lf torn by th e combined or a lt e r n a t in g a t t r a c t io n s o f th e se th r e e r e sp o n se s. Most p e o p le in a t r a n s i t i o n a l s o c i e t y w i l l share or c o n tr ib u te to th e co n fu sio n in some way. Older p a th -g o a l assum ptions are no lo n g e r o p e r a tiv e ; new p a th -g o a l r e l a t i o n sh ip s are not y e t e s t a b l i s h e d , or sh ared . What i s ’’r ig h t ’1 and what i s ’’wrong" i s no lo n g e r c le a r ; th e r e i s no c le a r s o c i e t a l agreement on what i s worth s t r i v i n g fo r and what should be ig n o red . The farm er's son no lo n g e r w ish es to be a farmer: he lo n g s fo r ready cash and th e c i t y l i f e for which he i s unprepared. The norms o f th e s e v e r a l s o c i a l groups t o which in d iv id u a ls b elon g weaken t o such an e x te n t th a t th e in d iv id u a l no lo n g e r knows what i s rea so n a b le achievem en t. He la c k s a c le a r purpose or g o a l, and thus s a t i s f a c t i o n evades h im .24 In such a s i t u a t i o n , both th e e s t a b lis h e d govern ment and th e com peting and a s p ir in g power e l i t e , in c lu d in g th o se o f a n ti-W estern id e o lo g y , w i l l attem pt to o rg a n ize p eop le t o a v e r t c h a o s, t e l l them what t h e i r "real" needs a r e , and p o in t th e "way" t o s a t i s f a c t i o n o f th e s e n e e d s. C ycles o f r e v o lu t io n , coups d ' e t a t , or v io le n c e o f some 24Emile Durkheim, S u ic id e (G len coe, 1 1 1 .: The Free P ress o f G len coe, 1 9 5 1 ), pi 2 08. 2 70 s o r t may r e s u l t . ^ Any group th a t a s s e r t s th e governm ent's way i s the wrong way, i s c e r t a in to have some a d h e r e n ts. The ca u ses o f in su rg en cy and v io le n c e must be met by an adequate p o lic y resp o n se o f th e modern W estern n a tio n s when t h e i r n a t io n a l i n t e r e s t s and sta k e in world s t a b i l i t y and p ro g ress are th r e a te n e d . At th e o p e r a tio n s l e v e l , W estern m ilit a r y p erso n n el s t a t io n e d , fo r w hatever r e a s o n , in am em erging area and u n sta b le t r a n s i t i o n a l ord er must understand the nature o f th e t r a n s i t i o n , b e fo r e th e y can h e lp th e lo c a l p eo p le meet t h e ir own more immediate n e e d s . F i r s t , the l e g a l government and i t s m ilit a r y f o r c e s must tr y t o g iv e th e l o c a l p o p u la tio n s e c u r it y so th a t o th e r needs can be m et. The p r o t e c tio n o f th e l o c a l popu l a t i o n from te r r o r and a tta c k by b a n d its and in s u r g e n ts i s b a s i c . To h e lp t r a in lo c a l fo r c e s t o p rovid e t h i s s e c u r it y i s l i k e l y t o be th e f i r s t reason fo r which the Western s o l d i e r i s th e r e . Second, l o c a l a u t h o r it ie s must lea r n from the p e o p le what th e p eo p le th em selv es c o n s id e r t h e i r w orst prob lem s, th e n help them s o lv e th ose problems in l o c a l term s and w ith l o c a l p a r t ic ip a t io n in th e s o l u t i o n . The s o l d i e r from an oth er c u ltu r e or a n oth er area w ith in th e c u lt u r e can a s s i s t t h i s p r o c e s s . 25y j d e , Chapter I I , "The Counterinsurgency S e ttin g ," p assim . 2 71 T h ird , a f t e r c o n s id e r a b le s u c c e s s in m eetin g th e p e o p le 's own p e r c e iv e d p ro b lem s, th e l e g a l a u t h o r i t i e s o f th e l o c a l government may s tim u la t e an aw aren ess o f o th e r needs which can th en be g r a d u a lly s a t i s f i e d , and which may r e l a t e t o support o f c o u n te r in su r g e n c y aim s. A gain , t h e s o l d i e r can a s s i s t . S im u lta n e o u sly , o f c o u r s e , th e s o l d i e r sh ou ld be a tte m p tin g t o w in c o n fid e n c e and r e s p e c t fo r h i m s e l f , p e r s o n a lly , so t h a t he can b e t t e r p ro ceed t o a s s i s t l o c a l a u t h o r i t i e s and u n dertak e th e ta s k s he s e t s f o r h i m s e l f . 26 2®For th e c o n s id e r a tio n o f th e r o le o f m ilit a r y . p e r so n n e l from W estern powers who may be a s s ig n e d a coun te r in s u r g e n c y m is s io n in rem ote a r e a s , th e m a te r ia l p r e se n te d in Appendix B, "Knowing and R esponding t o a Non- I n d u s t r ia l C u ltu re ," may be u s e f u l. APPENDIX B KNOW ING AND RESPONDING TO A NON-INDUSTRIAL CULTURE APPENDIX B KNOW ING AND RESPONDING TO A NON-INDUSTRIAL CULTURE1 M ilita r y p e r so n n el s t a t io n e d in n o n - in d u s tr ia l or n o n -W e s te r n ^ a r e a s , though som etim es o p e r a tin g from p o s i t i o n s c a r r y in g no r e a l a u t h o r it y , must i n t e r a c t w ith l o c a l p o p u la tio n s . As a g u e st o f a fo r e ig n governm ent, the s o l d ie r from an oth er country cannot carry out h is r e s p o n s ib i l i t i e s by i s s u i n g commands t o l o c a l p e o p le . They are n ot w ith in h i s j u r i s d i c t i o n nor p a rt o f h is m ilit a r y o r g a n iz a t i o n . He must win t h e i r v o lu n tary p a r t i c i p a t i o n and su p p ort by w orking w ith them on t h e i r own term s. He must The b a s ic o u t lin e f o r t h i s appendix was d is c u s s e d w ith Dr. John P. G il l e n , p r o fe s s o r o f an th rop ology a t th e U n iv e r s ity o f P ittsb u r g h (and P r e sid e n t o f th e American A n th r o p o lo g ic a l A s s o c ia tio n ) and w ith Dr. A rthur H. N ie h o f f o f George W ashington U n iv e r s ity and th e d r a ft t e x t was l a t e r review ed by b o th . Both c o n tr ib u te d t o an a p p re c ia t i o n o f th e o p p o r tu n itie s and d i f f i c u l t i e s o f resp on d in g t o o th e r c u lt u r e s ; n e it h e r bears any r e s p o n s i b i l i t y for th e t e x t as here s e t fo r t h . 2 The term "non-Weste'rn,T i s used l o o s e ly to in c lu d e a rea s which may be g e o g r a p h ic a lly in th e Western h em isp h ere, such as L atin A m erica, inasmuch as L atin American v a lu e s are s o d i f f e r e n t from what we understand t o be th o se o f th e i n d u s t r i a l i z e d W est. The term ex clu d es the h ig h ly i n d u s t r i a l i z e d a r ea s o f North A m erica, Europe, and A u s t r a lia . 2 73 274 know and respond t o th e new c u lt u r e . C ulture has been d e sc r ib e d as th e sum t o t a l o f the th in g s a human b e in g has lea r n e d in common w ith o th e r members o f th e group t o which he b e lo n g s . I t i s u s u a lly th ou gh t o f in term s o f th e l a r g e s t group w hich has common b o n d s. The group has fr e q u e n tly but n o t alw ays been d e f in e d by geograp hy, e t h n i c and l i n g u i s t i c f a c t o r s , and custom . C u ltu re pervades le a r n in g and b e h a v io r -- th e custom s men have d e v e lo p e d , id e a s o f d e it y and su p e rn a tu r a l f o r c e s , b e l i e f s about what i s good and n o b le . C u ltu re i s a human q u a l it y . Man s u r p a s s e s o th e r l i v i n g b e in g s in h is a b i l i t y t o p ass on to h is young in fo r m a tio n and a t t i t u d e s . The b e h a v io r a cq u ired marks th e i n d iv id u a l as a member o f h i s c u lt u r e . Thus a N avajo Indian behaves l i k e a N avajo and has a t t i t u d e s in common w ith o th e r N avajos about th in g s he e n c o u n t e r s ; th e whole o f t r i b a l a c t i v i t y has combined to te a c h him t o behave in a c e r t a in way. Were th e same i n d i v id u a l r a is e d from b ir th i n a n o th er c u ltu r e h e.w o u ld tak e on th e c h a r a c t e r i s t i c s o f t h a t c u lt u r e r e g a r d le s s o f sk in c o lo r or b lood lin e a g e . I f an American c h i ld o f American p a r e n ts were adopted by a T ib etan f a m ily , and removed from c o n t a c t w ith o th e r Americans , he w ould grow up t o be a T ib e t a n - - in la n g u a g e , m o tiv e s , i d e a s , i d e a l s , even in the 275 way he walked and c a r r ie d h im s e lf,^ G e n e r a lly , le a r n in g i s so c o m p le te ly i n t e r n a li z e d th a t in d iv id u a ls f o r g e t t h e i r b e h a v io r p a tte r n s were lea r n e d from o t h e r s . J u s t as i t i s u n n ecessa ry f o r a p e r son who has le a r n e d t o walk t o th in k about th e m echanics o f p u tt in g one f o o t in f r o n t o f th e o t h e r , so i t i s unnec e s s a r y t o r e c a l l th e t r a i n in g p r o c e ss behind a c u l t u r a l l y le a r n e d r e sp o n s e . Any a d u lt who rem ains i n s id e h is n a t iv e c u l t u r e , fo r exam p le, fin d s i t u n n ecessa ry t o th in k d eep ly about th e proper resp o n se f o r most s o c i a l and b u s in e s s s i t u a t i o n s . He knows how t o g r e e t o th e r p e o p le ; he knows th a t he does not have t o respond w ith l i t e r a l tr u th to r i t u a l i s t i c q u e s t io n s , such as th e "How are you?" o f the American c u lt u r e . C u ltu res d i f f e r in v a ry in g d e g r e e s . There i s an E n g lish c u ltu r e and th e r e i s an American c u l t u r e , but i t i s not d i f f i c u l t fo r a member o f one t o t r a n s f e r h im s e lf s u c c e s s f u l l y in t o th e o th e r . They are both "W estern." The problem becomes much more d i f f i c u l t when th e c u lt u r e s are w id e ly d is p a r a te . The s o l d i e r from a d evelop ed a rea s t a t i o n e d in a n o n - in d u s t r ia l c u ltu r e may f in d t h a t much o f what he has alw ays assumed t o be human n atu re j u s t d o e s n 't work. Even th e W estern -ed u cated e l i t e are p ro d u cts o f ^Conrad M . Arensberg and A rthur H. N ie h o f f , I n t r o du cin g S o c ia l Change (C hicago: A ld in e P u b lis h in g C o ., 1954) , Ch. I I , pp. 1 5 -1 6 . 2 76 t h e i r own c u ltu r e s and may not respond t o a given s i t u a t i o n as th e W esterner m ight assum e. Many p eo p le with whom he w i l l come in c o n ta c t w i l l not have much e d u c a tio n , l e t a lo n e Western e d u c a tio n . P ea san t v i l l a g e r s com prise ap p roxim ately 80 per c e n t o f th e p o p u la tio n o f c o u n tr ie s where co u n terin su rg en cy a c t i v i t y i s l i k e l y t o take p la c e . To work e f f e c t i v e l y w ith a person from t h i s background, th e W esterner i s req u ired t o have a rea so n a b le un d erstan d in g o f the valu es and customs which a f f e c t the p e r s o n 's b e h a v io r . These v a lu es and custom s are l i k e l y to be new to th e West ern man's e x p e r ie n c e . T his i s a d i f f i c u l t t a s k , as any s o c i a l s c i e n t i s t who has worked in th e f i e l d knows*, but i t i s not im p o s s ib le . There are te c h n iq u e s f o r accom p lish in g th e ta sk j u s t as th e re are tec h n iq u es f o r p erform ing t r a d i t i o n a l m ilit a r y o p e r a tio n s . The fo llo w in g t e x t in th is Appendix i s an attem pt t o se e k some i n s ig h t i n t o the problem s and t o give some g u id e lin e s which can be used to o b ta in a working u n d erstan d in g o f a new c u ltu r e . C u ltu r a l Maladj ustment C ulture Shock or T r a n sitio n Because he ta k e s h is own valu es and c o n d itio n e d resp o n ses f o r g ra n ted , any a d u lt who e n te r s a fo r e ig n c u l tu r e w i l l i n i t i a l l y s u f f e r from some s o r t o f c u lt u r a l m aladjustm ent. Many w i l l s u f f e r t o a d eg ree th at has been 277 c a ll e d c u ltu r e shock by a n t h r o p o lo g is t s . T his i s a lm o st an " o ccu p a tio n a l d isea se " among p e o p le who have been suddenly tr a n sp la n te d abroad. I t i s so common, and th e d e g r ee s of m aladjustm ent vary so much, th a t perhaps a b e t t e r term would be " c u ltu r e t r a n s i t i o n ." The problems o f c u ltu r e t r a n s i t i o n , or c u ltu r e sh ock , are n ot n e c e s s a r i l y brought on by la r g e d if f e r e n c e s in b a s ic v a lu e s , such as a disagreem ent o v e r the e x is t e n c e o f a supreme b e in g . I t i s more o f te n m erely a m a tter o f m u ltip le minor d is c r e p a n c ie s from what has been custom ary t o th e in d iv id u a l. I t occu rs when one has l o s t many o f h is t r a d i t i o n a l cu es on how to behave. He f e e l s unable to a c com p lish a n y th in g or even comport h im s e lf in an o rd in ary s o c i a l s i t u a t i o n . Even i f th e r e i s no language b a r r ie r , th e in d iv id u a l does n ot f e e l s a f e resp o n d in g to many q u es t io n s fo r fe a r o f o ffe n d in g o th e r s or em b arrassin g h im s e lf. He does not know when t o a r r iv e f o r appointm ents or whether to a c c e p t s o c i a l i n v i t a t i o n s . The w orst forms o f c u ltu r e shock may have s e v e r a l p h a se s. At f i r s t , th e new a r r i v a l in a fo r e ig n cou n try may be d e lig h te d w ith h is new, e x o t i c environm ent: e v e r y th in g goes r ig h t fo r a tim e , and i t seems as i f a l l th e w arnings about c u lt u r a l d if f e r e n c e s were u n n e ce ssa ry . Then d i s i l l u sionm ent s e t s i n : e v e r y th in g seems to go wrong. I f adjustm ent to th e new c u ltu r e i s not made so o n , th e v ic tim becomes i r r i t a b l e , d e p r e sse d , and annoyed by th e in d ig e n o u s 2 78 p e o p le ’s "apparent" la c k o f a t t e n t io n and f a i l u r e t o under sta n d him . He becomes p r e o cc u p ie d w ith such t h in g s as s a f e d r in k in g w a te r , c le a n food and d i s h e s , and fea r o f p h y s ic a l c o n ta c t w ith th e l o c a l p e o p le ; he may s u f f e r minor p a in s . O ften he r e a c t s by banding to g e t h e r w ith oth ers from h is own c u ltu r e who s u f f e r from th e same m alady. These f e llo w su ffe r e r 's may spend t h e i r tim e co m p la in in g about t h e i r problem s and p r a is in g t h e i r n a t iv e la n d , f o r g e t t i n g i t s d e f e c t s in th e haze o f n o s t a l g i a . The in d iv id u a l must e i t h e r b eg in h i s r e c o v e r y by p ic k in g up c lu e s fo r e f f e c t i v e b e h a v io r in th e l o c a l c u l t u r e , o r he w i l l succumb a l t o g e t h e r and l i v e o n ly fo r t h e moment when he can l e a v e . 4 To be aware o f i t s danger i s prob ab ly th e f i r s t s t e p in a v o id in g th e w o r st a s p e c t s o f c u ltu r e sh o c k . With a w a r en ess, a person who i s p a t i e n t , w i l l i n g , and ea g er t o u n d ersta n d , can b eg in t o look around him fo r cu es to "proper" b e h a v io r . As h i s knowledge i n c r e a s e s , h i s e f f e c t i v e n e s s w i l l s i m i l a r l y i n c r e a s e , and th e se v e r e symptoms and r e a c t io n s t o c u ltu r e shock can be a v o id e d . Going N a tiv e One extrem e r e a c t io n t o a s tr a n g e c u ltu r e i s t o "go n a t iv e ," t o become a " s n u g g le r ." A p erso n s u f f e r in g t h i s 4K lavero Oberg, "C ulture Shock and the Problem o f A djustm ent to New C u ltu r a l Environment" (W ashington, D. C .: F oreign S e r v ic e I n s t i t u t e , Department o f S t a t e , 1 9 5 8 ), p a s sim . ( Mimeographed.) 2 79 type o f r e a c tio n a ttem p ts t o g e t s o c lo s e to th e n a tiv e c u ltu r e th a t he f o r g e t s h is own b a s ic v a lu e s . Only the person h im s e lf i s f o o le d . In th e eyes o f lo c a l p e o p le , he e it h e r r e t a in s enough mannerisms t o remain of h is own na t i o n a l i t y in t h e i r e y e s , or h is c o n v e r sio n w i l l seem f a ls e ( u n l e s s , o f c o u r se , i t i s the p rod u ct o f many y e a r s o f gradual a c c e p ta n c e ). Not c o m p le te ly a c c e p te d , t h e sn u g g ler may a ls o have l o s t h is e f f e c t i v e n e s s as a newcomer b rin g in g new id e a s and m ethods. E thn ocentrism A more common r e a c tio n t o a new c u lt u r e , as w ell as b ein g a symptom o f extrem e c u ltu r e sh ock , i s to view every th in g e x c l u s iv e ly through the e y e s o f o n e 's own c u lt u r e , Such an a t t i t u d e was e x p r essed w ith p rid e by an American navy w ife who s a i d , "As a Navy w if e . . . you're n ev er abroad. Y ou're alw ays j u s t in th e Navy."^ The s te r e o ty p e o f th e Ugly American i s an extrem e example o f such an a t t i t u d e . The in n o ce n t l i t t l e o ld lady who asks why "these people" c a n 't t a lk E n g lish " lik e any norm al person" i s an oth er. The s o l d i e r who d e t e s t s h is a l l i e s b ecause "they have no r e f r ig e r a t io n " i s y e t a n o th er . I t i s a r e f u s a l to a d ju st even m inim ally t o a new c u lt u r e . This i s a s e l f - d e fe a t in g a t t i t u d e f o r the s o l d i e r attem p tin g t o m otivate ^Harlan C le v e la n d , Gerard J . Mangone, and John Clarke Adams, The O verseas Americans (New York: McGraw- H i l l Book Co. , In c . , T91T0T 5TT 230 th e p e o p le s w ith whom he i s a s s o c ia t e d t o support h i s o v e r s e a s m is s io n , f o r i t i s im p o s s ib le t o make over an e n t i r e p e o p le i n t o h i s own im age. Once he has r e v e a le d an a t t i tu d e th a t n o th in g in t h e l o c a l c u ltu r e i s o f v a lu e , he has e s s e n t i a l l y c a n c e le d h i s e f f e c t i v e n e s s . W estern V alues C o n tra sted w ith O thers I t i s n ot enough to stu d y th e p e c u l i a r i t i e s o f non- W estern p e o p le s in an attem p t t o m o tiv a te them. I t i s a ls o n e c e ss a r y t o g iv e some a t t e n t io n to W estern (and e s p e c i a l l y American) ways o f v ie w in g or d oin g t h in g s which are a p t t o c o n f l i c t w ith non-W estern w ays. I t would be an e th n o c e n t r ic m ista k e t o assume th a t on ly Americans have a d ju stm e n ts t o make when a tte m p tin g t o o p e r a te e f f e c t i v e l y i n a new c u lt u r e . Any c u ltu r e which may seem a l i e n t o an Am erican s o l d i e r may seem e q u a lly a l i e n t o any o th e r f o r e ig n e r p r e s e n t — even one from a n e ig h b o r in g n a t io n . S i m i l a r l y , i t would be a m ista k e t o assume t h a t th e same ad ju stm en ts are r e q u ir e d in any c u l tu r e in w hich th e American m ight f in d h im s e lf . S p e c i f i c ad ju stm en ts must be made i n ord er t o adapt t o th e p a r t ic u l a r c u lt u r e a t hand.^ Some W estern v a l u e s , h ow ever, seem to l i e a t one 6John D. Montgomery, "C rossing th e C u ltu re B a r s, An Approach t o t h e T r a in in g o f American T e ch n icia n s f o r Over s e a s A ssig n m en ts," World P o l i t i c s , X III ( J u ly , 1 9 6 1 ), p a ssim . 2 81 end o f a w orld continuum. Adjustm ent in one d ir e c t io n seems t o be r e q u ir e d o f W esterners (and p a r t i c u la r ly o f Am ericans) reg a r d in g such v a lu es as tim e , o b j e c t i v i t y , in f o r m a lit y , e t c . : W esterners in a non-W estern environm ent must c o n s t a n tly a d ju st t o l e s s r i g i d a t t i t u d e s toward tim e , more s u b j e c t i v i t y , and g r e a te r fo r m a lity in p e r so n a l r e l a t i o n s . In a s e n s e , i f th e need fo r such adju stm ent i s r e c o g n iz e d , th e W esterner has an ad van tage. He can i d e n t i fy some o f th e v a lu es he must m odify and he knows i n what d ir e c t io n th ey must be m o d ified . The continuum , m entioned ab ove, i s d e r iv e d from th e r a d ic a l c o n t r a s t between h ig h ly i n d u s t r i a l i z e d urban s o c i e ty and th e r u r a l a g r ic u lt u r a l s o c i e t i e s o f non-W estern a r e a s. Western v a lu e s and th e Western way o f l i f e d e r iv e from a lon g h is t o r y which both le d t o and were i n t e n s i f i e d by i n d u s t r i a l i z a t i o n . D a ily l i f e i s r e g u la te d by c lo c k and c a le n d a r; th e economy i s based on money r a th e r than on b a r te r ; most w orking W esterners are em ployees o f la r g e im p e r so n a l c o r p o r a tio n s r a th e r than se lf-e m p lo y e d or working fo r a patron out o f p e r so n a l l o y a l t y . There i s a h ig h degree o f both s o c i a l and geograp h ic m o b ility : th e West ern er (and, a g a in , p a r t ic u la r ly th e American) does n ot s ta y p u t. R egional and c la s s d if f e r e n c e s are n o t so im portant as in non-W estern c u lt u r e s . Family u n its are sm a ll and emphasis i s p la c e d on th e im m ediate fa m ily r a th e r than on an exten d ed fa m ily system . When a young man m a r r ie s, he e s t a b l i s h e s a new home r a th e r than b r in g h is b rid e i n t o the t r a d i t i o n a l fa m ily group. Even unmarried a d u lts u s u a lly l i v e a lo n e r a th e r than w ith fa m ily groups. To a la r g e d e g r e e , o r g a n iz a tio n s have taken th e p la c e o f th e c lo s e fa m ily bonds which c h a r a c te r iz e t r a d i t i o n a l s o c i e t i e s . These o r g a n iz a tio n s e n l i s t members w ith common i n t e r e s t s of a p o l i t i c a l , econ om ic, or s o c i a l n atu re and fu r th e r empha s i z e th e f a c t th a t W esterners p r e fe r t o choose t h e i r own a s s o c i a t e s r a th er than b ein g t i e d t o fa m ily . A lso in con t r a s t t o d e v e lo p in g areas where co u n terin su rg en cy i s l i k e l y , W esterners en jo y a h ig h l e v e l o f ed u ca tio n and l i t e r a c y made p o s s ib le and even n e c e ssa r y by th e s o p h i s t i c a te d i n d u s t r i a l economy o f t h e i r c o u n t r ie s . A gain, s e c u la r v a lu e s predom inate i n th e c u lt u r e , and form al r e l i g io n i s p r e tty w e l l com partm entalized in th e l i v e s o f m ost. (The heavy moral to n e o f p u r ita n ism , how ever, runs str o n g in th e American c u l t u r e , even i n s e c u la r th o u g h t.) These s ta r k d if f e r e n c e s between W estern (and American) c u ltu r e and t r a d i t i o n a l or t r a n s i t i o n a l c u ltu r e s are im p o rta n t, and from them are d e r iv e d th e adjustm ent problems o f th e West ern er in a fo r e ig n c u l t u r e . 7 Some o f th e c a t e g o r ie s o f v a l u e s , which f a l l a t one end o f th e world continuum and can be o b s t a c le s t o an e f f e c t i v e resp on se t o a new c u lt u r e , are d is c u s s e d below . 7Arensberg and N ie h o ff, op. c i t , , Ch. VI, pp. 153- 83. Time W esterners abroad must r e a l i z e q u ic k ly th a t t h e i r a t t i t u d e tow ard tim e i s not sh ared by non-W estern p e o p le s . W esterners (and A m ericans) ten d t o be very tim e c o n s c io u s , t r e a t i n g tim e as a m a t e r ia l th in g ( ’’tim e i s money"). In t h e W estern v a lu e s y s te m , tim e can be and sh o u ld be mas t e r e d and m anip ulated t o b e s t ad van tage. Time i s d iv id e d i n t o work and p la y p e r io d s , and th e two a re n ot u s u a lly p e r m itte d t o o v e r la p . Employers in th e i n d u s t r i a l i z e d West p u rchase t h e tim e o f t h e i r em ployees and e x p e c t them t o a c com p lish som eth in g d u rin g " a llo t te d " tim e . Non-W estern p eo p le u s u a lly measure tim e on a c o m p le te ly d i f f e r e n t s c a l e ; th e y regard i t as som eth in g t o be p a s s iv e ly a c c e p te d and perhaps e n jo y e d . There i s no g r e a t d i s t i n c t i o n betw een tim e fo r work and tim e f o r p la y . T h ese w id e ly d iv e r g e n t a t t i t u d e s toward tim e can le a d t o many ty p e s o f m isu n d e rsta n d in g s. An Am erican, f o r exam p le, who regards h i s o ff-w o r k hours as h is own may be d is c o n c e r t e d or sh ock ed t o be awakened a t 3 a.m. f o r some r e l a t i v e l y minor ite m o f b u s in e s s w h ich , from h is p o in t o f v ie w , c o u ld w a it u n t i l m orning. The same American who h o ld s p u n c tu a lity as a lm o st s a c r e d , may f e e l i n s u l t e d when he i s kep t w a itin g an hour or s o , a f t e r h a v in g made an app ointm en t days in ad v an ce. G e n e r a lly , i t may be s a i d , w h atever th e d if f e r e n c e in d egree over d i f f e r i n g c u l t u r e s , t h e W esterner must le a r n t o l i v e w ith d e la y s and th e m ixin g 284 o f work and p lay p e r io d s . He may t r y to in f lu e n c e th o s e w ith whom he has im m ediate a s s o c ia t io n to adop t a more p r e c i s e se n se o f tim e , but i n th e la r g e r co n tex t i t i s he who w i l l have t o a d ju s t. He must plan a c t i v i t i e s in such a way t h a t a l t e r n a t i v e p lan s can be put i n t o o p e r a tio n i f some p r e lim in a ry s t e p does not work out a s expected .® The number o f o c c a s io n s when tim e i s a c t u a l ly c r i t i c a l sh o u ld be reduced t o a v o id m isu n d erstan d in g and f r i c t i o n . For t h o s e o c c a sio n s when tim e remains im p o r ta n t, i t sh ou ld be lin k e d to th e p a ssa ge o f a n t ic ip a t e d events o r seq u en ces o f e v e n ts r a th e r than t o th e tyranny o f tim e by th e c lo c k . Man and Nature A t tit u d e s about man's c o n t r o l o f n a tu re d i f f e r from c u ltu r e to c u lt u r e . In th e United S t a t e s , as w e ll as in o th e r i n d u s t r i a l i z e d c u l t u r e s , n a tu re i s c o n sid e r e d some th in g t o be conquered and made over t o s u i t man's n e e d s. The su c c e s s w ith which W estern man has m astered p o r tio n s o f th e n a tu r a l w orld has le d him to assum e th a t he can e v e n tu a l l y c o n tr o l a l l o f n a tu r e , th at a c t i v i t y in t h i s d ir e c t io n i s good f o r i t s own sak e and i n d ic a t e s " p ro g ress." Any r e lu c ta n c e t o " get th in g s done" i s th e r e f o r e in t e r p r e t e d as a s i g n o f l a z i n e s s or stu b b orn i n d if f e r e n c e ; p e o p le who f a i l ®I b i d . , pp. 16 3 -6 5 ; C le v e la n d , Mangone, and Adams, op. c i t . , pp. 3 2 -3 4 ; Paul Sp ector and Harley 0 . P r e sto n , Working E f f e c t i v e l y O verseas (W ashington, D. C .: American I n s t i t u t e f o r R esearch , 1 9 6 l ) , p. 14-. 285 are o f t e n c r i t i c i z e d f o r n o t h a v in g t r i e d hard enough. In t r a d i t i o n a l and t r a n s i t i o n a l s o c i e t i e s , th e p r e dominant view i s th a t man i s s u b j e c t t o and must work w ith n a tu r e . Man i s s e e n , j u s t as o th e r forms o f l i f e , as but a p art o f th e t o t a l i t y o f n a tu re . Such a view f o s t e r s a f a t a l i s t i c a c c e p ta n c e o f what l i f e o f f e r s . The d e v e lo p in g n a tio n s have n o t had th e h is t o r y o f s u c c e s s in tam ing n atu re en jo y ed by i n d u s t r i a l i z e d W estern c u lt u r e s ; d e v e lo p in g n a tio n s are i n c l i n e d to be l e s s o p t i m i s t i c abou t the a b i l i t y o f man t o make " p r o g r e s s ." H ence, the Western s o l d i e r who m ight be a s s ig n e d t o c o u n te r in su r g e n c y work may f in d , t o h is c o n s t e r n a t io n , t h a t th e l o c a l p o p u la tio n i s u n e n t h u s ia s t ic or even a p a t h e t ic about some a s s is t a n c e he o f f e r s w ith W estern enthu siasm .® He w i l l need c o n s id e r a b le p a tie n c e and u n d ersta n d in g t o co n v in ce th e p e a sa n ts th a t th ey w i l l t r u l y b e n e f i t from th e changes he o f f e r s t h e m .^ ®It i s fr e q u e n tly assumed th a t a r e lu c ta n c e t o a c cep t "p rogress" i s th e r e s u l t o f "oth erw orld ly" r e l i g i o u s b e l i e f s . I t sh o u ld be remembered th a t a l l major r e l i g i o n s , in c lu d in g C h r i s t i a n i t y , em phasize th e im portance o f o n e 's p r e p a r a tio n f o r an a f t e r l i f e , and y e t th e a d h eren ts o f th e s e r e l i g i o n s in many c u lt u r e s have endeavored t o c r e a te a b e t t e r l i f e i n t h i s w orld a l s o . W hile r e l i g i o n in some c a s e s may be a f a c t o r , a more r e a l i s t i c e x p la n a tio n may be sim p le c o n d it io n in g . The p ea sa n t in an a n c ie n t c u ltu r e has never been a b le t o b e t t e r h is l o t over th e c e n tu r ie s and he does n o t e x p e c t t o be a b le t o do s o in th e fu tu r e ; he de pends on f a t a l i s t i c a ccep ta n ce t o a v o id f r u s t r a t io n in a way t h a t W estern man need not do. ■^Arensberg and N i e h o f f , op. c i t . , pp. 165-69. M a te ria lism That m a te r ia l w e l l- b e i n g i s a le g i t im a t e g o a l, e v e r more fr e q u e n tly r e a l i z e d , has come t o be taken f o r granted by m ost p eop le in th e West and i s a c o r o lla r y to th e W est ern view o f man co n q u erin g n a tu r e . S u cc e ss in a lm o st any endeavor i s now m easured in term s o f m a te r ia l g ood s. W hile th e r e are e x c e p t io n s , p r e s t i g e i s u s u a lly accord ed th e p erso n who g iv e s v i s i b l e i n d ic a t io n o f econom ic w e l l- b e i n g , who d r iv e s th e l a t e s t and most e x p e n siv e a u to m o b ile , j o in s an e x p e n siv e c lu b , l i v e s in an e x c l u s iv e r e s i d e n t i a l a r e a , t r a v e l s t o o t h e r c o n tin e n t s by j e t , and s o f o r t h . I f w e a lth has been accum ulated by th e man's own e f f o r t s , so jjiuch th e b e t t e r . A double v a lu e i s se r v e d : e v id e n c e o f h i s a b i l i t y t o make " p r o g r e ss," and a measurement o f h is " w o rth .1 1 H In n o n - i n d u s t r i a li z e d c u l t u r e s , e s p e c i a l l y non- W estern c u l t u r e s , e a r l i e r p e r io d s o f h i s t o r y are o fte n c o n sid e r e d much more g lo r io u s than th e p r e s e n t; th e p e o p le v e n e r a te th e l o s t p a s t . C o n se q u en tly , th e ten d en cy o f W esterners ( p a r t i c u l a r l y A m ericans) t o judge p e o p le o f non- W estern c u lt u r e s by th e p r e sen ce or ab sen ce o f t h e i r plum bing, r e f r i g e r a t i o n , and q u a l it y o f o th e r g ad getry i s g r e a t ly r e s e n t e d . These p eo p le may even f e e l a s e n s e o f s a t i s f a c t i o n when some W estern mechanism f a i l s t o fu n c tio n 11I b i d . , pp. 172-75. in t h e i r environm ent. I t i s n ot th a t th e se p eo p le do not valu e com fort and la b o r -s a v in g d e v ic e s . The sim ple f a c t i s t h a t th e y have not been aware f o r very lo n g o f what i s a v a ila b le . Because i t i s n ot g e n e r a lly f e a s i b l e to seek c r e a tu re c o m fo r ts, and b ecause o f t h e i r h i s t o r i c v a lu e s , th e p e o p le s o f non-W est ern c u lt u r e s are more l i k e l y to r e s p e c t fam ily t i e s , a g e, e x p e r ie n c e , or s o c i a l p o s it io n c o n ferred by b ir th to mate r i a l w e ll- b e in g . While th e se v a lu e s are d i f f e r e n t , they are n o t view ed as i n f e r i o r by th e l o c a l p o p u la t io n s ; a t tem pts t o judge them i n f e r i o r , or Western m a te r ia lism as s u p e r io r , are r e s e n te d . Except f o r th o se th in g s needed fo r modern, mechan iz e d w a r fa re , th e Western s o l d i e r would do w e ll t o use c a u tio n in in tr o d u c in g new tec h n o lo g y to a non-W estern c u lt u r e . Let him t r y f i r s t to lea r n the l o c a l methods and c o n s id e r how th e p eo p le over many y ea rs have met t h e i r own n e e d s. A fte r he has e s t a b lis h e d h i s i n t e r e s t in th e s e tim e-h on ored m ethods, he may g r a d u a lly in tro d u ce some changes which do not s e v e r e ly d is r u p t h a b it (and e f f i c ie n c y ) and which are not o f f e n s iv e t o o th e r v a lu e s . He sh ould never b o a st o f how w e ll a ta s k i s perform ed e l s e where. N otion s o f E q u a lity D e sp ite in s ta n c e s o f d is c r im in a tio n because o f such 28 8 f a c t o r s as r a ce or s e x , W esterners (and e s p e c i a l l y Ameri can s) g e n e r a lly valu e e q u a l i t y h ig h ly . Am ericans and modern W esterners o v e r se a s are fr e q u e n t ly i n s e n s i t i v e to l o c a l l y p e r c e iv e d d i f f e r e n c e s and t r e a t a l l c l a s s e s o f p e o p le a l i k e . O ften such tre a tm en t o ffe n d s th e d i g n it y o f an e l i t e c la s s or person and a l s o o ffe n d s th e s e n s e o f p r o p r ie ty o f a low er c l a s s or p e r so n . Sometimes e q u a l tre a tm en t by an o u t s id e r tends to even w iden th e gap be tween p erso n s and c l a s s e s . In any c a s e , i t sh ou ld be remembered t h a t such a c t io n s may produce lo n g -r u n d is a d v a n ta g es fo r t h e p e o p le in su b o r d in a te groups who must remain f u n c t io n a l in t h e i r own s o c i e t y lo n g a f t e r th e Am ericans have l e f t . I l l w i l l may be th e o n ly l a s t i n g e f f e c t o f w i l l y - n i l l y e g a li t a r i a n i s m . The army man has an a d v a n ta g e : th e army o f any co u n try i s o rg a n ized i n a h ie r a r c h y fo r th e sake o f e f f i c ie n c y , and s o , b a s i c a l l y , are m ost c u l t u r e s . In f a c t , th e m a jo r ity o f th e w o r ld 's s o c i e t i e s are h i e r a r c h i c a l l y organ iz e d ; e q u a lit y i s not a u n iv e r s a l v a lu e . I t sh ou ld be r e c o g n iz e d by th e W estern s o l d i e r th a t th e p eop le o f any s o c i e t y have some form al or in fo r m a l h ie r a r c h y . The b a s is o f s t a t u s and " p o sitio n " sh o u ld be d is c o v e r e d , and th e r e a l i t i e s o f t h i s s i t u a t i o n used by m ilit a r y p e r so n n e l t o perform t h e i r own d u t ie s more e f f i c i e n t l y and w ith o u t o f f e n s e . In h i s se a r c h f o r in fo r m a tio n about the h i e r a r c h y , th e s o l d i e r sh o u ld not a c c e p t th e prejudgm ents o f 289 o t h e r s , and he should n o t h im s e lf make preju dgm ents based on h is own v a lu e s . He sh ould r e t a i n an open mind toward a l l s e c t o r s o f the p o p u la tio n . A w i l li n g n e s s to know a l l c l a s s e s o f p e o p le sh o u ld be combined w ith th e r e c o g n it io n th a t c le a v a g e s , r i v a l r i e s , and s t a t u s c o n s id e r a t io n s e x i s t which he cannot change and w ith in which h e must le a r n to work. I n fo r m a lity To members o f non-W estern c u l t u r e s , in f o r m a lit y may seem t o b o rd er on r u d e n e s s . In th e s e c u l t u r e s , t h e r e i s u s u a lly a p r o to c o l d e f in e d fo r e v e r y o c c a s io n , and th e e la b o r a t e f o r m a l i t ie s w hich p r e c e d e any t r a n s a c t io n may be c o n sid e r e d more im p o rta n t than th e su b sta n c e o f t h e b u s i n e s s . Such fo r m a lity i s not a w a s te o f tim e ; i t o f t e n s e r v e s t h e fu n c tio n o f " savin g fa ce" f o r p eo p le o f non- W estern c u lt u r e s where fa c e i s an im p ortan t c o n s id e r a tio n . Because a p erson from su ch a c u lt u r e can u n d erstan d c lu e s and s i g n a l s e x p r e sse d du rin g t h e r i t u a l s o f f o r m a lit y , he can a c t u a l l y se n se a n e g a t iv e r e p ly to a r e q u e st w h ich has not y e t been made— a r e q u e s t w h ic h , i f f o r t h r i g h t l y put fo rw a rd , would em barrass both t h e person a sk in g and th e p erson fo r c e d to r e p ly . F orm ality a ls o i n d ic a t e s th e p e r so n a l regard o f one person f o r a n o th er . W esterners ^ I b i d . , pp. 1 7 8 -8 1 ; C le v e la n d , Man gone, and Adams, op. c i t . , pp. 34— 37. 2 9.0 m igh t f e e l more com fortab le in t h i s environm ent i f th e y remember t h a t even i n th e b u s in e s s w orld o f p r e ssu r e and d e a d lin e s , a te le p h o n e c a l l t o an a s s o c i a t e w i l l c o n ta in a few form al p l e a s a n t r i e s , in q u i r i e s about r e s p e c t i v e s t a t e s o f h e a lt h and f a m i l i e s , and perhaps an i n v i t a t i o n t o d in n er (w h ich may have s e r io u s p r o to c o l i m p l ic a t i o n s ) . The same m o tiv e which causes th e businessm an to exchange p le a s a n t r i e s on th e phone u n d e r lie s th e form al cerem on ies p r e ce d in g t r a n s a c t io n s in o th e r c u lt u r e s . An a ttem p t t o u t i l i z e th e form al manners o f a c u lt u r e w i l l make p e r s o n a l i n t e r a c t i o n more p le a s a n t and p r o d u c tiv e . F i r s t , by in c o r p o r a tin g l o c a l fo r m a lity in t o d a i l y r o u tin e o f f e n s e can h a r d ly be given t o anyone. S econ d , i t w i l l make c e r t a in s i t u a t i o n s e a s i e r t o h a n d le. For exam ple, th e r e i s th e m a tter o f sp ace between p eo p le who are engaged in c o n v e r s a tio n : In th e U n ited S t a t e s an American does not th in k much abou t t h i s ; he a u to m a tic a lly knows where t o stan d i n r e l a t i o n t o a n o th er p erson so th a t th e y are b o th c o m fo r ta b le — u s u a lly not to o c l o s e . In o t h e r c u l t u r e s , such as th o se o f L atin A m erica, th e custom ary d is ta n c e between c o n v e r sin g p eo p le i s much c l o s e r , and t h e r e i s l i k e l y to be p h y s ic a l c o n t a c t . W ithout c u lt u r a l a d ju stm e n t, an American in c o n v e r s a tio n w ith a L a tin Ameri can i s l i a b l e t o keep r e t r e a t i n g t o in c r e a s e d is ta n c e b etw een them w h ile th e L atin American w i l l keep ed g in g c l o s e r . Both become in c r e a s in g ly un com fortable and 291 f r u s t r a t e d . 13 M orality and M oralizing W estern moral v a lu e s f i t th e i n d u s t r i a l s o c i e t y and have had p r a c t i c a l u t i l i t y . S in c e th e y seem t o have proven t h e i r worth in th e U n ited S t a t e s , Am ericans in p a r t i c u la r among W esterners tr y t o "export*’ t h e s e v a l u e s , u s u a lly w ith o u t f u l l knowledge o f t h e i r con seq u en ces in o th e r s o c i e t i e s . Lack o f s u c c e s s i n c o n v e r tin g o th e r s t o t h e s e sta n d a rd s may le a d some t o f e e l t h a t p e o p le s o f non-W estern c u lt u r e s are u n p r in c ip le d , g r a ft r id d e n , c o r r u p t, and i n ca p a b le o f o b j e c t i v e f a i r n e s s in d e a lin g w ith t h e i r f e l lo w s. I t sh ou ld be r e a l i z e d t h a t o th e r sy stem s o f m o r a lity may be d i f f e r e n t though not n e c e s s a r i l y i n f e r i o r : what appears t o be " g o ld b ric k in g " may o n ly be a la c k o f c l e a r d i s t i n c t i o n betw een worktim e and p la y tim e ; what appears to be n ep o tism may be a l e g i t im a t e d e v o tio n t o fa m ily t i e s , and n e g le c t o f t h e s e would be r e p r e h e n s ib le in th e c u lt u r e ; what appears t o be g r a ft may be a h ig h ly fo r m a liz e d sy stem o f g r a t u i t i e s which both augment a l e s s - t h a n - l i v i n g wage and s e r v e t o acknow ledge f a v o r s , much l i k e th e custom o f t ip p in g w a it e r s . In any c u l t u r e , th e r e are t o l e r a b l e d e v ia t io n s from ■ ^ C levelan d , Mangone, and Adams, o p . c i t . , Ch. I l l , pp. 2 6 -4 5 ; A rensberg and N ie h o f f , op. c i t . , Ch. V I, pp. 1 5 3 -8 3 ; Edward T. H a ll , The S i l e n t Language (New York: Doubleday & Co., Inc., 1359) , p a s s im ; S p e c to r and P r e s to n , op. c i t . , pp. 4 -4 1 . 292 any m oral norm; th e l i m i t s o f t o l e r a t i o n may n o t be th e sam e, but th e y are t h e r e , n o n e t h e le s s . W ester n e rs, and i n p a r t i c u l a r , A m erican s, ten d t o make c a t e g o r i c a l judgm ents in term s o f " righ t" and "wrong." Such judgm ents can be made on th e l i t e r a l norms o f t h e W estern c u ltu r e o r on th e t o l e r a b l e d e v ia t io n s from t h e s e norms. In e i t h e r c a s e , th e judgm ents are l i k e l y t o be i r r e l e v a n t t o th e p a r t i c u la r c u lt u r e a t hand.-*-1 * C u ltu r a l A djustm ent and B eh avior The r o le o f any s o l d i e r s t a t i o n e d in an e x o t i c area and em erging c u ltu r e sh o u ld be s o c o n c e iv e d t h a t he i s a c c e p ta b le t o t h o s e w ith whom he has t o d e a l and s o t h a t he can i n c r e a s in g ly make h is own o b s e r v a t io n s . There i s no r i g i d form ula fo r t h i s r o le . I t v a r ie s a c c o r d in g t o th e c u lt u r e and th e p e r s o n a lit y o f th e i n d i v i d u a l . There a r e , how ever, a few sim p le g u id e lin e s which can be o ff e r e d : (1) The s o l d i e r s h o u ld m ingle w ith a l l l e v e l s and c l a s s e s o f th e l o c a l p o p u la t io n , though ta k in g care n o t t o be i d e n t i f i e d w ith one p a r t i c u la r segm ent o f th e p eo p le when such i d e n t i f i c a t i o n w i l l a l i e n a t e or a n ta g o n iz e a n oth er segm en t. (2) He sh o u ld le a r n and p r a c t ic e some o f th e l o c a l w ays. (3 ) He sh o u ld not h e s i t a t e t o a c c e p t h o s p i t a l i t y . He sh o u ld consume w ith g r a c io u s n e s s (even i f w ith m oderation ) th e l o c a l d i e t and l i b a t i o n , j o i n i n l o c a l ■^Arensberg and N i e h o f f , op. c i t . , pp. 175-78. 293 s p o r t s , f e s t i v a l s , and th e l i k e . In s h o r t , he sh o u ld g e t c lo s e enough t o th e c u lt u r e t o be c o n s id e r e d a " r eg u la r guy" and sh o u ld a v o id th e image o f "boss-man" or r e lu c t a n t o u t s id e r . He must "play th e game" a c c o r d in g t o th e r u le s o f th e c u lt u r e in which he fin d s h im s e lf ; a v o id a t a l l c o s t th e e th n o c e n tr ism a s s o c i a t e d w ith many in d iv id u a ls in an a l i e n c u l t u r e . On th e o th e r hand, he sh o u ld r e a l i z e t h a t he cannot e v e r become a f u l l p a r t ic ip a n t in th e c u ltu r e and thu s sh o u ld not t r y . Such an a ttem p t m ight be more o f f e n s i v e than s t e r i l e a l o o f n e s s . A n a ly zin g Another C ulture M o tiv a tin g a p e o p le o f a n o th er c u lt u r e fo r any purpose r e q u ir e s a c o n s id e r a b le knowledge o f t h a t p e o p le and o f th e th in g s th ey h o ld im p o rta n t. M o tiv a tio n t o sup p o rt c o u n te rin su r g e n c y means a commitment by l o c a l p eo p le t h a t makes an u n d ersta n d in g o f t h e i r c u lt u r e im p e r a tiv e . The s o l d i e r concerned w ith a d v iso r y duty has a heavy r e s p o n s i b i l i t y . I d e a l l y , th e t a s k sh ou ld be undertaken on ly by th o s e who are s te e p e d in th e c u lt u r e and who have been t r a in e d t o make r e le v a n t o b s e r v a t io n s . In p r a c t i c e , th e fo r e ig n m ilit a r y person charged w ith m o tiv a tin g l o c a l p e o p le s i s n o t l i k e l y t o have e i t h e r q u a l i f i c a t i o n . He sh o u ld t h e r e f o r e , o b ta in th e in fo r m a tio n he needs from such o th e r p erso n s or documentary so u r c e s as may be a v a i la b l e to 294 him or through the use o f sim ple te c h n iq u e s fo r o b s e r v a tio n o f th e s o c i e t y which h e can h i m s e l f em ploy. Documents For m o st c u lt u r e s and f o r many s u b c u ltu r e s , in c lu d in g obscure t r i b a l g r o u p s , th e r e are a t l e a s t some area s t u d i e s of t h e p e o p le , v i l l a g e l i f e , and c u l t u r a l p a tte r n s b a se d on th e c a r e f u l r e s e a r c h o f s o c i a l s c i e n t i s t s . I f tim e and o p p o r tu n ity p e r m it, th e person a s s ig n e d t o a giv en non-W estern c u lt u r e s h o u ld o b ta in and rea d such works b e fo r e going i n t o th e a r e a . F r e q u e n tly , th e r e w i l l a ls o be e a s i l y read n o n f i c t i o n , such as t h e p e r s o n a l r em in isc e n c e s o f contem porary persons who l i v e i n or came from t h e area or o f W esterners who s p e n t many y e a r s in t h e a r e a . F i n a l l y , th e re a r e n o v e ls about t h e a r ea , w h ic h , th ou gh f i c t i o n i z e d , can give u s e f u l in fo r m a tio n on the d a i l y l i f e v iew p o in t o f t h e l o c a l p e o p le s , i f based on the a c t u a l ex p e r ie n c e and o b s e r v a tio n o f th e au th or. O ther s t u d i e s d e a lin g w ith s p e c i f i c a r ea s or c o u n t r i e s , p u b lish e d fo r government departm en ts and a g e n c ie s , s h o u ld not be n e g le c te d . K now ledgeable Persons I f p r in t e d s o u r c e s are n o t a v a i l a b l e , or ev en i f th e y a r e, t h e s o l d i e r m ust seek a d d i t io n a l in fo r m a tio n ab o u t the new c u ltu r e from know ledgeable p e r s o n s . Western a n t h r o p o l o g is t s , who a r e the m ost l i k e l y s o c i a l s c i e n t i s t s 295 t o have had lo n g r e s id e n c e in a rem ote a r e a , or o th e r tr a in e d o b ser v er s sh o u ld be a c h o ic e so u rce o f in fo r m a tio n . The s o l d i e r may a ls o se e k in fo r m a tio n from r e p r e s e n t a t iv e s o f h i s own or f r ie n d ly f o r e ig n governm ents who have l iv e d f o r some tim e in th e a r ea . He sh ou ld be c a r e f u l , how ever, t o s e l e c t o n ly th o s e who have d i r e c t c o n ta c t w ith a l l c l a s s e s o f p e o p le , in c lu d in g v i l l a g e f o l k , r a th e r than p erso n s whose p r e o c c u p a tio n i s w ith a d m in is tr a tiv e m a tters and whose knowledge o f th e s o c i e t y o u t s id e th e c a p i t a l or p r o v in c ia l bu reaucracy i s o ft e n lim it e d . In a d d itio n to o f f i c i a l r e p r e s e n t a t iv e s , m is s io n a r i e s are to be found alm ost a n y w h e r e --fr e q u e n tly in remote a r e a s where c o u n te r in su r g e n c y a c t i v i t y i s l i k e l y t o ta k e p l a c e . Many o f th e s e p e o p le have sp en t lo n g y e a r s , some tim e s l i f e t i m e s , in th e a r e a , and alm ost by d e f i n i t i o n , l i v e among th e common p e o p le . Perhaps th e major b ia s or "blank spot" in th e m is s io n a r y 's knowledge i s t h a t o f l o c a l r e l i g io u s b e l i e f and p r a c t i c e : s in c e th ey work to co n v e rt men t o t h e i r own r e l i g i o u s b e l i e f s , some may be i n c l i n e d to c l a s s i f y l o c a l f a i t h s as s u p e r s t i t i o u s . Other W ester n e rs, such as b u sin essm en , p l a n t e r s , c o l o n i s t s , and so f o r t h , may have liv e d in th e area fo r a lo n g tim e and prove r ic h so u r c e s o f in fo rm a tio n about th e c u l t u r a l ways. W hile th ey may in d eed know a l l c l a s s e s o f p e o p le , i t sh ou ld be remem b e r e d , how ever, t h a t many have known th e more common p eo p le and v i l l a g e r s c h i e f l y as w orkers o r custom ers and may be 296 un acq u ain ted w ith th e d e t a i l s o f t h e i r d a ily l i v e s . To a l e s s e r d e g r e e , th e s o l d i e r can lea rn from h is i n t e r p r e t e r i f he needs o n e , le a d e r s o f s p e c i a l i z e d groups such as fa rm ers, or l o c a l o f f i c i a l s . These in d ig e n o u s p eop le c e r t a i n ly know t h e i r own s o c i e t y , and w h ile th ey may r e f l e c t th e p r e ju d ic e s o f t h e i r p o s i t i o n s , th e y w i l l probably be most a r t i c u l a t e about l o c a l p ro b lem s, a s p ir a t io n s , and f r u s t r a t io n s . On th e o th e r hand, one major d i f f i c u l t y in many d e v e lo p in g s o c i e t i e s i s t h a t urban-based n a tio n a l le a d e r s and o f f i c i a l s o f te n come from p r iv ile g e d urban c l a s s e s and have not p a r t ic ip a t e d in e i t h e r v i l l a g e or im poverished urban l i f e . Even i f t h e s e le a d e r s grew up in humble e n v ir o n s , th ey g e n e r a lly r e j e c t su ch l i f e a f t e r se c u r in g ed u ca tio n and o f f i c i a l p o s i t i o n . They o fte n r e gard th e v i l l a g e r s as more s u p e r s t i t i o u s , l a z y , or "under developed" than th e e th n o c e n tr ic o u t s id e r . F o rtu n a tely th e re are alw ays a few o f f i c i a l s , e s p e c i a l l y l o c a l r u r a l o f f i c i a l s , who understand th e ways o f l i f e and problem s o f th e common p e o p le . These f o lk can be a v a lu a b le sou rce o f in fo r m a tio n . I t sh o u ld n o t ta k e th e Western s o l d i e r lon g t o i d e n t i f y the k n o w led g ea b le, h e lp f u l p e r so n s. W hatever th e i n s i g h t o f a know ledgeable p e r so n , th e a l ie n s o l d i e r must keep in mind t h a t he r e q u ir e s inform a t io n t h a t no one person or c l a s s can g iv e him. He must assem ble a t o t a l p ic tu r e from a number o f d i f f e r e n t p o in ts o f v iew . 297 While any s o l d i e r a ttem p tin g t o m o tiv a te l o c a l p o p u la tio n s t o su p p ort c o u n te r in su r g e n c y sh ou ld f e r r e t out as much p r e lim in a r y in fo r m a tio n as p o s s i b l e , h i s a sse ssm e n t o f th e s o c i e t y , based on h i s own c o n ta c t w ith the c u l t u r e , must con firm or r e j e c t h i s p r e lim in a r y im p r e s s io n s . He must o b s e r v e , l i s t e n , p a r t i c i p a t e , in q u ir e , and f i n a l l y a s s e s s . W ithout d i r e c t in q u ir y , h i s in fo r m a tio n w i l l be n e i t h e r f u l l y r e le v a n t t o h i s p u rp o se , n or c o m p le te , nor u p ’ t o d a t e ; he w i l l n ot be a b le t o i n t e r a c t w ith p eo p le w ith in th e c u lt u r e i n m ean in gfu l term s. With in fo r m a tio n d e r iv e d d i r e c t l y from th e a c tu a l s e t t i n g , he can c o n s t a n tly a n a ly z e and r e a n a ly z e th e c u lt u r e . He can determ ine needs or m o tiv es which can be a p p ea led t o w ith in th e c u lt u r a l c o n te x t t o a c h ie v e th e ends he s e e k s . There are many s o c i a l s c ie n c e te c h n iq u e s f o r o b ta in in g th e in fo r m a tio n he n e e d s. W ithout adequate tim e and w ith o u t e x p e r t t r a i n in g or a d v ic e , how ever, th e more s o p h i s t i c a t e d v e r s io n s o f t h e s e te c h n iq u e s are u s e l e s s t o him. Some sim p le t e c h n iq u e s t h a t he may be a b le t o use f o llo w ; th e s e are m o d ifi c a t io n s o f s o l i d s c i e n t i f i c p r a c t i c e . O b servation S y ste m a tic an d ’ "educated" o b s e r v a tio n i s one o f th e George M . F o s t e r , T r a d it io n a l C u ltu res: th e Im- ? a c t o f T e c h n o lo g ic a l Change (New York: Harper and Row, 9 6 2 ) , p p . 135-21 /y i la l T , op. c i t . , pp. 1 4 3 -6 3 ; A rensberg and N i e h o f f , op. c i t . , pp. 3 9 -5 4 .’ 29 8 e a s i e r and, in some s e n s e s , th e more f r u i t f u l o f te c h n iq u e s th e s o l d i e r can use t o o b ta in in fo r m a tio n . E v e ry th in g in a c u ltu r e has m eaning. The way th e h o u ses o f a v i l l a g e are c lu s t e r e d , f o r exam p le, may r e v e a l a g r e a t d e a l. I f homes are c lu s t e r e d in some s o r t o f rough c i r c l e , th e a l i e n ob s e r v e r may f a i r l y assum e: (1 ) t h a t .t h e r e i s prob ab ly some h i s t o r i c a l reason f o r such a grou p in g— a r e a so n he sh o u ld in q u ir e ab ou t in g r e a te r d e t a i l , and (2 ) t h a t th e s o c i a l l i f e o f th e v i l l a g e i s l i k e l y t o be determ in ed by t h i s con f i g u r a t i o n . I t i s e a s i e r t o g a th e r f o r e n te r ta in m e n t, v i s i t i n g , or i n s t r u c t i o n in su ch a s e t t i n g than i f th e houses were str u n g ou t a lo n g a path or ro a d , or even s c a t t e r e d o v e r p a tc h e s o f c u l t i v a t e d la n d . I f th e c e n t e r o f v i l l a g e a c t i v i t y i s th e r e l i g i o u s te m p le , t h i s s u g g e s ts one s o r t o f a n a l y s i s ; i f th e v i l l a g e c e n te r s around th e hut o f th e headman, a n o th e r a n a ly s is i s s u g g e s t e d . I f th e v i l la g e r s a r e g e n e r a lly h o s t i l e t o s t r a n g e r s , one v a lu e i s m a n ife st and th e h i s t o r i c a l r ea so n may be r e le v a n t ; i f th e v i l l a g e r s a re u s u a lly h o s p i t a b l e , a n o th er v a lu e seems ap p aren t. There i s no end t o th e o b s e r v a tio n s th e s o l d i e r may make. H is r e a l ta s k i s t o g iv e h is o b s e r v a tio n s mean in g by i n t e r p r e t in g them i n t h e l i g h t o f a l l e l s e he knows o f th e c u l t u r e . He w i l l fin d t h a t by c h e ck in g the few f i r s t o b s e r v a tio n s a g a in s t o th e r s o u r c e s f o r accu racy and r e le v a n c y , and making a d ju stm en ts in h is te c h n iq u e s a c co r d i n g l y , he can soon t r a i n h im s e lf t o o b ser v e w ith p r a c t i c a l 29.9 accu racy. He n eed not be em barrassed i f he fin d s i t n e c e s sary t o c o n s t a n tly r e v is e h i s a p p r a is a ls . Human a f f a i r s are dynamic and s o i s th e le a r n in g p r o c e s s . In f a c t , i t might be s a id w ith more th an a g r a in o f tr u th th a t he i s not d o in g h is jo b i f he f a i l s to change h i s o p in io n s , to some e x t e n t , e v er y week. L is te n in g t o C on versation The s o l d i e r must l i s t e n as w e ll as lo o k . The most t r i v i a l c o n v e r sa tio n can be r e v e a lin g . The p s y c h o a n a ly st, fo r exam p le, b a se s h is work on a ste a d y flo w o f r e m in isc e n t c o n v e r sa tio n w hich he l a t e r a n a ly z e s fo r su b c o n scio u s mean in g . C o n v er sa tio n s can r e v e a l f a v o r i t e fo o d s and p a s tim e s, hopes and a s p i r a t i o n s , f e a r s and f r u s t r a t i o n s . A u th o r ity fig u r e s and p a tte r n s o f a c u ltu r e can be su g g e s te d by con v e r s a tio n overh eard. The e x te n t o f a p e r s o n 's knowledge or i n t e r e s t in t h in g s o th er than d a y -to -d a y l i f e in a v i l l a g e may be p a r t i a l l y su g g e s te d . G ossip can i d e n t i f y th e p er sons amenable t o th e co u n te rin su r g e n c y m issio n and th o s e opposed. As he b e g in s t o win t r u s t and a c c e p ta n c e , th e s o l d ie r can j o in th e se c o n v e r s a tio n s and, in some c a s e s , even le a d the c o n v e r s a tio n t o t o p ic s which he w ish es to e x p lo r e . He sh o u ld be aw are, how ever, th a t p eo p le (o u t o f d e fer en ce and c o u r te s y ) w i l l som etim es t e l l him what th ey think he wants t o hear. In some c u lt u r e s t h i s i s a h ig h ly p o s i t i v e v a lu e . Thus a d i r e c t q u e s tio n may e l i c i t a w e l l- 300 in te n tio n e d but in c o r r e c t or m isle a d in g answ er. There i s a l s o r is k th a t a d i r e c t q u e s tio n w i l l o ffe n d , and the p ro p r ie t y o f a str a n g e r t o pry may be i m p l i c i t l y or e x p l i c i t l y c h a lle n g e d , The s u b j e c t o f c o n v e r sa tio n w i l l be th e f i r s t con cern o f th e m ilit a r y man, but he sh ou ld a ls o concern him s e l f w ith th e use o f ter m s, r e p e t i t i o n o f i d e a s , and o th er v e r b a l p a t te r n s . I f th e s u b je c t o f c o n v e r sa tio n i s fo o d , and th e word "rice" i s used c o n s i s t e n t l y , he may assume w ith o u t o th er e v id en ce t h a t r ic e i s e i t h e r th e s t a p le d ie t or th e p r e fe r r e d food . S im ila r ly , i f a l o c a l people e x t o l l th e v ir t u e s o f democracy but a t th e same tim e argue th a t s tr o n g man or e l i t e le a d e r s h ip i s th e b e s t form o f r u l e , th e s o l d i e r m ight r ea so n a b ly assume th a t "democracy" means som ething d i f f e r e n t to th e s e p eo p le than i t does p e o p le s o f o th e r c u lt u r e s or to him. The u n d e rly in g meaning o f con c e p t -words in a c u ltu r e can be determ ined by con tin u ou s a n a ly s is o f t h e i r use in c o n v e r s a tio n . C on versation i s not s o l e l y v e r b a l e x p r e ss io n : g e s t u r e s , f a c i a l e x p r e s s io n , mood, and ton e o f v o ic e are a l l c lu e s t o th e way p eop le f e e l . The v i s i t o r , how ever, sh ou ld n o t a s c r ib e h is own system o f v a lu e s to th e s e su b verb al p a tt e r n s . Laughter in some areas i s a t y p i c a l co v er f o r ■ ^ L o r a n d S za la y and Jack B ren t, " C u ltu ral Meanings and V alues: A Method o f E m p irical A ssessm ent" (W ashington, D. C .: S p e c ia l O perations R esearch O f f i c e , 1 9 6 5 ), p a ssim . (M im eographed.) 301 em barrassm ent— or even g r ie v o u s sh ock — r a th e r than e x c lu s i v e l y a s i g n o f j o y . C o n tin u a l exp osu re t o th e l o c a l p a tte r n s w i l l te a c h th e s o l d i e r t h e i r m eaning. With such k n ow led ge, th e s e su b v erb a l p a tte r n s w i l l become v a lu a b le t o o l s f o r a n a ly s is o f th e c u lt u r e . P a r t i c i p a t i o n in L ocal A c t i v i t y By p a r t i c i p a t i n g in l o c a l r e c r e a t io n , c o n s t r u c t iv e e n d e a v o r s, and s o c i a l l i f e , th e s o l d i e r can in c r e a s e h i s o p p o r t u n it ie s t o o b serv e and l i s t e n , and can i n c r e a s in g ly win th e t r u s t and c o n fid e n c e o f th e l o c a l p e o p le . I f he le a r n s to p lay a l o c a l a t h l e t i c game, f o r exam p le, h is teammates w i l l be more l i k e l y t o c o n s id e r him w orthy o f shared c o n fid e n c e s --a n d would be l e s s l i k e l y t o e x c lu d e him from c h it c h a t about community a f f a i r s . I f he r e g u la r ly e n t e r t a in s and i s e n t e r t a in e d by l o c a l f a m i l i e s , he w i l l soon be p r iv y t o fa m ily t a l k t h a t can r e v e a l a t t i t u d e s and v a lu e s . T h is kind o f p a r t i c i p a t i o n has a "grow -as-you -go" q u a l i t y . Ever w id en in g c i r c l e s o f c u l t u r a l a c c e s s and u n d ersta n d in g become p o s s i b l e . Depth In te r v ie w A n th r o p o lo g is ts and o th e r s o c i a l s c i e n t i s t s who seek t o know a c u ltu r e have found th e method o f "depth in te r v ie w s " p a r t i c u la r ly h e l p f u l . On a p a r t i c u la r s u b j e c t , th e fran k o p in io n s o f an inform ed few can be more h e lp f u l than s u p e r f i c i a l r e a c t io n s from many. The s o l d i e r in an 302 a l ie n land can use t h i s te c h n iq u e , but he should u se i t c a u t io u s ly . He sh ould s e l e c t th o s e whom he w ishes t o in te r v ie w w ith g rea t c a re and become w e ll acq u ain ted w ith them b efore th e in te r v ie w . Once he has g o tt e n them s t a r t e d on p a r t ic u la r a sp e c ts o f l o c a l l i f e , he sh o u ld r e f r a in from prompting o r q u e s tio n in g . He sh ou ld be aware o f and com p e n sa te f o r , any c u lt u r a l i n c l i n a t i o n th e y may have to t e l l him what i t i s thought he wants to hear. F in a lly , he sh ou ld c a r e f u lly avoid g iv in g th e im p r e ssio n th a t he i s p ry in g or sp y in g : e x p e r ie n c e has shown i t i s unw ise to be seen ta k in g n o t e s , or s k e tc h in g maps, or d oin g a n y th in g e l s e which m ight be so m isco n stru ed . In an in s u r g e n t-c o u n - te r in s u r g e n t s e t t i n g , t h i s co u ld be a s e r io u s b lu n d er. Content o f Media In th e same way th a t he can a n a ly z e c o n v e r s a tio n s , th e s o l d i e r can a n a ly ze 'the c o n te n t o f t h e comm unications m e d ia --r a d io , new spapers, and so fo r th . Needs and p r e f e r en ces are r e v e a le d in such com m u nication s, as are b a s ic v a lu e s . Even a d v e r tisem en ts can be u s e f u l: admen th e w orld over ap p eal to needs and v a lu es t o make t h e i r product more a t t r a c t i v e . The typ e o f produ cts a d v e r tis e d can a ls o be a source o f in fo r m a tio n . I f , fo r exam p le, th e r e i s a c o n s i s t e n t predominance o f a d v e r tisem en ts f o r p a te n t medi c in e s in d a ily community p a p er s, one m ight assume th e r e i s p r eo ccu p a tio n w ith , or even a n x ie ty o v e r , h e a lth . Thus, 30 3 the n a tu re o f th e a d v e r tisem en ts may even make s p e c i f i c co n cern s known. Other Approaches There are a number o f o th e r te c h n iq u e s fo r g a th e r in g in fo r m a tio n which are d is c u s s e d in more d e t a i l e l s e where i n t h i s t h e s i s . ^ They in c lu d e op in io n su rv ey s o f e n t i r e p o p u la tio n s , su rv ey s o f random p o p u la tio n sa m p les, and use o f s e l e c t e d in fo rm a n ts. A l l o f th e s e can be u s e f u l . B efore t h e i r u s e , how ever, th e c a v ea t a g a in s t seem ing t o pry or to spy in th e s t r e s s f u l c o n d itio n o f in su rgen cy and c o u n te r in su r g e n c y — as w e ll as th e c u lt u r a l i n h i b i t i o n s a g a in s t d ir e c t query— sh ou ld be tak en in t o a c c o u n t. What to Look f o r in C u ltu re A n a ly sis With h is so u rc es o f in fo rm a tio n and h i s ob serv a t i o n s , th e s o l d i e r o v e r se a s sh ould se e k an u n d erstan d in g o f th e p e o p le 's n e e d s, t h e i r a s p i r a t i o n s , e x p e c t a t io n s , and f r u s t r a t io n s a t th e g r a s s r o o ts l e v e l . He sh o u ld tr y t o understand th e ap p eal o f th e o th e r s id e in order t o d e te r mine what m o tiv a te s in s u r g e n ts or p o t e n t i a l in s u r g e n ts . He sh ould le a r n through what people or what i n s t i t u t i o n s he sh ou ld work. He sh o u ld w ith as g r e a t a care as p o s s ib le i d e n t i f y lea d er s and le a d e r s h ip groups o f both in su r g e n t and n o n in su rg en t p o r tio n s o f th e p o p u la tio n , and he sh ould l^V ide, Ch. I l l , problem 2 , pp. 113-19. 3.04 a n a ly z e the c h a r a c t e r i s t i c s o f and b a ses fo r su ch le a d e r s h ip . fie s h o u ld examine the power s tr u c t u r e o f t h e s o c i e t y and a s s e s s how i t f u n c t io n s . He sh ou ld t r y to s p o t minor m alad ju stm en ts or i n c o n s i s t e n c i e s which may be sym ptom atic o f breakdown i n th e s o c i e t y . He sh ould a l s o tr y t o a s s e s s th e c o m p a t ib ilit y or in c o m p a t ib ilit y o f v a rio u s elem en ts o f th e s o c i e t y w it h e x i s t i n g s i t u a t i o n s . For exam p le, he may e s t im a te th e a b i l i t y o f t r a d i t i o n a l le a d e r s t o m eet the c h a lle n g e o f in c r e a s in g c e n tr a l c o n t r o l. Though by no means an e x h a u s tiv e l i s t , th e fo llo w in g im p ortan t a sp e c ts o f a s o c i e t y must be c o n sid e r e d by th e a l i e n s o l d i e r i f h i s a ssessm en t i s t o be m ea n in g fu l. L ead ersh ip and A u th o r ity P a tte r n s L eadership and a u t h o r it y are im portant t o any group o f humans who l i v e and work t o g e t h e r . P a tte r n s o f c o n tr o l a re e s p e c i a l l y im p ortan t to th e s o l d i e r from a n o th er co u n try or community who may need t o u t i l i z e h i s knowledge t o h e lp o r g a n iz e and encourage p eo p le toward th e m o tiv a tio n he s e e k s . One way to i d e n t i f y le a d e r s h ip p a tte r n s i s to ob s e r v e how d e c is io n s a r e made by l o c a l g ro u p s, n o t in g who c o n t r o ls what and t o whom p e o p le go f o r d e c is io n s on v a r i ous m a tte r s. By n o tin g th e p r o c e s s e s by which any given group d e c id e s on a c o u r se o f a c t i o n , t h e m ilit a r y man w i l l soon s e e w hich in d iv id u a ls a re r e s p e c te d by th e e n t ir e 30 5 group— and r e s p e c t e d o u t s id e th e group. He w i l l s e n s e th e e x te n t t o which in d iv id u a ls are p e r m itte d to go t h e i r own w ays; he w i l l be a b le t o i d e n t i f y th e s o c i a l is s u e s , th a t th e l o c a l p eo p le s e e and a s s e s s th e d egree t o w hich th e s e p eo p le may be o r g a n ize d around t h e s e i s s u e s . He w i l l gain i n s i g h t i n t o how p eo p le become in v o lv e d in d is c u s s in g a d e c is io n which w i l l a f f e c t th e c o m m u n ity -a t-la r g e and he w i l l n o te how many p eop le become in v o lv e d . There w i l l be i n t e r e s t i n g d if f e r e n c e s i n th e way some d e c is io n s are made in t r a d i t i o n a l or t r a n s i t i o n a l s o c i e t i e s and th e way th e y are made in th e s o l d i e r ' s own community. In th e U n ited S t a t e s , fo r exam p le, many d e c is io n s are made by a man and h i s w if e th a t in non-W estern c u lt u r e s must be made by th e ex ten d ed fa m ily . Thus, a d e c is io n to send a man t o th e h o s p i t a l fo r tre a tm en t may in v o lv e s o c i a l and econom ic r e p e r c u s s io n s f o r many p e o p le in th e t r a n s i t i o n a l s o c i e t y , and c o n se q u e n tly t h i s d e c is io n must be c o n sid e r e d by them b e fo r e any a c t io n can be ta k e n . In t h e s e s o c i e t i e s , b e cause o f m argin al l e v e l s o f l i v i n g and human in te r d e p e n d e n c y , d e c is io n s which may seem t r i v i a l t o an American may ta k e on c r i t i c a l im p o rta n ce. Of g r e a t e r s i g n i f i c a n c e , th e d e c isio n -m a k in g p a tte r n s can r e v e a l le a d e r s h ip p a tte r n s and power clu sters.^ -® I t i s u s e f u l to c o n s id e r two b a s ic ty p e s o f le a d e r s ^ F o s t e r , op. c i t . , Ch. VI, pp. 105-15. 306 in d e v e lo p in g s o c i e t i e s : th o se who have had some c o n ta c t w ith modern id e a s and p r a c t i c e s , who stan d somewhere be tween t h e i r own t r a d i t i o n a l c u lt u r e and th a t o f th e West; and th e t r a d i t i o n a l le a d e r s who r e t a in t h e i r a u th o r ity from tim e-h on ored s a n c t io n s . Between th e s e groups th e r e are s e l f - d e f e a t i n g antagon ism s and op p osin g purposes which can som etim es a f f e c t th e p r a c t i c a l consequ en ces o f t h e i r a u th o r it y . E q ually d e le t e r io u s i s th e am bigu ity o f le a d e r sh ip r o l e s . Even in nom inal d em o cra cies, fo r exam ple, th e t r a d i t io n o f a u t h o r it a r ia n c o n t r o l d ie s hard and e l i t e groups do n o t alw ays in te r m in g le w ith th e p e o p le th e y p r o fe s s t o s e r v e . As has been m en tion ed , many o f f i c i a l s do not understand or perhaps do n o t even care about th e common v i l l a g e r . At l o c a l l e v e l s , i t would be w e l l to a s s e s s th e r o le o f th r e e s p e c i f i c ty p es o f le a d e r s — they are fr e q u e n t ly o f im portance in a t r a n s i t i o n a l s o c i e t y : (1) th e s c h o o lte a c h e r o ft e n e f f e c t i v e l y c r o s s e s th e b a r r ie r between th e c e n t r a l a u t h o r i t i e s and th e v i l l a g e r ; he b r in g s to th e v i l l a g e r e d u c a t io n - - o f t e n p e r c e iv e d as the key to a b e t t e r l i f e . (2) The t r a d i t i o n a l headman o f th e v i l l a g e or com m u n ity, by w h atever name or t i t l e he i s c a l l e d , may r e t a in more power than th e "modernized" c e n tr a l a u th o r ity gran ts _ him; he may have more c r e d i b i l i t y w ith h is own p e o p le than th e c i v i l o f f i c i a l who v i s i t s on ly from tim e t o tim e. When th e o f f i c i a l and h is en tou rage l e a v e , th e v i l l a g e r s d is c u s s 307 | th e i s s u e s l a i d b e fo r e them and may ask th e headman w hether or not t o a c c e p t th e p rom ises and a d v ic e o f f e r e d . I f th e headman does n o t ag ree w ith th e o f f i c i a l ' s v ie w s , i t i s t u n lik e ly t h a t t h e s e v iew s w i l l win v i l l a g e a c c e p ta n c e . j (3 ) The r e l i g i o u s le a d e r i s a l s o im p ortan t and o fte n w ie ld s ' i in f lu e n c e beyond th e p u r e ly r e l i g i o u s realm . Like th e ! t e a c h e r , he l i v e s among th e p eop le and p r o v id e s s a t i s f a c t i o n f o r a p e r c e iv e d fundam ental n eed . To se cu re th e c o o p e r a tio n o f th e r e l i g i o u s le a d e r i s o f t e n t o o b ta in th e c o o p e r a tio n o f th e v i l l a g e r s . Economic System When a n a ly z in g a c u l t u r e , one sh o u ld look a t the econom ic sy stem i n which goods and s e r v i c e s are d i s t r i b u te d . The prim ary d i f f i c u l t i e s o f th e av era ge member o f a t r a n s i t i o n a l s o c i e t y are econom ic— even when th e r e are grave p o l i t i c a l t r o u b le s and v io le n c e in th e a r e a . I t i s u s e f u l t o determ ine ro u g h ly what p er c e n t o f h is la b o r i s geared t o t r a d i t i o n a l p u r s u i t s , and rou gh ly what per cen t o f th e goods he p u rch ases w ith th e f r u i t s o f h is la b o r are produced under modern c o n d it io n s . The economy w i l l d e ter m in e , in la r g e m easure, some o f th e p a tte r n s o f d a ily l i f e . In tu r n , a c t i v i t y p a tte r n s are used t o d e s c r ib e and understand l o c a l c u l t u r e s . Some o f th e q u e s tio n s which sh o u ld be answered in c lu d e : Who does w h at, and in what tim e p r o p o r tio n s? What are th e 308 v a r io u s ways in which ord in ary p e o p le spend t h e i r tim e? When, w h ere, and fo r what purpose i s la b o r perform ed? How, w h ere, and t o whom a r e p rod u cts so ld ? What a re th e c h i e f so u r c e s o f community income? How do th e p e o p le spend what r e so u r c e s th e y accum ulate? Answers t o t h e s e q u e s t io n s can c o n tr ib u te t o an u n d ersta n d in g o f b a s ic need s and m o t iv e s .19 Subgroups and S o c i a l U n its No s o c i e t y , r e g a r d le s s o f i t s s i z e , r e p r e s e n ts a homogeneous u n it ; e v er y s o c i e t y i s su b d iv id e d in t o s m a lle r u n it s which have s p e c i a l i n t e r e s t s o f t h e i r own. Sometimes ! t h e s e subgroups c o o p e ra te w ith each o th er w h ile som etim es th e y are c o m p e titiv e o r even a n t a g o n i s t i c . One im p o rtan t d if f e r e n c e o f d e v e lo p in g s o c i e t i e s from W estern c u ltu r e s (where l o y a l t y to n a t io n , w ith con seq u en t broad u n i t y , i s h ig h ly v a lu ed ) i s t h a t th e member o f a non-W estern c u lt u r e may fo cu s h i s l o y a lt y on h is fa m ily and on th e subgroups to w hich h is fa m ily b e l o n g .20 The r e s u l t i s th a t d e v e lo p in g s o c i e t i e s ten d t o have a r e l a t i v e l y h ig h d eg ree o f l°A r en sb e rg and N ie h o f f , op. c i t . , pp. 3 3 -3 8 . 20T h is does n o t mean t o im ply th a t th e r e i s any la c k o f a f f e c t i o n o r l o y a l t y in th e s m a lle r W estern fa m ily . There i s , how ever, a d i f f e r e n t co n cep t o f fa m ily in th e W est, and th e r e are many o th e r a s s o c i a t i o n s com peting f o r an i n d i v i d u a l ' s l o y a l t y . F i n a l l y , in th e W est, t h e r e i s l e s s c u l t u r a l l y im posed community r e s p o n s i b i l i t y f o r th e w e lfa r e o f a d u lt members o f a fa m ily and a lm o st none f o r members o f t h e ex ten d ed fa m ily . 309 fr a g m e n ta tio n , w ith l o c a l i z e d l o y a l t i e s . I f th e r e a r e antagonism s among th e fragm ented e le m e n ts , t h e s o l d i e r must be c a u tio u s in h i s d e a lin g s w ith t h e a n t a g o n is t ic g r o u p s. He may a g g r a v a te th e s i t u a t i o n or h e may ren d e r i n e f f e c t i v e h i s own e f f o r t s . U nderstanding group r e la t io n s h ip s w i l l make h is im m ediate t a s k e a s i e r and c o n tr ib u te to h i s t o t a l a n a ly s is o f th e c u lt u r e . In t r a n s i t i o n a l s o c i e t i e s th e r e may be in t e n s e n a tio n a lis m among some g ro u p s, n o t a b ly th e W estern -ed u ca ted m id d le - c la s s e l i t e . The m ass, o r r u r a l, un ed ucated p e a s a n tr y , how ever, w i l l u s u a lly th in k o f th e s t a t e — i f he th in k s o f i t a t a l l — as embodied in an o f f i c i a l who o c c a s i o n a l l y appears to c o l l e c t t a x e s , o r pu nish in d iv id u a l or community t r a n s g r e s s io n s o f laws t h e s e v i l l a g e r s reg a rd as a r b itr a r y or m e a n in g le s s; th e o f f i c i a l i s a person b e s t a v o id e d . H ence, th e v i l l a g e r lo o k s t o h is l o c a l a s s o c i a t i o n s fo r guidance and a s s i s t a n c e . The su b grou p , p a r t ic u l a r l y th e fa m ily , i s th e v i l l a g e r ' s anchor. B e l i e f System s A l l p eo p le o r g a n iz e th e s e e n and u n seen w orld in t o some r a t io n a l p a tte r n through a sy ste m o f " s o c i a l myths" or b e l i e f s . An u n d ersta n d in g o f th e p a r t i c u la r b e l i e f s a c c e p te d by a c u lt u r e w i l l h e lp t o determ ine a l t e r n a t i v e c o u r ses o f a c t io n in g iv e n s i t u a t i o n s , and h e lp t o e x p la in why an in d iv id u a l or group ta k e s a c e r t a in a c t i o n . Non- 310 I W estern b e l i e f s may d i f f e r from th o s e t h a t are taken fo r gran ted in th e W est— and may a l s o d i f f e r from one non- W estern c u lt u r e t o a n o th e r . In L atin America* f o r exam p le,; th e i d e a l man i s macho— f u l l o f p r id e and v i r i l i t y , and somewhat a g g r e s s i v e . In S o u th e a st A sia a man sh o u ld be ! s o f t sp ok en , f o llo w a path o f m o d era tio n , and n ot be openly: a g g r e s s i v e . There may be myths o f s u p e r i o r i t y and i n f e r i o r i t y . For exam p le, low lan d p e o p le s who o f t e n l i v e in c i t i e s or n ear t r a n s p o r t a t io n r o u te s may f e e l i n n a t e l y s u p e r io r t o h ig h la n d p e o p le s who l i v e in t r i b a l o r g a n iz a t io n . C erta in r a c e s may be h a ted o r d e s p is e d . B e l i e f system s in t r a n s i t i o n a l s o c i e t i e s may d e r iv e from what W estern ers would c a l l th e s u p e r n a tu r a l. T ra d i t i o n a l b e l i e f s may have become in a d eq u a te t o e x p la in what th e l o c a l p e o p le s are b e g in n in g t o se e around them , w h ile , a t th e same tim e , th e y la c k th e e d u c a t io n a l background th a t would e n a b le them t o a c c e p t a modern s c i e n t i f i c e x p la n a t i o n . T his p o in t has im p ortan t im p lic a t io n s fo r th e s o l d ie r from a more d ev elo p ed s o c i e t y than th a t t o w hich he i s a s s ig n e d . Modern m ed ica l tre a tm en t may be a c c e p te d o n ly i f th e r e s u l t s are r a p id and v i s i b l y c o n n e c te d w ith th e t r e a t m ent, f o r exam p le, th e use o f p e n i c i l l i n f o r i n f e c t i o n . The tr e a tm e n t which i s slo w and not o b v io u s ly co n n ected w ith th e c o m p la in t, however v i t a l l y n e c e s s a r y , i s more l i k e l y t o be r e j e c t e d in fa v o r o f t r a d i t i o n a l , i f 311 i n e f f e c t i v e , " cu res." I t i s o f t e n alm ost im p o s s ib le t o c o n v in c e a t r a d i t i o n a l l y o r ie n te d person t h a t d r in k in g w a ter sh o u ld be b o ile d i n ord er t o av o id many d i s e a s e s , f o r th e p r e c a u tio n and d is e a s e seem u n r e la te d t o him. W hatever th e b e l i e f s may b e --a n d no m a tter how in a p p r o p r ia te or even r id ic u lo u s th e o u t s id e r may f e e l th e y a r e — th e s o l d i e r i s most l i k e l y t o o ffe n d by d ir e c t r e s i s t ance or a t t a c k . These b e l i e f s are p art o f th e s o c i a l f a b r ic and are not s u b j e c t t o m o d ific a tio n by th e a p p l ic a t i o n o f W estern l o g i c , which i s i t s e l f a p a r t o f th e W est ern b e l i e f sy stem . I n s t e a d , such b e l i e f s as can be h e lp f u l t o th e purpose o f th e s o l d i e r can be u t i l i z e d and i n t e r p r e t e d t o show congruence between new approaches and fir m ly h e ld b e l i e f s . C u ltu r a l Ways A ll th e a s p e c ts o f a c u lt u r e , d is c u s s e d a b o v e , f i l t e r through h is t o r y and meet t o g iv e each c u ltu r e i t s d i s t i n c t i v e f la v o r — th e t r a d i t i o n a l p r a c t ic e s or c u l t u r a l ways o f th e p e o p le . These are o f c o n s id e r a b le im portance t o th e s o l d i e r when he works w ith th e l o c a l p o p u la tio n . C u ltu r a l ways i n c lu d e : th e k in d o f c lo t h e s th e l o c a l p erson w e a r s, h is c h o ic e o f food and d r in k , h is r e c r e a t io n , h i s tre a tm en t o f f a m ily , and h i s motor h a b it s (su ch as s t y l e o f w a lk in g or s i t t i n g ) w hich were d evelo p ed from c h ild h o o d . Some o f th e custom s and p r a c t i c e s have 312 im m ediate p r a c t i c a l c a u se . The lo n g Arab r o b e , f o r i n s t a n c e , keeps a man c o o le r i n a h o t dry c lim a t e ; th e q u i lt e d c o tto n j a c k e t o f th e C h in ese keeps him warm i n a b i t t e r w in te r . O ther c u l t u r a l wayp seem t o be sim p ly th e r e s u l t o f h a b it . Some p e o p le d e f e c a t e i n a s q u a t t in g p o s i t i o n , and th e i n s t a l l a t i o n o f a W e s t e r n -s ty le p r iv y w ith i t s p e c u lia r s e a t i n g arrangem ent w i l l be met w ith com p l a i n t s o f d isco m fo rt and even c o n s t i p a t i o n — i f i t i s u sed a t a l l . C u ltu r a l ways must be tak en in t o a cco u n t i n any r e la t io n s h ip s th e o u t s id e r has w ith members o f a c u l t u r e . The im p u lse to s u g g e s t a b e t t e r way o f d o in g t h in g s sh o u ld be r e s i s t e d u n t i l th e o u t s id e r knows w h eth er such s u g g e s t io n s w i l l f i t t h e c u lt u r e p a t t e r n . T h e in t r o d u c t io n o f lo n g -h a n d le d hoes as la b o r - s a v in g d e v i c e s , though w e l l i n t e n t io n e d , r e s u l t e d i n th e d is c o v e r y t h a t th e p e a sa n t " b e n e f ic ia r y 1 1 c o u ld o n ly s t r u g g le i n e p t l y w ith them , u n t i l th e h a n d les were c u t so he cou ld u se them i n th e t r a d i t i o n a l sto o p ed p o s i t i o n . I n f lu e n c in g P eop le in A nother C u ltu re As he becomes aware o f h i s own c u l t u r a l p r e co n ce p t io n s and assu m p tion s and as he le a r n s th e c u l t u r a l c lu e s t o b e h a v io r in h i s new en v iro n m en t, th e s o l d i e r w i l l fin d d i v i d e , M argaret Mead C ed .) C u ltu r a l P a tte r n s and T e c h n ic a l Change (New York: New American L ib r a r y , 1 9 5 5 ), p. 13. 313 he i s in a b e t t e r p o s i t i o n t o e x e r c is e in f lu e n c e and in d u ce m o tiv a tio n . This w i l l be la r g e ly a m a tter o f id e n t if y in g and th en s a t i s f y i n g l o c a l needs in terms which are c u ltu r a l l y a c c e p ta b le w h ile a t th e same tim e u s e f u l t o h is purpose. Because o f th e n a tu re o f th e s o p h i s t i c a t e d indus t r i a l s o c i e t y from w hich he com es, th e W esterner has had l i t t l e t r a in in g in d is c o v e r in g needs and problem s; r a th e r , he has been tr a in e d t o fin d new and b e t t e r ways o f a m e lio r a tin g problems th a t have a lre a d y been i d e n t i f i e d . When o v e r se a s in a t r a n s i t i o n a l c u lt u r e , how ever, th e W esterner w i l l fin d th e r e i s a la c k o f agreement both in th e d e f i n i t i o n o f problems which need s o lu t io n and th e p r i o r it y o f problems which have been i d e n t i f i e d . In a sense th e s o l d i e r from th e West must s t a r t from th e b eg in n in g . He must lea r n t o i d e n t i f y n e e d s, h im s e lf , and d e a l with them s te p by s t e p . T his w i l l ta k e a g r e a t d ea l o f time and p a tie n c e . He must d is c a r d h is co n c ep tu a l b ia s as to what i s "good" in any program o f a c t io n . With h is new knowledge o f th e c u l t u r e , th e m ilit a r y man must i s o l a t e th e most p r e s s in g but sim p le n e e d s, c o n sid e r what in th e l o c a l c u l tu r e can be used t o s a t i s f y th e s e n e e d s, and f i n a l l y , adapt (r a th e r than adopt) W estern s o lu t io n s t o th e problem s. From th e s im p le , im m ediate n e e d s, he can proceed t o the more com plex, always m od ifyin g h is s o lu t io n s to th e c u ltu r e and f in d in g t r a d i t i o n a l v a lu e s which w i l l a s s i s t him in 314 w in n in g a ccep ta n ce o f h i s s u g g e s tio n s and in n o v a t iv e i d e a s . Once a g a in , i t sh ou ld be m entioned th a t th e s o l d i e r in a co u n te rin su r g e n c y s e t t i n g i s n ev er o f f d u ty. I t i s no lo n g e r s u f f i c i e n t fo r him to do a com petent t e c h n i c a l job in h i s area o f s p e c i a l knowledge f o r 8 hours a day. He must a ls o be a te a c h e r and a companion. He must s o pene t r a t e th e c u lt u r e t h a t w h atever he has s u g g e s te d , be i t much o r l i t t l e , w i l l c o n tin u e t o ' b e a c ce p ted a f t e r h i s own assign m en t has been com p leted . A ll t h i s i s a p a r t o f m o tiv a tio n . Some o f th e te c h n iq u e s o f in f lu e n c in g o r m o tiv a tin g a r e d is c u s s e d b e l o w . ^ 2 A ppeal to P r e s t ig e The need fo r p r e s t ig e o r r e s p e c t i s common t o a l l s o c i e t i e s , though ways t o s a t i s f y th e need may va ry. Man l i k e s t o have th e e stee m o f h is fe llo w man. A ppeals t o p r e s t i g e can be made i n any way th a t has c u l t u r a l m eaning. P r e s t ig e i s , i n i t s e l f , a reward fo r a c c o m p lish m ent. For each c u ltu r e th e r e a r e u s u a lly agreed upon sym b o ls o f p r e s t ig e in th e i n d u s t r i a l West as w e ll as b e in g r e c o g n iz e d n e e d - g o a ls . S c h o la r ly knowledge i s v a lu ed in some c i r c l e s . The u se o f medals as a p r e s t i g e sym bol in th e S o v ie t Union i s fam ous. In o th e r s o c i e t i e s , t i t l e s , diad em s, or o th e r to k en s o f p r e s t i g e may be u sed . P r e s t ig e i s a l s o lin k e d t o s e lf -im a g e : A man l i k e s to th in k o f 22V ide, a l s o , Appendix A, passim . 315 h im s e lf f i r s t as "good" o r " e f f i c i e n t . 1 1 O ften c o m p e titio n p la y s an im portant p a rt i n d eterm in in g p r e s t i g e . Those who w in in c o m p e titio n are g e n e r a lly accord ed more p r e s t i g e th an th o s e who " a ls o ran ." T his can be u sed by th e s o l d i e r t o encourage one group t o compete w ith l i k e g r o u p s, b e in g c a r e f u l n ot to e x a c e r b a te e x i s t i n g antagon ism s such as r e g io n a l or e t h n ic d i f f e r e n c e s . Such c o m p e t itio n , i f used w i s e l y , can be employed t o fu r th e r n a t io n a l g o a ls and c r e a t e com peting groups t o i d e n t i f y w ith th e n a t io n a l gov ernment and i t s g o a l s . ^ 3 However, one sh o u ld f i r s t a s s e s s w h eth er c o m p e titio n (o r what ty p e o f c o m p e t it io n ) , i s ap p r o p r ia te t o th e p a r t i c u la r c u lt u r e . W hile c o m p e titio n e x i s t s in most c u l t u r e s , i n some c u lt u r e s i t i s c o n sid e r e d bad form t o e x c e l o th e r men, and th e o v e r t c o m p e titiv e s p i r i t i s a n e g a tiv e v a lu e . Such i s t r u e , f o r exam p le, among some In d ia n s o f S ou th w estern U n ite d S t a t e s . O b v io u sly , th e r e are o th e r ways in which a p p ea ls t o p r e s t i g e can be made. The mere a t t e n t i o n a s o l d i e r from a n o th er cou n try pays t o a poor fa m ily may g iv e t h i s fa m ily added p r e s t i g e , i f th e s o l d i e r h im s e lf has a lre a d y won a g r e a t d e a l o f r e s p e c t . Em ulation or Appeal t o A u th o r ity Man w i l l em u late t h o s e whom he r e s p e c t s . By f i r s t p ersu a d in g a few key in d iv i d u a l s to a c c e p t h i s p o in t o f ^ A re n sb e rg and N ie h o f f , op. c i t . , pp. 104-10. 316 v ie w , th e s o l d i e r may th en a p p ea l t o o th e r s on th e b a s is o f th e r e s p e c t in which th e o r i g i n a l c o n v e r ts a re h e ld . In s e l e c t i n g l o c a l p erson s t o use as m odels f o r o th e r s t o f o l l o w , th e in n o v a to r sh o u ld keep in mind th e n a tu r a l d i v i s i o n s o f th e community and be c a r e f u l t o s e l e c t a t l e a s t a few members from each grou p , in order u lt im a t e ly to reach as la r g e a number o f th e t o t a l p o p u la tio n as p o s s i b l e . 24 Economic Appeal The d e s ir e to b e n e f i t p e r s o n a l l y , in term s o f i n c r e a s e d w e a lth , i s sh a red by m ost p e o p le . In non-W estern c u lt u r e s w e a lth i s measured in sim p le term s: th e p eo p le se e k more fo o d , b e t t e r h o u sin g , b e t t e r c l o t h e s , and some o f th e com forts which money can buy. Id e o lo g y means l i t t l e t o a man who goes t o bed hungry ea ch n ig h t . I f a p e a sa n t in a t r a n s i t i o n a l s o c i e t y ch o o ses a c e r t a i n id e o lo g y , i t w i l l a lm o st always be b ecau se he b e l i e v e s th e exp on en ts o f th a t id e o lo g y c a n , i n th e lo n g ru n , improve h i s econom ic p o s i t i o n — not b ecau se he u n d erstan d s i t s p h ilo s o p h ic and p o l i t i c a l i m p l i c a t i o n s . 2^ The ta s k i s n o t so s im p le , how ever, as j u s t "buy ing" a p e r s o n 's l o y a l t y . No one r e a l l y l i k e s t o be 24F o s t e r , op. c i t . , pp. 1 5 3 -5 7 . 25I b i d . , pp. 150-53 ; A ren sb erg and N ie h o f f , o p . i c i t . , pp. 1 0 1 -1 0 4 , 317 dependent on another1; i t i s an a d m issio n t h a t th e i n d i v i d u a l i s n o t ca p a b le o f "doing f o r h im se lf" and th e depend en ce i s q u it e l i k e l y t o cau se resen tm en t i n s t e a d o f g r a t it u d e and l o y a l t y . Thus, econom ic a p p ea ls must be p r e d ic a te d on th e p r in c ip le o f h e lp in g p eo p le t o h e lp th e m s e lv e s . The p e o p le t o whom an ap p eal i s a d d re ssed must p a r t i c i p a t e in th e a c t i v i t y w hich w i l l le a d t o t h e i r econom ic b e tte r m e n t. The a c t i v i t y , i t s e l f , must be c u l t u r a l l y a c c e p ta b le and s u i t e d to th e l e v e l o f t r a i n i n g and e d u c a tio n o f . t h e p erson s p er form ing i t . I t i s b e t t e r i f t h e s e p erso n s can p a r t i c i p a t e in th e d e c is io n t o launch th e a c t i v i t y i n th e f i r s t p l a c e . F i n a l l y , i t must be c le a r t o th o s e p a r t i c i p a t i n g t h a t th e a c t i v i t y w i l l le a d t o t a n g i b le r e s u l t s worth th e e f f o r t th e y are m aking, and in th e n o t to o d i s t a n t fu tu r e . The W esterner sh o u ld not assume t h a t th e econom ic m o tiv e in non-W estern c u lt u r e s i s s i m i l a r i n c h a r a c te r t o t h a t in h i s own s o c i e t y . Where th e ex ten d ed fa m ily , or o th e r su bgroup , i s th e m ajor econom ic u n i t , th e r e may be a c o o p e r a tiv e e f f o r t r a th e r th an in d iv id u a l c o m p e titio n . A ll members o f th e u n it may se e k t o b e t t e r t h e i r common l o t , but an ap p eal t o an i n d i v i d u a l , who may have t o sh a re h is p r o f i t w ith a l l o t h e r s in th e group, may n o t have much m eaning. A ls o , some c u l t u r a l v a lu e s may be "higher" than 26Arensberg and N ie h o f f , op. c i t . , pp. 68-72. 318 w e a lth . A member o f non-W estern c u ltu r e may a c t i r r a t i o n a l l y from th e W estern p o in t o f view because h e d e l ib e r a t e l y su b o r d in a te s h is own econom ic i n t e r e s t to some other v a l u e . 2 7 F rien d sh ip F rien d sh ip o r "need f o r a ffe c tio n " h a s great s tr e n g th in d e v e lo p in g n a t i o n s .^ 8 The non-W esterner f e e l s th a t t o be a fr ie n d c r e a te s an o b lig a t io n to ren der f a v o r s . T his b e l i e f can a f f o r d a c c e s s t o th e c o u n te r in su r g e n t who i s s e e k in g t o m o tiv a te a few key p e r so n s. I t should be remembered, how ever, th a t th e s o l d i e r w i l l be o b lig a t e d to p rovid e r e c ip r o c a l f a v o r s , and th a t in any c a s e , the coop e r a tio n o f fr ie n d s i s on ly a b e g in n in g --g e n u in e u n derstand in g and in volvem en t must s t i l l be a tta in e d . Other A ppeals A ll o f th e o th e r m o tiv es or needs m entioned as common to n e a r ly a l l c u l t u r e s , Appendix A, f u r n is h b a se s upon which ap p eals t o m o tiv a tio n can be m a d e . ^9 To t h e e x te n t t h a t th e s o l d i e r ’ s s u g g e s t io n b rin g s enhanced " p o s i tio n " or power t o an in d iv id u a l in h i s own c u l t u r a l te r m s, th e s u g g e s t io n w i l l be im p e llin g . I f the s u g g e s tio n ^^Montgomery, " C rossin g th e C u ltu ra l B a rs, . . ." l o c . c i t . , pp. 5 4 6 -5 4 . 2 8V id e, Appendix A, s u p r a , pp. 257-5 8 . ^ A p p en d ix A, su p r a , pp. 2 55 -5 9 . 319 r e s u l t s in th e k in d o f le a r n in g or e n lig h te n m e n t which w i l l se r v e th e in d iv id u a l in h i s own community, i t w i l l have m e r it. I f i t in c r e a s e s h i s s e n s e o f s e c u r i t y or w e l l b e in g , he w i l l be a t t r a c t e d . I f th e s u g g e s tio n in v o lv e s th e a c q u i s i t i o n o f a needed s k i l l or in c r e a s e s a p r e se n t s k i l l , a p erson w i l l f e e l "at home" w ith i t . I f i t i s con gruent w ith what he th in k s i s r i g h t and p ro p er— r e c t i t u d e - - he w i l l v a lu e i t . C u lt u r a lly D ic ta t e d P r i o r i t i e s I t i s e s s e n t i a l to d is c o v e r th e f e l t n eed s o f a l o c a l c u lt u r e and t o work through th e s e n eeds when one se e k s t o m o tiv a te . I t does n o t r e a l l y m a tter to th e l o c a l p o p u la tio n what th e o u t s id e r f e e l s i t s needs a r e . For e x am ple, an ep id em ic o f d y se n te r y may s u g g e s t t o a W esterner engaged in c i v i c a c t io n a need f o r b u ild in g l a t r i n e s . Such a program m ight n o t be g iv e n th e same p r i o r i t y by th e l o c a l p e o p le . They may in s t e a d s e e a need o f a b e t t e r w ater su p - / p ly . T h is may th en be a b e t t e r p la c e f o r th e s o l d i e r t o s t a r t . Only i f a l o c a l p o p u la tio n i s co n v in ced o f th e p r a c t i c a l a d van tages a c c r u in g t o them , w i l l th ey support any p r o j e c t over tim e . U n le ss s tr o n g rea so n s a g a in s t i t p r e v a i l , i t i s b e s t , a t l e a s t a t th e s t a r t , t o d e fe r t o th e l o c a l ways and p r i o r i t i e s . ^ L ocal p r i o r i t i e s — f e l t n e e d s — r e q u ir e t h a t th e i n n o v a to r be f l e x i b l e in h i s approach. By i n s i s t i n g th a t he knows what a g iv en c u lt u r e needs and r e f u s in g t o a l t e r h i s p la n s , he i n v i t e s f a i l u r e . I f he became in v o lv e d in a l a t r i n e - b u i l d i n g p r o j e c t , fo r exam p le, and l a t e r le a r n s t h a t th e p e o p le are r e a l l y u sin g th e p r i v i e s t o s t o r e r i c e , he m ight b e s t remain p h ilo s o p h ic . The amount o f food l o s t t o r a t s may d e c r e a s e , th u s e n a b lin g th e p e o p le t o e a t b e t t e r . I f s o , a b e n e f i c i a l r e s u l t w hich c o n t r ib u te s t o th e purpose o f b u ild in g s tr e n g th and m o tiv a tio n has been a c h ie v e d , and th e l o c a l p o p u la tio n may f e e l t h a t th e s o l d ie r i s t r u ly i n t e r e s t e d in t h e i r w e lf a r e , n o t sim p ly in i n s t i t u t i n g h i s own p r o j e c t s . There are th r e e b a s ic ways to d eterm in e needs f e l t by l o c a l p o p u la t io n s . (1 ) The c o u n te r in s u r g e n t s o l d i e r can lo o k fo r problem s which p e o p le have a ttem p ted t o s o lv e th e m s e lv e s . I f th e y have t r i e d to d ig w ater w e l ls unsuc c e s s f u l l y , f o r exam p le, he may be a b le t o win t h e i r c o n f i dence by m erely su p p ly in g th e t e c h n i c a l knowledge or e q u ip ment t h a t w i l l en a b le them t o o b ta in th e w ater th e y want. (2 ) He may l e t i t be known th a t he w ants t o h e lp , but t h a t 3^T. r . B a tte n , Communities and T h eir Development (London: Oxford U n iv e r s it y P r e s s , 195?) , pp. 20-4-8, 166- 87; Ward H. Goodenough, C oop eration i n Change (New York: R u s s e ll Sage F ou n d ation , 196 3 ) , Chs. I I and XV, pp. 1 5 -3 0 , 4 1 2 -2 7 . 321 he w i l l w a it u n t i l someone comes to him and ask s a s s i s t a n c e . I t may be s u r p r is in g t o th e m i li t a r y man how q u ic k ly a v i l l a g e headman or l o c a l p r i e s t w i l l come to a s k , in w h atever roundabout way, f o r h e lp in b u ild in g some p ath or road , or c o n s t r u c t in g a s c h o o l , or o th e r such p r o j e c t . (3 ) I t may be p o s s i b l e t o t a lk t o r e p r e s e n t a t iv e members o f / th e l o c a l p o p u la tio n , en co u ragin g them t o enum erate t h e i r prob lem s. (The p r e v io u s ly s t a t e d a d m o n itio n s about d i r e c t q u e s tio n in g sh o u ld be o b s e r v e d .) A l l com m unities in d e v e l oping n a tio n s have many needs and p ro b lem s, and i f th e numbers o f th e s e com m unities are c o n v in c ed th ey can o b ta in h e lp on t h e i r own ter m s, th ey w i l l se e k i t . However, th e r e i s th e danger t h a t e x p r e s s io n o f need w i l l g iv e r i s e to e x p e c ta t io n t h a t th e need w i l l be s a t i s f i e d . The p o s s i b i l i t y o f im p lie d o v e r -p r o m ise by a s k in g f o r an e x p r e s s io n o f need sh o u ld be k e p t in mind. F orces Which I n h i b it In - T l u e n c e and In n o v a tio n Even though he may have done a g r e a t d e a l to d e t e r mine f e l t needs and improve h is knowledge o f a c u l t u r e , th e a l ie n s o l d i e r may fin d f a c t o r s which i n h i b i t h is i n f l u e n c e . Some o f th e s e are p h y s ic a l: b eca u se o f g eo g ra p h ic or c l i m a t i c f a c t o r s , he may sim p ly be un able t o do what th e l o c a l p e o p le want him t o do and what he wants to do. O thers may be t e c h n i c a l : sp are p a r ts to m achinery or main ten a n ce know-how may be d i f f i c u l t t o f i n d . The l o c a l i 322 farm ers may w i l l i n g l y a c c e p t a t r a c t o r , but i t w i l l be u s e l e s s , and c o u n te r p r o d u c tiv e in th e lo n g run, i f th e r e are n e it h e r r e p a ir f a c i l i t i e s n or a v a ila b le rep la cem en t p a r ts . Communication D i f f i c u l t i e s Apart from p h y s ic a l and t e c h n i c a l m a tte r s , th e r e are s o c i a l and c u l t u r a l fo r c e s which i n h i b i t in f l u e n c e . One o f th e major problems comes from c r o s s - c u l t u r a l commun i c a t i o n . ^ Schoolbook t r a n s l a t i o n s do n o t app ly t o th e s p e c i a l i z e d v o c a b u la r ie s p e c u lia r t o t e c h n i c a l t a s k s . For exam p le, a c e r t a in m ilit a r y term may have a n o th er meaning when i t i s used in U nited S t a t e s c i v i l i a n l i f e , and have no meaning a t a l l in a non-W estern c u lt u r e . S i m i la r l y , in th e m ed ica l p r o fe s s io n o f n o rth ern I n d ia , d o c to r s found th a t th ey had g r e a te r s u c c e s s in t r e a t i n g p a t ie n t s when they adopted th e l o c a l c l a s s i f i c a t i o n s o f "wet" and "dry" s i c k n e s s e s . I f th e in ta k e o f l iq u i d s was r e q u ir e d , th e d octor sim p ly t o ld h i s p a t i e n t t h a t he had a "wet" s i c k n e s s . No fu r th e r d ia g n o s is was r e q u ir e d , and su b seq u en t trea tm en t was e a s i l y a d m in iste r e d b eca u se th e p a t ie n t "understood" h is i l l n e s s . Even i f he knows th e la n g u a g e , or i s fo r tu n a te enough t o have a good i n t e r p r e t e r , th e s o l d i e r sh o u ld a v o id s la n g , ja r g o n , o r idiom s from h i s own language when ^ A r th u r L. Campa, "Language B a r r ie r s in I n t e r c u l- t u r a l R e la tio n s ," J o u rn a l o f Com m unication, I (November, 1 9 5 1 ), p assim . 323 a d d r e ssin g members o f t h e lo c a l p o p u la tio n . He sh o u ld use n o n - t e c h n ic a l term s in h i s own la n g u a g e or t h e lo c a l l a n guage whenever p o s s i b l e . He s h o u ld try to parap h rase h i s p r in c ip a l p o in ts in r e p e t i t i o n so t h a t th e i n t e r p r e t e r or th e l i s t e n e r w i l l have more than o n e chance t o catch t h e m eaning. V isu a l a i d s , such as d ra w in g s, s l i d e s , and m o d els, are u s e f u l , but o n ly i f t h e y have b e e n c a r e f u l l y t e s t e d fo r r e le v a n c e and u n d e r s t a n d a b ilit y . T h reats t o S tatu s o f L o c a l L eaders In e v e r y community there a r e le a d e r s who c la im , or would be g iv e n , c o g n iz a n c e over e v e r y f i e l d o f endeavor which a c o u n te r in s u r g e n t s o ld ie r a s s ig n e d t o th e a rea cou ld in f l u e n c e . I t i s n a tu r a l th at som e o f t h e s e lea d ers s e e t h e i r p o s i t i o n s th r e a te n e d by th e p r esen ce o f an o u t s id e r who con cern s h im s e lf w ith m atters which th e y f e e l b e lo n g to t h e i r realm . The o u t s id e r would d o w e ll t o remember t h a t , no m a tter what f i e l d h e t r i e s to i n f l u e n c e , he may b e p e r c e iv e d as u su rp in g someone e l s e ' s fu n c t io n . To a v o id th e se n e g a t iv e r e p e r c u s s io n s , th e s o l d i e r must ta k e care t o in c lu d e key community fig u r e s in t h e p la n n in g o f th e in n o v a t io n and t r y to convey th e im p r e ssio n t h a t the id e a s d e r iv e d from them in t h e f i r s t p l a c e . 33 •^ F u rther d is c u s s io n o f t h e problems and te c h n iq u e s o f com m unication i s found in A ppendix C, p a ssim . 33F oster, op. c i t . , pp. 104-105. 324 L ocal P rid e A ll p e o p le have a g r e a t d e a l o f p r id e i n t h e i r own way o f doin g t h in g s and in t h e i r own view o f th e w orld . Any change im posed or s u g g e s te d by an o u t s id e r can be con s tr u e d as an a f f r o n t t o t h i s p r id e . Thus, i t i s b e s t n e v e r to c r i t i c i z e an o ld e r way o f a tte m p tin g t h a t w hich th e v i s i t i n g s o l d i e r may want done in a new way. I n s t e a d , th e change sh o u ld be in tr o d u c e d w ith o u t c r e a t in g a d i r e c t con f r o n t a t io n betw een th e two m ethods, w ith o u t f o r c in g th e l o c a l p eop le t o make a c o n sc io u s c h o ic e betw een th e two. One example o f th e way i n which p r id e can a f f e c t an im provement p r o j e c t i s se e n in th e p r o g r e ss o f a d u lt l i t e r a c y program s. A lthough v a lu ed f o r i t s o b j e c t i v e , such a p ro gram may not have th e s u c c e s s o r i g i n a l l y e x p e c te d b ecause th e in d iv id u a l a d u lt f e e l s degraded in h is own and the community’s ey es by a tte n d in g s c h o o l - - a r o le d e sig n a te d f o r c h ild r e n . I f th e same program c o u ld be condu cted in an oth er s e t t i n g , such as a s o c i a l g a th e r in g or c lu b m eet in g , much o f th e p e r s o n a l r e s i s t a n c e t o i t m ight be o v e r come . "F atalism " The a t t i t u d e t h a t l i t t l e can be done about a s i t u a t io n has been p r e v io u s ly m en tion ed . T his o r ie n t a t io n i s e s p e c i a l l y dominant in a r ea s in which th e p eo p le have been i s o l a t e d from government and o th e r fo r c e s f o r improvement f o r g e n e r a t io n s . I t i s n o t f a t a lis m i n th e l i t e r a l s e n s e ; i t i s c l o s e r t o r e s ig n a t io n . The e f f e c t i s th e sam e, how e v e r , so fa r as th e a l i e n Western s o l d i e r i s con cern ed . Such r e s ig n a t io n r e i n f o r c e s , and som etim es p a s s e s f o r , stu b b o r n e s s— an app arent u n w illin g n e s s to do even th a t w hich i s in o n e 's own b e s t i n t e r e s t . I t can be combated o n ly by s u c c e s s : i f th e o u t s id e r can a c h ie v e grad u al s u c c e s s in m eetin g t h e problem s o f t h e community, he w i l l be rewarded by g r e a te r l o c a l c o n fid e n c e in h is a b i l i t y and i n t e n t i o n t o c o n tin u e such a s s i s t a n c e . S in c e in some ways he w i l l a l s o r e p r e s e n t th e h o st n a t io n a l governm ent, he can ( o r th e p e o p le w i l l ) t r a n s f e r some o f t h e i r t r u s t and con f id e n c e t o th e a b i l i t y o f th e government t o im prove t h e i r l o t . 34 Any p r o g r e ss w hich can be made in g iv in g th e l o c a l p o p u la tio n s a p o s i t i v e a t t i t u d e toward governm ent, th e re b y im provin g th e chances o f u n ify in g and s tr e n g th e n in g th e n a t i o n - s t a t e , w i l l n o t o n ly b e n e f i t th e p e o p le but w i l l have a d i r e c t b e a r in g on t h e i r r o l e in c o u n te r in su r g e n t a c t i v i t y . Secondary I m p lic a tio n s I t i s ex trem ely im portant t o tak e i n t o c o n s id e r a t i o n a l l p o s s i b l e outcom es f o r any g iv en a c t io n or program, b e fo r e i n i t i a t i n g i t . I f th e proposed change i s q u ite r a d i c a l , i t may prove to be more harm ful in i t s secon d ary 34i b i d . , pp. 120-27. 32 6 i m p lic a t io n s and e f f e c t s than h e l p f u l in i t s im m ediate r e s u l t s . The d is a s t r o u s r e s u l t s which some se e m in g ly t r i v i a l change can have in an u n s o p h is t ic a te d s o c i e t y have been amply d em on strated . For ex am p le, th e in t r o d u c t io n o f s t e e l axheads i n t o an a b o r ig in a l A u s tr a lia n t r i b a l s o c i e t y caused th e d i s i n t e g r a t i o n o f th a t c u l t u r e . The s to n e ax w hich th e trib esm en p r e v io u s ly used was n o t on ly a p r a c t i c a l t o o l , but was used as a sym bol t o d i s t i n g u i s h men and women, youth and a g e , and t o g iv e c red en ce t o t h e myths upon which th e c u lt u r e was b u i l t . I t was a l s o a tr a d in g u n it which lin k e d in d iv id u a ls t o an economy spread o v e r an e n t i r e a r e a . The s t e e l ax was in tr o d u c e d on ly as an im proved t o o l , but i t s d i s t r i b u t i o n was haphazard and did n o t con form e i t h e r t o tr a d in g p a tte r n s o f th e economy or t o th e s t a t u s c o n s id e r a t io n s . A w e l l - i n t e n t i o n e d improvement re s u l t e d in ir r e p a r a b le h a r m .^ Every s o c i e t y i s a com plex u n it in which no problem can be approached in i s o l a t i o n . I t i s n e c e s s a r y t h a t a c o u n te r in s u r g e n t m i li t a r y man a d v is in g l o c a l p e o p le s a ttem p t to in tr o d u c e c h a n g es. That i s h i s m is s io n . How e v e r , a lo n g w ith w h a tev er change he c o n te m p la te s , he sh ou ld c o n s id e r th e i n t r i c a t e ways i n which s o c i a l , eco n o m ic, and c u l t u r a l p a tte r n s are lin k e d and th e ways in which h i s a c tio n s may r e v e r b e r a te through th e s o c i e t y . Such ^ L a u r is t o n Sharp, " S t e e l Axes Stone-A ge A u s t r a l i a n s," Human O r g a n iz a tio n , I I (Summer, 1 9 5 2 ) , p a ssim . I 327 c o n s id e r a t io n , based on a b s tr a c t know ledge, may s t i l l n ot make i t p o s s ib le f o r him t o p r e d ic t th e consequ en ces o f h is a c t io n . I f he has d o u b ts, i t would be b e t t e r to tr y o u t ■ th e p ro p o sa l or a c tio n w ith a sm a ll c o n tr o l group b e fo r e a ttem p tin g t o win g e n e r a l accep tan ce fo r th e in n o v a tio n . APPENDIX C USE O F PERSUASION 32 8 APPENDIX C USE OF PERSUASION A l l t h a t has been s a id in th e body o f t h i s d i s s e r t a t i o n has r e le v a n c e t o th e use o f e f f e c t i v e p e r su a s io n . P er su a sio n i s one way o f ch an gin g m o tiv a tio n . Through s u e c e s s f u l p e r s u a s io n , d e s ir e d changes in u n d ersta n d in g and f e e l i n g s can be brough t about and thu s c o n t r ib u te t o popu l a t i o n support o f m i li t a r y o b j e c t i v e . S u c c e s s f u l p ersu a s io n r e p r e s e n ts an a c t u a l i n f lu e n c e on human a t t i t u d e s and n ot m erely e x t e r n a l c o m p lia n c e , su ch as t h r e a t or b r ib e ry m ight tem p o r a r ily a c h ie v e . P e r su a sio n u s u a lly in v o lv e s c o n s c io u s com m unication and th e t r a n s m it t a l o f a r t i c u l a t e d v e r b a l or w r itt e n a p p ea ls and m essa g e s. Some p r i n c ip l e s and te c h n iq u e s o f p e r su a s io n f o llo w : B u ild c r e d i b i l i t y . Do n ot do or sa y th in g s which th e group w i l l n o t b e l i e v e , and do n o t prom ise more than you can d e l i v e r . I n t e r c u l t u r a l com m unications must be c o n s i s t e n t w ith p o lic y and c a p a b i l i t i e s . With w h atever c u lt u r a l m o d ific a t io n s seem n e c e s s a r y , g e n e r a lly s t i c k t o th e f o llo w in g e s t a b l i s h e d p ersu a s io n te c h n iq u e s : 32 9 330 1. D on't argue: tr y t o fin d common o b j e c t iv e s w ith th e ta r g e t and avoid a tta c k in g c e n t r a l ly h eld primary a t t i t u d e s d i r e c t l y . 2. E s t a b lis h your a u th o r ity to speak on a s u b j e c t . 3. S e le c t an ap p rop riate tim e and p la c e fo r g r e a te r t a r g e t r e c e p t i v i t y . 4. I f th e t a r g e t i s r e lu c t a n t or h o s t i l e , or even only m ild ly i n t e r e s t e d , p r e se n t both s id e s o f th e s t o r y . A lso p r e se n t both s id e s fo r th e b e t t e r ed u ca ted . 5. Use a l o g i c a l approach w ith th e b e t t e r ed u cated and a more em otion al approach w ith th e l e s s e r ed u cated . 6 . A c o n c lu sio n i s b e t t e r r e ta in e d than th e d e t a ile d arguments le a d in g t o i t . For most t a r g e t s (e s p e c i a l l y th e l e s s e r e d u c a te d ), draw th e d e s ir e d c o n c lu sio n y o u r s e lf . Be e x p l i c i t . 7. R e p e t it io n , up to th e p o in t where i t b eg in s to annoy, in c r e a s e s th e chance o f ta r g e t r e t e n t io n . 8 . A f te r making your p o in t , tr y t o get th e ta r g e t or an i n f l u e n t i a l member t h e r e o f t o e x p r ess commitment t o th e p o in t p u b lic ly . 9. Try to g e t th e t a r g e t to a c c e p t a d e s ir e d o p in io n as h is own id e a . C o n tin u a lly check and r e e v a lu a te the p e r su a sio n p la n and program. E s ta b lis h w hatever feedback ch an n els you can . The Communicator How the communicator i s viewed by h is t a r g e t ( s ) i s im portant in p e r su a sio n and may at tim e s be c r u c i a l . His c o n d u ct, a lre a d y d is c u s s e d above, and h is t e c h n ic a l compe te n c e w i l l have much to do w ith t h i s , bu t th e r e are o th e r c o n s id e r a tio n s as w e l l . 331 P r e s t ig e and A u th o r ity There i s l i t t l e doubt t h a t a p erson w ith p r e s t ig e among members o f h is t a r g e t , 1 or one who sp eak s w ith r e c o g n iz e d a u th o r it y ,^ has an advantage in p e r s u a s io n .^ Not enough r e s e a r c h has been a cco m p lish ed t o d e f i n i t i v e l y i s o l a t e th e f a c t o r s r e le v a n t t o p r e s t i g e in com m unication, but a few have been n o te d in th e l i t e r a t u r e and are su pp orted by l o g i c . A ge,, f o r exam p le, can be such a fa c t o r : o ld e r p e o p le g e n e r a lly ten d t o be more i n f l u e n t i a l than younger p e r so n s; a d v ic e i s more o f t e n so u g h t and a c c e p te d from p erso n s o ld e r than o n e s e l f . This i s e s p e c i a l l y tru e in m ost t r a d i t i o n a l and d e v e lo p in g s o c i e t i e s . M ilita r y p e r so n n e l must g iv e d u e ~ 3 e fer en ce t o th e age o f th o s e whom th e y ad d ress and g e n e r a lly a ttem p t t o work through th e p e r c e iv e d wisdom and e x p e r ie n c e o f th e v i l l a g e or t r i b a l e l d e r s . •^Ambalai S. P a te l and J e s s e E. Gordon, "Some Per s o n a l and S i t u a t i o n a l D eterm in ants o f Y ie ld in g t o I n f l u e n c e ," J o u rn a l o f Abnormal S o c ia l P s y c h o lo g y , LXI ( 1 9 6 0 ), 414; D a n ie l H. K ulp, I I , ,rP r e s t ig e as Measured by S in g le - E xp erien ce Changes and T h eir Permanency," J o u rn a l o f Educa t i o n a l R e se a r c h , XXVII ( 1 9 3 4 ) , 618. ^Abraham S. Luchins and E d ith H. L u c h in s, "On Con fo rm ity w ith Judgments o f a M ajo rity or an A u th o r ity ," J o u rn a l o f S o c ia l P s y c h o lo g y , L III (1 9 6 1 ), 315. ^Melvin M anis, "The I n t e r p r e t a t io n o f Opinion S tatem en ts as a F unction o f R e c ip ie n t A t t it u d e and Source P r e s t i g e ," J o u rn a l o f Abnormal S o c ia l P sy c h o lo g y , LXIII ( 1 9 6 1 ) , 83. 332 E d u c a tio n , Socioeconom ic S t a t u s , and Appearance These c h a r a c t e r i s t i c s have v a r y in g d eg rees o f e f f e c t on p r e s t i g e in v a r io u s c u l t u r e s . How th e communicat or p r e s e n ts h im s e lf must be determ ined by h i s a sse ssm e n t o f th e c u l t u r a l v a lu e s in th e s o c i e t y in which he fin d s him s e l f and through e x p e r t a d v ic e . W hile th e p e r c e p tio n o f th e s e t r a i t s v a r ie s o v er c u l t u r e s , t h e i r g e n e r a l im portance can be i l l u s t r a t e d by n o tin g t h a t f o r a r a c i a l l y p r e ju d ic e d a u d ien ce in th e U n ited S t a t e s , a Negro comm unicator had no s i g n i f i c a n t p e r s u a s iv e e f f e c t , in s p i t e o f h i s dem onstrated com petence in th e s u b j e c t m a tte r ; f o r a r a c i a l l y l i b e r a l a u d ie n c e , a com petent Negro communicator had c o n s id e r a b ly more e f f e c t than a s i m i l a r l y com petent w h ite comm unicator.^ ^ R e la te d t o e d u c a t io n , s t a t u s , and appearance i s th e con cep t o f s o c i a l r o l e , which does make a d i s c e r n ib le d i f fe r e n c e i n th e p r e s t i g e a ffo r d e d a com m unicator. P ersons in some o c c u p a tio n s are under s p e c i a l p r e ssu r e s t o communi c a te c e r t a i n t h in g s and n o t o t h e r s . 5 A ls o , th e s p e c i f i c in d iv id u a ls who a c t as o p in io n le a d e r s o ft e n d i f f e r from ^ E l l i o t t Aronson and Burton W . G olden, "The E f f e c t o f R e le v a n t and I r r e le v a n t A sp e cts o f Communicator C r ed i b i l i t y on O pinion Change," J o u rn a l o f P e r s o n a lit y , XXX ( 1 9 6 2 ), 142. ^Carl I . H ovland, I r v in g L. J a n i s , and H arold H. K e lle y , Communication and P er su a sio n (New Haven: Y ale Uni v e r s i t y P r e s s , 1 9 5 3 ), p. 2 98. one s u b je c t o f c o n v e r sa tio n t o t h e next.® Examples from American c u lt u r e in c lu d e the r e l i g i o u s le a d e r and th e r popular te e n a g e e n t e r t a in e r —p e o p le are u n lik e ly t o seek th e advice o f one in th e p e r c e iv e d area o f competence o f th e o th er. The m i l i t a r y person overseas may have t o c r e a te a s o c ia l r o l e or r o l e s fo r h im s e lf which are a c c e p ta b le to h is ta r g e t o r work through in te r m e d ia r ie s a lrea d y a c tin g th e s e r o l e s . I t m ight be n o te d , how ever, th a t membership in the m i l i t a r y f o r c e s often e n a b le s m ilit a r y p e r so n n e l to im m ed iately carry a c e r t a in amount o f p e r c e iv e d e x p e r t is e i n m ilit a r y m a tters. I f an o f f i c e r ' s p e r su a s iv e argument can be cou ch ed in term s o f m i li t a r y n e c e s s i t y , i t may carry w eight s im p ly because i t comes from him. The r e a l p o in t , however, i s th a t th e a c tu a l e x p e r t is e o f th e communicator seems to b e o f l e s s im portance than th e t a r g e t - p e r c e iv e d e x p e r t is e . Such p e r c e p tio n i s th e e sse n c e o f c r e d i b i l i t y . ^ The o p in ion changes d e r iv e d from such c r e d i b i l i t y are not n e c e s s a r ily perm anent, however. 8 Popular b e l i e f in th e com m unicator's e x p e r t is e i s shaken i f in s ta n c e s o f in e p tn e ss become known. In t h e f i n a l a n a l y s i s , n o th in g can guarantee continued p o p u la r ity b e t t e r th a n genuine e x p e r t is e ® E lihu Katz and Paul F. L a z a r s fe ld , P erso n a l I n f lu ence (G le n c o e , 1 1 1 .: The Free P r e s s , 1955) , p. 3^ ^Joseph T. K lap p er, The E ffe c ts o f Mass Communica t io n s (New York: The Free P ress of G len coe, 1 9 6 ^ , p. ItTl. 8 I b i d . , p. 1 0 0 ; Hovland, J a n is , and K e lle y , o p . c i t . , p. 3 9 . c o n s c i e n t io u s l y e x e r c is e d . Group Membership A communicator who i s a member o f a group h ig h ly regard ed by o th e r s can som etim es change o p in io n s and a t t i tu d es m erely b ecau se he a d v o ca tes such change. T his aura from group membership has been r e f e r r e d t o a s " p r e s tig e s u g g e s t i o n . A v a i l a b l e e v id e n c e i n d ic a t e s t h a t th e more h ig h ly an in d iv id u a l v a lu e s membership in h i s own group, th e more c l o s e l y h is o p in io n and a t t i t u d e w i l l conform to th e norms o f t h a t group. T hus, on th o s e i s s u e s which he b e l i e v e s h is group has some c o n s e n s u s , he i s l i k e l y t o c o n s id e r a b ly in f lu e n c e d by com m unications from an oth er member o f th e group. Both o f t h e s e a s p e c t s o f group mem b e r sh ip can be i l l u s t r a t e d by th e example o f a p r e s t ig io u s lo d g e b roth erh ood in a sm a ll m idw estern farm community in th e U n ited S t a t e s . Because th e lo d g e i t s e l f has h ig h p r e s t i g e , any member who speaks out on an i s s u e i s l i k e l y t o be l i s t e n e d t o by th e c i t i z e n s o f th e community. The lo d g e b r o th e rs o f th e sp ea k er w i l l be p a r t i c u la r ly l i a b l e t o s u a s io n i f th e i s s u e i s c o n sid e r e d t o a f f e c t th e v a lu e s around which membership in th e lo d g e i s b a sed . The im p o rt ance o f t h i s , fo r th e m ilit a r y man a tte m p tin g i n t e r c u l t u r a l com m unication, i s sim p ly t h a t he may f in d i t u s e f u l t o work through an in te r m e d ia r y w ith p r e s t i g e f u l group membership. ^Hovland, J a n i s , and K e lle y , op. c i t . , p. 50. 335 For exam p le, i f a member o f th e v i l l a g e c o u n c il o f e ld e r s i s p ersu a d ed , he in turn may persuad e h is fe llo w e ld e r s and th e v i l l a g e a t la r g e . I n te n t A f a c t o r w hich t e n d s , a lm o st by d e f i n i t i o n , t o d i m in ish th e a u t h o r it y o f a comm unicator i s h i s ob viou s i n t e n t . I t has been dem onstrated t h a t when a communicator i s p e r c e iv e d as h a v in g th e i n t e n t t o p e r su a d e , he i s a ls o d i s t r u s t e d as someone who has som ething t o g a in .-^ In u sin g mass media t h i s can som etim es be overcome or circum ven ted by d i s g u i s i n g th e so u r c e o f th e m essage ("gray" or "black" p ropagan da). In I n te r p e r s o n a l com m u n ication s, th e f i r s t p r i n c ip l e t o m it ig a t e th e e f f e c t o f i n t e n t i s , don1t a r g u e . A ls o , argument p erm its or f o r c e s th e o th e r person t o ta k e on a r o le and commitment in o p p o s itio n t o t h e com m u n icator. S eem in gly c a s u a l and n o n p u rp osive c o n v e r s a tio n c a r r ie s more w e ig h t than a s s e r t io n o f i n t e n t . The l i s t e n e r i s l e s s l i k e l y t o "have h i s guard up." A ls o , in fo r m a tio n o b ta in ed by ea v esd ro p p in g has been shown to be e f f e c t i v e . T his i s e s p e c i a l l y so when th e ea v esd ro p p er i s in v o lv e d in th e i s s u e d i s c u s s e d . T h e m ilit a r y man m ight use t h i s d e v ic e by a rra n g in g a c a s u a l c o n v e r s a tio n w ith someone in 1 0 I b i d . , p. 23. •'-•^-Elaine W a lste r and Leon F e s t in g e r , "The E f f e c t i v e n e ss o f 'O verheard' P e r su a siv e Com m unications," J o u rn a l o f Abnormal S o c i a l P s y c h o lo g y , LXV (1962), 401. 33 6 th e p r e sen ce o f th e p erson he wants t o i n f l u e n c e . B ut, w hether or n o t he can w h o lly g e t around th e a d v e r se e f f e c t s o f p e r c e iv e d i n t e n t , he sh o u ld a t l e a s t be aware o f th e phenomena. C r e d i b i li t y I t would seem alm ost u n n ecessa ry t o d is c u s s c r e d i - b i l i t y - - o b v i o u s l y th e communicator must be b e lie v e d i f he i s t o p e r s u a d e .^ However, th e p o in t must be r e g i s t e r e d h ere a g a in fo r th e em phasis i t d e s e r v e s . F a cto r s making f o r th e c r e d i b i l i t y o f th e comm unicator c e r t a i n l y in c lu d e th o s e d is c u s s e d under " P r e s tig e and A u th o r ity ." Beyond t h a t , i t i s l a r g e ly a m atter o f how th e comm unicator co n d u cts h is p e r su a sio n cam paign. He must n o t be caught in a fa ls e h o o d on any i s s u e th a t m a tter s t o h i s t a r g e t ; he must guard a g a in s t p ro m isin g i m p l i c i t l y o r e x p l i c i t l y th o se t h in g s which he cannot in f a c t d e l i v e r . He sh o u ld n o t d i s c u ss t h in g s o u t s id e th e narrow w orld o f h i s l i s t e n e r s . For exam p le, an a c c u r a te a cco u n t o f th e wonders o f D isn ey la n d m ight be p e r c e iv e d by m ountain t r i b a l p e o p le i n a f a r - o f f land as f a ls e h o o d , f a n t a s y , or a t l e a s t i r r e l e v a n t t o an y t h in g in t h e i r l i v e s . On th e o th e r s id e o f t h e same c o i n , th e com m unicator— as w i l l be d is c u s s e d in f u r t h e r d e t a i l below — sh o u ld alw ays p r e s e n t h is p o in t in term s which a r e -^ C arl i . Hovland and W alter W e iss, "The I n flu e n c e o f Source C r e d i b i li t y on Communication E f f e c t i v e n e s s ," P u b lic Opinion Q u a r te r ly , XV (1951), 650. 33 7 c u l t u r a ll y r e le v a n t and congruent w ith h i s t a r g e t ' s needs and p r e d i s p o s i t io n s . Target-Com m unicator I d e n t i f i c a t i o n I f h i s t a r g e t l i k e s th e communicator o r , even b e t t e r , i d e n t i f i e s w ith him, th e com m unicator's ta s k i s i n f i n i t e l y e a s i e r . T his l o g i c a l prem ise i s supported by an experim ent which dem onstrated t h a t when a communicator i s p e r c e iv e d as s i m i la r t o o n e s e l f , he ten d s t o be e f f e c t i v e in se c u r in g a t t i t u d e change. (R e je c tio n o f a communication from one p e r c e iv e d as s i m i la r t o o n e s e lf i s tantam ount to r e j e c t i o n o f self.)-^-^ I t i s through th e p ro cess o f i d e n t i f i c a t i o n t h a t a person in c o r p o r a te s th e t r a i t s or b e l i e f s o f an oth er person or group o f p e r so n s . I t can make a m ild - mannered, meek p easan t tak e on some o f th e c h a r a c t e r i s t i c s o f a f o r c e f u l courageous o f f i c e r . / The T arget A t a r g e t fo r p e r su a sio n i s t h a t in d iv id u a l or group whose a c tio n o r a t t i t u d e th e communicator i s tr y in g t o in f lu e n c e . The t a r g e t , d e s p ite th e b e s t e f f o r t s o f th e com m unicator, may n o t alw ays e x a c t ly c o in c id e w ith th e a c tu a l a u d ie n c e , w hich in tu rn may be d e fin e d as th o s e who ^Howard L even th al and Sydney I . P e r le e , "A R ela t io n s h ip Between S e lf-E ste e m and P e r s u a s i b i l i t y ," Journal o f Abnormal S o c ia l P sy c h o lo g y , LXIV (1962), 388. l^ K rech , C r u t c h f ie ld , and B a lla c h e y , I n d iv id u a l in S o c i e t y , p. 123. 338 i n fa c t r e c e i v e t h e com m unicator’s m essage w h eth er he in te n d s them t o o r n o t . S e l e c t io n and a n a l y s is o f t a r g e t s a r e e s s e n t i a l t o e f f e c t i v e p e r s u a s io n . The mass p o p u la tio n o f a s o c i e t y may a t tim es be an a p p r o p r ia te t a r g e t f o r some k in d s o f commun i c a t i o n s (and as su c h sh o u ld be a n a ly z ed f o r i t s s e n s i t i v i t i e s and co m m o n a lities j u s t as any o th e r t a r g e t ) , but u s u a lly a s m a lle r , more hom ogeneous, and more im m ed iately r e le v a n t and a c c e s s i b l e group (or i n d iv id u a l) sh ou ld be s e l e c t e d . S e l e c t i o n o f T a r g et There can be no r i g i d form ulae fo r th e i d e n t i f i c a t i o n and s e l e c t i o n o f s o c i a l groups as t a r g e t s . The purpose o f th e com m unicator w i l l in f lu e n c e s e l e c t i o n , in th e f i r s t in s t a n c e . I f he i s a tte m p tin g t o o b ta in c o m p li ance w ith urban t r a f f i c r e g u l a t i o n s , he i s n o t l i k e l y to d ir e c t h i s a t t e n t i o n t o r o a d le s s r u r a l v i l l a g e r s . B u t, even when he has a p p r o p r ia te ly d e c id e d th a t he must a d d ress urban a d u lt s who own and o p e r a te m otor v e h i c l e s (or a t l e a s t h o ld an o p e r a to r 's p e r m it) , he had a problem o f fu r th e r i d e n t i f i c a t i o n and s e l e c t i o n . Though h is pu rp ose remains t h e same, he may h ave to d i r e c t one k in d o f a p p ea l -^ D a n iel L ern er, Sykewar (New York: George W. S te w a r t, In c ., 1949), pp. 135-36 , 1 4 8 ; V id e , a l s o , Hans S p e ie r , " P s y c h o lo g ic a l W arfare Re c o n s id e r e d ," The P o lic y S c i e n c e s , ed. D a n ie l Lerner and H arold L a s s w e ll (S ta n fo rd : S ta n fo rd U n iv e r s it y P r e s s , 1951), p. 259. 333 t o s p o r t s c a r d r iv e r s and a n o th er t o l i t t l e o ld la d ie s d r iv in g t h e i r e l e c t r i c broughams. More im p o r ta n t, he may w ish t o p ersu ad e a la r g e la b o r union o f c h a u ffe u r s or com m e r c ia l v e h i c l e d r i v e r s . By e n l i s t i n g union su p p ort he can e x p e c t h i s m essage t o reach more p e o p le w ith g r e a te r e f f e c t th an i t would through on ly h i s own e f f o r t s . T hus, in a d d it io n t o p u rp o se, th e communicator must work w ith th e in d iv id u a ls and s o c i a l groups who can a c t in th e way he d e s i r e s , and he must i d e n t i f y and s e l e c t i n d i v id u a ls or groups f o r h is a t t e n t io n who can e x e r t r a d ia t in g in f lu e n c e i n b e h a lf o f h i s p u rp ose. Two g e n e r a l c r i t e r i a f o r s e l e c t i o n o f t a r g e t (w h eth er an i n d iv id u a l or a g r o u p ), t h e n , can be su g g e s te d : a p p r o p r ia te n e s s — th e r e l a t i v e or a b s o lu te a b i l i t y o f th e t a r g e t group or in d iv id u a l t o b e have in th e manner d e s ir e d f o r accom plishm ent o f th e g iv e n purpose or m is s io n ; and e f f e c t i v e n e s s — the r e l a t i v e a b i l i t y o f th e t a r g e t group or i n d iv id u a l t o in f lu e n c e th e b e h a v io r o f o th e r s in such a way as t o c o n tr ib u te t o t h e a c c o m p lish ment o f th e g iv en purpose o r m is s io n . A t h ir d c o n c ep t can som etim es be used as a s e l e c t i o n c r i t e r i o n , and sh o u ld alw ays be used f o r ta r g e t a sse ssm e n t: s u s c e p t i b i l i t y — a d e s c r ip t io n o f th e k in d s o f com m unication (m ed ia, c o n t e n t, sy m b o ls, frames o f r e f e r e n c e , and s o f o r t h ) which th e t a r g e t o r d in a r ily r e c e iv e s and a c c e p t s ; th e h a b itu a l ch an n els f o r p e r c e iv in g s p e c i f i c c a t e g o r i e s o f s t i m u l i (econom ic d i r e c t i o n , a e s t h e t i c 340 judgm ent, p o l i t i c a l i n t e r p r e t a t i o n s , and s o f o r t h ) ; and th e a b i l i t y o f th e o u ts id e com m unicator to "tap in" to th e s e comm unication sy s te m s . I f th e t a r g e t i s s u s c e p t i b l e t o t h e kinds o f m essages th e com m unicator w ish es t o tr a n sm it and i t he can fo r e s e e th e a b i l i t y t o ta p i n , th e q u a lit y o f s u s c e p t i b i l i t y becomes one c r i t e r i o n fo r s e l e c t i o n o f th e t a r g e t in d iv id u a l or group. In any c a s e , a sse ssm e n t o f a t a r g e t ' s s u s c e p t i b i l i t y i s an e s s e n t i a l req u irem en t f o r e f f e c t i v e p e r s u a s io n . In ord er t o i d e n t i f y p o t e n t i a l t a r g e t s upon w hich he can app ly t h e s e c r i t e r i a , th e communicator must have le a r n e d a l l t h a t he can abou t th e l o c a l s o c i e t y . He sh o u ld stu d y i n d i v i d u a l s , g r o u p in g s, and a g g r e g a te s which r e p r e s e n t v a r io u s c u l t u r a l , l i n g u i s t i c , f u n c t i o n a l , and i n t e r e s t s i m i l a r i t i e s . He sh o u ld a l s o n o te c o n f l i c t s w ith in groups and " com m on alities" among groups. He sh o u ld know th e a s p i r a t i o n s , f r u s t r a t i o n s , and p r e d is p o s it io n s o f h i s p o te n t i a l t a r g e t s . When he has such knowledge and when h is p e r su a s io n purpose i s s e l f - d e f i n e d , he can th en b e g in t o p ick and ch oose th e t a r g e t s o f h i s p e r s u a s io n . He must a l s o , how ever, always have in mind h is l i k e l y a u d ie n c e — th o s e who w i l l r e c e iv e h i s m essa g e, who are n o t p a rt o f h i s t a r g e t . He would not w ish t o a l i e n a t e one or s e v e r a l s o c i a l groups by c a r e le s s a p p ea l t o h is t a r g e t . 341 Know Your Target Having s e l e c t e d h is t a r g e t , th e communicator must have i t s r e le v a n t c h a r a c t e r i s t i c s in mind when t a i l o r i n g h is m essage. Whether th e ap p eal i s i n t e l l e c t u a l , em otion a l , s im p le , c o m p lic a te d , e x h o r t a t iv e , or subdued must depend in th e f i r s t in s ta n c e on th e answer t o th e q u e s tio n , "To whom am I speaking?" Knowledge o f h is t a r g e t and th e com m unicator's own judgment must be combined. For exam ple, sex d i s t r i b u t i o n may or may n o t be a f a c t o r , depending on th e com m unicator's pu rp ose. An attem pt to persuade a ta r g e t th a t fem ale p a r t i c i p a t i o n in th e p o l i t i c a l l i f e o f America has gone to o fa r may stan d or f a l l on the s e x d i s t r ib u t io n w it h in t h a t t a r g e t group. However, in an attem pt to g a in en th u siasm fo r b u ild in g a monument t o th e memory o f George W ashington, th e se x o f th e t a r g e t would seem t o have l i t t l e r e le v a n c e . An ap p eal t o urban la b o r er s t o support c o u n te rin su r g e n c y as a means t o p r o te c t t h e i r land and crops from in s u r g e n t d ep red a tio n would not be as r e le v a n t or as e f f e c t i v e as th e same app eal d ir e c te d t o th e r u r a l p e a sa n tr y . I t i s n ot p o s s ib le t o ex clu d e any ty p e o f inform a t io n about th e ta r g e t as u n im portan t, but knowledge most r e le v a n t to th e purpose o f th e communicator comes la r g e ly from h is a ttem p t t o view h is own b a s ic m essage through the eyes o f h is t a r g e t . To do t h i s , th e communicator must know more than a l i t t l e about th e h o p e s, f e a r s , g o a l s , and 342 v a lu e s o f th e t a r g e t ; he must a l s o know key co n c ep ts o f th e t a r g e t and i t s r e l i g i o u s , m oral, and s o c i e t a l b e l i e f s ; and he must know th e a t t i t u d e s o f th e t a r g e t w ith regard t o p o l i t i c a l e v e n ts and environm ent. Such in fo r m a tio n can be o b ta in e d by th e v a r io u s methods d e s c r ib e d in Chapter I I I o f t h i s d i s s e r t a t i o n , "M eeting th e Problem s o f C o u n terin su r- gen cy," and in Appendix B, "Knowing and Responding to a non-W estern C u ltu re ." Groups O rd in a r ily m ilit a r y p e r so n n e l p la c ed in a c o u n te r in su rg en cy m ilie u w i l l , as p art o f t h e i r m is s io n , have to persuade in d iv id u a ls and sm a ll groups p r im a r ily through w ord-of-m outh c o n t a c t. O c c a sio n a lly i t may be n e c e ss a r y t o attem p t t o persuade a la r g e r t a r g e t group through more form al m edia. In any c a s e , i t i s im portant t o bear in mind th a t an o r g a n ize d group w i l l g iv e g r e a te r e f f i c a c y t o th e "group d e c is io n " tec h n iq u e than w i l l a sim p le c o l l e c t i o n o f i n d i v i d u a l s . ^ 6 T hus, f o r some p u rp oses th e communicator may be w e ll a d v is e d to se e k th e o p p o r tu n ity to persuade a t l e a s t a sm a ll o r g a n ize d group r a th e r than to expend th e same energy p ersu a d in g a number o f in d iv id u a ls " a r t i f i c i a l l y " brought t o g e t h e r . One word o f c a u tio n : A group ■ ’ ■^Edith B. P elz, "Some F a cto r s in "Group D e ci s i o n , Readings in S o c ia l P sy c h o lo g y , e d . E lean or E. Maccoby, Theodore M . Newcomb, and fiugene L. H a r tle y (3d e d . ; New York: H o lt , R inehart and W inston, 19 58), pp. 212- 19. 343 may b e o r g a n ize d in fo r m a lly as w e l l as fo r m a lly and s t i l l be "a group," f o r the pu rp ose o f s e e k in g commitment and c o n se n s u s . A t r a n s i t o r y group o f v o lu n te e r c i v i l r ig h t s workers w ith o u t form al a f f i l i a t i o n may be j u s t as e f f e c t i v e l y o r g a n iz e d , w ith in a c e r ta in frame o f r e f e r e n c e , as i s t h e more perm anent and s t r u c tu r e d membership o f th e army o f f i c e r corp s. I n d iv id u a ls In a tte m p ts to p ersu ad e i n d i v i d u a l s , p e r s o n a lit y f e a t u r e s may be o f s p e c i a l im p ortan ce. Open-minded i n d i v i d u a l s , for ex a m p le, a r e more l i k e l y to d i s t i n g u i s h so u rce from m essage th a n the more dogm atic or c lo s e -m in d e d . The open-m inded p e r so n may a c t on th e b a s is o f a l o g i c a l a p p ea l and t h e m erits o f i t s c o n t e n t even when th e ap p eal i s d e l iv e r e d by a known enemy. One sh o u ld stu d y th e c h a r a c te r i s t i c s o f th e i n d iv i d u a l a s a t a r g e t as i n t e n s i v e l y as one must stu d y th e group as a t a r g e t . The f o llo w in g g e n e r a l i t i e s sh o u ld be k ep t in mind: (1 ) l o g i c a l l y im p r e s s iv e argum ents w i l l be more s u c c e s s f u l with p e r so n s o f h ig h i n t e l l i g e n c e than w ith th o se o f low i n t e l l i g e n c e ; ( 2 ) unsupported g e n e r a l i t i e s , la c k o f l o g i c , and i r r e l e v a n c e w i l l have l i t t l e i n f lu e n c e on p erso n s w ith •^ F r e d e r ic A. P o w e ll, "Open- and C losed-M indedness and t h e A b ilit y t o D i f f e r e n t i a t e Source and M essage," J o u rn a l o f Abnormal S o c i a l P sy c h o lo g y , LXII (1962), 64; M ilton Rokeach, e t a l . , The Open and C losed Mind (New York: B asic Books, 1960), p. 5IFT 344 h ig h i n t e l l i g e n c e ; (3) th e low er a p e r so n 's own s e l f e ste e m , th e h ig h e r i s h is p e r s u a s i b i l i t y ; and (4) s o c i a l i s o l a t i o n and w ithdraw al are a s s o c ia t e d w ith low p e r s u a s i b i l i t y . Of cou rse th e in d iv id u a l i s n ever i s o l a t e d . He s t i l l l i v e s and o p e r a te s in h is s o c i e t y (and, i f he i s th e t a r g e t o f p e r s u a s io n , th e assum ption m ight be th a t he i s a s i g n i f i c a n t member o f t h a t s o c i e t y ) . O ste n sib ly in d iv id u a l a t t i t u d e s in r e a l i t y are s o c i a l in c h a r a c te r and are group a n c h o r e d . 19 A ll in d iv id u a ls have t o contend w ith th e s o c i a l p r e ssu r e s o f t h e i r own groups and s o c i e t y , and some in d iv id u a ls w i l l succumb to th o se p r e ssu r e s in c o n f l i c t s i t u a t i o n s .20 Group membership, t h e r e f o r e , p r o v id e s the in d iv id u a l w ith an anchorage f o r h is e x i s t i n g o p in io n s — i t may r e in f o r c e th o s e o p in io n s and impede c o n v e r s io n . ^1 T hus, i t w i l l alw ays be t o th e advantage o f th e communica t o r to dem onstrate th a t h i s r e a l g o a ls are th e same as th o s e o f th e in d iv id u a l (and h is group) th a t he i s t r y in g t o p ersu ad e. The communicator must se ek a common ground l 8H ovland, J a n is , and K e lle y , op. c i t . , pp. 181-96, l^K atz and L a z a r s fe ld , op. c i t . , p. 44. Solomon E. A sch, S o c ia l P sychology (New York: P r e n t ic e - H a ll, In c., 1952), p. 264. 21w. W . C h a r te r s, J r . , and Theodore M . Newcomb, "Some A t t i t u d in a l E f f e c t s o f E xp erim en tally In crea sed S a l i ence o f a Membership Group," Readings in S o c ia l P sy c h o lo g y , e d , Maccoby, Newcomb, and H a r tle y , pp. 2 7 8-79. 345 w ith h is t a r g e t . I t i s a l s o n e c e ss a r y t h a t he n o t d i r e c t l y a t t a c k th o s e a t t i t u d e s w hich are p s y c h o lo g ic a lly and s o c i a l l y c r u c i a l to th e p erson he i s t r y i n g t o p ersu a d e. Purpose and P lan n in g The im portance o f purpose has a lr e a d y been men t io n e d s e v e r a l t im e s . I t sh o u ld a l s o be c le a r t h a t the p la n n in g o f a p e r su a sio n campaign i s e s s e n t i a l no m atter what i t s d u r a tio n and no m a tter w hether i t i s c o n c e n tr a te d upon an i n d iv id u a l or a la r g e group. The communicator must f i r s t have a purpose or m issio n and th en p la n how b e s t to a cco m p lish t h a t purpose w ith in h i s e x i s t i n g c a p a b i l i t i e s . With h i s purpose in mind, he must s e l e c t h i s t a r g e t , plan h is a p p e a ls , s e l e c t h is m edia, and a d ju s t h is te c h n iq u e s . His plan sh o u ld in c lu d e p roced u res fo r c o n s ta n t r e a s s e s s ment and p o s s i b l e r e v i s i o n . I f h i s feed b a ck i n d ic a t e s r e s i s t a n c e to h i s a ttem p ts to p e r su a d e, he sh ou ld change te c h n iq u e s or p o s s ib ly even t a r g e t s . A l l t h i s m ust be a m atter o f ed u ca ted judgm ent. P er su a sio n and D is s u a s io n Purpose i n j e c t s some o th e r c o n s id e r a t io n s which must be met in th e p la n n in g and s e l e c t i o n o f te c h n iq u e s . One's approach may vary depend ing on w h eth er a p a r t o f th e purpose i s t o persuade th e t a r g e t t o a new p o s i t i o n (which i t does n ot now h o l d ) , t o d issu a d e i t from a p r e s e n t a t t i t u d e , o r sim p ly t o co n firm an e x i s t i n g a t t i t u d e . Some 3^6 e x p e rim en ta l e v id e n c e s u g g e s ts th a t t o p r e se n t on ly one s i d e o f an argument i s more e f f e c t i v e when th e in t e n t i s t o persuade a t a r g e t t o adopt a new p o s it io n and th a t d is s u a s i v e e f f o r t s are more e f f e c t i v e when p r e s e n tin g two s id e s o f an argum ent.2 2 S im ila r ly , i t i s su g g e ste d th a t c o n f i r m ation o f e x i s t i n g o p in ion may be a t l e a s t em p orarily j a c h iev e d by in tr o d u c in g weakened or d ilu t e d arguments a g a in s t th e s e v ie w s - - in a manner analogous to th e m e d ic in a l immunity induced by in o c u la t in g th e human body w ith a weakened or d ilu t e d form o f an o th e rw ise dangerous v i r u s .2 3 In any c a s e , i t i s e a s i e r t o r e in fo r c e an a t t it u d e which a man a lrea d y h old s than t o con vert him from one b e l i e f t o a n o th er. There i s g e n e ra l r e c o g n itio n th a t p e r su a s iv e com m u n ication fu n c tio n s fa r more fr e q u e n tly as an agent o f r ein fo r ce m en t than as an agen t o f change. 22Carl I . Hovland, Arthur A. Lumsdaine, and Fred D. S h e f f i e l d , Experim ents on Mass Communication (P rin c eto n : P rin c eto n U n iv e r s ity P r e s s , 1949), p. 213. 2 3 w illia m J . McGuire, " P e r s is te n c e o f th e R e s i s t ance t o P ersu a sio n Induced by V arious Types o f P rio r B e l i e f D e fe n se s," Jou rn al o f Abnormal S o c ia l P sy c h o lo g y , LXIV (1962), 248; D em etrios P apageorgis and W illiam J . McGuire, "The G e n e r a lity o f Immunity t o P ersu asion Produced by P re- Exposure t o Weakened Counterargum ents," Jou rn al o f Abnormal S o c ia l P sy c h o lo g y , LXII (1961), 475; W illiam J . McGuire and D em etrios P a p a g e o r g is, "The R e la tiv e E f fic a c y o f Various Types o f P rio r B e lie f- D e fe n s e in Producing Immunity A g a in st P e r su a sio n ," Jo u rn a l o f Abnormal S o c ia l P sy c h o lo g y , LXII (1961), 327; W illiam J . McGuire and Dem etrios P a p a g e o r g is, " E ffe c tiv e n e s s o f Forewarning in D evelop in g R e sista n c e t o P er su a sio n ," P u b lic Opinion Q u a r te r ly , XXVI (19 62), 25. 34 7 Temporary and Enduring E f f e c t s P lan ning a ls o r e q u ir e s c o n s id e r a tio n of how endur in g an e f f e c t t h e p e r su a sio n i s meant to a c h ie v e . In gen e r a l , o f c o u r s e , th e most enduring e f f e c t i s b u i l t through c o n tin u a l e f f o r t , but beyond th a t are some o th e r c o n s id e r a t i o n s . For exam p le, i f a c e r ta in tech n iq u e used w ith a c e r ta in ta r g e t ten d s to r e s u l t in th e d e s ir e d a t t i t u d e or a c tio n some tim e a f t e r i t s u s e — a c o n d itio n known as s l e e p e r e f f e c t ^ — t h i s tec h n iq u e would n o t be a p p ro p ria te when a quick resp o n se i s d e s ir e d . Most p e r s u a s iv e t e c h n iq u e s , in and o f th e m se lv e s, produce only temporary e f f e c t s . Even th e " in o c u la tio n " te c h n iq u e s m entioned above d is p la y a ra p id -d eca y in e f f i c a c y . ^ F req u en tly a q u ick and tem porary e f f e c t i s a l l th e communicator d e s i r e s . Should he d e s ir e m ore, h is ta s k i s more d i f f i c u l t . I t would be v i r t u a l l y im p o ss ib le t o a ch iev e a r e a l l y enduring a t t i t u d e change w ith o u t d e v e lo p in g and r e ly in g upon su p p ort fo r th e a t t i t u d e from th e s o c i a l m ilie u . I f a t a r g e t in d iv id u a l f in d s h im s e lf havin g freq u en t c o n v e r sa tio n s w ith fr ie n d s and companions which r e in f o r c e h is new b e l i e f s , th e new a t t i t u d e s w i l l more l i k e l y be 2**Hovland, Lumsdaine, and S h e f f i e ld , op. c i t . , p. 187. ^^McGuire, " P e r siste n c e o f th e R e sista n c e . . , l o c . c i t . , p. 243. 348 s u s t a in e d over t im e .^ 6 With such s o c i a l su p p o r t, th e person who has a c q u ir e d th e new a t t i t u d e te n d s to be s e l e c t i v e in h i s r e c e p tio n o f new or c o n f l i c t i n g in f o r m a tio n ♦^^ He does t h i s t o a v o id d isso n a n ce between th e a c ce p ted a t t i tude and c o n te n d in g a t t i t u d e s . When t h is p o in t o f c o n v ic t io n has been r e a c h e d , th e in d iv id u a l w ill even r e s i s t " in fe c tio n " from a p r e s t i g e sou rce by d i s t o r t i n g th e i n t e r p r e t a t io n o f th e m essage he r e c e i v e s . P roced ures Conducive t o R e te n tio n P a r t i c u la r l y i f an en d u rin g e f f e c t i s d e s ir e d , i t i s n e c e s s a r y t o s o tr a n sm it a p p ea ls and m essages t h a t th e members o f the t a r g e t group can r e t a i n the com m unication in t h e i r minds and a c t upon i t i f c a l l e d upon t o do s o . I t goes w ith o u t s a y in g th a t in fo r m a tio n to be r e t a in e d sh o u ld be m e a n in g fu l, v i v i d , and em p hatic. A few o th e r p r i n c ip l e s f o l l o w : 1. R ad io, t e l e v i s i o n , and w ord-of-m outh com m unications g e n e r a lly are more con d u cive to th e r e t e n t io n o f ^ E le a n o r E. Maccoby, e t a l . , " S o c ia l R einforcem ent in A t t it u d e Change," J o u rn a l o f Abnormal S o c i a l P sy c h o lo g y , LXIII (1961), 113. 2^Judson M ills, E l l i o t t A ronson, and Hal R ob in son , " S e l e c t i v i t y in Exposure t o In fo rm a tio n ," J o u rn a l o f Ab normal S o c ia l P s y c h o lo g y , LIX (1959), 252; M elvin Manis and Joan B. B la k e , " I n t e r p r e t a tio n o f P e r su a siv e M essages as a F un ction o f P r io r Im m unization," Jou rn al o f Abnormal S o c ia l P s y c h o lo g y , LXVI (1963), 227; and McGuire a n c 3 P a p a g e o r g is, " £ f f e c t iv e n e s s o f Forewarning . . . , " l o c . c i t . , p. 33. 2®Manis and B la k e , " I n te r p r e ta tio n o f P e r su a siv e M essages . . . , " l o c . c i t ., p. 227. 349 sim p le m a te r ia l than are p r in t e d m edia. 2 . R e p e t it io n , w ith v a r i a t i o n , in c r e a s e s e f f i c a c y and r e t e n t i o n . R e te n tio n i s improved i f th e communica t i o n i s r e p e a te d up t o about th r e e or fo u r t im e s . T h e r e a fte r th e e f f e c t s o f a d d it io n a l r e p e t i t i o n are s l i g h t . Mere r e p e t i t i o n , w ith o u t v a r i a t i o n , can be i r r i t a t i n g t o th e t a r g e t . 2 9 3. C o n clu sio n s are b e t t e r r e ta in e d than th e argum ents su p p o rtin g , th e m .30 4. One le a r n s what one i s i n t e r e s t e d i n . When i n f o r m ation c o n te n t c o n f l i c t s w ith th e i n d i v i d u a l ' s d e s i r e s , v a lu e s , and m o tiv e s , f o r g e t t i n g i s a ra p id p r o c e s s . I f th e m essage i s con so n an t w ith p e r so n a l v a lu e s and th o s e o f th e so c io e c o n o m ic group t o w hich th e i n d iv id u a l b e lo n g s , r e t e n t i o n and even r e in fo r c e m e n t f o l l o w . 31 Im portance o f C ircu m stances To th e e x t e n t p o s s i b l e , p la n n in g sh o u ld in c lu d e p r o v id in g d e liv e r y c ir c u m sta n c e s most l i k e l y t o le a d to t a r g e t a c c e p ta n c e . V arying c u lt u r e s and l o c a l p r a c t i c e s w i l l make each c a se u n iq u e, but among f a c t o r s t o c o n s id e r are th e f o llo w in g : Time o f Day The tim e o f c o n ta c t i s im portant fo r two b a s ic r e a so n s: ( 1 ) th e mood o f th e t a r g e t - - p e r h a p s , fo r exam p le, th e m e s tiz o p e a sa n t o f th e Andes i s more app roachab le as he d rin k s w ith h is f e llo w s a f t e r th e hard d a y 's work; and 3 3 K lap p er, op. c i t . , p. 119; H ovland, J a n i s , and K e lle y , op. c i t . , p. '2 47. ^H ovland, J a n is , and K elley, op. c i t . , p. 248. 31I b i d . , pp. 252-53. 350 (2 ) t o reach th e w id e s t p o s s i b l e a u d ie n c e . P r e s id e n t John so n , f o r exam p le, broke p r e ce d e n t t o d e liv e r a S ta te o f th e Union a d d ress in th e e v e n in g , r a th e r than th e t r a d i t i o n a l noon h o u r, b eca u se a maximum number o f p eo p le co u ld l i s t e n l a t e r in th e day. The communicator must i n v e s t i g a t e f o r h im s e lf what th e m ost p r o p itio u s hour fo r h i s s e l e c t e d t a r g e t m ight b e . Time o f Year At c e r t a i n tim es o f th e y e a r p eo p le may be more r e c e p t iv e t o in fo r m a tio n th an a t o th e r tim e s . During h a r v e s t tim e , f o r exam p le, th e p e o p le s o f many c u lt u r e s may n ot be i n a mood t o l i s t e n . In some c u l t u r e s , m eetin g s and d is c u s s io n s and p e r so n a l exchange o f in fo r m a tio n may t r a d i t i o n a l l y fo llo w a f a i r , r e l i g i o u s f e s t i v a l , o r th e end o f th e h a r v e s t. At such tim e th e p e o p le may be more r e c e p t iv e t o in fo r m a tio n than o r d in a r ily . P h y s ic a l S e t t in g The p la c e in which comm unication i s a ttem p ted may be r e l a t e d t o w h eth er th e com m unication i s a c c e p te d or r e j e c t e d . Perhaps an o f f i c i a l would f e e l he i s l o s i n g fa c e i f he i s fo r c e d t o l i s t e n to th e communicator i n some farm er’ s muddy f i e l d . Sometimes i t i s in th e t r a d i t i o n a l s e t t i n g s , such as a tem ple cou rtyard or v i l l a g e in n , t h a t an exchange o f in fo r m a tio n i s view ed as most n a tu r a l. S o c ia l S e t t i n g In some c u lt u r e s or c ir c u m sta n c e s , th e s o c i a l s e t t i n g -may be im p o r ta n t. The communicator may be b e s t a d v is e d t o h o ld a mass m e e tin g , even i f h i s ta r g e t i s a more r e s t r i c t e d group, i f form al d e c is io n making i s view ed as a c o l l e c t i v e a f f a i r . At o th e r tim es or p l a c e s , he may have to p r o v id e e n te r ta in m e n t as a s e t t i n g in which t o im part h is in fo r m a tio n . Perhaps a group d is c u s s io n would be more f r u i t f u l . The com m unicator's pu rp ose and th e c u s toms o f th e p e o p le w i l l in f lu e n c e p la n n in g c h o i c e s . 32 C hoice o f Media P la n n in g r e q u ir e s a c h o ic e o f means whereby th e m essage or a p p ea l o f th e communicator can be d e liv e r e d . O b viou sly t h i s c h o ic e depends on th e s i z e and d i s t r i b u t i o n o f h i s t a r g e t , h is p u rp o se , and th e c u l t u r a l ways o f th e p eo p le he w ish e s to a d d r e s s . Mass Media For un d erd evelop ed a reas in p a r t i c u l a r , th e mass media which do n ot depend on a h ig h d egree o f l i t e r a c y and a re most dram atic are t o be p r e fe r r e d . Both ra d io and t e l e v i s i o n a r e e f f e c t i v e , but r a d io i s more w id esp rea d and 32Kurt Lewin, "Group D e c is io n and S o c i a l Change," Readings in S o c ia l P s y c h o lo g y , ed . Maccoby, Newcomb, and H a r t le y , p. 202; Lorene C. Quay, C. J. B a r t l e t t , L. S. W rightsman, J r . , and D. C atron , " A ttitu d e Change i n A tte n d an t E m ployees," Jou rn al o f S o c ia l P sy c h o lo g y , LV (1961), 27-31. 35 2 a v a i l a b l e . P r in te d m edia may have t o be u sed fo r some p u r p o s e s , but i t s v a lu e fo r m ost a u d ien ce s i s l i m i t e d , and i t i s n o t as con d u cive t o r e t e n t io n o f th e m essage as r a d io . I n te r p e r s o n a l Media A f a c e - t o - f a c e r e l a t io n s h ip has u s u a lly been more e f f e c t i v e , i f more l i m i t e d , th an the use o f mass m e d ia .33 In an u n d erd evelop ed s o c i e t y t h i s seems t o be p a r t ic u la r ly s o . A s o c i e t y which has been un dergoin g t h e c r o s s - p r e s su r e s and c la im s o f in su r g en cy and c o u n te r in su r g e n c y tends to become more or l e s s immune t o a p p ea ls o f mass m edia. Thus, w h ile mass m edia may be n e c e ss a r y f o r some purposes and w i l l alw ays be u s e f u l as a r ein fo r c e m e n t d e v i c e , m ili ta r y p e r so n n e l w i l l undoubtedly r e ly t o a g r e a t e x t e n t on w ord-of-m outh com m unication. Such com m unication can be in th e form o f tw o in d i v id u a ls fa c e t o f a c e , an in d iv id u a l a d d r e ss in g a group, or th e comm unicator d is s e m in a tin g h is m essage through th e i n te r m e d ia r ie s o f an e s t a b l i s h e d com m unication sy stem . ^ Some o f th e c h o ic e s o f p h y s ic a l and s o c i a l s e t t i n g s , which may d eterm in e w h eth er and where a communicator w i l l address 33James S. Coleman, Community C o n f lic t (G len co e, 1 1 1 .: The Free P r e s s , 1 9 5 7 ), p . 13. 3l+Elihu K atz, "The Two-Step Flow o f Communication: An U p -to -d a te Report on an H y p o th e sis," P u b lic O pinion Q u a r te r ly , XXI (1 9 5 7 ), p a ssim . a group, have been d is c u s s e d above. I f he w ish es h is m es sage t o spread th rou gh ou t the t a r g e t group, community, or s o c i e t y through e x i s t i n g c h a n n e ls , he must i d e n t i f y th e key com m unicators. These are th e p e o p le who by t r a d i t i o n , p o s i t i o n , p e r s o n a l i t y , o r some com b in ation t h e r e o f , are sou gh t by o th ers f o r news and a d v ic e . Such p e r so n s can be i d e n t i f i e d by c lo s e o b s e r v a tio n o f a c u l t u r e , or th e com m u n icator can a c c e p t th e word o f th o s e who have been th e r e lo n g e r th an h im s e lf or who are th e m se lv e s a p a r t o f th e s o c i e t y . A ccordin g t o th e c u l t u r e , a key communicator may be th e v i l l a g e headman, a p r i e s t , th e i t i n e r a n t b a r b e r , m erchant, and s o f o r t h — th e r e may be s e v e r a l . In any c a s e , when he has been i d e n t i f i e d , th e communicator must se e t h a t h is m essage i s a c c e p te d and p a ssed a lo n g i f i t i s to sp read e f f i c i e n t l y and e f f e c t i v e l y . The key com m unicator, th e n , becomes a t a r g e t in th e f i r s t in s ta n c e and i s th u s s u b je c t to a l l o f th e a n a ly s is o f a t a r g e t . Knowledge o f h is v a lu e s and p r e d i s p o s i t i o n s , o f how t o approach him ( d i r e c t l y , th rou gh r e s p e c te d m ed ia, through p e r so n a l in te r m e d ia r y , and s o f o r t h ) , o f what t o say to him , and a l l o th e r con s i d e r a t io n s o f t a r g e t a n a ly s is become s i g n i f i c a n t . Some T echniques o f P er su a sio n S e v e r a l te c h n iq u e s have a lr e a d y been m entioned. Examples are th e use o f o n e -s id e d argum ents t o p ersuad e and tw o -s id e d arguments t o d is su a d e . The d is c u s s io n i s e x - 354 panded below . There a r e a few o th e r te c h n iq u e s t e s t e d in Western c u lt u r e which m ight seem to have u n iv e r s a l a p p r o p r ia te n e s s . P r e s e n ta tio n o f One and Both S id es o f an Argument In a d d itio n t o th o s e p o in ts a lr e a d y m en tion ed , th e f o llo w in g ex p erim en ta l fin d in g s on p r e s e n ta tio n o f argu ments sh o u ld be kept in mind: 1. T w o-sided p r e s e n ta tio n s are g e n e r a lly l e s s e f f e c t i v e fo r p ersons o f low e d u c a tio n . Such p r e se n ta t i o n s are a l s o more s u s c e p t ib l e t o m isu n d erstan d in g and boomerang e f f e c t s . 35 2. O n e-sid ed arguments can be e f f e c t i v e in o c u la to r s fo r persons who are thereupon r eq u ire d t o p u b lic ly commit th e m se lv e s on th e i s s u e . 36 3. The tw o -s id e d p r e s e n ta tio n i s more e f f e c t i v e i f th e t a r g e t i s e i t h e r opposed to th e p o s it io n b ein g ad v ocated or w i l l be s u b j e c t t o l a t e r counterp rop a ganda. 37 4. The o n e -sid e d p r e s e n ta tio n i s s l i g h t l y more e f f e c t i v e i f th e t a r g e t a lre a d y fa v o r s th e p o s it io n b ein g a d v o c a te d .38 5. 'W hen a t a r g e t group i s composed o f both th o se who fa v o r and th o s e who oppose th e com m unicator's p o s i t i o n , a tw o -s id e d p r e s e n ta t io n w i l l be more 33K lapper, o p . c i t . , p . 116. 36I b i d . , p. 114. 3 ? H o v l a n d , J a n i s , and K e lle y , op. c i t . , p. 110; V id e, a l s o , E l l i o t t M cGinnis, One- and I’ w o-Sided Communica t i o n s in P e r su a sio n , T e c h n ic a l Report No. 5 (C o lle g e Park, M aryland: U n iv e r s ity o f Maryland I n s t i t u t e f o r B eh avioral R esearch, J u n e, 1 9 5 4 ), p. 41. 38H ovland, J a n is , and K e lle y , l o c . c i t . ; M cGinnis, l o c . c i t . 355 e f f e c t i v e w ith th o se who are a n t a g o n is t ic and w i l l n o t s i g n i f i c a n t l y a l ie n a t e th o se who i n i t i a l l y su pp ort th e com m unicator.39 E x p l i c i t C on clu sion s G e n e r a lly , th e communicator who draws e x p l i c i t con c lu s io n s from h is arguments i s l i k e l y t o be more e f f e c t i v e than one who perm its h is t a r g e t to draw th e c o n c lu s i o n s .1 ^ 9 There i s a minor e x c e p tio n t o th e r u l e , however: when d e a lin g w ith h ig h ly p e r so n a l m a tte r s , a n o n d ir e c tiv e ap proach , in which no c o n c lu sio n i s drawn, i s l i k e l y to be b e t t e r r e c e iv e d . Order o f P r e se n ta tio n A lthough th e r e have been a number o f ex p erim en ta l s t u d i e s , no s e t t l e d agreem ent e x i s t s about order o f p r e s e n t a t i o n , em p h asis, and so f o r t h . S o m e very t e n t a t i v e p r o p o s it io n s , w ith regard t o p r e s e n tin g th e key argument a t 39I b i d . ^ C a r l I . Hovland and W allace M andell, "An E xp eri m ental Comparison o f C onclusion-D raw ing by th e Communicator and by th e A u dien ce," J ou rn al o f Abnormal S o c ia l P sy ch o l- o g y , XLVII (1 9 5 2 ), 5 81-88; V id e, a l s o , K lapper, op. c i t . , F r ~ ii6 . ^ H ovlan d and M andell, l o c . c i t . ; Carl I . Hovland ( e d , ) , Yale S tu d ie s in A ttitu d e and Communication, V ol. 1: The Order o f P r e s e n ta tio n in P ersu asion (New Haven: Yale U n iv e r s ity P r e s s , 1 9 5 7 ), p. 1; Carl I . Hovland, "The Role o f Primacy and Recency in P e r su a siv e Communication," Read in g s in S o c ia l P sy c h o lo g y , e d . Maccoby, Newcomb, and H art l e y , p. 14^; E l l i o t M cG innis, Order E f f e c t s in P e r s u a s io n , T e ch n ica l Report No. 4 (C o lle g e Park, Maryland: U n iv e r s ity o f Maryland I n s t i t u t e f o r B eh a v io ra l R esearch , February, 1964) , passim . 35 6 b e g in n in g o r en d , have emerged and may a s s i s t th e communi c a to r in c e r t a i n c ir c u m sta n c e s: 1 . P r o g r e ssio n from weak t o s t r o n g argument (clim a x ord er) w i l l be fa v o red on i s s u e s w ith w hich th e t a r g e t i s f a m ilia r and where deep con cern i s f e l t . 2. I n i t i a l l y s tr o n g argument (a n tic lim a x o rd er) w i l l be fa v o r e d fo r u n fa m ilia r t o p i c s and w ith u n in te r e s t e d t a r g e t s . * + 2 t Use o f Fear Reduc t i o n and T h reats Under c e r ta in c o n d i t i o n s , a r o u sin g f e a r in an a u d i ence and th e p r e s e n tin g o f c h o ic e a l t e r n a t i v e s which w i l l reduce such f e a r seems t o be h ig h ly e f f e c t i v e . 43 This te c h n iq u e i s d a n g ero u s, how ever, and s u s c e p t i b l e t o boomer ang e f f e c t s . Inducement o f to o much f e a r , f o r exam ple, can le a d t o th e p a r a ly z in g i n a b i l i t y t o ta k e any a c t io n or t o p e r c e iv e any a l t e r n a t i v e . 44 M oreover, th o s e who have been persuaded by means o f fe a r -r e d u c in g te c h n iq u e s have been shown t o be s u s c e p t i b l e t o r a p id r e c o n v e r sio n when exposed t o d i f f e r e n t in fo r m a tio n or t h r e a t s . I t seem s c l e a r , th e n , 42Hovland, J a n is , and K e lle y , op. c i t . , p. 112. 43E rnest R. H ilg a r d , T h eo r ie s o f L earn in g (2d e d . ; New York: A p p le to n -C e n tu r y -C r o fts, I n c . , 1956) , pp. 128- 130; I r v in g L. J a n is and Seymour F eshbach, " E f fe c t s o f F ear-A rou sin g Communication," J o u rn a l o f Abnormal S o c ia l P sy c h o lo g y , LXVIII (1 9 5 3 ), 92. 44E rnest R. H ilg a rd ,. I n tr o d u c tio n to P sych o log y (3d e d . ; New York: H a rc o u r t, B race, 19 8 2 ) , pp. 576 f f ; Ir v in g L. J a n is and Robert F. T e r w i l l i g e r , "An E xp erim en tal Study o f P s y c h o lo g ic a l R e s is ta n c e s t o Fear A rou sin g Communica t i o n s , " J o u rn a l o f Abnormal S o c ia l P sy c h o lo g y , LXV (1 9 6 2 ), 410. 357 th a t t h r e a t s are n o t u s e f u l in ch a n g in g o p in io n - - a t l e a s t n o t on a lo n g -te r m b a s i s . They may be used t o o b ta in com p lia n c e t o d i r e c t i v e s , but t h i s b e g in s to ta k e on th e f la v o r o f c o e r c io n and n o t p e r s u a s io n . In g e n e r a l, a v o id t h r e a ts and use f e a r - in d u c in g communication w ith c a u t io n . A c q u ir in g C o n v ic tio n Through' "Parti ci'p'at io n I f a p erson h im s e lf p a r t i c i p a t e s in so m e th in g , he i s more l i k e l y t o be p ersuad ed to a new o p in io n or to r e i n fo r c e a d e s ir e d e x i s t i n g a t t i t u d e th an i f he m erely l i s t e n s . I t i s t h i s p r i n c ip l e which i s o fte n u sed by Commun i s t s in t h e i r p u b lic s e l f - c r i t i c i s m s e s s i o n s . When a p e r son a c t s o u t th e p a r t o f a c u l p r i t h e soon b e g in s to b e l ie v e t h a t he i s ; then he can c o n f e s s and make amends. A fte r su ch a p r o c e s s , h is commitment i s s tr o n g e r than e v e r . There i s some e v id e n c e t h a t a p e r s o n ’ s change o f a t t i t u d e can be r e in f o r c e d by th e e x p r e s s io n o f app roval fo r h i s perform an ce. I f th e p erso n i s encouraged t o im p r o v ise an argument o r d in a r ily co n tra r y t o h i s b e l i e f , t h e p r o c ess o f doin g s o seem s t o produce a g r e a te r o p in io n change than mere r e p e t i t i o n o f th e com m unicator’ s p o in ts . His t a i lo r in g o f th e c o n te n t ta k e s i n t o a cco u n t h is own known and 45Bert T. King and I r v in g L. J a n is , "Comparison o f th e E f f e c t i v e n e s s o f Im p rovised v e r s u s N on-im provised R ole P la y in g in P roducing O pinion C hanges," Human R e l a t i o n s , IX ( 1 9 5 6 ) , 182. 358 unknown unique m o tiv e s . In any c a s e , such p u b lic commit ment i s a m ost e f f e c t i v e way t o a c h ie v e s a l i e n t and p o te n t i a l l y en d u rin g r e s u l t s . 1^ 46Timothy C. B rock, " C o g n itiv e R e s tr u c tu r in g and A t t it u d e Change," J o u rn a l o f Abnormal S o c ia l P sy c h o lo g y , LXIV ( 1 9 6 2 ), 270. APPENDIX D NOTE O N THE USE O F CRITICAL INCIDENTS TECHNIQUE: REPRODUCTION OF INTERVIEW SCHEDULE 3S9 APPENDIX D NOTE O N THE USE O F CRITICAL INCIDENTS TECHNIQUE: REPRODUCTION OF INTERVIEW SCHEDULE For th e purpose o f t h i s d i s s e r t a t i o n , th e c r i t i c a l in c id e n t te c h n iq u e was used in an attem pt to gain i n s ig h t s to th e r e a l l i f e e x p e r ie n c e o f f o r e ig n W estern c o u n te r in su rg en t p e r so n n e l p a r t i c i p a t i n g as a d v is e r s to l o c a l non- W estern c o u n te r in s urgent action.-*- I t was a n t ic ip a t e d t h a t some r e c u r r in g problems w ith regard t o th e m o tiv a tio n o f in d igen ou s p o p u la tio n s co u ld be d isc e r n e d from th e study o f a c tu a l e v e n ts . I t was a l s o a n t ic ip a t e d t h a t th e r e s u l t s would c a s t some l i g h t on th e p r o c e ss e s o f m o tiv a tio n in a non-W estern s e t t i n g . E s s e n t ia l l y th e tec h n iq u e i s used t o i d e n t i f y human a c ts which are f u n c t io n a lly r e le v a n t t o a ta sk or g o a l in a s p e c i f i e d c o n te x t and to n o te th e consequ en ces o f c e r ta in -*-Edwin H. B la k elo ck a s s i s t e d th e auth or in th e ad m in is t r a t io n o f th e c r i t i c a l in c id e n t in te r v ie w sc h e d u les ;d e sc r ib e d in th e su cc ee d in g p ages, C harles Windle and B lak elock a d v is e d and a s s i s t e d th e au th or in th e a n a ly s is io f data o b ta in ed through use o f th e tec h n iq u e and in the ;p r e s e n ta tio n o f th o se data in t h i s app en dix. S ta n ley L ic h t e n s t e in , a c o lle a g u e o f J . C. Flanagan who o r i g i n a l l y d evelop ed th e te c h n iq u e , made h e lp f u l s u g g e s tio n s a s th e in te r v ie w sc h e d u le was b e in g c o n str u c te d . 360 361 ty p e s o r p a t t e r n s o f a c t s . The tec h n iq u e was i n i t i a l l y de v e lo p e d f o r m i li t a r y p e r so n n e l s e l e c t i o n . S u b se q u e n tly , a p p lic a t io n s t o many d i f f e r e n t a rea s o f in q u ir y were made, in c lu d in g i n t e r c u l t u r a l t e c h n i c a l in n o v a tio n and ad ap ta t i o n , 2 p s y c h o p a th o lo g y ,3 measurement o f c h i l d r e n ’ s b e h a v i o r , 1 * h o s p i t a l p a t i e n t - s t a f f interaction,5 and h o s p i t a l m ed ica l e r r o r s . 6 H ere, th e te c h n iq u e was em ployed t o stu d y th e con seq u en ces o f p e r s u a s iv e a c ts in i n t e r c u l t u r a l r e l a t i o n s h i p s . The purpose was t o g a in both d ata on and i n s i g h t s in t o th e r e a l l i f e e x p e r ie n c e o f W estern m ilit a r y a d v is o r s t o fo r e ig n m i li t a r y c o u n te r p a r ts engaged i n c o u n te r in s u r gen cy. I t was e x p e c te d t h a t some r e c u r r in g problem s in reg a rd to th e m o tiv a tio n o f in d ig e n o u s p o p u la tio n s c o u ld be d is c e r n e d from th e stu d y o f a c t u a l e v e n t s , and t h a t th e 2A rthur H. N ie h o f f and J . C harnel A nderson, "The P ro cess o f C r o ss -C u ltu r a l I n n o v a tio n ," I n t e r n a t io n a l D ev el opment R eview , VI (J u n e, 1964) , 5 -1 1 . 3 j. C. Flanagan and F. W . Schm id, "The C r i t i c a l I n c id e n t Approach t o th e Study o f P sy c h o p a th o lo g y ," Jo u rn a l o f C l i n i c a l P sy c h o lo g y , XV ( 1 9 5 9 ), 1 3 6 -3 9 . ^J. C. F lan agan , e t a l . , "A New Tool f o r M easuring C h ild r e n 's B eh a v io r," The E lem entary Sch ool J o u r n a l, LIX (Decem ber, 1 9 5 8 ), 1 6 3 -6 6 . Sjack W . F lem in g, "The C r i t i c a l I n c id e n t Technique as an Aid t o I n - S e r v ic e T r a in in g ," American J o u rn a l o f M ental D e f i c i e n c y , LXVII ( J u l y , 1 9 6 2 ), 4 1 -5 2 . ^Miriam A. S a fr e n and A. C h a p a n is, "A C r i t i c a l I n c id e n t Study o f H o s p ita l E r r o r s," H o s p it a l s , XXXIV (19 6 0 ) , 3 2 -3 4 . 362 r e s u l t s would c a s t some l ig h t on th e p r o c e s s e s o f m o tiv a t io n i n a non -W estem s e t t i n g . In th e in t e r v ie w s c h e d u le , four main q u e s tio n s were asked c o n c e r n in g each c r i t i c a l i n c i d e n t . These q u e s tio n s were e s s e n t i a l l y th e same for p o s i t i v e and n e g a tiv e i n c i d e n t s . The fo u r b a s i c q u e s tio n s fo r ea ch in c id e n t were as f o llo w s : " T e ll me about h a l f a d o zen s e p a r a te o c c a sio n s where you o b serv ed some in c id e n t where t h e lo c a l p o p u la tio n su p p o rted [d id n o t su p p o rt] c o u n te r in su r g e n c y a c t i o n . P le a s e g iv e me now th e f i r s t ex a m p le.'1 . The resp o n d en t de s c r ib e d th e in c id e n t a s w e ll as h e cou ld . The seco n d ques t i o n w a s, " I d e n t if y by d e s c r i p t i o n , not by name, t h e person or group who d id som eth in g th a t was very u s e f u l [ d e t r i m en ta l] in o b ta in in g t h i s lo c a l p o p u la tio n support [ o r , who by n o t doin g som eth in g tended t o be d e tr im e n ta l t o su ch s u p p o r t]." T h is q u e s tio n was fo llo w e d b y , "What d id t h i s p erso n or group do t h a t was so h e l p f u l [ s o d e tr im e n ta l] at th e tim e m entioned?" The resp on d en t was th e n asked th e fo u r th q u e s tio n : "Why was t h is s o h e lp f u l [so d e tr im e n ta l] i n m eetin g t h i s s it u a t io n ? " F o llo w in g t h i s th ere w ere s e v e r a l q u e s tio n s d e sig n e d to g i v e d e t a i l t o the g e n e r a l d e s c r ip t io n . These l a s t q u e s tio n s on d e t a i l were n o t par t i c u l a r l y h e lp f u l in producing r e sp o n s e s f o r the a n a l y s i s . The b a s is fo r s e l e c t i o n o f in c id e n t s as s p e c i f i e d in th e f i r s t q u e s tio n was only t h e outcome: nam ely, 363 p o p u la tio n su p p ort o r , f o r th e n e g a t iv e i n c i d e n t s , la c k o f su p p ort f o r c o u n te r in su r g e n c y a c t i o n s . W hile su b seq u en t q u e s tio n s s o l i c i t e d c a s u a l f a c t o r s , th e resp o n d en ts need n o t have known— and f r e q u e n tly d id n ot k n o w --th e c a u s a l c o n d it io n s f o r th e in c id e n t s th e y d e s c r ib e d . This depar t u r e from sta n d a rd c r i t i c a l in c id e n t p roced ure ( t h a t i s , l e s s em phasis on c a u se s than on e f f e c t s ) may have produced a more r e p r e s e n t a t iv e sam ple o f i n c i d e n t s . B ut, as w i l l be s e e n , i t a l s o y i e l d s l e s s in fo r m a tio n about ty p e s o f p e r s u a s io n . In fo rm a tio n was o b ta in e d from 10 o f f i c e r s and 15 NCO’ s w ith e x p e r ie n c e i n V ietnam . These s u b j e c t s were s e l e c t e d p r im a r ily on th e b a s is o f a v a i l a b i l i t y f o r i n t e r view in March, 196 5. Method Used L o g ic a lly t h e r e were s e v e r a l ways t o pursue t h i s q u e s t fo r problem s t y p i c a l o f c o u n te r in su r g e n c y s i t u a t i o n s . One would be t o con d u ct e m p ir ic a l r e se a r c h in g u e r r i l l a - r id d e n p a r ts o f th e w orld. T his c o u ld be done by o b ser v a t i o n , a t t i t u d e s u r v e y s , or p s y c h o lo g ic a l t e s t s . L im ita t i o n s o f money, t im e , and a c c e s s i b i l i t y p r e clu d ed t h i s . A nother approach w ould be t o stu d y a f t e r - a c t i o n r e p o r ts by m i li t a r y and o th e r W esterners w ith r e le v a n t e x p e r ie n c e . T hese r e p o r ts are o f t e n in a d e q u a te , even when a p p lie d t o th e a c tio n s o f a combat f o r c e , as Schmidt n o ted a t th e 1963 36 4 Army O p eration s R esearch Sym posium .7 These r e p o r ts are som etim es c o n t r a d ic t o r y , n e v e r q u ite com parable one t o a n o th e r , and seld om w r it t e n w ith th e purpose o f th e r e s e a r c h e r in mind. They are e s p e c i a l l y in a d e q u a te when a p p lie d t o a c t io n s r e l a t e d t o a c i v i l i a n p o p u la tio n . P re lim in a r y e x p lo r a t io n o f a f t e r - a c t i o n r e p o r ts con firm ed th e i n f e a s i b i l i t y o f u s in g them . T h e r e fo r e , i t was d e c id ed t o s e e k th e d e s ir e d in fo r m a tio n from in te r v ie w s w ith p erson s who had r e c e n t l y r e tu r n e d from a ssig n m en ts in Vietnam . The in te r v ie w s were d e v e lo p ed t o i d e n t i f y c r i t i c a l i n c i d e n t s , f o llo w in g — w ith m o d if ic a t io n s — th e te c h n iq u e d ev elo p ed by F lan agan. The o r i g i n a l c r i t i c a l in c id e n t tec h n iq u e was d e s c r ib e d by Flanagan as a s e t o f p roced u res f o r c o l l e c t i n g d i r e c t o b s e r v a tio n s o f human b e h a v io r i n such a way as t o f a c i l i t a t e t h e i r p o t e n t i a l u s e f u ln e s s i n s o l v i n g p r a c t i c a l problem s and d e v e lo p in g broad p s y c h o lo g ic a l p r i n c i p l e s , ® He c l a s s i f i e d an in c id e n t as c r i t i c a l i f i t o ccu rred in a s i t u a t i o n where th e purpose o r in t e n t o f th e a c t seems f a i r l y c l e a r t o th e o b s e r v e r and where i t s c o n se q u en ces are s u f f i c i e n t l y d e f i n i t e t o le a v e l i t t l e doubt c o n c e r n in g i t s e f f e c t s .® W hile t h i s group o f in fo rm a n ts cou ld by no means be 7T. W . S ch m id t, "The N e c e s s it y f o r O b je c tiv e Data from A c tu a l Combat Engagements W hile C u rren t," U n ited S t a t e s Army O p era tio n s R esearch Symposium, P r o c e e d in g s , Part I (Durham, N. C .: Department o f th e Army, March, 1 9 6 3 ), 2 6 7 -7 2 . 8J . C. F lan agan , "The C r i t i c a l I n c id e n t T ech niqu e," P s y c h o lo g ic a l B u l l e t i n , LI ( J u ly , 1 9 5 4 ), 327. 9I b id . 36:5 c o n sid e r e d a random sa m p le, th e r e was a c o n s id e r a b le d egree o f v a r ia t i o n in th e d a tes and l o c a t i o n s o f t h e i r to u r s in V ietnam . The m ajor e x c e p tio n t o t h i s would be t h a t most had been a s s ig n e d t o th e C I D G - 1- ^ program and th u s worked c l o s e l y w ith th e M ontagnards, c e r t a i n l y a d i s t i n c t i v e popu l a t i o n su p p ort problem . There was no apparent r ea so n t o b e l i e v e t h a t o th e r groups o f men a v a i la b l e t h e n , e a r l i e r , o r l a t e r , would d i f f e r g r e a t l y . Only 3 men se r v e d i n World War I I , w hereas 10 se r v e d in th e Korean War. Only f i v e had c o u n te r in su r g e n c y e x p e r ie n c e o th e r th an V ietnam . Only two o f th e men had had more th an a y e a r ' s s e r v i c e in Vietnam , and o n ly one had a tte n d e d th e Army PsyOps S c h o o l. Most had se r v e d in coun te r in s u r g e n c y a ssig n m en ts w ith in t h e l a s t y e a r . A ll but t h r e e were c a r e e r men. F iv e men were betw een th e ages o f 20 and 25; s i x between 26 and 30; n in e betw een 31 and 35; and f i v e betw een 36 and 40. The data were g a th e re d by stan d ard in t e r v ie w t e c h n iq u e s . The in t e r v ie w in g was done by th e au th o r a t F a y e tt e v i l l e , N orth C a r o lin a . R e s u lts O btained The r e s u l t s o b ta in e d from th e m o tiv a tio n in t e r v ie w s ■ ^ C iv ilia n I r r e g u la r D efense Group i s a program de s ig n e d t o b r in g m in o r ity groups in Vietnam i n t o c o o p e r a tio n w ith th e c o u n te r in su r g e n c y e f f o r t th rou gh c i v i c a c t io n and th e t r a i n in g and o r g a n iz a tio n o f l o c a l m i l i t i a to p ro v id e s e c u r i t y . 36 6 a r e summarized in T ab les 1 and 2. Table 1 shows th e c r i t i c a l in c id e n t s o f p o p u la tio n support w ith p o s i t i v e or fa v o r a b le outcome. Table 2 shows the f a i l u r e s t o w in p op u la r su p p o rt and th e a s s o c ia t e d in s tr u m e n ta l a c t io n s or a n te c e d e n t e v e n ts by e i t h e r U. S . a d v is e r s o r , in some c a s e s in v o lv in g th e Montagnard p o p u la tio n , t h e i r V ietnam ese co w o rk ers. The number o f c h a r a c t e r i s t i c s l i s t e d ex ceed s i n c i d e n ts a c t u a lly s t u d ie d . When a s u b j e c t d e sc r ib e d more than one consequence o f an a c tio n or i n c id e n t , a se p a r a te en try was made f o r each . T his i s a f a i r l y lo o s e way o f c o u n tin g r e s u l t s , but i t se r v e d t o produce more d e t a i l s from lim it e d d a ta and t o s u f f i c e f o r th e lim it e d p u rp o se. B ecause o f t h i s l a x i t y in c l a s s i f i c a t i o n and because th e b a s ic sam p lin g o f s u b j e c t s was n e c e s s a r i l y cru d e, th e r e s u l t s must be look ed on only as s u g g e s t iv e . — “~T There was a v a r ia tio n i n both th e ty p e s o f a c tio n s and th e ty p e s o f co n se q u en ce s. Table 1 shows th a t th e a c tio n s t o which fa v o r a b le con seq u en ces were a t t r ib u t e d i n c lu d e d b e n e f a c t io n s , developm ent e f f o r t s , human r e l a t i o n s , propaganda, shows o f f o r c e , and sto p p in g or p r e v e n tin g m is tr e a tm e n t. Q uite o f t e n , how ever, no e x p l i c i t c a u s a l a c t was m en tioned. T his was in p a r t a r e s u l t o f th e approach w hich p la c e d primary em phasis on th e outcom e. I t i s a l s o s u s p e c te d t h a t o f te n th e s u b j e c t s cou ld not p o in t t o s p e c i f i c c a u s e s . This i s su p p orted by th e g e n e r a liz e d n atu re 36 7 o f some o f the d e s c r ib e d in str u m e n ta l a c t io n s . For e x am ple, a s e r g e a n t, who to ld how one woman in charge o f p rocu rin g r i c e for t h e V C tu r n e d in h e r e n t ir e cach e of r i c e , had no idea o f what prompted t h i s a c tio n . Of th e a c t io n s m en tioned, g iv in g m a te r ia l or a s s is t a n c e was most fr e q u e n tly c it e d . By fa r th e most f r e q u en tly named type o f p o p u la tio n support was th e g iv in g o f i n t e l l i g e n c e in fo r m a tio n . O th er consequences m entioned ranged from combat su p p ort t o j u s t d e c r e a sin g a s s is t a n c e t o th e V iet Cong. For the n e g a t iv e in c id e n t s (se e Table 2) th ere was a l s o a w id e range o f types o f a c ts and co n se q u en ce s. A g a in , i n t e l l i g e n c e in fo r m a tio n was th e most fr e q u e n tly m entioned co n seq u en ce. Others in clu d ed l o s t b e n e f i t s or good w i l l , support t o the V ie t Cong, and h o s t i l e a c t s . One p e r so n , more g lo b a l i n o r ie n ta t io n than m ost, m entioned th e r e v o lt o f th e Montagnards as su ch a con seq u en ce. The types o f n e g a tiv e in s tr u m e n ta l a c ts c it e d were a l s o q u ite v a r ie d , alth ou gh a g a in fo r many in c id e n t s no s p e c i f i c a c t s were d e sc r ib e d . Most fr e q u e n tly c i t e d among s p e c i f i c a c tio n s w ere types o f m isb e h a v io r , e i t h e r per s o n a lly o f f e n s iv e a c t s or m anners, or o r g a n iz a t io n a l a c ts o f d e s tr u c tio n or o f co m p ellin g the p op u lace t o do some t h in g . Inadequate p r o t e c t io n a g a in s t t h e V iet Cong was a l s o f a i r l y fr e q u e n tly m entioned. F a ilu r e to p ro v id e a s s i s t a n c e was not fr e q u e n tly c i t e d . T h is i s in c o n tr a s t t o 36 8 th e fa v o r a b le outcomes (T able 1 , fo r which th e g iv in g o f some kind o f a s s is t a n c e was fr e q u e n tly c it e d as a c a u s e ). A pparently th e m atter o f g iv in g or w ith h o ld in g a s s is t a n c e i s more o fte n a s s o c ia t e d w ith p o s i t i v e r e s p o n s e s . As th e t a b l e r e v e a l s , th e r e was a l s o a s c a t t e r in g o f o th e r them es. D isr e g a r d in g fo r th e moment th e u n r e l i a b i l i t y o f th e se p a r t ic u la r d a ta , what can one con clu d e from such tab u la t io n s ? F i r s t , th ey seem t o i n d ic a t e th e g e n e ra l o r ie n ta t i o n s o f m ilit a r y men toward o p e r a tio n a l problem s. The need f o r i n t e l l i g e n c e in fo r m a tio n looms la r g e as an opera t i o n a l o b j e c t i v e . In terms o f in str u m e n ta l a c t i o n s , th e s im p le r , more str a ig h tfo r w a r d p s y c h o lo g ic a l mechanisms seem t o have been used more o fte n than th e approaches based upon lo n g e r term s o c i o l o g i c a l change. G ra titu d e from g i f t s was more o f te n c it e d as i n f l u e n t i a l than was change from d e v e l opment or i n s t i t u t i o n a l a l t e r a t i o n . No doubt th e day-b y- day t r i a l s o f s t r e s s and w arfare push th e Western p erso n n el toward th o s e a c tio n s fo r which im m ediate r e a c tio n s can be e x p e c te d and ob served . For th e l o c a l p o p u la tio n s , th e r e may be c u lt u r a l fa c t o r s a t work such as th o s e which H a ll n o te s when he d e s c r ib e s th e Navajo who comprehends and a p p r e c ia te s th e g i f t o f an o ld nag now, but whose percep t i o n o f th e fu tu r e sim ply cannot perm it him t o m en tally 369 d i g e s t th e prom ise o f a r a c e h o r se n e x t month.-'--*- T his ten d en cy by no means im p lie s an answ er t o th e u ltim a te q u e s tio n o f w h eth er th e lo n g -te r m view sh o u ld be ta k e n . T his q u e s tio n must be r e s o lv e d on th e b a s is o f many con s i d e r a t io n s o f w hich th e n a t u r a l p r o p e n s ity o f th e p a r t ic ip a n t s i s on ly one. Secon d , th e g e n e r a l c h a r a c t e r i s t i c s o f th e in form a t i o n r e c e iv e d conformed t o t h e assum p tion s in th e q u e s t io n n a ir e . This i s n o t s u r p r is in g . I t i s , how ever, d is tu r b in g when th e q u e s t io n s im p lie d a m is le a d in g or o v e r - s i m p l i f ie d way o f lo o k in g a t r e a l i t y . Thus, a f t e r a sk in g f o r d e s c r ip t i o n o f a fa v o r a b le (o r u n fa v o r a b le ) s i t u a t i o n , i t was asked what a c t io n s were ta k e n which had been h e l p f u l . The r e s u l t was f a i r l y lim it e d d e s c r i p t i o n s , where s i n g l e f a c t o r s seemed t o be r e f e r r e d t o as r e s p o n s ib le . In f a c t , a more s o p h i s t i c a t e d i n t e r p r e t a t i o n in v o lv in g many dimen s io n s s im u lta n e o u s ly would be a more r e a l i s t i c p ic t u r e . The q u e s t io n in g procedure d id n o t encourage t h i s broader v ie w --a n d th e resp on d en ts d id n o t r e j e c t th e s im p le r one. G eneral Im p ressio n s In g e n e r a l, th e in c id e n t s reco rd ed show t h a t: 1. There was o f te n an in c o m p lete know ledge o f th e s o c i e t a l , p o l i t i c a l , c u l t u r a l , and p s y c h o lo g ic a l f a c to r s ■*--*-Edward T. H a ll, The S i l e n t Language (Garden C it y , N. Y.: Doubleday and Co., I n c . , 11)£>"977 P* TABLE 1 DISTRIBUTION OF CHARACTERISTICS OF 81 INCIDENTS O F POSITIVE POPULATION SUPPORT OVER TYPES OF INSTRUMENTAL ACTIONS AND FAVORABLE O UTCO M E FAVORABLE CONSEQUENCES INSTRU M ENTAL ACTIONS In f o r m ation Su pp ort, t r u s t or g r a titu d e S u p p lie s or p r o te c t io n Labor Combat R e s e t t l e - Opns. m ent, r e fu g e e s Less Food H o s t i l i t y Not given V C TOTAL M edical Aid Given 5 1 6 Other Things Given 8 3 1 1 2 1 16 Paid Money 3 1 1 1 6 B u ilt Good Re l a t io n s 3 1 2 6 Stopped M is tr e a t ment 2 1 3 " B u ilt up" L ocal Persons 2 2 3 7 0 TABLE 1— Continued FAVORABLE CONSEQUENCES INSTRU M ENTAL ACTIONS I n fo r mation Support, t r u s t or g r a titu d e Su p p lies Labor Combat R e s e t t le - or Opns, ment, p r o te c t io n r e fu g e e s Less Food H o s t i l i t y n o t given V C TOTAL D eveloped th e Econ omy 1 1 1 3 Argued 2 1 1 4 T hreat ened or Forced 2 1 3 A ggres s i v e a c ts v s . V C 3 3 P ro tected from V C 2 1 3 Not Men tio n e d 26 5 5 4 2 42 TOTAL 52 13 8 7 6 7 2 2 97 371 TABLE 2 DISTRIBUTION OF CHARACTERISTICS OF 48 INCIDENTS OF LACK O F POPULATION SUPPORT OVER TYPES OF INSTRUMENTAL ACTIONS AND UNFAVORABLE O U TC O M E UNFAVORABLE CONSEQUENCES INSTRU M ENTAL ACTIONS Lost ( or f a l s e ) i n f o . A lie n a te d or l o s t "support" L ost L ost R esen t- S u p p lie s , r e s p e c t s e r v ic e s ment su p p ort or i n f o , t o V C Hos t i l e A cts R evolt None men tio n e d TOTAL F a ilu r e t o Aid 2 1 1 4 Improper Behavior 2 1 1 4 V io la te d Ethnic B iases 1 1 2 Forced t o work or a c t 1 1 1 1 4 D estru c t io n 1 3 2 6 F a ile d to P r o te c t 6 1 7 3 7 2 TABLE 2— Continued UNFAVORABLE CONSEQUENCES INSTRU M ENTAL ACTIONS L ost (o r f a l s e ) i n f o . A lie n a te d or l o s t "support" L ost Lost R esen t- S u p p lie s , r e s p e c t s e r v ic e s ment support or i n f o , t o V C Hos t i l e A cts R evolt None men tio n e d TOTAL Nervous on P a tro l 1 1 Im posing a Census 1 1 Freed V C 1 1 Took Over Opns. 1 1 Defended M inority group 1 1 Not Mentioned 9 1 1 5 2 1 19 TOTAL 21 7 3 3 4 7 2 1 3 51 3 7 3 37 4 in v o lv e d . The unknowns in th e o p e r a tio n a l s i t u a t i o n s de s c r ib e d as i l l u s t r a t i o n s o f c r i t i c a l im pact o f p e r su a sio n or m o tiv a tio n appeared so g r e a t th a t one got a p ic tu r e o f th e b lin d man who had th e e le p h a n t ’ s t a i l . What o f te n seemed needed was a p o r tr a y a l o f th e r e s t o f th e e le p h a n t; nam ely, th e s o c i e t a l c o n te x t in which p e r su a s io n and m oti v a tio n must tak e p la c e . T his gave c lu e s as t o th e i n f o r m ation req uirem en ts fo r t h i s stu d y . The g e n e r a l im p ressio n o f a need fo r g r e a te r knowl edge o f th e s o c i a l , c u l t u r a l , and p o l i t i c a l c o n d itio n s was r e in fo r c e d by two open-ended q u e s tio n s which were asked in th e in t e r v ie w s . The f i r s t o f th e s e q u e s tio n s w as, "V/hat do you th in k are th e major s t e p s f o r p o p u la tio n support th a t are b ein g c o r r e c t ly taken i n Vietnam?" The secon d w a s, "What do you th in k sh ou ld be done fo r p o p u la tio n support th a t i s n ’ t b ein g done in Vietnam?" W hile sk e tc h y or narrow ly c o n c eiv ed answers may on ly in d ic a t e t h a t th e r e se a r c h e r f a i l e d t o con vin ce th e resp o n d en ts o f th e u t i l i t y o f more d e t a ile d and co n sid er ed r e s p o n s e s , th e answers did seem t o g iv e some in d ic a t io n o f th e way m ilit a r y p e r so n n el look ed a t th e o p e r a tio n a l prob lem s. A l l t h i s su g g e s te d th e u t i l i t y o f p la n n in g f o r th e t e x t o f t h i s stu d y an appendix d e s c r ib in g th e g e n e ra l f e a t u r e s o f a non-W estern c u ltu r e and a ch a p te r s u g g e s tin g th e s a l i e n t c h a r a c t e r i s t i c s o f th e c o n d itio n s and te n s io n s w hich tend t o produce in su r g e n c y . These ch a p te rs were 375 d e sig n ed t o su p p ly a s o c i e t a l c o n te x t fo r th e s p e c i f i c problem s and p r i n c ip l e s o f m o tiv a tio n which a r e th e c e n tr a l t h e s i s . 2. In a n o th e r v e i n , even th e more p e n e tr a t in g and a r t i c u l a t e d e s c r ip t io n s o f a c tu a l in c id e n t s r e v e a le d a la c k o f a p p r e c ia tio n o f th e com plex p a t t e r n s o f p s y c h o lo g ic a l f a c t o r s from w hich m o tiv a tio n d e r iv e s (though many resp on d e n ts d id seem t o be aware o f some sim p le e le m e n t s ) . The s o l d i e r s q u e r ie d m ight w e l l have e n jo y ed s u c c e s s in a p a r t i c u la r e f f o r t t o m o tiv a te a l o c a l f o r e ig n p o p u la tio n ; but i f th e y do n o t comprehend some o f th e f a c t o r s in v o lv e d in t h a t in c id e n t o f s u c c e s s , th e y w i l l be u n ab le t o a n a ly z e i t and t o p u r p o s e fu lly ap p ly th e knowledge g a in ed to o th e r o b j e c t i v e l y d i s s i m i l a r s i t u a t i o n s . Based on t h i s i n t e r - e n c e , th e c o n te n t o f a n o th er appendix e n t i t l e d "G eneral D is c u s s io n o f t h e N ature o f M otivation " was d eterm in ed . In a d d itio n t o o th e r co n cep ts and f a c t o r s r e le v a n t t o m otiva t i o n w hich were d is c u s s e d i n t h i s c h a p te r , t h e con cep t which can be c a l l e d " n e e d - t r a n s a c t io n ," ^ was e v id e n t in th e c r i t i c a l in c id e n t s s t u d ie d — and seems e s p e c i a l l y r e l e vant t o th e problem s o f m o tiv a tio n in c o u n te r in su r g e n c y . **-^Such c o n c e p ts have been rev iew ed b r i e f l y in F. Loyal G reer, "Leader In d u lg en ce and Group P erform ance," P s y c h o lo g ic a l M onographs, LXXV, No. 12 (196 1) (Whole No. 5 1 6 ); a more d e t a i l e d tre a tm en t o f one form o f t h i s con cep t i s p r e se n te d in A. Kuhn, The Study o f S o c ie t y : A U n ifie d Approach (Homewood, 1 1 1 . : Irw in and Dorsey P r e s s , I n c . , 1 9 6 3 ). 376 Such a co n cep t means a "t r a d e - o f f ”— a man c r a v e s s u s ta in e d a f f e c t i o n and r e s p e c t and th u s g iv e s up th e freedom s o f h is "con firm ed " b a ch elo rh o o d . A c h ild tr a d e s t o le r a b ly good b e h a v io r f o r a to y or th e prom ise o f a t o y . S o ld ie r s in a v i l l a g e s in k a w e l l fo r needed d r in k in g w a ter; th e v i l la g e r s su p p ly th e s o l d i e r s w ith needed r i c e . The c r i t i c a l in c id e n t s in te r v ie w s confirm ed th a t Western' a d v is e r s and ARVN have c l e a r needs f o r i n t e l l i g e n c e and o c c a s io n a lly m a te r ia l su p p o rt. The Vietnam ese c i v i l i a n s or trib esm en have n eed s f o r m a te r ia l su p p o r t, s o c i a l r e g a r d , and some tim e s p r o t e c t io n from th e V iet Cong. Sim ple enum eration seems t o i n d ic a t e th a t th e V ietnam ese c i v i l i a n s or t r i b e s men have a wide range o f needs both in term s o f t h e i r groups and in term s o f i n d i v i d u a l s - - i n terms o f b a s ic needs and in term s o f secon d ary or d e r iv e d n e e d s. I t seems t h a t a "trade" or " tr a n sa c tio n " goes o n , th e W estern a d v is e r s or Vietnam ese Army m eetin g some o f th e needs o f th e Vietnam ese c i v i l i a n s or tr ib e s m e n , who in tu rn su pp ly " lik e amounts" o f i n t e l l i g e n c e or m a te r ia l su p p o r t. This k in d o f "need- tr a n s a c tio n " r e l a t i o n s t i l l h o ld s d e s p ite p rolo n ged w a rfa re and i n s e c u r i t y . T his con cep t s u g g e s te d a sim p le model fo r c o n c e iv in g o f a t l e a s t some o f th e r e l a t i o n between th e p a r t i c i pants in an in su r g en cy s t r u g g l e . T h is i s shown in F igu re 1, There are th r e e groups p o rtra y ed in th e c h a r t: th e a c t i v e i n s u r g e n t s , th e c o u n t e r in s u r g e n t s , and th e p e o p le whose 377' i C O M B A T A N D SU BV ER SIO N C O U N T E R IN SU R G E N T S INSURGENTS T H E P O P U L A C E FIG UR E 1 R EL A T IO N S A M O N G PARTICIPANTS IN IN TER N A L W A R S 378 l o y a lt y i s a main o b je c t o f th e a c t iv e p r o t a g o n is t s . There are a l s o two main ty p e s o f a c tio n s : n e e d - tr a n s a c tio n r e l a t io n s draw th e p eop le and th e a c t i v e a g en ts to g e th e r ; t h r e a t and fo r c e by each a g en t p rev en t th e p eop le from b e in g drawn toward th e o th e r a g e n t. These two a c tio n s are probably not w h o lly in d ep en d en t. Threat may n u l l i f y th e a t t r a c t i v e f e a tu r e s o f n e e d -t r a n s a c t io n . On th e o th e r hand, n e e d -tr a n s a c tio n s probably do l i t t l e t o p rev en t th e p eo p le from r e l a t i n g t o and a id in g th e enemy. The c o u n te r in su r g e n t s u b j e c t s c o n c e n tr a te m ainly upon t h e i r own need f o r su p p ort and i n t e l l i g e n c e , r a th e r than on underm ining th e i n s u r g e n t s ’ su p p o r t. Only i f th e c o u n te r in su r g e n t fo r c e s req u ire p o p u la tio n su p p ort as much as do th e in s u r g e n ts i s t h i s o r ie n t a t io n a p p ro p ria te t o th e o v e r a ll m is s io n . I t i s not d i f f i c u l t t o s e e how p ersons would be most a t t e n t i v e t o d ir e c t support o f t h e i r own c a p a b ilit y r a th e r than to th e s t a t u s o f th e enemy. I t i s p o s s ib le th a t t h i s i s a problem area m e r itin g fu r th e r work. 3. The in te r v ie w s a ls o s u g g e s te d — or more accu r a t e l y confirm ed th e r e s e a r c h e r 's e x i s t i n g c o n te n tio n — th a t p r in c ip le s o f m o tiv a tio n are b e s t p r e se n te d and un derstood in a p r o b le m -so lv in g c o n te x t. C e r ta in ly , th e p e r su a sio n tec h n iq u es which were d e sc r ib e d were t i e d t o s p e c i f i c s i t u a t i o n s . To make t h i s in fo r m a tio n o f broader a p p lic a b i l i t y , th e s e s i t u a t i o n s were g e n e r a liz e d in t o ty p e s o f o p e r a tio n a l "problems" such as "To reach r u r a l a n d /o r poor 37 9 p o p u la tio n s by a p p ea ls b ased on t h e i r needs and i n t e r e s t s , " and "To i d e n t i f y and ap p ea l t o elem en ts o f com m onality in a 'b a lk a n iz e d 1 o r fragm ented l o c a l p o p u la tio n ." With t h i s i n s i g h t , th e r e s e a r c h e r was l a t e r a b le to in t e r v ie w in t e n s i v e l y a number o f p erson s w ith c o n s id e r a b le e x p e r ie n c e in c o u n te r in su r g e n c y m atters t o o b ta in an expanded l i s t o f s a l i e n t and a c t u a l ly r e c u r r in g problem s o f m o tiv a tio n . The 13 "problems" s e l e c t e d — o f h ig h r e le v a n c y t o c o u n te r in s u r gency o p e r a tio n s --fo r m e d c o n v e n ien t "hooks" upon w hich known s o c i a l s c i e n c e p r i n c ip l e s co u ld be "hung." Such a d e v ic e s e r v e s t o make th e p r i n c ip l e s both more comprehens i b l e and more d i r e c t l y a p p lic a b le t o th e r e a l and h arsh w orld o f c o u n te r in su r g e n c y o p e r a tio n s . S ummary In summary, l im it e d purpose and in a d eq u a te r e s o u r c e s f o r sam ple ren d ered r ig o r o u s m ethodology f o r t h i s p a r t i c u la r use o f th e c r i t i c a l in c id e n t s tec h n iq u e somewhat b e s id e th e p o in t . I f th e fo c u s had been on th e war in Vietnam a lo n e , i t c o u ld be s a i d t h a t no r e l i a b l e d a ta were o b ta in e d . The e f f o r t s , how ever, d id accom p lish th e e s s e n t i a l purpose o f b r in g in g th e r e se a r c h down t o th e o p era t i o n a l l e v e l — t o fo cu s th e e f f o r t , t o gain i n s i g h t t o th e r e l a t i o n s between c o u n te r in su r g e n t and p e o p le . A r ep ro d u c tio n o f th e in te r v ie w sc h e d u le u sed w ith th e F ort Bragg resp o n d en ts fo llo w s (w ith summary o f 380 n u m erical t o t a l s f o r th e answ ers to some o f th e q u e s tio n s on background o f th e r e sp o n d e n t): 381 R eproduction o f C r i t i c a l I n c id e n t In ter v iew Schedule (w ith summary o f nu m erical t o t a l s fo r th e answers t o some o f the q u e stio n s on background) Purpose: T h is q u e s tio n n a ir e has been d e sig n ed t o e l i c i t in fo rm a tio n on both s u c c e s s and f a i l u r e in o b ta in in g or s u s t a in in g l o c a l c i v i l i a n popular support fu r th e r r e se a rc h on r e le v a n t p r in c ip le s o f m o tiv a tio n b e in g conducted by th e u n d ersign ed . Your r o le : From your e x p e r ie n c e and o b s e r v a tio n , you can g iv e me d e s c r ip tio n s o f in c id e n t s o f e i t h e r s u c c e s s or f a i l u r e which w i l l a s s i s t me in se e k in g r e le v a n t i n f o r m ation on p r in c ip le s o f m o tiv a tio n in order t h a t e x i s t i n g d o c tr in e on co u n te rin su r g e n c y might be expanded and im proved. Thus, your c o o p e r a tio n i s v i t a l . I p a r t ic u la r ly i n v i t e your fr a n k , ca n d id , comments. T ~do not need your name or any p e r so n a l i d e n t i f i c a t i o n . Such anonym ity can encourage you to be c o m p lete ly frank in your r e p l i e s t o a l l q u e s t io n s . There are a few -q u estion s which seem t o ask you p e r so n a l q u e stio n s but none o f th e s e in tr u d e upon your a n o n y m ity --th ey are d esig n ed t o se e i f c e r t a in c o r r e la t io n s between p erson s o f s im ila r background can be e s t a b l i s h e d . M y i n t e r e s t : For th e purpose o u tlin e d ab ove, I am in t e r e s t e d in stu d y in g and comparing in c id e n t s in v o lv in g support or non -su pp ort o f l o c a l c i v i l i a n p o p u l a t i o n s f o r cou n terin su r^ en cy a c t i v i t y . Such stu d y i s th e n e c e s s a r y p relu d e t o d is c e r n in g p r in c ip le s o f m o tiv a tio n r e le v a n t t o in c r e a s in g su p p ort o f such p o p u la tio n s . Thus, I am n ot i n t e r e s t e d in th e su c c e s s o r f a i l u r e o f any p a r t ic u la r m il it a r y m issio n based on f a c t o r s o th er than su p p ort or non support o f c i v i l i a n p o p u la tio n s . I am i n t e r e s t e d in what was done th a t might have in flu e n c e d th e s u c c e s s or f a i l u r e in g a in in g c i v i l i a n su p p o rt. Need fo r u n c l a s s i f i e d in fo r m a tio n : T h is r e se a r c h must be kept u n c la s s if ie d '. T h e r e fo r e , p 1 e a se g iv e me you r e x p e r ie n c e s in r ic h d e t a i l as fa r as th e a c t u a l in c id e n t i s con cern ed , but do not name names (p erso n s or p la c e nam e)’ and p r e se n t a l l su p p o rtin g in fo rm a tio n a t a s u f f i c i e n t l y g e n e r a l l e v e l as t o a v oid need fo r any c l a s s i f i c a t i o n . John L. Houk C o n su lta n t M ilita r y Background In fo rm a tio n I would l i k e th e f o llo w in g in fo r m a tio n about your s e l f . T h ese , as w e ll as o th e r r e sp o n ses on t h i s q u e s t io n n a i r e , w i l l be h e ld in th e s t r i c t e s t c o n fid e n c e . P le a s e f i l l in or check th e a p p r o p r ia te b la n k . Q u estion 1. What i s your m i li t a r y e d u c a tio n : (5 ) T 3T Q u estion 2 Q u estion 3, Q u estion 4. (1 ) ROTC (2 ) OCS ________________ (3 ) West P o in t ( 2 ) ~ (4 ) Other ( s p e c i f y ) (15T Did you s e r v e in W . W . II? y e s ______ no_______ Did you s e r v e in th e Korean War? y e s ( 1 ) no (15) Have you had combat c o u n te rin su r g e n c y e x p e r i ence o th e r than Vietnam? y e s (5) no ( 2 0 ) I f y e s , where (L a o s) Q u estion 5. How lo n g had you been s e r v in g in Vietnam? (1 ) one y e a r or l e s s (23) ( 2 ) two y ea rs _______ ( 2 ) (3 ) th r e e yea rs (0) (4 ) fo u r y ea rs W Q u estion 6 , (5 ) f i v e or more y ea rs ~T'oT How lo n g has i t been s in c e you se r v e d in c o u n terin su rg en cy ? Q u estio n 7. Did you a tte n d PsyOps School? y e s (1 ) no (24) Q u estion 8 . Did you v o lu n te e r f o r c o u n te r in su r g e n c y duty 383 Q uestion 9, Q u estion 10 How (1 ) ( 2 ) (3) <*0 (5) ( 6 ) lo n g do you plan t o s ta y i n th e s e r v i c e ? ( 2 ) one y e a r or l e s s two to fo u r y e a r s ” fo u r t o f i v e y e a r s s i x to te n years c a r e e r ______ d o n 't know TXT TUT TOT ( 2 2 ) ror What i s your m ilit a r y rank? (non-com s 15) ( o f f i c e r s 10) P o p u la tio n Support in C ou n terin su rgen cy The purpose o f t h i s q u e s tio n n a ir e i s t o shed some l i g h t on th e problem s o f o b ta in in g o r s u s t a i n i n g l o c a l popular su p p o rt f o r c o u n te r in su r g e n c y a c t i v i t i e s . I want you t o g iv e me i n c id e n t s in v o lv in g s u c c e s s o r f a i l u r e in m o b iliz in g c i v i l i a n p o p u la tio n s tow ard th e end o f d e f e a t in g in s u r g e n t f o r c e s in th e f i e l d . W hile you w i l l a lm ost c e r t a i n l y be a b le t o th in k o f o t h e r s , th e r e a r e a number o f major s i t u a t i o n s in which e i t h e r t h e support o r th e h o s t i l i t y o f l o c a l p o p u la tio n s can a f f e c t the outcom e. F iv e o f t h e s e — a r b i t r a r i l y s e l e c t e d a s exam p les— seem t o be t a c t i c a l in n a tu re and a f f e c t th e co u rse o f m ilit a r y engagem ent. The rem ainder appear s t r a t e g i c — in t h a t th e y have an e f f e c t upon th e lo n g -r a n g e a t t i t u d e s o f th e p e o p le b ecau se th e y in v o lv e t h e i r a c t u a l econom ic or v a lu e i n t e r e s t s . A l l o f t h e s e (and th o s e w hich you can add o u t o f y o u r e x p e r ie n c e ) sh o u ld be kep t i n mind t o h e lp you r e c a l l i n c i d e n t s o f s u c c e ss or f a i l u r e . The " t a c t i c a l ” m ajor s i t u a t i o n s u s e f u l as exam ples m ight in c lu d e : 1 . O b ta in in g i n t e l l i g e n c e w ith regard t o in s u r g e n t movements or l o c a t i o n (w hich in v o lv e s su p p ort o f th e l o c a l p o p u la tio n in g i v in g a p p ro p ria te v a l i d in f o r m a t io n ) . 2 . R e p e llin g in s u r g e n ts d u rin g an a t ta c k (w hich i n v o lv e s perhaps a c t i v e a s s is t a n c e by l o c a l r e s i d en ts o r a t l e a s t com p lian ce and c o o p e r a tio n w ith c o u n te rin su r g e n c y fo r c e s and h o s t i l i t y toward and n o n co o p er a tio n s w ith in s u r g e n t s ) . 3. P u rsu in g in s u r g e n ts a f t e r su ch an a t t a c k (w hich in v o lv e s th e g iv in g o f in fo r m a tio n by l o c a l popu l a t i o n s , good w i l l toward c o u n te r in su r g e n c y f o r c e s , and a g a in , p e r h a p s, some a c t i v e a s s i s t a n c e w it h in l o c a l c a p a b i l i t y ) . 384 4. Smoking out p o c k e ts o f r e b e l a c t i v i t y (w hich i n v o lv e s g iv in g o f in fo r m a tio n , g u id in g c o u n te r in su rg en cy f o r c e s through l o c a l t e r r a in and t o p o s s i b l e p o c k e ts o f a c t i v i t y , and l o c a l a s s i s t a n ce) . 5. A tta c k in g in s u r g e n t f o r c e s (w hich in v o lv e s g iv in g o f in fo r m a tio n , good w i l l , c o m p lia n c e , and coop er a t i o n , and t o th e e x te n t p o s s i b l e , a c t i v e a s s i s t ance ) . " S tr a te g ic " s i t u a t i o n s m ight in c lu d e econom ic de velopm ent a c t i v i t i e s su ch a s a g r ic u l t u r a l or i n d u s t r i a l i n s t r u c t i o n o r a s s i s t a n c e , c i v i c a c t i o n , p r e -in s u r g e n t a c t i v i t i e s d e sig n e d t o encourage a c c e p ta n c e o f c o u n te r in su rgen cy fo r c e s when and as n e e d e d , e t c . I t i s o b v io u sly d i f f i c u l t t o l i s t such a c t i v i t i e s , but t h e i r im portance and r e le v a n c e can be measured by th e ways in which th e p eop le in th e a r e a a c t u a l ly resp o n d . Some d e s ir e d a t t i t u d e s le a d in g t o su p p ort o f coun te r in s u r g e n c y o p e r a tio n s m ight th en in c lu d e : Good w i l l toward c o u n te r in s u r g e n t fo r c e s (U .S . a d v is e r s and l o c a l armed f o r c e s ) . Com pliance and c o o p e r a tio n w ith c o u n te r in su r g e n t f o r c e s . W illin g n e s s to su p p ly in fo r m a tio n to c o u n te r in su r gent f o r c e s . W illin g n e s s t o su p p ly food and s u p p lie s t o c o u n te r in s urgent^Forces"^- - - H o s t i l i t y toward and n o n co o p er a tio n w ith in s u r g e n ts . In an sw erin g any q u e s t io n b elo w , i n d ic a t e w hether th e s e a t t i t u d e s (and o th e r s you m ight s u g g e s t ) were s h o r t-te r m o r lo n g -te r m in e f f e c t . Q u estion 11. Are th e r e any o th e r r e le v a n t s i t u a t i o n s and p op u lar a t t i t u d e s t h a t you can th in k of? I f s o , c o u ld .y o u p le a s e l i s t them below : F ir s t P o s i t i v e Example Q u estio n 12. T e l l me about h a l f a dozen se p a r a te o c c a sio n s where you ob serv ed some in c id e n t where th e l o c a l p o p u la tio n su p p orted c o u n te rin su r g e n c y a c t i o n . P le a s e g iv e me now th e f i r s t exam p le. 385 Q u estion 13 . I d e n t if y (by d e s c r i p t io n , n o t by name) th e p erson or group who d id som eth in g t h a t was very u s e f u l in o b ta in in g t h i s l o c a l p op u la t io n su p p o r t. Q u estion 14. What d id t h i s p erson (o r group) do t h a t was so h e l p f u l a t th e tim e m entioned above? Q u estion 15. Why was t h i s s o h e l p f u l in m eetin g t h i s s i t u a t i o n ? Q u estion 16. G eneral d e s c r ip t io n . a . At what p o in t i n th e t o t a l a c tio n s e quence d id t h i s p a r t i c u la r in c id e n t occur? b. L o c a tio n , i . e . , tow n, v a l l e y , open coun t r y s id e ? c . Time o f year? d. Time o f day? e . F u rth er c o n d itio n s and comments: Q u estion 17. Now w ith regard t o ___ (t h e p r in c ip a l p e r son in v o lv e d in i n i t i a t i n g th e in c id e n t ) was he (1) a member o f U .S . m ilit a r y fo r c e s ? ______ (2 ) a member o f ARVN? ______ (3 ) a U .S . c i v i l i a n ? ^ _____ (4) a V ietnam ese c i v i l i a n ? ______ (5 ) o th e r 386 Q u estion 18. What was h is rank o r t i t l e ? Cl) i f m i l i t a r y , h is rank ______ ( 2 ) i f c i v i l i a n , h is t i t l e or o f f i c e ______ Q u estion 19. Had he o r h i s u n it/g r o u p been s u c c e s s f u l i n ; th e p a s t? ( 1 ) very s u c c e s s f u l ______ ( 2 ) s u c c e s s f u l ______ (3 ) f a i r l y s u c c e s s f u l ______ (40 n o t s u c c e s s f u l ______ (5 ) d o n 't know ______ Q u estion 20. What was th e age o f th e in d iv i d u a l or a v era g e age o f th e group in v o lv e d in t h e in c id e n t? (1 ) 20-25 (2 ) 26-30 (3 ) 31-35 (4 ) 36-40 (5 ) 41 + ( 6 ) don' t know- [In in t e r v ie w , th e resp o n d en t was en cou raged t o su pp ly f i v e more i n c i d e n t s , and p rob in g q u e s t io n s f o r t h a t o b j e c t iv e were a s k e d .] F i r s t N e g a tiv e Example Q u estion 6 6 . T e l l me about h a l f a dozen s e p a r a te o c c a s io n s where you o b ser v ed some in c id e n t where t h e l o c a l p o p u la tio n did n o t su p p ort c o u n te r in su rg e n c y a c t i o n . P le a s e g iv e me now th e f i r s t exam ple. Q u estio n 67. I d e n t i f y (by d e s c r i p t i o n , n o t by name) th e p e r so n or group who d id som eth in g th a t was d e tr im e n ta l in o b ta in in g t h i s l o c a l pop ula t i o n s u p p o r t, o r who by n o t d oin g som eth in g ten d e d t o be d e tr im e n ta l t o su ch su p p o rt. Q u estio n 6 8 . What d id t h i s p erso n (o r group) do (or n o t do) t h a t was d e tr im e n ta l a t th e tim e men-p t io n e d above? Q u estion 69. Why was t h i s s o d e tr im e n ta l i n m eetin g th e s i t u a t i o n ? 387 Q u estion Q uestion Q u estion Q uestion Q uestion 7 0 . G eneral d e s c r ip tio n : a. At what p o in t in th e t o t a l a c t io n s e quence did t h i s p a r t ic u la r in c id e n t occur? b. L o c a tio n , i . e . , tow n, v a l l e y , open coun t r y s id e ? c. Time o f year? d. Time o f day? e . F urther c o n d itio n s and comments: 71. Now w ith regard to (th e p r in c ip a l p e r son in v o lv e d in i n i t i a t i n g the i n c id e n t ) was he (1) a member o f U.S. m i li t a r y fo r c e s ? (2) a member o f ARVN? _____ (3) a U .S. c i v i l i a n ? ^ _____ (4) a V ietnam ese c i v i l i a n ? ______ (5) o th e r ______ 72. What was h is rank or t i t l e ? ( 1 ) i f m i l i t a r y , h is rank ______ ( 2 ) i f c i v i l i a n , h is t i t l e or o f f i c e 73. Had he or h is u n it/g r o u p been s u c c e s s f u l i n th e p a st? ( 1 ) v e ry s u c c e s s f u l ______ ( 2 ) s u c c e s s f u l ______ (3) f a i r l y s u c c e s s f u l ______ (4) n o t s u c c e s s f u l ______ (5) d o n 't know ______ 74-. What was the age o f th e in d iv id u a l or average age o f the group in v o lv e d in th e in c id e n t? (1) 20-25 (2) 26-30 (3) 31-35 (4) 36-40 (5) 41 + ( 6 ) d o n 11 know [In in t e r v ie w , the resp on d en t was encouraged t o supply f i v e more i n c i d e n t s , and probing q u e stio n s f o r th a t o b j e c t iv e w ere ask ed . 3 388 Some A d d itio n a l Q u estion s Q u estion 12 0 . Do you th in k t h a t we can win th e war i n South Vietnam? ( 1 ) w ith in one y e a r ( 0 )_____ (2 ) in two t o f i v e y e a r s (9) (3 ) in f i v e t o te n y e a r s C4) (4 ) in te n or more y e a r s (5) (5 ) n e v e r (5 ) ( 6 ) d. k. m Q u estion 121. What do you th in k a re th e m ajor s te p s f o r p o p u la tio n su p p ort t h a t are b e in g c o r r e c t ly tak en in Vietnam? Q u estion 12 2. What do you th in k sh o u ld be done fo r p op u la t i o n su pp ort t h a t i s n ’ t b e in g done in Vietnam? Some P e r so n a l Q u estio n s Q u estion 12 3 Q u estion 12 4, How do you p ers ( 1 ) very much ( 2 ) f a i r l y w e ll (3) n o t very we (4) n o t a t a l l How o ld ares you ( 1 ) 2 0 - 25 (5) ( 2 ) 26- 30 ( 6 ) (3 ) 31- 35 (9) (4 ) 36- 40 (5 ) (5 ) 41 + ( 0 ) ( 1 2 ) ( 2 7 Q u estio n 12 5. What was you r f a t h e r ' s o ccu p a tio n ? Q u estion 126. What was your ed u ca tio n ? ( 1 ) h ig h s c h o o l or l e s s ( 1 1 ) (2) some c o ll e g e _____(7)_____ 389 (3) (4) c o l l e g e graduate (7)______ graduate or p r o f e s s i o n a l s c h o o l CoT Q uestion 12 7. What were th e m a jo r ity o f your c o u r ses? S o c i a l S c ie n c e H um anities (4)' (1) ( 2 ) ______ (3) P h y s ic a l S c ie n c e (4) G eneral (9) (5) (7 ) Q u estion 12 8 . What i s your m a r ita l s t a t u s ? (1) S in g le _ (2 ) M arried (3) Widowed, (5) HOT d iv o r c e d o r se p a r a te d Q u estion 129. How many c h ild r e n do you have? (1) ( 2 ) (3) (4) (5) none one two ~ th r e e _ fo u r or (5) TTT rrr IT) more (4 ) Q u estion 130. During your s e r v i c e in V ietnam , where were your c l o s e s t r e l a t i v e s ? Q u estion 1 3 1 . During t h i s tim e , how lo n g were you s e p a r a te d from your fam ily? APPENDIX E (REPRODUCTION OF "PROBLEM SOLVING" QUESTIONNAIRE) 390 APPENDIX E (REPRODUCTION OF "PROBLEM SOLVING" QUESTIONNAIRE) 1 I n s t r u c t io n s Problem S o lv in g Approaches to R ecu rring Problems o f M otiva tion o f In digenou s P o p u la tio n s in C ounterinsurgency I n tr o d u c tio n . I am p rep arin g a stu d y on human m o tiv a tio n which can a s s i s t in problem s r e c u r r in g i n coun te r in s u r g e n c y . The need i s u rg en t. There i s n e it h e r tim e n or f a c i l i t y now fo r th e k in d o f lo n g -r a n g e c r o s s - c u lt u r a l r ese a rc h which a l l p a r t ie s r e c o g n iz e i s e v e n t u a lly needed. i T his q u e s tio n n a ir e i s d e sig n e d to e l i c i t from a number o f q u a l i f i e d c o n s u lta n ts some s o c i a l s c ie n c e - b a s e d approaches t o a number o f r e c u r r in g problems a s s o c ia t e d w ith m o tiv a tio n o f l o c a l p o p u la tio n s in c o u n te rin su r g e n c y o p e r a tio n s . I have a lre a d y i d e n t i f i e d , by u se o f c r i t i c a l in c id e n t tec h n iq u es and through in te r v ie w s w ith q u a l i f i e d R e sp o n d in g t o t h i s q u e s tio n n a ir e were th e f o llo w in g s o c i a l s c i e n t i s t s : D aryl Berm Robert D. Hoge C harles E. Rice I r v in g J . Casey K eith A. Murray V ic to r Vroom John L. Colombotos R obert M . O'Shea Myron Woolman Mason G r iff Arthur R. P la tz 391 392 e x p e r t s , some o f t h e s e g e n e r a l r e c u r r in g problem s. I r e c o g n iz e — and sym p athize w it h — a r e lu c ta n c e t o g e n e r a liz e c u r re n t s o c i a l s c i e n c e f in d in g s to s i t u a t i o n s s e t in a str a n g e and e x o t i c m ilie u . N e v e r t h e le s s — in th e a b sen ce o f a p p r o p r ia te , d i r e c t l y a p p lic a b le , r e s e a r c h - - i t seem s n e c e s s a r y t o make su ch g e n e r a liz a t io n s s o th a t an j even p a r t i a l l y v a l i d and r e a so n a b le t h e o r e t i c a l approach ; can be fo rm u la ted . I I n s t r u c t i o n s . In th e pages t h a t f o llo w , you w i l l be p r e se n te d w ith a s e r i e s o f problem s. These problem s w i l l a l l be s e t in th e m ilie u o f c o u n te r in su r g e n c y . Many o f you are q u ite f a m ilia r w ith th a t m i li e u from your r ea d in g i f n o t from e x p e r ie n c e . For th o se o f you who may n o t b e , I p r o v id e , as a s e p a r a te e n c lo s u r e , a b r i e f sta te m en t o f th e c o u n te r in su r g e n c y s e t t i n g . P le a s e keep i t in mind. There i s f i r s t a s i n g l e , em bracing problem to w hich' a l l c o n s u lta n t s are asked t o d ir e c t t h e i r a t t e n t io n . N e x t,j t h e r e are a number o f g e n e r a l p r o b le m s --s im ila r t o th e f i r s t problem in g e n e r a l, bu t n o t o f su c h s in g u la r im p ort a n ce. Of t h e s e , each person I c o n s u lt w i l l be a s s ig n e d one: or more f o r a t t e n t i o n . | i For a l l q u e s tio n s o r p rob lem s, th e i n s t r u c t i o n s a rej i th e same. Work s h e e t s fo r c o n s i s t e n t approach are p ro - t ! v id e d . F i r s t , stu d y th e problem (a) and then i d e n t i f y th e ;key e le m e n ts as you s e e them or r e -p h r a se th e problem y o u r - ! ! i I ] 393 s e l f in s o c i a l s c ie n c e te r m s--w h ic h e v e r w i l l p erm it you to b rin g a p p r o p r ia te s o c i a l s c i e n c e f in d in g or p r i n c ip l e to bear in i t s s o l u t i o n ( b ) . Then I ask t h a t you prepare a b r i e f t e x t u a l r e sp o n se t o th e r e fo r m u la te d problem in s o c i a l term s ( c ) . T his sh o u ld be a p r o b le m -so lv in g ap p r o a c h --! r e c o g n iz e t h a t th e r e are no " m a g ica l1 1 s o l u t i o n s to th e b a s ic problem as o r i g i n a l l y s t a t e d . I t i s th e gen e r a l approach w hich I w i l l hope t o p r e s e n t . P le a se su pp ly r e f e r e n c e s t o t h e o r y , e x p e r im e n t, or a u t h o r it y which sup port your s u g g e s t io n . I f diagram m atic e x p o s it io n o f your p r o b le m -so lv in g approach i s u s e f u l (and we assume th a t i t w i l l be in many i n s t a n c e s ) , sp a ce i s p r o v id e d in th e work s h e e t ( d ) . Space i s p ro v id ed f o r such comment or c a u tio n as you may w ish t o p r e se n t ( e ) . F i n a l l y , you may f in d th a t th e answ er you p r o v id e i s a l s o a p p lic a b le t o o th e r problem s l i s t e d . You can c r o s s - r e f e r e n c e such g e n e r a l a p p lic a t io n in th e sp ace p r o v id e d ( f ) . To gu id e you in your a ss ig n m e n t, th e f o llo w in g e x a m p le--a mock com p leted work s h e e t — i s p r o v id e d . (P le a s e th in k o f t h i s example as m erely t h a t . I t r e f l e c t s th e d i s c i p l i n e o f p s y c h o lo g y --a n d , o f c o u r s e , I need p o l i t i c a l s c i e n c e , s o c i o l o g i c a l , and a n t h r o p o lo g ic a l app roaches as w e l l . Do n ot t r y t o em ulate i t c o m p le te ly f o r each prob lem. For some you may w ish t o l i s t one approach in some d e t a i l ; fo r o t h e r s , a com b in ation o f a p p ro a ch es; and fo r s t i l l o th e r s some a l t e r n a t i v e — and maybe even m u tu ally e x c l u s i v e — s u g g e s t io n s ) 395 W O R K SHEET— R ecu rrin g Problems o f M o tiv a tio n in C ou n terin su rgen cy A c t iv i t y Problem t i t l e or number: C o n su lta n t EXAMPLE a . B a sic problem (a s s t a t e d in i n s t r u c t i o n s ) : To d e v e lo p te c h n iq u e s to o f f s e t th e e f f e c t s o f c o u n te r in s u r g e n t p e r s o n n e l’s a s s o c i a t i o n w ith an in d ig e n o u s o f f i c i a l ( c o u n t e r p a r t , ; e t c . ) who has a bad image among th e l o c a l p o p u la tio n --h o w t o communicate e f f e c t i v e l y w ith th e p o p u la tio n d e s p it e th e p r e se n c e o f su ch a l o c a l o f f i c i a l and th e n e c e ss a r y a s s o c i a t i o n o f th e c o u n te r in su r g e n t w ith him. — b. L is t key e lem en ts o f th e problem or rep h ra se i t in term s w h ic h , in your m ind, make i t amenable t o a s o c i a l s c ie n c e approach: There i s a r e a l i t y problem and a r e l a t e d p e r c e p tu a l problem . P eop le w on 't work or c o o p e r a te w ith a person w ith n e g a tiv e v a le n c e o r w ith th o s e a s s o c ia t e d w ith him. c . Your s u g g e s te d p r o b le m -so lv in g approach ( t e x t u a l ) , p le a s e c i t e t h e o r y , e x p e rim en t, or a u t h o r it y which su p p ort your s u g g e s t io n s (be s p e c i f i c and com p lete in you r c i t a t i o n s ) : There are two approaches t o t h i s problem ; a r e a l i t y ap proach and a p e r c e p tu a l one. There are d i f f i c u l t i e s w ith ea ch . A combined approach i s probably th e o n ly one t h a t in s u r e s any r e a l chance o f s u c c e s s . P e r c e p tu a l Approaches 1 . S t r e s s th e lo n g -r a n g e b e n e f i t s o f democracy and le g i t im a c y — not a l l th e s e r v a n ts o f th e p e o p le are p e r f e c t , y e t th e chances o f s u c c e s s w ith them may be good, and o n ly i f th e r e i s c o o p e r a tio n i s th e s i t u a t i o n l i k e l y t o im prove. P e o p le 's needs w i l l b e s t be met in a l e g i t im a t e d em o cra tic s t a t e . See G eorgopol- u s , Mahoney, and J o n e s , J . A ppl. P s y c h o l. 195 7 , 4 1 , 345-353 f o r a somewhat an alogou s approach t o th e problem o f i n d u s t r i a l p r o d u c t iv it y . 2 . S t r e s s p o s i t i v e n e s s o f th e good th in g s t h a t th e man 396 (p r o b lem -so lv in g approach continued) does , i f any. This i s a fig u r e ground p e r c e p tu a l approach. See th e p e r c e p tu a l s e c t i o n o f Osgood's Method and Theory in E xp erim ental P sy c h o lo g y . 3. S t r e s s o th e r o f f i c i a l s w ith p o s i t i v e v a le n c e in t h e p u b lic eye w ith whom t h i s man may be a s s o c ia t e d . See Osgood and Tannenbaum Psych. R ev. 1955 , 62_, 4 2 - 55. This may tend t o n e u t r a liz e him and allow one t o do what one w a n ts. 4. P rovide a d i f f e r e n t c o n te x t fo r h i s a c t io n s or i n t e n t i o n s — he d o e s n 't want to do t h e th in g s that h e does or does n o t do. See H eider in A sch , S o c ia l P sy c h o lo g y , or Asch on th e meaning o f a c t io n s . R e a lit y Approaches M o tiv a tio n a l 5 H ! Make c o o p e r a tio n or a id to him in s tr u m e n ta l to good t h i n g s , ta k e th e "curse" o f f him. See G eorgopolus e t a l , H. Peak in Nebraska Symposium on M o tiv a tio n , 1355 ; M . R osenberg, J . Abnormal! and S'oc. P sych ol. 1 9 5 6 , 5 3 , 367-372. O r g a n iz a tio n a l 6 . Remove him from in f lu e n c e (p ro b a b ly i m p r a c t ic a l) . 7. Have o th e r , b e t t e r l ik e d or r e s p e c t e d p erson s ta k e over some o f h is more v i t a l f u n c t i o n s , o r g a n iza t i o n a l l y n e u t r a liz e o r i s o l a t e him . Communication IT D evelop o th e r ch an n els o f com m unication w ith the p e o p le . a . Study t h e in fo r m a l s t r u c tu r e o f pow er, fu n c tio n l i k i n g o r e c o l o g i c a l a s s o c i a t i o n in fa m ily or community u n it s . See C. B arnard, F un ctions o f th e E x e c u t iv e , P. B la u , Bureaucracy i n Modern S o c i e t y , or th e c o n s id e r a b le s m a ll group work on th e developm ent o f group s t r u c t u r e , b. Make form al r e q u e s ts to circu m ven t him in o f f i c i a l c h a n n e ls , " k ick him u p s t a i r s ." ( i f n e c e s s a r y , co n tin u e y o u r answer on blank s h e e t s , r e f e r e n c in g by number & l e t t e r ) d. Diagramm atic e x p o s it io n o f your s u g g e s t e d approach ( o p t i o n a l ) : 39 7 S u g g estio n No. 3 , above BEFORE Neg. A c tio n s AFTER Neg. A ction s Counterpart - (n e g a tiv e ) P opulace P o s i t iv e C ou nterp art------- O f f i c i a l s £ (n e u tr a l) Populace e . Comments or c a u tio n s : The r e a l i t y approaches may be d i f f i c u l t or im p o ss ib le or have n e g a tiv e co n se quences in r e a l s i t u a t io n s . The p e r c e p tu a l ones a re e a s i e r t o attem pt but may e a s i l y boomerang i f r e a l i t y does not a t l e a s t s l i g h t l y conform t o them. f . A p p lic a tio n t o o th e r problem s ( l i s t e d on pp. 7-8 o f I n s tr u c t io n s ): R eferen ce a l l c o n tin u a tio n s h e e t s by problem number (or t i t l e ) 8 l e t t e r (it e m ) . 39.8 I t i s im portant t o keep in mind, as you work a lo n g , th a t th e p e r so n n el a d v is in g or p a r t i c i p a t i n g in c o u n te r in surgency o p e r a tio n s are n o t l i k e l y t o have e i t h e r the knowledge or f a c i l i t y fo r very s o p h i s t i c a t e d s o c i a l s c ie n c e te c h n iq u e s . Thus, i f you c o u n se l su ch a p e r so n , w e ' l l say fo r exam p le, " to a s c e r t a in th e r e l i g i o u s v a lu e s o f th e l o c a l p op u lation " as a p r e r e q u is it e t o th e s o lu t io n o f some problem , you must remember th a t he cannot do t h i s by p ro j e c t i v e or fa n ta s y d e v ic e . He w i l l be fo r tu n a te i f he can ask a few in fo rm a l q u e s tio n s o f l o c a l v i l l a g e r s . Most l i k e l y he w i l l on ly be a b le t o o b serv e th e r e l a t i v e a f f l u ence o f th e l o c a l r e l i g i o u s e d i f i c e and a few o f th e most o v e rt s ig n s and sym bols o f r e l i g i o u s b e l i e f and i n t e n s i t y . Our man needs good sound a d v ic e , but in term s which f i t h is r e s o u r c e s . When you c a n , I would a p p r e c ia te your g iv in g him easy o b s e r v a tio n a l ways t o make th e a s s e s s m e n t s , or ways t o fin d th e s o c i a l s c ie n c e c l u e s , which he may need fo r problem s o l u t i o n . With t h i s p roced ure and c a v e a t , and th e urgency o f th e ta s k in mind, I ask you to p roceed . Remember, each o f you w i l l address th e c e n t r a l problem (th e f i r s t l i s t e d ) ; the numbers fo r c e r t a in problems t h a t you p e r s o n a lly are asked t o address w i l l be c ir c l e d i n th e secon d s e t . I . C en tral Problem The c e n tr a l q u e s tio n or problem (and in many c a se s 39.9 i t i s a subsum ing problem) i s as fo llo w s : To encourage or induce in d ig e n ous l o c a l le a d e r s t o commit th em selv es w h o le h e a r te d ly t o th e e r a d ic a tio n o f in s u r g e n ts from t h e i r la n d . ( H i s t o r i c a l l y in v o lv e d in t h i s problem , i n t e r a l i a , are concern fo r p r e r e q u is it e s and p r e r o g a tiv e s o f o f f i c e , p a r o c h ia l s t a t u s , a v a r ic e , e t c . , vs^ l o y a l ty t o and concern f o r the n a t io n a l w e lf a r e , w inning as an o b j e c t i v e , e t c . ) Some co n cep ts t o ponder w ith regard t o t h i s problem: c o n f l i c t o f i n t e r e s t c o g n it iv e d isso n a n ce p r e -c o n d it io n s fo r l o y a lt y As a lr e a d y i n d ic a t e d , you are f i r s t req u e sted to prepare a p r o b le m -so lv in g approach t o t h i s problem based on s o c i a l s c ie n c e p r i n c i p l e s . P le a se w r ite a f a i r l y b r i e f approach in th e work s h e e t provided a t th e end o f th e s e i n s t r u c t io n s ( i f you need more s p a c e , p le a s e co n tin u e your answer on any blan k s h e e t — r e fe r e n c in g by th e t i t l e heading "C entral Problem ," but remember t h a t a t e r s e , though w e l l- o rg a n ized and r e le v a n t , answer i s most u s e f u l ) . I I . Other Broad Problems The f o llo w in g problem s o f human m o t iv a tio n - -s u b - 40 0 m itte d by p e r so n s o f c o n s id e r a b le e x p e r ie n c e — are r e p r e s e n t a t i v e o f t h o s e l i k e l y t o be found in any c o u n te r in s u r gency s i t u a t i o n . The problem s are n o t p r e se n te d in any order o f im portance or p r i o r i t y . You a r e r e q u e ste d t o p rep a re a p r o b le m -so lv in g approach t o t h o s e problem s fo r w hich th e number i s c i r c l e d . (The o th e r problem s are p r e s e n te d s o th a t you may s e e and a p p r e c ia te th e broad r a n g e .) P le a se u se th e work s h e e t s p rov id ed a f t e r each problem sta te m e n t c i r c l e d , and check t o se e t h a t your papers are r e fe r e n c e d w ith your name and by th e proper problem number. P le a se t r y t o keep your answ ers b r i e f and t o th e p o in t . The e q u iv a le n t o f a p a g e, or page and one h a l f , i s recommended as o p tim a l. The problem s are as f o l l o w s : In d igen ou s P eo p le s 1. To g e n e ra te op tim al p s y c h o lo g ic a l c o n d itio n s f o r th e r e l o c a t i o n and r e o r g a n iz a t io n o f groups o f p e o p le ( f o r m ilit a r y a c tio n n e e d s , f o r c o n t r o l , f o r r e h a b i l i t a t i o n , o r b ecau se th e y are r e f u g e e s ) . 2 . T o ' 11 r e a c h 1 * r u r a l a n d /o r poor p o p u la tio n s by a p p ea ls b ased on THEIR needs and i n t e r e s t s ( r a th e r th an on th e i n t e r e s t s o f urban a n d /o r e l i t e g r o u p s): to d e v e lo p sim p le te c h n iq u e s t o d eterm in e what t h e i r i n t e r e s t s r e a l l y a r e — i d e n t i f i c a t i o n o f a m b itio n s, a s p i r a t i o n s , and need d r iv e s among t h e lo c a l p o p u la t io n , and th e t r a d i t i o n a l means for a c h ie v in g them w ith in th e s o c i e t y . L ocal P o p u la tio n s and T h eir Government 3. To m it ig a t e or su p p la n t u n fa v o ra b le h i s t o r i c a l and contem porary "image o f s o l d i e r or p o l i c e man” ( e . g . , th e r e s u l t s of resen tm en t o f "dragnet" r e c r u i t i n g , h igh h an d ed n ess, e t c . ) , 4. To t r a n s l a t e m i li t a r y su c c e ss in t o th e i n t e r e s t s o f th e l o c a l p o p u la tio n s — th a t i s , t o show t h a t g o a ls , e t c . , of th e p o p u la tio n are se r v e d by such m i li t a r y s u c c e s s . 5. To e x p r e ss the p o s i t i v e m is s io n of government in terms m ea n in g fu l t o the p e a s a n t (b r in g in g t o th e p e a sa n t c o n v in c in g e v id e n c e t h a t the government i s s i n c e r e in i t s sta te m e n t o f m is s io n ; e f f e c t i v e l y seeks t o a cco m p lish the m is s io n ; and th a t th e accom plishm ent o f th e m issio n i s in h i s i n t e r e s t ) . 6 . To encourage " p o l i t i c a l reform " in government and i t s apparatus in the i n t e r e s t s o f l o c a l p o p u la tio n s ( t o broaden th e p o l i t i c a l b a s e ) — th e i d e n t i f i c a t i o n o f needed reforms from a g r a s s - r o o t s and l o c a l c u l t u r a l p e r c e p tio n . Harmony and Common Purpose Among Groups 7. To i d e n t i f y and a p p ea l t o e lem en ts o f common a l i t y in a " b alk anized " or fragm ented l o c a l j i p o p u la t io n : t o d e v e lo p te c h n iq u e s t o b r id g e i th e gap betw een ad versary g r o u p s; to encourage j i each elem en t t o s e e th e use and value o f j o th e r e lem en ts t o i t s e l f and th e v a lu e o f j | j w orking t o g e t h e r fo r mutual i n t e r e s t ; t o make m utual i n t e r e s t and com m onality se e more im p o r ta n t than t r a d i t i o n a l d i f f e r e n c e s ; and to make "dominant" e lem en ts se e k th e su p p ort and c o o p e r a tio n o f p e r c e iv e d " i n f e r i o r s ." 8 . To e s t a b l i s h or d is c e r n comm unication ch a n n els betw een and among c l a s s e s and su b -grou p s o f l o c a l p o p u la t io n s : t o i d e n t i f y com m unicationsj "gaps" betw een e l i t e and p ea sa n t and t o d e v e l op te c h n iq u e s to overcome such g a p s; t o each le a d e r s h ip p r i n c ip l e s to l o c a l o f f i c i a l s so j t h a t t h e i r own p e o p le w i l l f o llo w them. i O u tsid e P erso n n el and ' the L o ca l P o p u la tio n i 9 . To d evelop te c h n iq u e s t o o f f s e t th e e f f e c t s o f j o u t s id e p e r s o n n e l s a s s o c i a t i o n w ith an in d ig e n o u s o f f i c i a l (c o u n te r p a r t, e t c . ) who has a bad "image" among th e l o c a l p o p u la tio n — how t o communicate e f f e c t i v e l y w ith th e p o p u la tio n d e s p ite the p r esen ce o f such a l o c a l o f f i c i a l and the n e c e s s a r y a s s o c ia t io n o f p erson s from a n o th er cou n try or community w ith him. 10. To d evelop te c h n iq u e s f o r d e t e c t in g h o s t i l i t y o r th e p r esen ce o f a c la n d e s t in e enemy in th e m idst o f a l o c a l p o p u la tio n - - t h e i d e n t i f i c a t i o n o f c lu e s t o such p r e se n c e . O utsid e P erso n n el and L ocal A u th o r itie s or C ounterparts 11. To b rid g e gaps i n communication between per so n n e l from an oth er country or community and l o c a l a u t h o r i t i e s ( c h i e f , headman, e t c . ) - - som etim es caused by m utu ally (and o fte n i n v e r s e ly ) p e r c e iv e d " s u p e r io r i t y - i n f e r i o r it y " r e l a t i o n s h i p s . 12. To b o l s t e r th e damaged m orale and d e d ic a tio n o f l o c a l m ilit a r y c o u n te r p a r ts ( e . g . , in e q u i t i e s , c o r r u p tio n , f a v o r it is m , or i n e f f i c i e n c y o f the in d ig e n o u s m ilit a r y sy stem , f r u s t r a t io n s o f lon g d u ra tio n o f w ar, e t c . ) . APPENDIX F LIST OF EXPERTS CONSULTED H04 APPENDIX F LIST O F EXPERTS CONSULTED M ilita r y Bohannan, L t. C olon el Charles T. R. (AUS, R e t.) Buchanan, Major W illiam J. (USA) Hobbs, Major General Leland S. (USA, R e t.) Joh n s, Major John (USA) J o n e s, Captain R. A. (USA) ^ L an sd ale, Major G eneral Edward G. (USAF, R e t.) Wahl, L t. C o lon el John (USA) Watson, L t. C olon el Frank (USA) „ S p e c ia l n o t e : In a d d itio n t o th e above named o f f i c e r s , 25 o f f i c e r s and men (r e c e n t r etu r n e es from Vietnam) a ls o p a r t ic ip a t e d in th e r e se a rc h as resp on d en ts f o r th e c r i t i c a l i n c i dents in te r v ie w s d e sc r ib e d in Appendix D to t h i s d i s s e r t a t i o n . T h eir volu n tary c o o p e ra tio n i s a p p r e c ia te d . S O + i S o c ia l S c i e n t i s t s N AM E Bern, D aryl J . B ren t, Jack E. B la k e lo c k , Edwin'H. C asey, I r v in g J . C olom botos, John L. C on d it, D. M . G i l l i n , John P. G reer, F. Loyal G r i f f , Mason Hoge, Robert D. I r e la n d , Lola M. L aC h arite, Norman A. L ic h t e n s t e in , S ta n ley Lowry, R itc h ie P. DISCIPLINE S o c ia l p sy ch o lo g y S o c io lo g y S o c ia l p sych ology S o c io lo g y S o c io lo g y H isto ry A nthropology P sychology S o c io lo g y P sychology S o c io lo g y -a n th r o p o lo g y I n t e r n a t io n a l r e l a t io n s C l i n i c a l p sych ology S o c io lo g y AFFILIATION C arnegie I n s t i t u t e o f Tech n o lo g y The American U n iv e r s ity The American U n iv e r s ity A n a ly tic S e r v i c e s , I n c . - Columbia U n iv e r s ity The American U n iv e r sity U n iv e r s ity o f P ittsb u r g h The American U n iv e r sity Dartmouth C o lleg e U n iv e r s ity o f Delaware U.S. Department o f H ea lth , E d u ca tio n , and W elfare The American U n iv e r s ity American I n s t i t u t e fo r Research The American U n iv e r s ity N A M E Lybrand, W illiam A. McQueen, A lb e r t J . M intz, Jeanne S« M oles, O liv e r M olnar, Andrew R. Monane, Joseph H. Murray, K eith A. N ie h o f f , Arthur H. N ighsw onger, W illiam A. O'Shea, Robert M , P la t z , Arthur R. R ic e , C harles E. S c h u e lle r , George K. Sm ith, Norman D. S t a n le y , Manfred DISCIPLINE Psychology i I S o c io lo g y P o l i t i c a l s c ie n c e S o c ia l p sych olo gy P sychology S o c io lo g y P sychology A nthropology P o l i t i c a l s c ie n c e S o c io lo g y P sychology P sychology P o l i t i c a l s c ie n c e P sychology S o c io lo g y AFFILIATION The American U n iv e r s ity Howard U n iv e r sity The American U n iv e r s ity U .S. Department o f H ea lth , E d u ca tio n , and W elfare The American U n iv e r s ity George W ashington U n iv e r s ity Johns Hopkins U n iv e r sity George W ashington U n iv e r s ity Returned U .S. AID area d e v e l opment o f f i c e r (Vietnam) U .S. P u b lic H ealth S e r v ic e ill. S. V eterans A d m in istra tio n George W ashington U n iv e r sity ! The American U n iv e r sity The American U n iv e r s ity Wagner C o lleg e L O f i NAM E S p rin g er, P h ilip B. S z a la y , Lorand B. Trinnaman, James E . , J r . T r u z z i, M arcello Vroom, V ic to r H. Wenner, (M rs.) L e t t ie M . W indle, C harles Woolman, Myron DISCIPLINE S o c io lo g y Psychology P o l i t i c a l s c i e n c e - - in t e r n a t io n a l r e l a t io n s S o c io lo g y P sychology P o l i t i c a l s c ie n c e P sychology P sychology AFFILIATION The American U n iv e r s ity — The U n iv e r s ity o f Chicago The American U n iv e r sity The American U n iv e r s ity C orn ell U n iv e r sity Carnegie I n s t i t u t e o f Tech n ology The American U n iv e r sity The American U n iv e r sity I n s t i t u t e o f E d u cation al Research i | I i i i B I B L I O G R A P H Y i L09 BIBLIOGRAPHY Books, Monographs, and Pamphlets Abaya, Hernando J . B e tra y a l in the P h ilip p in e s . New York: A. A. Wyn, Inc.- , 19'4 B. Abueva, J o se V. 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Asset Metadata

Creator Houk, John Louis (author)

Core Title The Support Of Local Populations For The Forces Of Order And Legal Government In A Developing And Insurgent Area: Identification Of Some Problems And Relevant Factors

Degree Doctor of Philosophy

Degree Program Political Science

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag OAI-PMH Harvest,political science, international law and relations

Language English

Contributor Digitized by ProQuest (provenance)

Advisor Berkes, Rose N. (committee chair), Fertig, Norman R. (committee member), Nyomarkay, Joseph L. (committee member)

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c18-143003

Unique identifier UC11360594

Identifier 6710763.pdf (filename),usctheses-c18-143003 (legacy record id)

Legacy Identifier 6710763.pdf

Dmrecord 143003

Document Type Dissertation

Rights Houk, John Louis

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the au...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus, Los Angeles, California 90089, USA