Table Of ContentSpringer Series in Synergetics
Editor: Hermann Haken
Synergetics, an interdisciplinary field of research, is concerned with the cooper
ation of individual parts of a system that produces macroscopic spatial, temporal
or functional structures. It deals with deterministic as well as stochastic processes.
Volume I Synergetics An Introduction 3rd Edition
By H. Haken
Volume 2 Synergetics A Workshop Editor: H. Haken
Volume 3 Synergetics Far from Equilibrium Editors: A Pacault and C. Vidal
Volume 4 Structural Stability in Physics Editors: W Giittinger and H. Eikemeier
Volume 5 Pattern Formation by Dynamic Systems and Pattern Recognition
Editor: H. Haken
Volume 6 Dynamics of Synergetic Systems Editor: H. Haken
Volume 7 Problems of Biological Physics By L. A Blumenfeld
Volume 8 Stochastic Nonlinear Systems in Physics, Chemistry, and Biology
Editors: L. Arnold and R Lefever
Volume 9 Numerical Methods in the Study of Critical Phenomena
Editors: J. Della Dora, 1. Demongeot, and B. Lacolle
Volume 10 The Kinetic Theory of Electromagnetic Processes By Yu. L. Klimontovich
Volume II Chaos and Order in Nature Editor: H. Haken
Volume 12 Nonlinear Phenomena in Chemical Dynamics Editors: C. Vidal and A Pacault
Volume 13 Handbook of Stochastic Methods for Physics, Chemistry and the Natural Sciences
By C. W Gardiner
Volume 14 Concepts and Models of a Quantitative Sociology
The Dynamics of Interacting Populations By W Weidlich and G. Haag
Volume 15 Noise-Induced Transitions Theory and Applications in Physics, Chemistry,
and Biology By W Horsthemke and R Lefever
Volume 16 Physics of Bioenergetic Processes By L. A Blumenfeld
Volume 17 Evolution of Order and Chaos in Physics, Chemistry, and Biology
Editor: H. Haken
Volume 18 The Fokker-Planck Equation By H. Risken
Volume 19 Chemical Oscillations, Waves, and Tnrbulence By Y Kuramoto
Volume 20 Advanced Synergetics By H. Haken
Volume 21 Stochastic Phenomena and Chaotic Behaviour in Complex Systems
Editor: P. Schuster
Volume 22 Synergetics - From Microscopic to Macroscopic Order Editor: E. Frehland
Volume 23 Synergetics of the Brain Editors: E. Ba~ar, H. Flohr, H. Hat:en, and A 1. Mandell
Volume 24 Chaos and Statistical Methods Editor: Y. Kuramoto
Volume 25 Dynamics of Hierarchical Systems By J. S. Nicolis
Volume 26 Self-Organization and Management of Social Systems
Editors: H. Ulrich and G. 1. B. Probst
Self-Organization and
Management
of Social Systems
Insights, Promises, Doubts, and Questions
Editors:
H. Ulrich and G.1. B. Probst
With 30 Figures
Springer-Verlag
Berlin Heidelberg New York Tokyo 1984
Professor Dr. Hans Ulrich
Dr. Gilbert 1. B. Probst
Institut fUr Betriebswirtschaft, Hochschule fUr Wirtschafts-und Sozialwissenschaften
CH-9000 st. Gallen, Switzerland
Series Editor:
Professor Dr. Dr. h. c. Hermann Haken
Institut fUr Theoretische Physik der Universitiit Stuttgart, Pfaffenwaldring 57/IV,
D-7000 Stuttgart 80, Fed. Rep. of Germany
ISBN-13: 978-3-642-69764-7 e-ISBN-13: 978-3-642-69762-3
DOl: 10.1007/978-3-642-69762-3
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© by Springer-Verlag Berlin Heidelberg 1984
Softcover reprint of the hardcover 1st edition 1984
The use of registered names, trademarks, etc. in this publication does not imply, even in the absence of a
specific statement, that such names are exempt from the relevant protective laws and regiilations and
therefore free for general use.
2153/3130-543210
Foreword
Self-organization of systems belonging to quite different discipl ines has been a
central topic of synergetics since its beginning. I am therefore particularly plea
sed that Hans Ulrich and Gilbert Probst have not only undertaken to organize an
interdisciplinary meeting on Self-Organization and Management of Social Systems,
but have also edited these articles written by leading scientists after and based
upon that symposium.
While the previous volumes of the Springer Series in Synergetics were mainly de
voted to physical, chemical and biological systems, with only the book by W. Weidlich
and G. Haag deal i ng with "Quant i tat i ve Soc i 01 ogy" (Spri nger Ser. Syn., Vo 1. 14), the
present volume opens a new perspective.
As the reader will notice, the multitude of facets of self-organization is well
reflected by various authors belonging to different discipl ines and representing
different schools of thought. When such a wide scope of fields - ranging from phy
sics to sociology - is covered, it is not surprising that the existence of a
"hiatus" between sociology and the natural sciences was felt by some participants.
But in contrast to their opinion, I do not believe that this is caused by a differ
ent complexity of the systems. The brain of higher animals (not to mention the
human brain) is, in my opinion, at least as complex as a social system, but it can
be considered as an object of study by the natural sciences. I rather believe that
the "hiatus" is caused by the fact alluded to on various occasions at this meeting,
that in sociology the researcher becomes part of the system. Or, more generally
speaking, that we are incl ined to make a fundamental difference between "human"
and other sytems from the very beginning. Certainly there are ethical, moral and
other aspects of social systems which are not shared by any other system. Yet it is
my deep conviction that at a sufficiently high level of abstraction, sociological
processes can be 'subsumed under principles of general val idity in the animate and
inanimate world, not because of superficial analogies between, say, a physical
system and a sociological system, but because of deep-rooted structural laws.
But I do not want to induce any bias in the reader - who is himself a self
organiz ing system. I rather hope that he will be fascinated - as the participants
of this symposium were - by the many intriguing aspects of this interdisciplinary
endeavour, and I wish to congratulate the editors of this volume, which represents
an important contribution to the discussion between sociology and the natural
sc i ences.
Hermann Haken
Preface
This book is about mechanisms of control in its broadest sense, especially the abi
lity of systems to maintain identity and autonomy and to keep their relevant variab
les within "physiological" limits. The authors try to answer questions such as
what orderedness of a system is based on, how this orderedness has arisen, how it
can be maintained and altered and further developed. Self-organization is a main
phenomenon in systems maintaining their identity and autonomy. Research results and
epistemological consequences of these results are presented and discussed. Heinz
von Foerster, a pioneer of cybernetic research and bio-engineering, Francisco Vare
la, a biologist and founder of autopoiesis and self-referential processes, Hermann
Haken, physicist, the "father" of laser theory and synergetics, Rupert Riedl, zoo
logist and marine biologist and one of the main representatives of an evolutionary
epistemology, and Peter Hejl (sociologist), Hans Ulrich, Fredmund Mal ik, Gilbert
Probst (management scientists) and Peter Dachler (psychologist), all give inter
esting and new insights and ask nagging questions concerning principles of self
organizat ion.
But the book also is about management of social systems and the importance and
consequence a phenomenon such as self-organization has for management. In many of
the current textbooks, management is defined as a list of individually performed
functions, like planning, decision making, organizing, leadership and control. The
point of departure of such a view is usually the individual manager, and the cen
tral focus is to investigate how the manager plans or takes decisions and how he
should perform these functions for greater organizational effectiveness. We believe,
however, that such an analytical and individualistic approach is unsuitable for
an understanding of the true character and meaning of management, particularly with
respect to managing complex social systems. The particular activities of a manager
become meaningful only if they are studied in a broader context. These individually
performed management functions have to be seen as activities whose meaning and im
pact can only be understood within the comprehensive social system of which the
performing manager is a part. These systems which we define as purposeful social
systems are creations of human society. Members of this class of purposeful social sys
tems are not just business enterprises, but also schools, hospitals, government
organizations, churches, various social associations, etc. In our context we can
understand these institutions as systems which do not come into existence natural
ly, that is without human intentions and actions, but which are products of human
civilization. Although a part of society, they have to be able to act as an autono
mous entity. However, the ability for the system to act presupposes that it is the
individual members who act in determining the system's form, processes and outcomes,
that is the system's actions.
Although social systems do not come into existence naturally, they are often the
result of human action but not of human design or intent (see Friedrich von Hayek).
Self-organization is a phenomenon that can be observed in physical, biological and
in social systems.
The various contributions contained in this volume were written after an inter
disciplinary research colloquium which took place at the University of St. Gall,
Switzerland, called 1st "St. Galler on Management and Self-
Forschungsgespr~che"
VII
Organization in Social Systems (14-16th September 1983). The authors have attempted
not only to state their pre-colloquium positions but also to incorporate insights
gained during the intensive discussions that characterized the colloquium. A few
basic convictions were shared by all participants, irrespective of their research
interests: the insight that interdisciplinary collaboration should not only be
called for but also be realized through one's own efforts; the conviction that the
phenomenon of self-organization is of central importance for many areas of know
ledge; and the common interest in questions of epistemology and research strategy
which result from recently acquired knowledge in many disciplines. If such an un
usual discussion across the boundaries of individual sciences was possible, then
this is mainly due to the will ingness of the authors of this book, despite their
considerable geographical distance from St. Gall and manifold other obligations,
to take part in an intensive colloquium in a small group, and, in addition, to find
the time to put their ideas down in writing. Our thanks go also to the Rectorate of
the St. Gall Graduate School, especially to Prorector J. Anderegg, whose initia
tive and energy were central to the creation of the kind of framework without
which this type of interdisciplinary exchange of ideas is impossible.
St. Gall, July 1984 Hans Ulrich and Gilbert J. B. Probst
VIII
Contents
Pqrt I Principles of Self-Organi zation in Physical, Biological, and
Social Systems
Principles of Self-Organization - In a Socio-Managerial Context
By H. von Foerster (With 10 Figures) ..•.•.•..•.•..•.••.••..•...•••..•...• 2
. Two Priciples for Self-Organization. By. F.J. Varela 25
Can Synergetics Be of Use to Management Theory? By H. Haken (With 8 Figures) 33
Self-Organization: Some Theoretical Cross-Connections. By R. Riedl 38
Towards a Theory of Social Systems: Self-Organization and Self-Maintenance,
Self-Reference and Syn-Reference. By P.M. Hejl ....•...•.••.•.•....••..•... 60
Part II Self-Organization and Management
• Management - A Misunderstood Societal Function
By H. Ulrich (With 2 Figures) •••.•••...•.•..••..•.•••.•.....•••...••..... 80
Systems Thinking in Management: The Development of Soft Systems Methodol
ogy and Its Implications for Social Science.
By P.B. Checkland (With 5 Figures) •.•..••••..•••.••••....•..•••...••...•• 94
Evolutionary Management. By F. Malik and G.J.B. Probst .•.•••..••...••.••••• 105
Systems Approach to Management: Hopes, Promises, Doubts - A Lot of
• Questions and Some Afterthoughts. By F. Malik (With 4 Figures) 121
Cybernetic Principles for the Design, Control, and Development of Social
Systems and Some Afterthoughts. By G.J.B. Probst •.•..•.•.•••••..•••.•.•.• 127
Some Explanatory Boundaries of Organismic Analogies for the Understanding
of Social Systems. By P. Dachler (With 1 Figure~ ••••••...•....•.•..•••..• 132
Insights, Promises, Doubts, and Questions Emerging from a Colloqium -
A Summary. By H. Ulrich and G.J.B. Probst •• ..•..•.•. ••. •.•...•••..• •••••. 148
Index of Contributors •••••••••••••••••••••••••••••••••••••••••••••••••••••• 153
IX
Part I
Principles of Self-Organization in Physical,
Biological, and Social Systems
Principles of SeH-Organization - In a Socio-Managerial Context
H. von Foerster
One Eden West Road, Pescadero, CA 94060, USA
o. Opening
I have to confess that when I first received the kind invitation from Dr. Probst
to participate in a meeting entitled "Management and Self:Organization in Social
Systems" I was not quite clear about my role in such a meeting. I am not a stran
ger to the notion of Self-Organization; but when I considered it in the context of
management and, moreover, in the environment of a Hochschule fUr Wirtschafts- und
Sozialwissenschaften, I felt lost. I understand so little about management that
already in grade school my teachers complained that this boy is unmanageable. In
fact, I had to look "management" up in my dictionary (1). Here I found that it is
derived from ... "constraining the movement of hands", having the same root as "to
manacl e", that is, putting someone into handcuffs: I was prepared to decl i ne thi s
invitation.
Fortunately not much later the organizers of this meeting sent me a paper by Messrs.
Malik and Probst entitled "Evolutionary Management" (2), apparently with the idea
of giving me a clue of what this meeting would be about. There are two mottos that
initiate this paper. Since after I read them I knew I would accept the invitation,
I shall read them also to you. The first is a quote by Peter Drucker who, like me,
grew up in Vienna, and whose parents happened to be good friends with mine:
"The only things that evolve by themselves in an organization are disorder, fric
tion, and malperformance ... "
That is not a bad start for a paper that addresses itself to self-organization in
management. The second motto is again by a Viennese, the Nobel laureate Friedrich
von Hayek, who participated in a conference on principles of our topic I had orga
nized almost a quarter century ago. Here is his quote:
" •.. the only possibility of transcending the capacity of individual minds is to
rely on those super-personal 'self-organizing' forces which create spontaneous
order".
With these two mutually anihilating quotations the organizers of this meeting had
me almost hooked, but succeeded completely after I had read the entire article.
There were four points that were very much to my liking:
(i) Hierarchies are inappropriate skeletons for a managerical structure;
(ii) The importance of flexibility and adaptation;
(iii) Limited control of, and knowledge in, the system;
(iiii) And finally, the last line of this article which reads:
"As managers we have to ... learn to be what we really are: not doers and comman
ders, but catalysts and cultivators of a self-organizing system in an evolving con
text. "
2
