Friday, June 12, 2015

Reading :: The Strategic Game of ? and ?

The Strategic Game of ? and ?
By John Boyd

This is the third review in a series going over briefings by John Boyd.

The Strategic Game of ? and ?
Boyd gets playful in this slide deck, teasing us. What could the question marks represent? I can only imagine how much this stratagem lightened what have been described as "grueling" briefing sessions presented on an overhead projector.

But I digress. After teasing the question marks (Slide 1), Boyd opens with the question: what is strategy (Slide 2). He describes the approach as
  • Make a general survey
  • Condense to essential elements
  • Place in strategic perspective
  • Implementation (Slide 4)
Why this approach? He uses a illustration that has since become famous. First, he asks us to imagine we are in different situations: skiing on a slope; riding on a motorboat; riding a bicycle; looking at a child's toy tank (Slide 6). Now, he says, imagine that we retain only pieces from each situation: the skis, the outboard motor, the bicycle handles, the tank treads (Slide 7). Put these together and what do you get? "Snowmobile" (Slide 9).

Boyd wants us to apply this kind of analytic-synthetic thinking to strategy:
We will use this scheme of pulling things apart (analysis) and putting them back together (synthesis) in new combinations to find how apparently unrelated ideas and actions can be related to one another. (Slide 10). 

So he begins with a general survey of disciplines that address complexity. He begins by arguing that human nature leads us to "Survive, survive on own terms, or improve our capacity for independent action," and since that often means competing for limited resources, it requires that we "Diminish adversary’s capacity for independent action, or deny him the opportunity to survive on his terms, or make it impossible for him to survive at all" (Slide 14).

To think through this issue, he first surveys, drawing snippets from contemporary newspaper articles and books on complexity as well as fables and classics on military strategy.

Next, he condenses, concluding that these all point to our need to interact with our environment: "Interaction permits vitality and growth while isolation leads to decay and disintegration" (Slide 29, my emphasis).

And now we can place these in strategic perspective, for the bold terms are what lay under the question marks:
The strategic game is one of interaction and isolation
A game in which we must be able to diminish adversary’s ability to communicate or interact with his environment while sustaining or improving ours. (Slide 33)
He discusses three aspects: Moral, Mental, and Physical (Slide 34). In terms of isolation:
• Physical isolation
occurs when we fail to gain support in the form of matter-energy information from others outside ourselves.
• Mental isolation
occurs when we fail to discern, perceive, or make sense out of what’s going on around ourselves.
• Moral isolation
occurs when we fail to abide by codes of conduct or standards of behavior in a manner deemed acceptable or essential by others outside ourselves. (Slide 36)
Whereas interaction entails the opposite (Slide 37). How do we exploit these ideas?  Synthesizing Gödel, Heisenberg, and the Second Law of Thermodynamics, he argues that
One cannot determine the character or nature of a system within itself. Moreover, attempts to do so lead to confusion and disorder. (Slide 41)
And he adds the lesson from his previous studies of aerial attack:
The ability to shift or transition from one maneuver to another more rapidly than an adversary enables one to win in air-to-air combat. (Slide 42)
His proposed synthesis is that
The ability to operate at a faster tempo or rhythm than an adversary enables one to fold adversary back inside himself so that he can neither appreciate nor keep-up with what’s going on. He will become disoriented or confused
... leading to disorientation, disruption, overloading, and collapse (in that order) (Slide 44).

He argues that to do this effectively, we (recall that he's speaking to military officers) must gather from other disciplines and activities in order to surface new repertoires that can fold our adversaries inside themselves while avoiding the same fate for ourselves (Slide 45). That is, by interacting more broadly, and by developing broader repertoires, we can avoid becoming isolated and we can induce isolation in adversaries.

Next, he applies this insight back to the physical, mental, and moral aspects discussed earlier.

  • Physically, he argues, we should isolate adversaries by cutting off external and internal communications. Externally, we can do this through diplomatic and psychological means; internally, we can penetrate systems unpredictably.
  • Mentally, he says, we can "isolate our adversaries by presenting them with ambiguous, deceptive, or novel situations" and by getting inside their OODA loops in terms of rhythm and tempo.
  • Morally, he says, we can induce adversaries to violate their own codes of conduct or those of their allies. Notice that this is the same key advice Saul Alinsky gives in Rules for Radicals. (Slide 47)
The expected results of isolation: "Disintegration and collapse, unless adversaries change their behavior patterns to conform to what is deemed acceptable by others outside themselves" (Slide 48).

He also applies the scheme to interaction, essentially getting the flip side of the above (Slides 49-50). 

Interestingly, in terms of application, he focuses on the moral argument. And again, he sounds like Alinsky, arguing that we must "Preserve or build-up our moral authority while compromising that of our adversaries’" (Slide 54; he adds details in Slides 55-57). Let's be more accurate: On attack, he sounds like Alinsky. If I recall correctly, Alinsky did not expend effort in defense. Whereas Alinsky dedicated his book to the first radical—Lucifer—Boyd ends his slide deck with definitions of evil and corruption and the clear dictum to avoid them (Slide 59).

So there's the summary. Now some thoughts.

First, I wondered in my review of Patterns of Conflict to what degree we could see Boyd's viewpoint as dialectical. That question continues here, although Boyd is certainly not describing dialectical materialism. Interaction is still central, and one induces contradictions (in activity theory's terminology) by cutting off the adversary's interaction. 

Second, one issue I had with the OODA loop is that it leaves too much underdefined. Specifically: Yes, one must Observe, Orient, Decide, and Act. But to do any of these at any sort of tempo, one must restrict the flow of information. As I tell my students in my field methods class, we can potentially Observe far more than we can track or analyze, and we can similarly spend a lot of time Orienting toward any observation if we haven't selected a method that restricts our choices. To march through the process, we inevitably have to (a) restrict information at each step in order to process it, (b) store that information in a "lossy"/encoded format; and (c) rely on theoretical and methodological assumptions to make up the difference. 

For example, suppose that I'm walking through my neighborhood. 
  • I can potentially Observe many things: temperature, brightness, the state of clouds in the sky, the animals on the street, the length of the grass, the number of pebbles in the asphalt... but I can't actually Observe them all, even if I took a year to walk a block. 
  • Similarly, if I were to Orient to one observation, I would likely do it through some cultural tool—for instance, counting the number of potholes (which requires criteria: what counts as a pothole?). 
  • Based on the above, I must Decide what to do. Again, this will be hard to do unless I have some ready-made decision possibilities at hand (such as calling 311 to report the pothole or drawing figures around it).
  • Finally, I must Act, which involves additional skills and decisions.
Boyd glancingly refers to this problem in this slide deck, mentioning that we must draw "repertoires" from other fields (Slide 45). But where in the loop do we make decisions about how we select, encode, analyze, and so forth? A metaloop is needed, preferably one that (a) adjusts periodically, even without warning signs, and (b) integrates new repertoires with the existing ones. This problem is either ignored or largely left to the readers. 

Perhaps that issue stems from the fact that in a fighter jet's cockpit, OODA's inspiration, the fighter has access to a comparatively restricted set of information and a comparatively limited number of decisions. The strategic level seems more complex to me.

One way to chip away at this issue would be to put it in dialogue with Boisot, who examines information in terms of codification, abstraction, and diffusion—and how, if you make these three dimensions the axes of a cube, a social learning cycle tends to result in an S-curve. One might similarly detect a periodic inflation and deflation of information throughout a specific OODA loop. 

In any case, this is what I like about reading these briefings: Boyd's ideas are eclectic, but smart enough that they pose problems that I end up addressing by reaching across other readings. I hope you are enjoying reading these reviews as much as I enjoy writing them, dear reader.

Thursday, June 11, 2015

Reading :: Patterns of Conflict

Patterns of Conflict
By John Boyd

This is the second review in a series, going over briefings by John Boyd.

Patterns of Conflict
(For my own eyesight, I'll use the PDF of the PPT rather than the scans of the original briefings here.)

Boyd sets a modest set of goals for this presentation:
Mission
• To make manifest the nature of moral-mental-physical
conflict
• To discern a pattern for successful operations
• To help generalize tactics and strategy
• To find a basis for grand strategy
Intent
• To unveil the character of conflict, survival, and conquest (Slide 2)
Boyd begins by recalling his key insight in air-to-air combat: that the aircraft with faster transient qualities (able to gain and lose energy more quickly) will have an advantage (Slide 4). He generalizes from this point: the
Idea of fast transients suggests that, in order to win, we should operate at a faster tempo or rhythm than our adversaries—or, better yet, get inside adversary’s observation-orientation-decision-action time cycle or loop.
Why? Such activity will make us appear ambiguous (unpredictable) thereby generate confusion and disorder among our adversaries—since our adversaries will be unable to generate mental images or pictures that agree with the menacing as well as faster transient rhythm or patterns they are competing against.  (Slide 5, his emphasis)
Let's link this idea with the previous presentation. If an adversary indeed learns and innovates by observing and reacting to mismatches between our expectations and what actually happens, then operating at a faster tempo allows us to get ahead of that conceptual spiral, providing inconsistent feedback that causes the adversary to make wrong or inconclusive hypotheses. More colloquially, Boyd proposes jamming the conceptual spiral. If the conceptual spiral works by systematically addressing contradictions, Boyd argues, we can introduce spurious contradictions that lead the adversary away from systemic learning. We should "Simultaneously compress own time and stretch-out adversary time to generate a favorable mismatch in time/ability to shape and adapt to change" (Slide 7, his emphasis) and we can do that, he says, by (a) generating a rapidly changing environment and (b) inhibiting the adversary's ability to adapt to that environment (Slide 7).

Boyd draws an analogy to evolution (Slides 10-12), arguing that "variety/rapidity/harmony/initiative (and their interaction) seem to be key qualities that permit one to shape and adapt to an everchanging environment"—and that, similarly, cooperative groups must harmonize their efforts (Slide 12, his emphasis).  He reinterprets classic strategic advice and cases from Sun Tzu, Alexander, Hannibal, and others within this thesis (Slides 13-40). He emphasizes the asymmetries and strategems of these paragons in contrast to the top-down approaches of Napoleon, Clausewitz, and Jomani, who "did not appreciate importance of loose, irregular tactical arrangements and activities to mask or distort own presence and intentions as well as confuse and disorder adversary operations" (Slide 46). Clausewitz in particular "did not see that many non-cooperative, or conflicting, centers of gravity paralyze adversary by denying him the opportunity to operate in a directed fashion, hence they impede vigorous activity and magnify friction" (Slide 42, his emphasis).

Boyd argues that 19th-century technology and infrastructure reinforced this trend: "Huge armies, and massed firepower and other vast needs supported through a narrow fixed logistics network, together with tactical assaults by large stereotyped formations, suppressed ambiguitydeception, and mobility hence surprise of any operation" (Slide 48, his emphasis).

Interestingly, Boyd then turns to social conflict, citing Marx:
Without going into explicit detail we find (according to many investigators, including Karl Marx): that the interaction of competition, technology, specialization (division of labor), concentration of production in large scale enterprises, and the taking and plowing back of profits into this interaction produce opposing tendencies and periodic crises that leave in their wake more and more workers competing for jobs in fewer and fewer, but larger, firms that increasingly emphasize (percentage-wise) the use of more machines and less labor. (Slide 50)
He characterizes the Marxian message:
According to Marx/Engels and their followers, the only way out is via revolution and dictatorship of the proletariat (workers) to smash the capitalistic system and replace it with one that does not exploit and oppress masses for the benefit of a ruling elite or class. (Slide 51)
The necessary conditions of success here are (a) a crisis, since "Crises represent height of confusion/disorder due to many opposing tendencies (centers of gravity) that magnify friction, hence paralyze efforts by authorities to dominate such surges of turmoil"; and (b) a vanguard, since "Vanguards represent disciplined moral/mental/physical bodies focused to shape and guide masses as well as participate in action to exploit and expand confusion/disorder of crises that shake adversary’s will to respond in a directed way." These are "the golden keys that permit us to penetrate to the core of insurrection/revolution and, as we shall see later, modern guerrilla warfare" (Slide 51).

Such efforts represent ways "to destroy a society from within" (Slide 52). But he also is interested in how to exploit conditions to destroy a society from without (Slide 52), and for that purpose, he examines the case of infiltration in World War I, comparing and contrasting with Lawrence's guerilla tactics in the same war. "Both stress clouded/distorted signatures, mobility and cohesion of small units as basis to insert an amorphous yet focused effort into or thru adversary weaknesses" (Slide 65).

Between WWI and WWII, some major advances happened. Critically, and most interesting to me at this point, "Lenin, and after him Stalin, exploited the idea of crises and vanguards—that arise out of Marxian contradictions within capitalism—to lay-out Soviet revolutionary strategy," resulting in "A scheme that emphasizes moral/psychological factors as basis to destroy a regime from within" (Slide 66). At the same time, the Nazis developed Blitzkrieg and Mao developed guerilla warfare.

The next two slides are on Soviet revolutionary strategy. He names the major tasks as

  • "Employ agitation and propaganda in order to exploit opposing tendencies, internal tensions, etc. Object is to bring about a crises, to make revolution ripe as well as convince masses that there is a way-out."
  • "Concentrate “the main forces of the revolution at the enemy’s most vulnerable spot at the decisive moment, when the revolution has already become ripe, when the offensive is going full steam ahead, when insurrection is knocking at the door, and when bringing the reserves up to the vanguard is the decisive condition of success.”" (Slide 67)
  • "Select “the moment for the decisive blow, the moment for starting the insurrection, so timed as to coincide with the moment when the crisis has reached its climax, when the vanguard is prepared to fight to the end, the reserves are prepared to support the vanguard, and maximum consternation reigns in the ranks of the enemy.”"
  • "Pursue “the course adopted, no matter what difficulties and complications are encountered on the road towards the goal. This is necessary in order that the vanguard not lose sight of the main goal of the struggle and the masses not stray from the road while marching towards that goal and striving to rally around the vanguard.”"
  • "Maneuver “the reserves with a view to effecting a proper retreat when the enemy is strong … when, with the given relation of forces, retreat becomes the only way to escape a blow against the vanguard and retain the vanguard’s reserves. The object of this strategy is to gain time, to disrupt the enemy, and to accumulate forces in order later to assume the offensive.”" (Slide 68)

That is, the Soviets based their revolutionary strategy on the exacerbation of contradictions in the targeted society. The strategy was based on the determinist view that societies would eventually be ripe for communist revolution, but it also relied on dialectic and thus provided some basis for Boyd's work.

Similarly, Boyd examines Blitzkrieg, concluding that it "generates many non-cooperative centers of gravity, as well as undermines or seizes those that adversary depends upon, in order to impede vigorous activity and magnify friction, thereby paralyze adversary by denying him the opportunity to operate in a directed way" (Slide 71). An army operating under Blitzkrieg keeps up the pace by interlocking OODA loops at different levels, ensuring that low-level commanders had latitude to act within their own OODA loops as long as they synchronized with OODA loops higher up the chain. "Each level from simple to complex (platoon to theater) has their own observation-orientation-decision-action time cycle that increases as we try to control more levels and details of command at the higher levels. Put simply, as the number of events we must consider increase, the longer it takes to observe-orient-decide-act" (Slide 72). This scheme only works if officers have a common outlook (Slide 74) in which the what is agreed upon, but the how is left to the officer's discretion (Slide 76). In this scheme, the Schwerpunkt (center of gravity; focus of main effort) was realized via implicit communication, diminishing friction and reducing time (Slide 79).

Boyd reviews the essentials of guerilla warfare next, then argues that modern guerilla warfare is a synthesis of more traditional guerilla warfare, Soviet strategy, and Blitzkrieg.
Insurrection/revolution becomes ripe when many perceive an illegitimate inequality—that is, when the people see themselves as being exploited and oppressed for the undeserved enrichment and betterment of an elite few. This means that the guerrillas not only need an illegitimate inequality but they also need support of the people; otherwise, insurrection/revolution is impossible. (Slide 94)
Common themes of this type of guerilla warfare are familiar to those who have read 4GW literature:
  • Avoid battles—instead penetrate adversary to subvert, disrupt, or seize those connections, centers, and activities that provide cohesion (e.g., psychological/moral bonds, communications, lines of communication, command and supply centers …)
  • Exploit ambiguity, deception, superior mobility, and sudden violence to generate initial surprise and shock followed by surprise and shock again, again, again …
  • Roll-up/wipe-out the isolated units or remnants created by the subversion, surprise, shock, disruption, and seizure. 
And the intent:
  • Exploit subversion, surprise, shock, disruption, and seizure to generate confusion, disorder, panic, etc., thereby shatter cohesion, paralyze effort, and bring about adversary collapse.  (Slide 98)
 Boyd briefly discusses how to disrupt this sort of conflict by noting that it is "Difficult to sustain fast-tempo and maintain cohesion of blitz effort when forced to repeatedly and rapidly shift concentration of strength against weakness" (Slide 104), then discusses specific cases of counter-Blitz and counter-guerilla campaigns.

Boyd then discusses different sorts of conflicts, including moral conflict, with some discussion of how to counteract it by increasing harmony, adaptability, and initiative (Slide 124). Based on a synthesis, Boyd then argues that the goal of conflict must be to
Diminish adversary’s freedom-of-action while improving our freedom-of-action, so that our adversary cannot cope—while we can cope—with events/efforts as they unfold. 
That goal can be reached with this action:
Observe-orient-decide-act more inconspicuously, more quickly, and with more irregularity as basis to keep or gain initiative as well as shape and shift main effort: to repeatedly and unexpectedly penetrate vulnerabilities and weaknesses exposed by that effort or other effort(s) that tie-up, divert, or drain-away adversary attention (and strength) elsewhere. (Slide 128)
Grand tactics then become:
  • Operate inside adversary’s observation-orientation-decision-action loops, or get inside his mind-time-space, to create a tangle of threatening and/or non-threatening events/efforts as well as repeatedly generate mismatches between those events/efforts adversary observes, or anticipates, and those he must react to, to survive;
thereby
  • Enmesh adversary in an amorphous, menacing, and unpredictable world of uncertainty, doubt, mistrust, confusion, disorder, fear, panic, chaos … and/or fold adversary back inside himself;
thereby
  • Maneuver adversary beyond his moral-mental-physical capacity to adapt or endure so that he can neither divine our intentions nor focus his efforts to cope with the unfolding strategic design or related decisive strokes as they penetrate, splinter, isolate or envelop, and overwhelm him.  (Slide 131)
And strategy becomes:
Penetrate adversary’s moral-mental-physical being to dissolve his moral fiber, disorient his mental images, disrupt his operations, and overload his system—as well as subvert, shatter, seize, or otherwise subdue those moral-mental-physical bastions, connections, or activities that he depends upon—in order to destroy internal harmony, produce paralysis, and collapse adversary’s will to resist. (Slide 133)
At the same time, a nation must essentially apply the same principles constructively, strengthening unity, harmony, and moral fiber as well as attracting potential adversaries as allies (Slide 140).

The rest is historical cases and wrap-up. Later in the series, we'll see how Boyd elaborates the OODA loop as well as his ideas about winning and losing.

Reading :: Conceptual Spiral

Conceptual Spiral
By John Boyd


This review is the first in a series of reviews of John Boyd's briefings on strategic theory, collectively known as A Discourse on Winning and Losing. For background on Boyd, see my review of Osinga's Science, Strategy, and War — but also see this recent article for more on how Boyd has been received in strategic studies (skeptically).

Long story short, critics seem to have two critiques of Boyd.

First, he had a critical limitation: he was an autodidact who read broadly. Autodidacticism isn't necessarily a problem, and can often lead to innovative synthetic thinking. But without the underlying rigor of a discipline, it sometimes amounts to trying to put together a jigsaw puzzle by grabbing pieces from different boxes.

Second, the key insight that people associate with Boyd—the OODA loop—grew out of a tactical insight (from Boyd's days as a fighter pilot), but Boyd attempted to apply it as a strategic insight. The OODA loop posits that entities (from single-celled creatures to nations) all cycle through phases in which they observe the environment; orient to those observations based on their genetic and cultural heritage, previous experiences, new information, analysis and synthesis; decide their next action; and act on it. A simplistic application of the OODA loop treats it as a stepwise cycle (I'm reminded of programming loops in C). A more complex application recognizes multiple feedback loops across each step. Boyd draws from an eclectic variety of sources to establish the OODA loop, including Bateson and Maturana, but also contemporary popular books.

So the briefings have some limitations. These limitations are compounded by the fact that Boyd primarily left behind just the briefings—essentially slideshows—rather than longer form texts. These slideshows were revised over the course of years, and it's unclear whether Boyd really regarded them as finished. Consequently, the briefings are a bit like reading Bakhtin's fragmentary notes in Speech Genres: are they finished thoughts? To what extent are we inserting our own assumptions into them? However, you can find Boyd delivering the briefings on YouTube, and his oral comments may clarify some of these questions. I confess that I have not watched more than a few minutes of them.

Still, let's see what we can glean from them. We'll start with the first one, Conceptual Spiral.

Conceptual Spiral
In the first briefing in this series, Boyd discusses the "conceptual spiral," in which he proposes "To make evident how science, engineering, and technology influence our ability to interact and cope with an unfolding reality that we are a part of, live in, and feed upon." Conceptual spirals are often talked about within the dialectical tradition (e.g., Vygotsky, Ilyenkov, Engestrom); Boyd seems to fit into this tradition as well. As he says early in the slide deck:
 For the interested, a careful examination will reveal that the increasingly abstract discussion surfaces a process of reaching across many perspectives, pulling each and every one apart (analyses), all the while intuitively looking for those parts of the disassembled perspectives which naturally interconnect with one another to form a higher order, more general elaboration (synthesis) of what is taking place. As a result, the process not only creates the Discourse but it also represents the key to evolve the tactics, strategies, goals, unifying themes, etc., that permit us to actively shape and adapt to the unfolding world we are a part of, live in, and feed upon. (Slide 4)
(And yes, that is a partial quote from even more text on a single slide.)

He adds in the next slide that "by examining the practice of science/engineering and the pursuit of technology, we can evolve a conceptual spiral for comprehending, shaping, and adapting to that world" (Slide 5).

Boyd goes on to discuss science, engineering, and technology in terms of the conceptual spiral. Based on historical examples, he concludes:
People using theories or systems evolved from a variety of information will find it increasingly difficult and ultimately impossible to interact with and comprehend phenomena or systems that move increasingly beyond and away from that variety—that is, they will become more and more isolated from that which they are trying to observe or deal with—unless they exploit the new variety to modify their theories/systems or create new theories/systems. (Slide 14)
And he asks: "what does all this have to do with our ability to thrive and grow in such a world that is seemingly orderly and predictable yet disorderly and unpredictable?" (Slide 17) He answers by positing that "Science, engineering, and technology produce change via novelty" (Slide 20, his emphasis). Novelty emerges from "an analytical/synthetic feedback loop for comprehending, shaping, and adapting to that world" (Slide 21). More specifically, novelty emerges from mismatches between our expectations and our feedback (Slide 23). That is, we learn and innovate when we see discrepancies between what we think should happen and what actually happens. (One paradigmatic example: we might expect heavier weights to fall more rapidly than lighter ones; when this turned out not to be true, Galileo had to develop a theory to explain that fact.) Boyd argues:
Without the interplay of analyses and synthesis, we have no basis for the practice of science/engineering and the pursuit of technology — because novelty, mismatches, and reorientation as the life blood ingredients that naturally arise out of such practice and pursuit can no longer do so. (Slide 25)
What does this have to do with winning and losing? Boyd explains that novelty is produced continually through our own innovations, through nature, through thinking and doing, and it is "produced continuously, if somewhat erratically or haphazardly." Thriving in such a world means continuously orienting to such novelties. But orientation is typically constrained by previous experiences, and thus "introduces mismatches that confuse or disorient us." We must engage in the analytic/synthetic process to "we can rematch [and] thereby reorient our thinking and action with that
novelty" (Slide 28).

Part of the previous experiences is systematic theory: "the various theories, systems, processes, etc. that we employ to make sense of that world contain features that generate mismatches that, in turn, keep such a world uncertain, ever-changing, and unpredictable" (Slide 31). (Activity theorists will note that these mismatches are roughly analogous to contradictions, which introduce problems but are also engines of change.) Boyd counsels that we should embrace the conceptual spiral, recognizing its positive results: insight, imagination, and initiative (Slide 34). In fact, we can't survive without the conceptual spiral; it is "A Paradigm for Survival and Growth" (Slide 37).

This presentation lays the foundation for the later discussion of the OODA loop. But it also defines the broader theme of interaction (dialectic?) that Boyd discusses throughout—as we'll see later in this series.

Monday, June 08, 2015

Reading :: Training for Change

Training for change. New approach to instruction and learning in working life
By Yrjo Engestrom


This slim (122pp. without end matter) guidebook was published by the International Labour Office in 1994, seven years after Engestrom's highly theoretical Learning by Expanding. Although Training for Change is certainly different—a practical guidebook for workers rather than a theoretical text for academics—it's certainly rooted in Engestrom's theoretical work in general and activity theory in particular.

As Engestrom says in the introduction, this guidebook is meant for human resources development, personnel training, and other instances in which adults are being trained. Engestrom wants these adults to undergo actual learning: "meaningful construction and creative use of intelligent cognitive tools"; "participation, collaboration, and dialogue in communities of practice"; and "criticism of the given, as well as innovation and creation of new ideas, artifacts and forms of practice" (p.1).

Meaningful learning, Engestrom argues, involves construction: the student must not just receive but construct a picture of the world (p.12). Engestrom illustrates this proposition with the Vygotskian triangle, in which the "Learner" (subject) examines the object, a "problem" or "phenomenon needing explanation," via instruments, "tools of observation and experimentation, books, other people's explanations, etc." (p.12). The basis of productive learning, he says, is internalization, in which "we gradually loosen ourselves from concrete, external means and switch over to performing actions with the help of abstract concepts" (p.13). In fact, high-quality knowledge results from "continuous two-way movement between concrete details and general principles" (p.14).

Engestrom breaks down learning into different types: conditioning, imitation (p.15), trial-and-error (p.16), investigation (p.17), and expansive learning (p.17). The last is, of course, Engestrom's preferred topic: it represents "third-order learning" in which the learner "questions the validity of tasks and problems posed by the context and begins to transform the context itself" (p.17).

Investigative learning involves exposing contradictions to create a context of criticism (p.24). As in Learning by Expanding, Engestrom here draws on Davydov to describe an integral learning process with moments of motivation, orientation, internalization, externalization, critique, and control (pp.32-33). "An integral learning process also leads back to reality and practice, at a new level," Engestrom adds, neatly explaining the dialectical spiral of learning (p.34). Engestrom also maps Davydov's learning cycle onto the Vygotskian triangle, showing how the steps of the process entail movements among the triangle's elements (here, S=Subject, O=Object, T=Tools):

  1. motivation: S->O
  2. orientation: O->T
  3. internalization: T->S
  4. externalization: S->O
  5. critique: O->T
  6. control: T->S (p.35)
He adds that although this learning may take place within institutions, "communities of investigative learning can be built both in workplaces and in institutionally organized training courses. These communities of investigative learning are typically networks that cross and transcend boundaries between workplaces and training institutions. Such transitional communities rely on a high degree of lateral interaction and communication between relatively autonomous teams" (p.36). 

Engestrom also addresses three types of collaboration: coordination, cooperation, and communication (pp.40-41). This is the same typology he has used elsewhere; n.b., he uses the terms differently from how I use them in my latest book All Edge.

Also on p.41, Engestrom expands the triangle to include learning community, rules, and division of labor. On p.44, he describes a collective zone of proximal development, again demonstrating the expansion of Vygotsky's basic ideas for collective activity. 

Let's stop here. What is really striking about this book is that it beautifully and concisely describes third-generation activity theory in a simple, well illustrated way that can be easily followed by its target audience (in human resources development and personnel training) as well as casual readers. If you're interested in the fundamentals of 3GAT as a learning theory, but you are not sure where to start, this slim guidebook may fit the bill. 

Thursday, June 04, 2015

Reading :: Learning by Expanding, 2ed


Yrjo Engestrom's 1987 book Learning by Expanding is a hugely influential book. Published the same year that he earned his PhD, LBE lucidly described activity theory, applied it to adult education, and expanded it to address a more globalized, networked world. The book was picked up fairly quickly in human-computer interaction research, but also in my field of writing studies, and for the same reason: we were searching for a contextualized, developmental account of cognition that was more socioculturally oriented than information-processing cognitive science, but more structured and cognitively oriented than anthropology.

LBE has been available for some time on the UCSD website, both in HTML and PDF. I inadequately reviewed that version back in 2003. But in late December 2014, Cambridge University Press put out the second edition, making it far easier for scholars to obtain and cite this influential book.

Although this book is the second edition, as Engestrom explains in the Preface, the original text is only lightly revised for style. The major addition is a new introductory chapter that discusses how the theory of expansive learning has been taken up since its publication.

So let's spend some time with that introduction: "Learning by Expanding: Origins, Applications, and Challenges." Here, Engestrom recalls three reasons for writing the book.

The first reason was "in order to formulate a strong alternative to the dominant Cartesian views of cognition and learning that depicted the human mind as if it were a computer, isolated from the cultural context." It was part of the same "groundswell" as everyday cognition, situated action, and cognition in practice (p.xiii). (And that is what made it especially attractive to those of us in writing studies in the early 1990s.)

The second reason, he says, was methodological. Engestrom had "grown up as an activist of the radical student movement [and] was convinced that research needs to be actively involved in making the world better" (p.xiii). So, rather than developing an observational methodology, he wanted to develop an interventionist one. Activity theory, he says, was developed in the USSR in interventionist terms, so it was a strong fit.

The third reason was that AT was a
potent framework for understanding and changing the world. In the Soviet Union, activity theory had a sixty-year history of original insights, groundbreaking research, and severe oppression. In the West, Vygotsky's work was found and promoted from the 1960s on in escalating steps by well-known North American scholars, such as Jerome Bruner (1962) and Michael Cole and Sylvia Scribner (1978). Activity theory, the most important heir and extension of Vygotsky's legacy, was primarily discovered by radical European scholars and students in the 1970s and 1980s mainly through the works of Leont'ev (1978). In the late 1970s the works of Vassily Davydov (1977, 1990) made a strong impression on me, and I was fortunate enough to persuade him to visit Finland in the early 1980s. The first international conference on activity theory was organized in West Berlin in 1986. Learning by Expanding is a fruit of that movement. (p.xiv). 
I've quoted the above at length because it's part of the AT origin story that Engestrom set forth in the original LBE.  He recapitulates that origin story in the next section. According to Engestrom, AT has gone through three generations, which I'll designate as 1GAT, 2GAT, and 3GAT:

1GAT: Centered around Vygotsky's insight into mediation, illustrated in Vygotsky's triangular model of subject, object, and mediating artifact. Inserting a cultural artifact into the subject-object relationship "was revolutionary in that the basic unit of analysis now overcame the split between the Cartesian individual and the untouchable societal structure. ... Objects became cultural entities and the object orientedness of action became the key to understanding human psyche" (p.xiv). Yet the focus was limited to the individual.

2GAT: That limitation was "overcome by the second generation, led and inspired by Leont'ev's work" (p.xiv). Leont'ev "showed how historically evolving division of labor had brought about the crucial differentiation between an individual action and a collective activity" (pp.xiv-xv). Yet, Engestrom says, "the relationship between object-oriented production and communicative exchange beween people remained somewhat unclear in Leont'ev's work" and Vygotsky's triangle diagram was never graphically expanded in this work (p.xv). Beyond that, in the Soviet Union, activity theorists mostly restricted their studies to "play and learning among children" and "Contradictions of activity remained an extremely touchy issue" (p.xv). In the 1970s, he recounts, radical researchers in the West picked up the concept and applied it to other domains, including work, and Ilyenkov's writings on contradictions became incorporated. Yet 2GAT was insensitive to cultural diversity, as Cole pointed out (p.xv).

3GAT: Here, Engestrom drops the human actors in his sentences; you can mentally insert "Engestrom" as the actor in these sentences, since he defined this agenda in LBE.
The third generation of activity theory is developing conceptual tools to understand networks of interacting activity systems, dialogue, and multiple perspectives and voices. In this mode of research, the basic model is expanded to include minimally two interacting activity systems. This move toward networks of activities, while still in an embryonic form, was anticipated in the original text of Learning by Expanding" (p.xv)
He adds that in 3GAT, intersecting activity systems have "partially shared and often fragmented objects" (p.xv) and studying them involves studying subjectivity, embodiment, emotion, and identity (pp.xv-xvi). And
there is a risk that activity theory is split into the study of activity systems, organizations, and history, on the one hand, and subjects, actions, and situations, on the other hand. This is exactly the kind of split the founders of activity theory set out to overcome. To bridge and integrate the two directions, serious theoretical and empirical efforts are needed. (p.xvi)
He sets out such efforts, seeing developmental work research as an agenda of application. Here's his summary of LBE's themes:
The central ideas of this book may be condensed into the following five claims: (1) The object-oriented and artifact-mediated collective activity system is the prime unit of analysis in cultural-historical studies of human conduct; (2) historically evolving inner contradictions are the chief sources of movement, change, and development in activity systems; (3) expansive learning is a historically new type of learning, which emerges as practitioners struggle through developmental transformations in their activity systems, moving across collective zones of proximal development; (4) the dialectical method of ascending from the abstract to the concrete is the key for mastering cycles of expansive learning; and (5) an interventionist research methodology that aims at pushing forward, mediating, recording, and analyzing cycles of expansive learning in activity systems is needed. (p.xvi)
Here, Engestrom discusses how each of these claims has been explored in the time since LBE was published (primarily citing his work and the work of his students). I won't treat these as exhaustively as the above, but I'll pick out some things that are interesting for my own current line of inquiry.

One is that "The theory of expansive learning is a process or phase theory of learning. In other words, it proposes an ideal-typical sequence of learning actions that together make an expansive learning cycle"—but, Engestrom adds, this sequence is not universal or strongly prescriptive (p.xviii).

Another is that "The theory of expansive learning is based on the dialectics of ascending from the abstract to the concrete" (p.xx; cf. Ilyenkov). In the expansive cycle, individual subjects begin by questioning an accepted practice. Through a cycle or spiral of learning, they expand into a "collective movement or institution." This learning spiral involves constructing and resolving "successively evolving contradictions in the activity system" (p.xx). Engestrom cites Davydov's ideal-typical sequence of learning in the classroom:
According to Davydov (2008), an ideal-typical sequence of learning activity consists of the following six learning actions: (1) transforming the conditions of the task in order to reveal the universal relationship of the object under study; (2) modeling the identified relationship in a material, graphic, or literal form; (3) transforming the model of the relationship in order to study its properties in their "pure guise"; (4) constructing a system of particular tasks that are resolved by a general mode; (5) monitoring the performance of the preceding actions; and (6) evaluating the assimilation of the general mode that results from resolving the given learning task. (p.xx-xxi)
Engestrom describes what he sees as a parallel expansive learning cycle:

  1. Questioning
  2. Analyzing
  3. Modeling
  4. Examining the model
  5. Implementing the model
  6. Reflecting on the process and "consolidating its outcomes into a new stable form of practice" (p.xxi)
Large-scale cycles, he says, may contain smaller-scale ones (p.xxii). (I of course thought of Boyd's OODA loop here, although it is not learning so much as adjusting tactically and strategically.)

Under "The Vertical and the Horizontal in Learning and Development," Engestrom discusses the fact that (3G)AT's activity systems are "multi-voiced" and the "horizontal" aspect of the activity is thus dialogical, involving a "discursive search for shared meanings" (p.xxiv). Engestrom cites Bakhtin via Wertsch here. Citing Ritva Engestrom's 1995 argument that Bakhtin's ideas on language parallel Leont'ev's levels of activity, he adds, "One might say that activity theory, and developmental work research as its application, incorporated dialogue and discourse into their foundational repertoires in the 1990s" (p.xxiv). Certainly that's about the time that we in writing studies started putting together AT-genre syntheses. And most likely it could not have been done earlier, in the Soviet Union. 

Engestrom addresses some common critiques of 3GAT. For instance, he acknowledges Bakhurst's critique that AT's triangular models have minimal predictive power and seem developed to address only certain kinds of (well structured) activities; he says that the counterexamples that Bakhurst proffers are not "relatively durable collective activities" (p.xxviii). Bakhurst also critiques the 3GAT understanding of contradictions and says that Ilyenkov would be "dismayed" by this application; but Engestrom argues that Bakhurst doesn't really understand what Ilyenkov means by contradictions (p.xxiv; contra Engestrom, Bakhurst does understand what Ilyenkov is trying to say, he just doesn't find it to be plausible).

Finally, at the end of the introductory chapter, Engestrom addresses the future of the theory. 3GAT faces challenges. For instance, "Activity systems are increasingly interconnected and the combinations of activities keep changing rapidly"; thus Engestrom and collaborators have developed the concept of negotiated knotworking, "involving new tools and rules for rapidly pulsing renegotiation of the object" (p.xxxvi). Another is "runaway objects" or "hyperobjects," "objects so massively distributed in time and space as to transcend localization, such as climate change or pandemics" (p.xxxvi; see also Engestrom 2008). A third concept is "'wildfire activities' and mycorrhizaelike forms of organizing" (p.xxxvi), which are "hybrid and poorly bounded" (p.xxxvii). A fourth is that of polycentric social movements (p.xxxvii). Engestrom suggests that all of these must be investigated next.

So—the above is a summary of just the new introduction to the book. Now we get to the book itself.

In Chapter 1, "The Futility of Learning," Engestrom critiques influential books on learning that are situated within cognitive psychology. Such books focused on helping learners to "cope with the tasks given to them"—and focused on quantitative improvements such as speed and scale (p.2, his emphasis). Instead, Engestrom argues, we should explore expansive learning, "which transcends the context given" (p.4). He argues:
true expansion is always both internal and external, both mental and material. More specifically, I shall argue (a) that expansive processes can indeed be analyzed and modelled; (b) that the gateway to understanding expansion is neither the concept of collective unconscious nor that of perspective but the concept of activity;  (c) that expansive processes are becoming integrated into processes of learning, i.e., that a historically new advanced type of learning - learning by expanding - is currently emerging in various fields of societal practice. (p.7, his emphasis)
This argument is theoretical, but based on data:

  1. "theories and theoretical propositions pertaining to human learning and expansion." (p.11)
    1. "an identification and characterization of the most advanced state of theorizing within the currently dominant paradigm." (p.11)
    2. "I examine and employ certain classical theories which put the problem of the chapter in question into a more penetrating light." (p.12)
    3. "I take up and analyze the ideas of the cultural-historical theory of activity in its modern form." (p.12)
  2. "general historical accounts of the development of human learning and expansion." (p.13)
  3. "accounts of specific historical cases in the development of human learning and expansion" (p.14), including 
    1. literary cases and 
    2. cases from the history of science
Engestrom sets his intention to draw from many different perspectives, respecting the heteroglossia (p.20) while striving to develop a unified theory.


In Chapter 2, "The Emergence of Learning Activity as a Historical Form of Human Learning," Engestrom uses Carl Bereiter's "learning paradox" to illustrate the difference between cognitivism and the cultural-historical approach to psychology. How can a structure generate another structure more complex than itself? How can one learn complexity without an existing structure that embodies that complexity? (pp.25-26). Bereiter briefly considers Vygotsky's answer, in which complexity is situated within the culture rather than the child, but dismisses it because Vygotsky doesn't solve the concept of "internalization" to his satisfaction (p.26). But, Engestrom argues, Bereiter is looking for an explanation of how complex structures are (re)created within the head of the individual; learning is reduced to internalization (p.27). "Is the evolution of learning essentially a story of progressively enlarged capacity for internal individual processing of information?" (p.28). Drawing on Zinchenko, Engestrom argues that to understand learning, we must be able to conceive it within "concrete historical activities with specifiable subjects, objects, and instruments, within specifiable contexts" (p.30).

This argument leads him to discuss 19th-century breakthroughs in philosophy (Hegel), biology (Darwin), and social sciences (Marx):

Two fundamental features are evident in these breakthroughs. First, they meant that organism and environment, man and society, were no more seen as separate entities but as integral systems within which retroactive causality and internal dynamic transitions prevail. Second, these breakthroughs meant that organism and environment, man and society, could no more be understood as stable, unchanging entities but only as something characterized by qualitative transformations requiring a historical perspective. (p.31)
Along these lines, Engestrom set his intention to develop
a viable root model of human activity with the following initial delimitations. First, activity must be pictured  in its simplest, genetically original structural form, as the smallest unit that still preserves the essential unity and quality behind any complex activity. 
Second,  activity must be analyzable in its dynamics and transformations, in its evolution and historical change. No static or eternal models will do. 
Third, activity must be analyzable as a contextual or ecological phenomenon. The models will have to concentrate on systemic relations between the individual and the outside world. 
Fourth, specifically human activity must be analyzable as culturally mediated phenomenon. No dyadic organism-environment models will suffice. This requirement stems already from Hegel's insistence on the culturally mediated, triadic  or triangular structure of human activity. (pp.32-33)

He finds prerequisites in three traditions, all of which put mediation at the forefront: the study of signs (Pierce); intersubjectivity (Mead); and CHAT (Vygotsky) (p.33). Rather than get bogged down in this lengthy discussion, let's fast forward to CHAT, where Engestrom has this interesting critique of Vygotsky:
For me, Wartofsky's secondary artifacts and Vygotsky's psychological tools are essentially the same thing. Vygotsky's intellectualist bias (see Leontiev & Luria 1968, 354-355) led to a somewhat one-sided emphasis on signs and word meanings. The broader category of psychological tools, as well as the exciting relations between technical and psychological tools were not elaborated concretely by Vygotsky. Ironically, the activity-oriented approach in Soviet psychology after Vygotsky tried to get rid of Vygotsky's intellectualism by neglecting the problem of signs and psychological tools in general: "if the polemic with concrete works of Vygotsky on the problem of the sign was necessary and natural, the removal of this problematic - in principle - led only to a substantial 'narrowing' of the theory of activity" (Davydov & Radzikhovskii 1985, 60). In the recent revival of Vygotskian studies, signs may again be treated too much 'on their own', separated from the spectrum of psychological tools and their relations with primary tools. This danger seems to lure even in outstanding analysis, such as that of Wertsch's (1985b) on Vygotsky's concept of semiotic mediation. (p.50)

Engestrom is here referencing the split between Vygotsky and Leontiev when the latter left for Kharkov, the one that Kozulin alleges created later theoretical and methodological problems for 2GAT. According to both of these linked references, the problem was not that Vygotsky emphasized signs too much and Leontiev emphasized them too little; the problem was that they disagreed on what root a Marxist psychology should have. Do we start with signs, as Vygotsky did, focusing on the semiotic characteristics that distinguish us from apes? Or do we start with labor, as Leontiev did, hewing closely to the Engelsian account in which labor made man? Leontiev made the politically smart choice, and won the Lenin Prize. Vygotsky made what he would consider the methodologically smart choice, and faded into obscurity as his books and articles failed to be reprinted. (Later his reputation was revived by Leontiev and Luria.)


The Leontievan account of labor emphasizes tool use, and as Engestrom describes the levels of activity, he bluntly states that "Tools are crystallized operations" (p.54). In fact, tools are one of three categories of mediators in human activity—the others are rules and division of labor—that are missing for animals (pp.59-61). For animal activity, an individual member of the species interacts with others in the population within the natural environment; this configuration is represented by a flat-topped triangle (p.60). For animals evolving into humans, these points are mediated by emerging tool making; emerging collective traditions, rituals, and rules; and emerging division of labor; the population is now a community; and the environment is now not only natural but also artificial (p.61). (This evolutionary account isn't sourced to Leontiev in this text, but it's essentially his account, which is in turn based on Engels'.) After this transitional phase, we get the familiar triangular diagram of activity, with area labels for production, exchange, distribution, and consumption; Engestrom sources these area labels to Marx's Grundisse (p.63).

In fact, it's striking how Engestrom has not only illustrated Leontiev's structure of activity but also developed it using other Marxist components. In addition to drawing the area labels from Grundisse, he draws from Marx and Ilyenkov to supplement the account of contradictions:
The basic internal contradiction of human activity is its dual existence  as the total societal production and  as one specific production among many. This means that any specific production must at the same be independent of and subordinated  to  the total societal production (see Damerow, Furth, Heidtmann & Lefèvre 1980, 240-241). Within the structure of any specific productive activity, the contradiction is renewed as the clash between individual actions and the total activity system. This fundamental contradiction acquires a different historical form in each socio-economic formation. 
The fundamental contradiction arises out of the division of labor. (p.66)
He argues that  "In pre-capitalist socio-economic formations, the basic contradiction, the subordination of individual producers to the total system of production, took the form of immediately visible personal suppression by force,  be it exercised by slave-owners or feudal lords"; but "In capitalism, the contradiction acquires the general form of commodity.  Commodity is an object that possesses value  (i.e., exchange value),  not only and not primarily use value. The value of the commodity is basically determined by the average necessary amount of social labour needed for its production" (p.67). "In capitalism, all things, activities and relations become saturated by the dual nature of commodity - they become commodified. The relation between individual actions and collective activity, between specific productions and the total production, is transformed accordingly" (p.68). And thus "The essential contradiction is the mutual exclusion and simultaneous mutual dependency of use value and exchange value in each commodity. This double nature and inner unrest is characteristic to all the corners of the triangular structure of activity. It penetrates the subject and community corners because labour force itself is a special kind of commodity" (p.69). He cites Leontiev here—Leontiev was of course safe in pointing out the contradictions in capitalism!



Engestrom goes on to discuss four levels of contradictions:
The primary contradiction of activities in capitalist socio-economic formations lives as the inner conflict between exchange value and use value within each corner of the triangle of activity. 
The secondary contradictions are those appearing between the corners. The stiff hierarchical division of labor lagging behind and preventing the possibilities opened by advanced instruments is a typical example. 
The tertiary contradiction appears when representatives of culture (e.g., teachers) introduce the object and motive of a culturally more advanced form of the central activity into the dominant form of the central activity. For example, the primary school pupil goes to school in order to play with his mates (the dominant motive), but the parents and the teacher try to make him study seriously (the culturally more advanced motive). The culturally more advanced object and motive may also be actively sought by the subjects of the central activity themselves. 
The quaternary contradictions require that we take into consideration the essential 'neighbour activities' linked with the central activity which is the original object of our study. (pp.70-71).


Some pages later, Engestrom illustrates the primary contradiction of modern work activity—in capitalism—which, as stated above, is the conflict between use-value and exchange-value at every corner of the activity system (p.90). And he adds:
The increasingly societal nature of work processes, their internal complexity and interconnectedness as well as their massive volumes in capital and capacity, are making it evident that, at least in periods of acute disturbance or intensive change, no one actually quite masters the work activity  as a whole, though the control and planning of the whole is formally in the hands of the management. This creates something that might be called 'grey zones' (Projekt Automation und Qualifikation 1981), areas of vacuum or 'no man's land', where initiative and determined action from practically any level of the corporate hierarchy may have unexpected effects. (p.90)
Later, he argues:
The object of learning activity is the societal productive practice, or the social life-world, in its full diversity and complexity. The productive practice, or the central activity, exists in its presently dominant form as well as in its historically more advanced and earlier, already surpassed forms. Learning activity makes the interaction of these forms, i.e., the historical development of activity systems, its object. 
This object appears to the subject first in the form of discrete tasks, problems and actions. As Michael Cole (1983, 51) notes, "discovery of the goals is essential to true activity". Learning activity (a) analyzes and connects these discrete elements with their systemic activity contexts, (b) transforms  them into contradictions demanding creative solution., and (c) expands and generalizes them into a qualitatively new activity structure within societal productive practice. (p.99)

This brings us to Chapter 3, "The Zone of Proximal Development as the Basic Category of Expansive Research." Here, Engestrom discusses Bateson's double bind (p.113), reinterpreting it within 3GAT:
The distinctive feature of human activity is that it is continuous creation of new instruments that in turn complicate and change qualitatively the very structure of the activity itself.  It is essential that human activity cannot be reduced to the upper sub-triangle of Figure 2.6 alone. Human activity is not only individual production. It is simultaneously and inseparably also social exchange and societal distribution. In other words, human activity always takes place within a community governed by a certain division of labor and by certain rules. (p.114)

 After reviewing work by Leontiev, Harre, Bateson, Raiethel, Wartofsky, and Judin, Engestrom develops an elaborate table describing the hierarchical structure of activity in terms of the points of the 3GAT triangle (p.122). And he returns to the question of the double bind:
A double bind may now be reformulated as a social, societally essential dilemma which cannot be resolved through separate individual actions alone  - but in which joint co-operative actions can push a historically new form of activity  into emergence. (p.131)
He describes Vygotsky's Zone of Proximal Development (pp.134-139), then illustrates it with The Adventures of Huckleberry Finn (pp.139-153) and Seven Brothers (pp.153-167). I found these illustrations less satisfying than the actual cases he uses elsewhere.

In Chapter 4, "The Instruments of Expansion," Engestrom argues that "a new type of 'learning by expanding' is emerging in the current phase of human history. This implies that the transitions mentioned above are becoming potential objects of conscious or intuitive mastery" (p.169). We'll skip past his account of dichotomies in the literature and look at how he characterizes instruments:
In the realm of secondary artifacts, similar types may be tentatively distinguished. Firstly, the continuously changing flow of information, consisting of  specific opinions, news, descriptions, advertisements, etc. may be identified as the rapidly renewed  objects of consumption on the secondary level. 
Secondly, the relatively stable and general representations with which we filter and modulate our daily information flow may be identified as the slowly renewed objects of consumption on the secondary level. 
Thirdly, both above-mentioned types may be turned into objects or raw materials of production, to be molded and transformed into something new. 
Fourthly, sign systems such as gestures, spoken and written language, or mathematical and musical notation may be identified as typical, continuously available instruments of production on the secondary level. (p.185)
and
Expansive thinking requires that relatively stable objects  of consumption and production are transformed into instruments  of production. Cycles of expansion, or zones of proximal development, activate the "complementarity of representational and instrumental aspects" (Otte 1980, 64) of such conceptual objects. The representational concept, as a static and uncritically accepted frame, must be transformed into an instrumental concept, critically reflected, molded and applied, and back to a new representational frame. (p.185)
Engestrom draws on Ilyenkov's account of dialogical logic, filtered through Davydov (pp.190-191). In dialectical logic, the concrete is the interconnected whole, while internal contradictions are at the core of the interconnections (p.193). Again relying on Davydov's interpretation of the source material, Engestrom recounts the method of ascending from the abstract germ cell to the concrete generalization (p.195).

After discussing models, Engestrom argues that there are "four historical types of activity": craft activity, rational activity, humanized activity, and a newly emergent "collectively and expansively mastered activity" (p.224). That is, he provides a brief historical account of transitions between activity types. But how do we understand these transitions? Engestrom nominates dialectics, arguing that
The dialectical method is a method of grasping the essence of the object by reproducing theoretically the logic of its development, of its historical 'becoming'. The dialectical method is thus a historical method. But it is also a unity of the historical and the logical.  The history of the object is purified of its arbitrary details, it is elevated to the level of logical succession from which the details in their full richness may again be derived, now 'with the meaning they have thereby acquired'.
...
 In my analysis, dialectics is the logic of expansion. And expansion is essentially a social and practical process, having to do with collectives of people reconstructing their material practice. (p.242)
But (and?) for understanding sociality, he turns to Bakhtin's dialogism:
The new sociality envisioned here is one of heteroglossia and polyphony, orchestrated and organized around a common object. Borrowing from cognitive science, one could perhaps speak of parallel distributed processing systems. An evolving activity system socially based on such parallel distributed modules could be conceived of as a local or global paradigmatic network  of groups and individuals sharing a common object/motive and common instruments. 
But how would such a social structure differ from the classical idea of a community of scholars, or from an invisible college of related research groups? We get advice from Bakhtin: "the novel must represent all the social and ideological voices of its era, that is, all the era's languages that have any claim of being significant; the novel must be a microcosm of heteroglossia" (Bakhtin 1982, 411). Applied in expansive learning and research, this means that all the conflicting and complementary voices of the various groups and strata in the activity system under scrutiny shall be involved and utilized.  As Bakhtin shows, this definitely includes the voices and non-academic genres of the common people. Thus, instead of the classical argumentation within the single academic speech type, we get clashing fireworks of different speech types and languages. (p.247)
Engestrom doesn't go into how these "clashing fireworks" resolve with the developmentally oriented, Marxist dialectics in the previous section.

In Ch.5, "Toward an Expansive Methodology," Engestrom discusses his cycle of expansive transition.
It traces the generation of socio-culturally new activity systems by collectives of concrete human beings. Here, individually manifested doubt, hesitation and disturbance is the starting point. The direction is from the individual to the societal.  However, the individual point of departure is itself understandable only as a cultural-historical product. (p.252)
Engestrom says that one must delineate the activity system by first gaining preliminary phenomenological insight (p.253): "expansive research is not dealing with activities 'in general' but with real activities realised by identifiable persons in identifiable locations. Delineation is this very act of identifying the personal and geographical locus and limits of the activity. The reason for putting delineation after phenomenology is obvious. Often the locus and limits of activity can be properly defined only after a relatively extensive  'dwelling' in it" (p.254).

Once that is done, the second step is to rigorously analyze the activity system through " (a) the object-historical analysis, (b) the theory-historical analysis, and (c) the actual-empirical analysis" (p.254).

The third steps is to encourage the activity's participants to formulate "qualitatively new models as  genuine keys for resolving the double bind" (p.256). Then
The new instruments can only be implemented in selected strategic tasks. Such tasks represent the points of probable breakthroughs into the qualitatively more advanced form of practice. In carrying out these tasks with the help of the new instruments, the participants of the activity system face intense conflicts between the old and the given new ways of doing and thinking - the tertiary contradiction. (p.261)
Finally, one reports the results.

Engestrom ends the chapter by recentering us on the mission of expansive developmental research:
Expansive developmental research aims at making cycles of expansive transition  collectively mastered  journeys through zones of proximal development. In other words, it aims at furnishing people with tertiary and secondary instruments necessary for the mastery of qualitative transformations of their activity systems. (p.263)
That's it—a book with just five chapters, each of which is lengthy and dense. If you are interested in activity theory, particularly Engestromian activity theory—if you are working in HCI, CSCW, writing studies, or other areas that use activity theory—if you read articles in which people present triangles and call them "activities"—obviously you should (still) read this book.

Wednesday, May 27, 2015

Reading :: Lenin

Lenin: A Biography
By Robert Service


I read this thick (494pp. without notes) biography as part of my quest to better understand the Russian milieu in which activity theory developed. Service has also written biographies of Stalin and Trotsky; the latter was pilloried for multiple errors. The Amazon reviews for the Lenin book are generally positive, but some complain that the book is too full of trivia, speculates too much, and doesn't do enough context-setting to understand Lenin's decisions well; it reduces him to a megalomaniac.

My reading was not so harsh. The book certainly has flaws, but I found a lot to like in it. Some of the details were amusing—for instance, as a baby, young Vladimir "as a baby had short, weak legs and a large head. He kept falling over, apparently because he was top heavy" (p.32). At 10, his favorite book was Harriet Beecher Stowe's antislavery classic Uncle Tom's Cabin (p.43), which deeply impressed him (although later in life, he apparently could not see the parallel to the forced labor camps the Cheka would later set up). As a teen, he became infatuated with Chernyshevski's socialist novel What is to be Done? (p.65), which later furnished the title for one of his own books.

Service notes that Lenin's brother Alexander Ulyanov, as a university student in St. Petersburg, became involved in a plot against the czar and was hanged. This event was a turning point for the family: their climb into the nobility was reversed, their place in society was worsened, and the children had trouble finding their own places at universities. Lenin himself only made it through part of a semester at the University of Kazan before being implicated in demonstrations and expelled. (He later stood for exams after self-study and passed with high marks.)

Through the biography, we follow Lenin as he joins the socialists, gets arrested, is sent to exile in Siberia, marries an activist (in what Service implies is a marriage of convenience), leaves the country, and begins publishing his works.
Through Marx and Engels he 'knew' that the future would bring about a final and wonderful stage in world history. His life had purpose. Lenin clung to a rock of attitudes and assumptions, and on it he was able to construct almost any notions about politics and economics he wanted. Overtly he claimed that Marxism had a readily identifiable logic that permitted development of one single policy for any given situation. But this was pretence. What he really assumed by this was that his own version of Marxism was the sole authentic one. (p.237)
As Service tells it, Lenin was sure not that he was on the right side of history, but that history was on his side. Both in exile and after the Revolution, he was an inveterate splitter, inciting schisms within the Party; when people across the aisle disagreed with him on minor matters, he vilified them as being no better than capitalists and imperialists.

He was also indefatigable. For instance, when things went bad for the Bolsheviks after the February Revolution, he had to flee to the countryside and live with Zinoviev in a wooden hut in a hayfield. There, he resumed his work on Marxist political theory, The State and Revolution, which would eventually be published after the October Revolution.

One continual theme in Lenin's books and speeches was that the world was on the brink of a socialist revolution, and indeed one would have to happen if the Soviet experiment were to survive (cf. pp.315-316, 396). But this belief was not shared by others in the Bolshevik leadership, such as Kamanev and Zinoviev (p.304).

The way Service tells it, Lenin was inconsistent in his philosophy and arguments, an inveterate splitter, an absolutist, someone who was animated by hatred of the aristocracy even though he was accustomed to the benefits of being near it. Lenin lived out the end of his life, Service says, being shut out of Party leadership; the Party even considered printing up dummy issues of the party newspaper with Lenin's contributions so he wouldn't know that these contributions were not accepted (p.472). But the cult of Lenin was strong enough that, once he passed away, Stalin swiftly positioned himself as its high priest.

Should you read this book? I found it helpful, but I agree with the Amazon commenters who complain about its sometimes narrow focus. Still, if you're looking for an introductory biography, check it out.

Reading :: Dialectical Logic (second reading)

Dialectical Logic
By Evald Ilyenkov


The last time I reviewed this book, in 2005, a new copy was only available on marxists.org. But now the print version (Creative Commons license, of course) is available from the Marx-Engels-Lenin Institute (you have to buy it via PayPal) as well as through Amazon. Insert ironic commentary here. I am not a fan of the amateurish page layout and typography, but the book is readable, sturdy enough, and more convenient than reading the text in pieces on marxists.org.

Reading the book ten years later, I have a better background for understanding it. I've read Marx and Engels more extensively, I've read Lenin, and I've read Bakhurst's survey of Ilyenkov and his Soviet philosophical milieu. And I am more aware of the author's constraints as a philosopher in a country in which philosophy was largely reduced to Marxist-Leninist orthodoxy, a country that had just recently emerged from Stalinism. Let's see if these new experiences get us somewhere different in terms of this second review.

From the first page, Ilyenkov seeks cover for his project from Lenin, from whom he also borrows his polemics:
The task, bequeathed to us by Lenin, of creating a Logic (with a capital ‘L’), i.e. of a systematically developed exposition of dialectics understood as the logic and theory of knowledge of modern materialism, has become particularly acute today. The clearly marked dialectical character of the problems arising in every sphere of social life and scientific knowledge is making it more and more clear that only Marxist-Leninist dialectics has the capacity to be the method of scientific understanding and practical activity, and of actively helping scientists in their theoretical comprehension of experimental and factual data and in solving the problems they meet in the course of research. (p.1)
Dialectical logic, he says, paraphrasing Engels, is the science of development of all things, material and spiritual (pp.2-3). In the first part of the book, he sets off to trace the development of dialectical logic through Spinoza (Ch.2), Kant (Ch.3), Fichte (Ch.4), Schelling (Ch.5), Hegel (Ch.6), and Feuerbach (Ch.7).

From Spinoza, he advances the propositions that (a) nature itself thinks through man (p.18) and "thinking is not the product of an action but the action itself" (p.19).

From Fichte, he lifts the insight that "either the principle of contradiction was absolute (but then no synthesis was possible in general, not uniting of different determinations) or there was development and a synthesis of the determinations of concepts (and they did not conform to the absolute requirements of the principle of contradiction)" (p.75)—that is, we can understand contradiction as possible because of development.

From Schelling, he continues this line of thought: activity is always open-ended; fixed, it ceases to be activity (p.78). He also endorses Schelling's idea that in two phases of a dynamic process, the two "objects" appear mutually contradictory even though they are actually the same, one developed more than the other (p.89). This argument becomes key later in the book. Alas, he says, "Schelling confirmed dialectics as the genuine theory of scientific knowledge, but then broke all its links with logic" (p.94).

In the second half of the book, Ilyenkov discusses problems of Marxist dialectics. One such problem is that of the ideal, which is more or less recapitulated from The Dialectics of the Abstract and the Concrete in Marx's Capital:
The ideal existed immediately only as the form (mode, image) of the activity of social man (i.e. of a quite objective, material being), directed to the external world. When, therefore, we spoke of the material system, of which the ideal was the function and mode of existence, that system was only social man in unity with the objective world through which he exercised his specifically human life activity. The ideal thus did not boil down to the state of matter found in the cranium of the individual, i.e. the brain. It was the special function of man as the subject of social labour activity, accomplished in forms created by preceding development. (p.152)
Notice the familiar Marx-Engels origin story of man as self-made through social labor. This story is developed further in this book:
The ideal is therefore nothing else than the form of things, but existing outside things, namely in man, in the form of his active practice, i.e. it is the socially determined form of the human being’s activity. In nature itself, including the nature of man as a biological creature, the ideal does not exist. As regards the natural, material organisation of the human body it has the same external character as it does in regard to the material in which it is realised and objectified in the form of a sensuously perceived thing. Thus the form of a jar growing under the hands of a potter does not form part either of the piece of clay or of the inborn, anatomical, physiological organisation of the body of the individual functioning as potter. Only insofar as man trains and exercises the organs of his body on objects created by man for man does he become the bearer of the active forms of social man’s activity that create the corresponding objects. 
It is clear that the ideal, i.e. the active form of social man’s activity, is immediately embodied, or as it is now fashionable to say, is ‘coded’, in the form of the neuro-cerebral structures of the cortex of the brain, i.e. quite materially. But the material being of the ideal is not itself ideal but only the form of its expression in the organic body of the individual. In itself the ideal is the socially determined form of man’s life activity corresponding to the form of its object and product. To try and explain the ideal from the anatomical and physiological properties of the body of the brain is the same unfruitful whim as to try and explain the money form of the product of labour by the physico-chemical features of gold. Materialism in this case does not consist at all in identifying the ideal with the material processes taking place in the head. Materialism is expressed here in understanding that the ideal, as a socially determined form of the activity of man creating an object in one form or another, is engendered and exists not in the head but with the help of the head in the real objective activity (activity on things) of man as the active agent of social production. (pp.154-155)
Here we get an argument that is familiar to, or at least amenable to, activity theorists. In activity theory, the activity is the unit of analysis because it is the smallest meaningful unit. Here, Ilyenkov similarly argues that the ideal exists only in a unit of activity. Even traits that are encoded in the cortex—for instance, the speech center of the brain—emerge from and make sense only within human social activity. Indeed, "determination of the ideal is especially dialectical" (p.156): it exists only in the cyclic movement from thing to deed to word to deed to thing (p.157). As Ilyenkov says later in the chapter:
the ideal as a form of human activity exists only in that activity, and not in its results, because the activity is a constant, continuing negation of the existing, sensuously perceived forms of things, is their change and sublation into new forms, taking place in accordance with general patterns expressed in ideal forms. When an object has been created society’s need for it is satisfied; the activity has petered out in its product, and the ideal itself has died. (pp.162-163, his emphasis)
In Ch.10, Ilyenkov affirms with all Marxists that contradiction is the real nucleus of dialectics (p.189). "Dialectics as logic is the means of resolving these contradictions" (p.190).

Readers, I confess that I am often bored by philosophical discussions, so I found this book to be a tough read in the sense of keeping interested in the discussion. But I also found it to be a tough read for other reasons. First, the polemic tone wore on me; I think Ilyenkov was imitating Lenin here, and perhaps the style worked better for the Soviet milieu than it does for me. Second, the argument seemed stretched at points. Bakhurst does a good job of discussing the leaps involved, particularly the claim that logical contradictions simply don't take account of development. But I'm less interested in the question of whether the claim makes sense and more interested in what Ilyenkov thought it did for logic, which was to differentiate dialectical logic as a superior account to that of formal logic due to its commitment to materialism and its attention to development.

Beyond that, I was interested in how Ilyenkov's account laid some of the foundations for Engestrom's later work. I intend to review the 20th anniversary version of Learning by Expanding soon, so this review was useful. If you have also been influenced by Engestrom's work, definitely check this book out.

Reading :: The Dialectics of the Abstract and the Concrete in Marx's Capital (second reading)

The Dialectics of the Abstract and the Concrete in Marx's Capital
By Evald Ilyenkov

This is my second review of Ilyenkov's 1960 book. My first review was 10 years ago, written as I was doing research for Network, but for my current project on the history of activity theory, I wanted to reread Ilyenkov's major books in context. Of course, you can never get eough context. I reread this book about six months ago, and have been trying to catch up with some of its influences (such as Lenin) and history since then, as well as commentary on Ilyenkov's works. So this review is influenced by those readings and specifically interested in how Ilyenkov was trying to solve problems that also cropped up in relation to activity theory's development.

Ilyenkov is interested in the abstract and the concrete. Why are abstract concepts considered different from concrete ones (p.13)? He reviews the history of the separation, from "logical treatises of medieval scholarship" (p.13) through Berkeley and Hume, Locke, Hobbes, Helvetius (p.16), Spinoza (p.17), Kant (p.24), Hegel (p.25), Mill (p.28), to Marx (p.32 et passim):
Marx defines the concrete as ‘the unity of diverse aspects. This definition may appear paradoxical from the standpoint of traditional formal logic: the reduction of the sensually given diversity to unity appears at first sight to be the task of abstract knowledge of things rather than of concrete one. From the point of view of this logic, to realise unity in the sensually perceived diversity of phenomena means to reveal the abstractly general, identical elements that all of these phenomena possess. This abstract unity, recorded in consciousness by means of a general term, appears at first sight to be that very ‘unity’ which is the only thing to be treated in logic. (p.32)
Ilyenkov explains that this definition makes sense dialectically:
When Marx defines the concrete as unity of diverse aspects, he assumes a dialectical interpretation of unity, diversity, and of their relationship. In dialectics, unity is interpreted first and foremost as connection, as interconnection and interaction of different phenomena within a certain system or agglomeration, and not as abstract likeness of these phenomena. Marx’s definition assumes exactly this dialectical meaning of the term ‘unity’. 
If one unfolds somewhat Marx’s aphoristically laconic formula, his definition of the concrete means literally the following: the concrete, concreteness, are first of all synonyms of the real links between phenomena, of concatenation and interaction of all aspects and moments of the object given to man in a notion. The concrete is thereby interpreted as an internally divided totality of various forms of existence of the object, a unique combination of which is characteristic of the given object only. Unity thus conceived is realised not through similarity of phenomena to each other but, on the contrary, through their difference and opposition. (pp.32-33)
That is, concreteness is defined through relations: the links rather than the node. Unity emerges from difference and opposition, which yield a unique combination (p.33). And this unity is not subjective:
The most important aspect of Marx’s definition of the concrete is that the concrete is treated first of all as an objective characteristic of a thing considered quite independently from any evolutions that may take place in the cognising subject. The object is concrete by and in itself, independent from its being conceived by thought or perceived by sense organs. Concreteness is not created in the process of reflection of the object by the subject either at the sensual stage of reflection or at the rational-logical one. (p.33)
Similarly, the abstract in Marx is not purely ideal, it's an objective characteristic. For instance, Marx calls gold the "material being of abstract wealth"; that doesn't make gold ideal, it simply describes gold's function within the capitalist formation (p.34). Ilyenkov argues:
‘The abstract’ in this kind of context, very frequent in Marx, assumes the meaning of the ‘simple’, undeveloped, one-sided, fragmentary, ‘pure’ (i.e., uncomplicated) by any deforming influences). It goes without saying that ‘the abstract’ in this sense can be an objective characteristic of real phenomena, and not only of phenomena of consciousness. (p.34).
Thus, Ilyenkov quotes Marx as saying, the abstract is a category of dialectics (p.35). It's not (necessarily) idealist, but rather something one can study materially. In fact, Ilyenkov suggests, we must: the concrete in thinking is a synthesis of numerous definitions, and it is realized in thinking through the abstract (p.37).

Indeed, he continues in the next chapter, for Marx and Engels,
definitions of concepts are nothing but definitions of different elements of the actual concreteness, that is, of the law-governed organisation of a system of relations of man to man and of man to things. Scientific study of this concrete reality must yield ‘abstract’ definitions of concepts expressing its structure, its organisation. Each abstract definition of the concept must express a discrete element that is actually (objectively) singled out in the concrete reality. The solution is very simple at first sight, yet it cuts it a stroke the Gordian knot of problems that idealist philosophy has so far been unable to unravel. (p.55)
 The idealist, mystical reading of the abstract is incorrect:
Marx uncovered this mystification by showing the reality of ‘the concrete’ as a whole system of interacting things, developing and resulting from development, as a whole divided in accordance with some law, rather than as an individual isolated thing. Given this interpretation, any shade of mystification disappears. 
The concrete (and not the abstract) – as reality taken as a whole in its development, in its law-governed division – is always something primary with respect to the abstract (whether this abstract should be construed as a separate relatively isolated moment of reality or its mental verbally recorded reflection). At the same time any concreteness exists only through its own discrete elements (things, relations) as their specific combination, synthesis, unity. (p.58)
Using this distinction, Ilyenkov later attempts a Marxist definition of man, grounded in Marxism's founding myth of mankind:
Nature as such creates absolutely nothing ‘human’. Man with all his specifically human features is from beginning to end the result and product of his own labour. Even walking straight, which appears at first sight man’s natural, anatomically innate trait, is in actual fact a result of educating the child within an established society: a child isolated from society Ă  la Mowgli (and such cases are numerous) prefers to run on all fours, and it takes a lot of effort to break him of the habit. 
In other words, only those features, properties, and peculiarities of the individual that are ultimately products of social labour, are specifically human. Of course, it is mother nature that provides the anatonomic and physiological prerequisites. However, the specifically human form which they ultimately assume is the product of labour, and it can only be comprehended or deduced from labour. Conversely, all those properties of man that are not a product of labour, do not belong to the features expressing man’s essence (e.g., soft lobes of the ear, although they are a ‘specific feature’ of man and not of any other living being). (pp.71-72, my emphasis)
As I've noted elsewhere, this founding myth valorizes labor as what makes us human. Solzhenitsyn noted one of the moral problems with this account. But in this passage Ilyenkov even notes distinguishing physiological characteristics of humans and disallows them as markers of humanity, since they do not express the human essence as products of social labor. Now think through the implications for class (do the upper bourgeoise labor?) and contribution (do the severely disabled labor?).

In any case, Ilyenkov goes on to argue that
In other words, all those features the sum of which makes up the much talked-of essence of man, are results and products (ultimate ones, of course) of socio-human labour activity. Man does not owe them to nature as such, still less to a supernatural force, whether it be called God or by some other name (e.g., the Idea). He owes them only to himself and the labour of previous generations. This is even more true of the more complex forms of human activity, both sensual and objective (material) and spiritual, than of straight walking. 
Mankind’s culture accumulated throughout history appears to a modern individual as something primary, determining his individual human activity. From the scientific (materialist) point of view the individual, the human personality should therefore be regarded as a unitary embodiment of universal human culture, both material and spiritual. This culture is naturally realised in the individual in a more or less one-sided and incomplete manner. The extent to which an individual can make the riches of culture into his property does not depend on him alone; to a much greater degree it depends on society and on the mode of division of labour characteristic of society. 
Actual assimilation of some area of culture or other, some form of human activity or other, means assimilating it to such an extent as to be able to develop it further in an independent, individual, and creative manner. Nothing can be assimilated through passive contemplation – that is like building castles in the air. Assimilation without active practice yields no results. That is why the form of assimilating universal human culture by the individual is determined by the form of the division of labour. Of course, there is one-sidedness and one-sidedness. The principal achievement of Marx and Engels in the solution of this problem was their careful and concrete study of the contradictions of the bourgeois division of labour. (pp.72-73)
That is, the essence of man is the product of sociohuman labor activity and thus owed to past generations (not God). The human personality is the unitary embodiment of universal human culture. The assimilation of a specific culture or activity happens not through contemplation but through the division of labor. Contra Feuerbach:
According to the logic of Marx and Engels, a concrete theoretical conception of man, a concrete expression of the essence of man could only be formed in the diametrically opposite way, through considering exactly those differences and oppositions (class, professional, and individual) which Feuerbach ignores. The essence of man is real only as a well-developed and articulated system of abilities, as a complex system of the division of labour which, in accordance with its needs, moulds the individuals – mathematicians, philosophers, entrepreneurs, bankers, servants, etc. 
In other words, a theoretical definition of the essence of man can only consist in revealing the necessity which gives rise to and develops all the multiform manifestations and modes of socio-human activity. (pp.73-74)
 Ilyenkov immediately appeals to Engels' account of how humans arose from animals:
 Man, as is well-known, becomes separated from the animal world when he begins to work using implements of labour which he himself created. Production of labour implements is exactly the first and in time, logically and historically) form of human life-activity, of human existence.  
Thus the real universal basis of everything that is human in man is production of instruments of production. It is from this basis that other diverse qualities of the human being developed, including consciousness and will, speech and thinking, erect walk and all the rest of it. 
If one were to attempt a universal definition of man in general, a short definition of the concept, it would sound like this: ‘man is a being producing implements of labour’. That will be a characteristic example of a concrete universal definition of a concept.
The production of labor implements is the "simplest, elementary form of man's human being," realized in individual acts (p.75). Yet "the social act of the production of labor implements" has internal contradictions, resulting in "speech, will, thought, artistic feeling, and further, class division of the collective, emergence of law, politics, art, philosophy, state, etc." (p.75). Here, the universal is not opposed to the particular and individual; the unity of universal, particular, and individual are opposed to other unities in the same concrete, historically developed system. That is, the object has internal relations in its aspects (p.75).

Let's skip a bit. In Ch.2, Ilyenkov discusses the "spiral-like character of development of reality and its theoretical reflection" (p.114). Quoting Marx, he argues that the circular nature of interaction is a universal law of dialectics: a "spiral-like" development of systems of interacting phenomena (p.116), a system of mutually conditioning aspects (p.117). Ilyenkov's discussion of this point leads to Ch.3, "Ascent from the Abstract to the Concrete," in which he argues with Marx that one should begin with abstract definitions, then reproduce the concrete by way of thinking (p.135). In this approach, analysis and synthesis are interwoven (p.141). Concreteness, he says later, is linked with dialectical development: "self-development through contradictions" (p.155); longtime readers of this blog will recognize a theme that third-generation activity theorists in particular make a central tenet.

Later in the chapter, Ilyenkov quotes Engels in Dialectics of Nature to demonstrate the movement from the abstract to the concrete in Carnot; see my previous review for more on this aspect of Ilyenkov.

In Ch.4, "Logical Development and Concrete Historicism," Ilyeknov describes logical development as an expression of concrete historicism in investigation: "a historically posterior result arising from the entire preceding development does not remain merely a passive result, merely a consequence. Each newly arisen (higher) form of interaction becomes a now universal principle dominating all historically preceding forms, transforming them into secondary external forms of its specific development, into ‘organs of its body’, as Marx put it in connection with one instance of this kind. They begin to move according to laws characteristic of the new system of interaction in which they now function" (p.209). That is, the system is a developmental spiral in which one level of development becomes the new normal, setting the stage for the next:
In this case, too, development takes the spiral-like form which we analysed in the first part of the work as a most characteristic feature of internal interaction, of concreteness in the genuine sense of the concept. 
The necessarily assumed condition of historical emergence of the object becomes in this case the necessarily posited consequence of its specific development. 
In this form, the historically necessary conditions of the emergence of the object are preserved in its structure throughout its development, its specific movement. All those moments which, though present at the birth of the new form of development, were not absolutely necessary conditions of this birth, are not, in the final analysis, preserved or reproduced. These forms are not observed at the higher stages of development of the object – they disappear in the course of its historical maturing, becoming lost in the darkness of the past. 
For this reason, a logical consideration of the higher stage of development of an object, of an already developed system of interaction, reveals a picture in which all the really necessary conditions of its emergence and evolution are retained and all the more or less accidental, purely historical conditions of its emergence are absent. (p.210, his emphasis)
One can see why he asserts in the next section that "A concrete understanding of reality cannot be attained without a historical approach to it. The reverse is also true – historicism devoid of concreteness is pure fiction, pseudohistoricism" (p.212). The latter leads to attempting to trace every preceding condition, which he terms "bad infinity" (p.213). (I just want to go on record as suggesting "Bad Infinity" as a great book title.)

On to the next and last chapter, "The Method of Ascent from the Abstract to the Concrete in Marx’s Capital." Here, he discusses the dialectical understanding of contradiction as opposed to the logical understanding, a topic that he undertakes in more detail in his later book Dialectical Logic. (Bakhurst argues that Ilyenkov's argument is weak here, if memory serves, although that part of the book didn't make it into my review.) Here, Ilyenkov argues that while logical contradictions are disallowed,
Dialectics proceeds from a diametrically opposite view. Its solution of the problem is based first of all on the assumption that the objective world itself, the objective reality is a living system unfolding through emergence and resolutions of its internal contradictions. The dialectical method, dialectical logic demand that, far from fearing contradictions in the theoretical definition of the object, one must search for these contradictions in a goal-directed manner and record them precisely – to find their rational resolution, of course, not to pile up mountains of antimonies and paradoxes in theoretical definitions of things. 
The only way of attaining a rational resolution of contradictions in theoretical definition is through tracing the mode in which they are resolved in the movement of the objective reality, the movement and development of the world of things ‘in themselves’. (p.244, his emphasis)
So, rather than being disallowed, in dialectics we can see "Contradiction as a Principle of Development of Theory" (which is the title of the last section in this chapter). He argues:
Dialectics consists exactly in the ability to discern the inner contradiction of a thing, the stimulus of its self-development, where, the metaphysician sees only an external contradiction resulting from a more or less accidental collision of two internally non-contradictory things. 
Dialectics requires in this case that external contradiction of two things be interpreted as a mutually necessary manifestation of the inner contradiction of each of them. The external contradiction emerges as an inner identity of mutually exclusive moments mediated through a relation to something else and reflected through something else, as an internally contradictory relation of a thing to itself, that is, as a contradiction in one relation and at one and the same moment in time. Marx proceeds from an external manifestation of a contradiction to establishing the inner basis of this contradiction, from the appearance to the essence of this contradiction, whereas the metaphysician always tries to act in a precisely reverse manner, refuting the theoretical expression of the essence of a thing from the standpoint of external appearance, which he believes to be the only reality. (p.266)
For Ilyenkov, inner contradictions are crucial for understanding development. Interestingly, he argues that "external contradiction of two things be interpreted as a mutually necessary manifestation of the inner contradiction of each of them"—that is, external contradictions are important for development primarily because they exacerbate inner ones. Although Ilyenkov became crucial to Engestrom's third-generation understanding of activity theory, 3GAT focuses on interactions between activity systems and provides a fourfold typology of contradictions, including those between activity systems. It's a bit startling to read that external contradictions spark development primarily by exacerbating internal ones, and I'm not sure that I want to follow Ilyenkov here.

In any case, this book was even more thought-provoking the second time around. I'm glad I read it, and I'm also glad I took the time to read some of the other background around it. If you're interested in activity theory, contradictions, or Soviet philosophy, check it out.