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A SOCIOLOGICAL ANALYSIS OF SPIRITISM IN BRAZIL By J. PARKE RENSHAW A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF THE UNIVERSITi' OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY UNIVERSITY OF FLORIDA 1969

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IHma?/^LOR'OA 3 1262 08666 4892

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Dedicated to my profesijor of Missions and dear friend, Arva C. Floyd, through whom the Spirit led me to undertake this study.

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ACKNOWLEDGMENTS The present study grew out of the attempt to know and understand the Spiritist movement in Brazil, and to interpret it to new missionaries and other foreigners at the Escola de PortuguSs e Orientacao in Campinas. It is my hope that the pages which follow reflect not only the scholarly and objective effort to ascertain the place and significance of this movement in Brazilian society, but also my unabashed appreciation of and devotion to the people who compose that society. I am grateful to the Board of Missions of the United Methodist Church and to the Igreja Metodista do Brasil, especially in the persons of Lewistine M. McCoy and Bishop Oswaldo Dias da Silva, respectively, for the opportunities afforded me to live and work among the Brazilian people, and to study the Spiritist movement. Particular thanks and recognition are due my assistant at the Escola de Portugues e Orientacao, Mary Alice Carr, and to Oda Gut and Lucia Pires Carvalho. They spent many evenings in seances and in interviews with Spiritist adherents, and always remained in high spirits. We were graciously received by Spiritist centers and individuals: outstanding among these through the formation of lasting friendships were Srta. Therezinha de Oliveira, Senhor A. Ubinha, and Senhor Gustavo Marcondes, a selfless worker for others who is now, in the Spiritist term, "disincarnate. Grateful acknowledgment is due Professor T. Lynn Smith, whose personal interest and encouragement have given a very Brazilian warmth to hi% professional guidance and counsel; his knowledge and comprehension iii

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of multitudinous facets of Brazilian societal life have more than once saved me from grievous error. I am also indebted to the other members of my faculty advisory committee, Professors Sugiyama lutaka, Joseph S. Vandiver, and Alfred Hower, and, in a particular way, to John V. D. Saunders and to the Center for Latin American Studies of this university, for making possible my studies here. Many persons close to me have had a hand in the carrying through of this study, and to them I am grateful. Here I can name only Mrs. Vivian Nolan, Mrs. Laverne Cheshire, and Mrs. Diane Miller, who typed the dissertation. Most of all, I am thankful for my wife, Eunice, and our four children, who have made of these rather trying years a time of new ways of partnership, exciting opportunities, and mutual support.

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TABLE OF CONTENTS Page ACKNOWLEDGMENTS iii LIST OF TABLES vi CHAPTER I. INTRODUCTION 1 II. REVIEW OF THE LITERATURE 10 III. RELIGION IN THE DEVELOPMENT OF BRAZILIAN SOCIETY 28 IV. ESSENTIAL FEATURES OF SPIRITISM IN BRAZIL 57 V. ADHERENTS, ORGANIZATIONS, AOT ACTIVITIES 0? SPIRITISM 110 VI. HISTORICAL ANTECEDENTS WHICH AFFECTED THE RISE OF SPIRITISM IN BRAZIL 156 VII. SOCIETAL FACTORS RELATED TO THE SPREAD OF SPIRITISM IN MODERN BRAZIL 183 VIII. CONCLUSION 218 BIBLIOGRAPHY 223 BIOGRAPHICAL SKETCH 230

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LIST OF TABLES Table Page 1. — Proportions of Those Who Were Both Over 30 Years of Age and Spiritists for 10 Years or More, in Sample of Allan Kardec Center, Campinas 97 2, — Spiritists in the Population of Brazil by States, 1950 112 3. — Spiritists in the Municipios of the Capitals of States and in the Remaining Municipios of Each State 113 4. — Municipios not State Capitals with Largest Numbers of Spiritists 116 5. — Sex Ratios of the Total Population and of Spiritists in Brazil and Its Major Geographic Regions, 1950 120 6. — Sex Ratios of Total Population and of Spiritists in Brazil, By Age, 1950 120 7. — Age Distribution of Total Population and of Spiritists in Brazil, 20 Years Old and Older, 1950 121 8. — Percentages of Persons Aged Ten Years and Over, Completing Various Academic Stages in Brazil and the State of Sao Paulo, 1950 125 9. — Educational Levels of Spiritists in Cities of Sao Paulo (1958) and Campinas (1966) 125 10. — A Comparison of the Occupational Distribution of the Population Aged Ten Years and Over: Brazil as a Whole (1950), and Two Samples of the Spiritist Population (1960) 213 11. — Three Professional Categories Considered in Relation to Spiritism 215 vi

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CHAPTER I INTRODUCTION This study is an analysis of the societal factors related to the existence and the vitality of Spiritism, a rapidly-growing religious movement in Brazil. Objectives of the Stud y The objectives of this study are to describe the doctrinal, cultic, and social aspects of the phenomenon known as Spiritism in Brazil; to indicate the socio-cultural factors which have been associated wich its beginning and its relatively rapid growth in recent decades; and to attempt to draw some conclusions as to its character as a socio-religious movement and its relationship to Brazilian society at large. The Pertinence and Importance of the Study The various societal and religious phenomena which are lumped together in the popular mind as "spiritism" figure among the major social forces in Brazil today. That portion of them which is here under study is Kardec Spiritism. Nearly all of the elements which compose the spiritistic cults of Brazil, including the Kardecist, can be found in other societies. Nevertheless, the forms which they have assumed in Brazilian society, and the sheer numbers of their adherents within this large population, constitute a societal phenomenon of more than usual scientific and human interest. The uses and the spellings of the word "spiritism" are explained in the section which follows.

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Thus it is with a sense of urgency that this investigation has been undertaken. As far as the present writer is able to ascertain, no previous attempt has been made to bring together in one presentation an analysis of the nature, organization, and functioning of this social movement, its background, social setting, beliefs and practices, and social impact. In this presentation of the cultural elements and societal factors which have given form and growth to the spiritist movement in Brazil, it will become apparent that we are dealing with some of the fundamental aspects of Brazilian civilization. We can hope that the analysis of this material will provide certain clues and guide-posts to what we may expect with regard to the further development of the cultural and societal patterns of this people. It is to be hoped further that this information, much of it presented here for the first time in English, and the conceptualization and analysis which are offered, may constitute an addition of some value to the sociological work of those upon whose efforts we build. Scope of the Study The scope of this study of Spiritism embraces the doctrinal content, the membership, and the organizational, ritual, and interactional aspects of the movement within itself, as well as its relationships with the wider Brazilian society. Not included, except by occasional reference, are other phenomena and movements which in a popular way come under the rubric of espiritisno or spiritism. These consist principally of the Afro-Brazilian cults, and some of the features which distinguish them from Spiritism are given in the following section.

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Although the description and analysis cover Spiritism in the entire country, major attention is focused upon the area of greatest Spiritist activity, the Sao Paulo-Rio de Janeiro "urban-industrial axis." The time-period which is of greatest interest in the analysis of the data presented is confined to the years which have intervened since World War II. Certain sections, however, are devoted to the colonial period, and others to the latter half of the nineteenth century and the early years of the twentieth, for the provision of necessary background information. The Nature and Types of Spiritism in Brazil The particular movement which is our subject was founded in France a century ago. Its adherents insist that the designation "espiritismo ," from a French neologism, "espiritisme, is correctly applied only with reference to their movement. As a means of achieving distinctions, and in deference to their denominational usage, we employ the spelling "Spiritism" — with capital s^ — in our references to this movement, even though, with the exception of proper names, few words are capitalized in Portuguese (as witness brasileiro catolicismo indio ) Followers of Spiritism are known as espiritas and here, too, we follow normal English usage and capitalize, alluding to them as Spiritists. The term "spiritism" — with lower-case s^ — is employed not simply as a transliteration of the Portuguese expression espiritismo ," but because, as an English word in its own right, it gives more cogent expression to the reality it represents than does "spiritualism." Moreover, as will be evident throughout the course of this dissertation, "spiritism" in Brazilian usage refers to a much broader gamut of

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phenomena than does the more common English term "spiritualism." The latter designation, however, will be employed occasionally with reference to the English and American movements which bear this name. It is necessary at the outset to distinguish betv;een spiritism and animism. This latter term is most commonly used in the study of religions to denote "the belief that all objects possess a natural life or vitality or are endowed with indwelling souls." Although there is some question as to the place of animism in the religions of those who were brought from Africa to Brazil as slaves, and though its position in the religions of the Amerindians is more certain, the religions of modem Brazil are not animistic. The discussion of animism in Hastings' Encyclopedia of Religion and Ethics includes "Spiritism" as a sub-heading; nevertheless, the impersonal spiritbeings referred to by the author are not encountered in the spirit3 istic religions which exist in Brazil. In the article entitled "Spiritism," in the same work, as well as in popular thought, spiritism is considered with reference only to be 4 the belief in communication with the spirits of the dead. For many spiritists, however, including the Brazilian and other followers of ^ Webster's New Collegiate Dictionary 7th ed., Springfield: G. C. Merriam and Co. ^Goblet d'Alviella, "Animism," in James Hastings, ed.. Encyclopedia of Religion and Ethics New York: Harper's, 1955, vol. I, pp. 535-537. ^F. C. S. Schiller, "Spiritism," in Hastings, o£. cit vol. XI, pp. 805-807.

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Allan Kardec, belief in such communication exists only as a corollary to the more fundamental doctrine of reincarnation. The two principles of spirit communication and reincarnation are basic to the Brazilian expressions of spiritism, and give rise to their most distinctive feature, the mediumistic seance. There are other spiritistic manifestations within Brazilian society, in addition to those which form the subject of this dissertation; some of them have also the character of socio-religious movements, and mention is made in this study of their relationships one to another. Among the Brazilian people as a whole, there is often a lack of precision as to the terminology used to refer to these movements. Rapid changes in them during the period since World War II have been to some extent responsible for this. It is common to hear the label "espiritismo" applied as a generic term with reference to all spiritistic phenomena. Therefore, when such a general meaning is intended in this study, the words "spiritism," "spiritist," et cetera are employed. For the sake of further clarification, we must mention several other terms which are in constant uncritical use by the people, and which frequently even reflect the lack of precise knowledge of the various spiritist and syncretic movements on the part of those not closely related to then. Most of this imprecision and confusion is in regard to the Afro-Brazilian cults, which are the product of the syncretism of the religions brought from Africa during three centuries of slave trading, with the Roman Catholic and Spiritistic religious expressions of the European components of the population. The candomblgs located principally in Bahia, represent the persistence of the rites of the Yoruba-speaking Africans, although across

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the years modifications and some syncretism with Roman Catholicism have taken place. The spiritual beings invoked in their ritual are deities, not spirits; also, these religions do not share the cosmology, theology, and general practices of the Spiritists. Particularly in Rio de Janeiro and other coastal cities, other cults flourish in which the cosmologies and rites brought by the slaves have lost most or all their religious nature, and are devoted in large measure to the working of black magic. The most notorious of these are the macumbas of Rio de Janeiro, known also as quimbandas Similar phenomena are called xangds in Recife, cacimbo and tamb&r (with indigenous elements) in the vicinity of Fortaleza and SSo Luiz do Maranhao, and batugue in Porto Alegre in the far south. Although in most of these manifestations spiritistic elements have been appropriated only very crudely or not at all, they are popularly referred to as baixo espiritismo ("low spiritism") Another cult commonly included in this category is that of Umbanda, for under casual observation it appears to be similar to the above-mentioned Afro-Brazilian rites. Nevertheless, Umbanda, referred to as "white magic" by its sympathizers, claims to be motivated by the virtue of Christian charity and to seek only to help those in need. The assiduous attempts on the part of the Spiritists to avoid being confused with low spiritism are noted at several points in the present study. As was indicated above, the terminology of these movements is far from uniform in different sections of the country, and among social groups which stand in different relationships to these phenomena. For

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example, the terms "macumba" and "umbanda" are frequently used interchangeably in Rio de Janeiro. However, for the purposes of such a study as this, the terms as here used will be found acceptable by members and students of these various groups. The Nature and Sources of the Data A wide variety of sources have been used in securing the data for this dissertation. Among the more important of them are the following: (1) the official Brazilian censuses of population, which include information on religious affiliation; (2) figures on membership, congregations, and educational and social work in the official reports of federated spiritist bodies and their local organizations; (3) historico-cultural materials, focusing on the religious, philosophical, and cultural antecedents of the various racial, national, and cultural groups which have participated in the development of Spiritism; (4) life histories of Spiritist adherents and sympathizers, taken principally in interviews conducted personally by the writer; (5) information on the life of local and federated spiritist organizations collected by the writer in interviews with leaders and participants; (6) information on personal and social characteristics of spiritists and sympathizers obtained by means of questionnaires which the writer and assistants administered in spiritist meeting-places; (7) personal observation by the writer of the ritual, educational, charitable, and social practices of spiritists, in their homes, meeting-places, service institutions, shops of religious articles and books, and publishing enterprises; (8) the doctrinal and other publications of local and federated spiritist bodies.

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Methods The writer has participated in numerous Spiritist meetings: seances, doctrinal studies, social gatherings, and charity activities. He has had the opportunity of hearing local leaders discuss the financial and other problems involved in the operation of their centers and charitable institutions. He has visited the headquarters of state and national federations and talked with their officers. He has also solicited, with varying degrees of success, copies of statistical reports, both from local centers and from county, state and national federations. Other reports, published in local Spiritist periodicals and in those of wider scope, have also been collected and used. Across the years, the writer has amassed a collection of Spiritist publications, as well as of clippings from newspapers and magazines which relate to Spiritist activities and frequently indicate aspects of the relationships of Spiritists to the general society. As concerns information on the social and religious behavior of Spiritists, during fifteen years of residence in Brazil, the writer was personally acquainted with many adherents and sympathizers of the movement, and often discussed with them their practices and experiences. He also made a point of discussing with non-Spiritists who were close relatives or friends of Spiritist believers their own reasons for not following this movement. Finally, several Spiritist centers, principally in Campinas, state of Sao Paulo, and Campo Grande, state of Mato Grosso, have been surveyed by the writer, with the use of individual questionnaires concerning the personal characteristics, as well as the activities of the Spiritists. A number of such interviews were in great depth and

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detail. Similar material gathered by other researchers has also been employed. Order of Presentation Immediately following this introduction, in which are presented briefly the subject and nature of this study, the Review of the Literature places this dissertation in the context of preceding investigation and thought. Following this, the religious development of Brazil is traced broadly do^vTi to the advent and spread of Spiritism. In succeeding chapters are delineated the distinguishing features of Spiritism in Brazil: its doctrines and cults, its social features, the specific roles of mediums and other adherents, and its total scope as a movement within Brazilian society. Next follows the presentation of historical aspects of Brazilian life which were conducive to, or inhibitive of, the acceptance of Spiritism as it entered the country in the nineteenth century. A further chapter deals with the inter-play of various aspects of twentieth-century social life with the growth and spread of the Spiritist movement. The final part is devoted to the conclusions which can be drawn regarding the place and role of Spiritism in Brazilian life at the present time, and conjectures as to future possibilities.

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CHAPTER II REVIEW OF THE LITERATURE The purpose of this review is to indicate, first, the major currents in the development of the study of religion as an aspect of societal life; second, the principal conceptual and other theoretical formulations which are employed in this dissertation and which have contributed to its frame of reference; and third, the studies of spiritism in general, and those concerning its development in Brazil, which have provided materials and concepts necessary to the carrying out of this study. The literature reviewed is presented in the following order: general works on religion and society, from ancient times to the period of the enlightenment; some representative works of the rationalists of the enlightenment period; studies of religion by certain of the nineteenth-century evolutionary social philosophers; fundamental works of the founders of modern sociology of religion; and works on religion in Brazilian society, and on Spiritism. General Works from Ancient Times to the Enlightenment From the remotest times in recorded history, religion has occupied an important place in historical, philosophical, and literary works. Since religion constituted, or was reflected in, a large part of the activities of most early societies, it is not surprising that many of these writings, such as those of Herodotus, Euhemerus and the Roman 10

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11 historian Varro, dealt V7ith origins and descriptions of the religions of their own and other peoples. Nor is it unnatural that much attention should have been given to religion as a means of social control. This latter interest is summed up in the following words of Cicero, who left several descriptions of Roman religious practice: In all probability the disappearance of piety toward the gods will entail the disappearance of loyalty and social union among men as well, and of justice itself, the queen of all virtues. The universal monotheism of the Old Testament religion brought with it the aspects of intolerance,polemic, and the high sense of collective vocation and discipline which are found in the prophetic writings. The completed universalism in Christianity, within the cosmopolitan ambience of the Roman Empire, brought forth the patristic polemical writings against the nonChristian religions, particularly Manicheism and the Mithraic and other mystery cults. Clement of Alexandria, Cyprian, and Tertullian, in the second and third centuries, employed against the heathen the "euhemeristic" argument (first attributed to the Sicilian, Euhemerus in his search for the origins of the gods) that their gods were mere men who had been apotheosized. In the century which followed, first Eusebius and later Augustine, while continuing the polemical task, showed deeper interest and insight into the social dimension of religion; this is seen particularly in Augustine's iMarcus Tullius Cicero, De Natura Deorum Book I, trans. Hubert M. Poteat, Chicago: University of Chicago Press, 1950, p. 179. 2 W. Robertson Smith, The Religion of the Semites 3rd ed.. New York: Macmillan Co., 1927.

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12 The City of God in which pagan Rome is seen as outside the sphere of Christian ethics. Two thinkers of the thirteenth century characterize major streams of Christian thought in the Middle Ages. Tliomas Aquinas, writing within a Chruch which was almost literally at one with the world which it ruled, took a different point of view from that of the embattled Augustine, as he united the Christian ethic with social life and polity. Roger Bacon, on the other hand, foreshadowed the scientific stance and the move away from the monistic view of society and religion. From data amassed by travelers and scholars, he produced the first European comparative history of religion; of special significance was his use of criteria other than those of the Church for determining what "true" religion was. His major criterion was that of consensus, not of authoritarian pronouncement. Representative Works from the Rationalists of the Enlightenment The cultural relativism and rationalistic approach to religion of the period of the Enlightenment are well characterized by Lord Herbert of Cherbury's De veritate (1624) and Thomas Hobbes's Leviathan (1651). Herbert, in a deistic frame of reference, deduced five "universal" principles of religion. Hobbes, starting from the ancient premise that religion is based on fear, constructed a scheme of the origin and development of religion, in which — although with gross errors of fact and interpretation — he became one of the earliest ^Annemarie de Waal Malefijt, Religion and Culture New York: Macmillan, 1968, p. 25.

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13 employers of ethnographic data as scientific evidence. These views and attitudes which increasingly saw all human activity, including the religious, as the object of scientific inquiry, came to a synthesis in the New Science (1725) of Giarabattista Vico. Even this thinker, however, still exempted Judaism and Christianity from scientific investigation, as did many of his contemporaries, such as J. F. Lafitau (Moeurs des sauvages ameriquains comparles aux moeurs des premiers temps 1724). But there were even men of the Church in the Middle Ages, who saw religion principally as a means of social control. Marsilius of Padua (1275-1343) saw religious belief as having only the function of moral restraint upon the ignorant masses. This view was later adopted by the practical Machiavelli (1469-1527) and by such vociferous foes of Christianity as Voltaire ( Essay on the Manners and Spirit of Nations 1756). Nineteenth Century Evolutionary Studies of Religion It remained for the great synthesizers of the nineteenth century, particularly Auguste Comte, ( The Positive Philosophy 1830-1842), Edward Burnett Tylor ( Primitive Culture 1872), and Herbert Spencer ( Principles of Sociology 1876-1896), to attempt to place religion within a scientific view of the whole of knowledge. However, "there can be little doubt that the modem comparative study of religions began with Max Muller...,' with the publication in 1856 of Comparative ^Joachim Wach, The Comparative Study of Religions New York: Columbia University Press, 1961, p. 3.

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14 Mythology followed later by The Introduction to the Science of Religions (1870) and The Origin and Growth of Religion as Illustrated by the Religions of India (1878) as well as other works in a similar vein. These writers, like many before and after them, sought the nature of religion in its origins. Being committed to an evolutionary view of Nature and of human existence, belonging as they did to the European culture which was sweeping over the "primitive" world, and with their conviction of the rational nature of man, they assumed that primitive man evolved his beliefs through rational reaction to the phenomena which life presented to him. The study of religions, freed from theological systems, and supposedly freed from metaphysical ties, was characterized in this period by the search for origins, for cultural parallels, and for evolutionary stages. Muller crowned a long and prodigiously productive career with the opening of his rich mine of materials for comparison, the many volumes of The Sacred Books of the East (began publication 1897). By this time also the nature, origin, and history of religions were beginning to be studied in the light of the observation of the religious behavior of primitive. Oriental, and other non-European peoples. Tylor used ethnographic data, but, like the great mass of material gathered by James G. Frazer and published as The Golden Bough (1890-1915), much of it was collected by xintrained observers and was incomplete, unreliable; moreover, it was not placed within its proper temporal and cultural contexts. These writers presented rationalistic explanations of the origins of religion, generally attributing to primitive man deductive

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15 processes of reasoning, by which he arrived at belief in the soul and spirits (Tylor) and came to differentiate between magic and religion (Frazer) P. A. Sorokin has observed that, "The theory that belief, especially a magical or religious belief, is the most efficient factor in human destiny is possibly the oldest form of social theory." Most of the writers mentioned thus far subscribed in some measure to this theory; Auguste Comte based his whole system upon it. Fustel de Coulanges, in The Ancient C ity, (1864, English trans., 1900) wielded a great influence upon succeeding students of societal life, not least among them fimile Durkheim. His major insistence was upon the place of ideas in general, and religious beliefs in particular, as the major determinant of social phenomena. The principal contributions of Fustel de Coulanges were, first, his perception of religion as an integral element of societal life which was not to be dismissed because of possible humble or even illusory origins, and, second, the development of a structural view of religion in relation to the other societal institutions; their forms were felt to be determined, to a large extent, by religious factors. W. Robertson Smith was among the first of the churchmen-scholars to give major attention to the social factors which conditioned the development of religion among primitive peoples; his Religion of the Semites (1889), although based on the most tenuous evidence, was of a P. A. Sorokin, Contemporary Sociological Theories New York: Harper & Row, Torchbook Edition, 1964, p. 622.

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16 piece with the evolutionary, totemistic views of primitive religion of his time, and, as Evans-Pr it chard has obser-ved, "misled both Durkheim and Freud." His v7ork was instrumental in breaking down the fears of many churchmen concerning the objective study of the observable phenomena of religion. Even so, publication of his views cost him his position at the University of Aberdeen, for it was felt that he humanized Old Testament religion, substituting social determinism for the awesome compulsion of the"holy," as found in prophetic Hebrew religion. Modem Sociology of Religion: Durkheim, Weber, and Others Emile Durkheim 's Elementary Forms of the Religious Life (1912) represents the first major effort to form a theory of the relation of religion and society on the basis of empirical evidence; the data employed were those of Spencer and Gillen and others from their studies of the Australian aborigines. The well-known criticisms of this work have been admirably summarized by Sorokin and by Evans-Pritchard : inadequacy of the data and its erroneousness; unjustified reading into the data of behavior which is unknown; generalization on the basis of isolated, atypical cases; and the ultimate founding of the"social fact" upon a psychological process. Nevertheless, it was Durkheim who set the stage for most of the subsequent positivistic study of religion: it was established as a universal element of social life, and as being universally social in its ^E. E. Evans-Pritchard, Theories of Primitive Religion London: Oxford University Press, 1965, p. 52. ^P. A. Sorokin, op. cit pp. 452-463, 476-480, and E. E. EvansPritchard, o£. cit pp. 54-74.

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17 manifestations; it was seen as dividing the life of man into two sectors, the sacred and the profane. It is on this stage that have been developed the variations of the functionalist view of religion, which has been stated succinctly as follows: ...that the religious institutions of a society represent, and elicit acceptance of, certain central values whose internalization by members of the society is necessary for the adequate integration of that society's various parts. Here the point of reference is society, and the distinctions between profane and sacred are psychological, involving attitudes toward various facets of societal life, not toward the supernatural. The supernatural had generally been thought of in terms of personal power. In 1891, the concept of impersonal supernatural powers, called mana by the Melanesians, was presented to the scholarly world by a missionary, R. H. Codrington. Although the concept has been useful in expressing the primitive view of the world and its processes as having a supernatural foundation, it has produced confusion for three reasons. First, it contributed further to the fruitless quest for a primordial "origin" of religion. Second, it was immediately equated by anthropologists with similar concepts of other peoples, such as orenda, wakan manitou (American Indian) and even the classic el^, dynamis and numen despite the fact that these terms are far from interchangeable. "Anthony F. C. Wallace, Religion: An Anthropological View New York: Random House, 1966, p. 25. R. H. Codrington, The Melanesians: Studies in Their Anthropology and Folklore, Oxford: Clarendon Press, 1891.

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18 Third, it does not refer, in Melanesian usage, to impersonal force alone, but is intimately and necessarily connected, in many cases, 10 to spirits and persons, and to their control of it. Mana can thus have two manifestations: personal and purposive, on the one hand; impersonal, as an imparted force, on the other. This distinction is important since a fundamental aspect of religious behavior is its personal, relational, nature. When it is employed in this sense, the concept of mana includes the genuinely religious attitude of awe, similar to that experienced in the confrontation with the holy. It is directed to that which transcends the human, and in this way differs from Durkheim's idea of the sacred. Although Durkheim erred in making the vzorshipping subject — society — into its own object of veneration, his noteworthy contribution to the sociological study of religion was his combining of the perception of the universally communal nature of religion with the recognition of the distinctive character of the sacred and the corollary concept of awe as the posture of the worshipping group. This transcendental, "awe-full" aspect has been insisted upon by other investigators. Holiness is the great work in religion; it is even more essential than the notion of God. Real religion may exist without a definite conception of divinity, Among the Polynesians, a central function of mana was related to the maintenance of the social hierarchy and the control by the upper classes. (Thomas F. Hoult, The Sociology of Religion New York: Holt, Rinehart, and Winston, 1958, p. 280.)

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19 but there is no real religion without a distinction between holy and profane. .The only sure test is holiness. This xjas firmly established among modern scholars of religion by the work of Rudolph Otto, principally in The Idea of the Holy (1917), with its theme, "Religion is the experience of the Holy." Religion is seen as an encounter, with an objective basis, the subjective experience of which is a combination of awe before the mysterium tremendum and attraction to the mysterium fascinans Paul Tillich, in reminding us that religion is not one human function among others, but rather "the dimension of depth in all of them," goes on to ask: "What does the metaphor depth mean? It means that the religious aspect points to that which is ultimate, infinite, unconditional 12 in man's spiritual life." This is the source of the consciousness of sin and unworthiness; of exaltation, joy, and praise; and of power and sacrificial devotion, as these are conceived with a transcendental reference. Such a conceptualization as that provided by the authors just cited aids us in the avoidance of facile psychologism and of the oncefashionable evolutionism which seeks religious origins, and which finds them in "primitive" manifestations. It also guards against Durkheim's subjectivist error in the deification of the group. Soderblom, in the Friedrich Schleiermacher, cited by Nathan Soderblom, in "Holiness," in James Hastings, ed.. Encyclopedia of Religion and Ethics New York: Harper's, 1955, vol. VI, p. 731. '^Paul Tillich, Theology of Culture New York: Oxford University Press, 1964, p. 7.

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20 above-cited article, is correct in rejecting Durkheim's "objectifying and idealizing the community" as the source of sanctity, for it has led many anthropologists and sociologists into subjective definitions of religion. A typical case is that of Hoult, who defines religion, "functionally, [as] that aspect of culture which is concerned with the sanctification of particular beliefs and behavior patterns." Thus religion is simply equated with ideology. When such identification occurs empirically, it is because of the loss of the objective, "holy" dimension peculiar and necessary to religion. In such a case, we will find a fruitful field for sociological study, or perhaps a pertinent object for the trumpetings of a Marx or a Mannheim, but we do not have a normative example of religion. We deal in this study with some such cases, as is indicated in subsequent sections. Durkheim had sought the function of religion in the maintenance of social solidarity. Max Weber, asking the question as to the part played by religion in bringing about social change, created the first systematic sociology of religion. In The Protestant Ethic and the Spirit of Capitalism (1905) Weber showed, as Evans-Pritchard cautiously puts it, "that doctrines may create an ethos conducive to secular developments." Through the elaboration of his ideal types of societies and of religious expression and economic activity, and through his empathetic interpretive method, Weber examined the influence of the 1 3 •Hoult, o£. cit p. 30. '•^op. cit p. 118.

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21 religious systems upon economic practice in the great ancient societies of Asia and Europe ( The Sociology of Religion 1922 and Gesammelte AufsMtze zur Religionssociologie begun 1911) Another important product of Weber's typological method is the church-sect conceptualization developed by him and expanded by Ernst Troeltsch ( Social Teaching of the Christian Churches 1931 and Gesammelte Schriften vols. 3 and 4, 1922-1925). Such typologies have been further developed by Howard Becker ( Through Values to Social Interpretation 1950), H. Richard Niebuhr ( The Social Sources of Denominationalism 1940), and, with less imagination, by many others. Weber's work on the place of religion in society was only one aspect of his attempt, on the basis of historical and current statistical evidence, to comprehend the interrelationships of the various societal institutions. It was on the basis of his conceptualization that Joachim Wach later developed his frame of reference for the sociological and comparative study of religions, as found in the following works: Einfuhrung in die Religionssociologie (1931), translated as Sociology of Religion (1944) ; Types of Religious Experience: Christian and Non-Christian (1951) ; and Comparative Study of Religions (1953) It is this frame of reference which is employed in the present study, for the description of Spiritism and other religious phenomena of Brazil and their relations to Brazilian society. According to the conceptualization of Wach which forms the framework for our observations of religious groups in Brazil, each group • is examined first as a religious system with three forms of expression:

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22 first, that of doctrine and belief; second, that of the cultus, including rituals and training; and third, that of the fellowship, or common life of the group. A distinction is drawn between religious groupings which follow natural social divisions (family, nation, et cetera ), and those formed specifically on the basis of religious affiliation, not necessarily coextensive with natural groups. Wach has enlarged upon Weber's threefold typology of leadership: charismatic, traditional, and rational. These types are treated in relationship to the abovementioned character of the group as -natural or specifically religious, and to the consequent nature of the relationship of the group to its environing society; the relationship of the religious group to the society is also classified in Weberian terms, as naively positive, critically positive, and negative. The Literature Conceiming Spiritualism In 1848 — a fateful year for Europe and America in politics, science, and philosophy — in an obscure burg called Hydesville, New York, the teen-aged Fox sisters, Margaret and Katie, began to receive what they termed"messages from the spirits" through the rappings of tables that moved. Modem spiritualism was launched, and it swept across the two continents, as a half-serious parlor game, a form of theatrical mystification, and often as a new straw of hope for the bereaved and the fearful of death. Moreover, few phenomena could have been better calculated to excite the interest of many who, enthralled by the scientism of the age, yearned uneasily to compensate for the transcendentalism of which their view of science had robbed them. The article "Spiritisme," in

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23 vol. XXX of La Grande Encyclopedie (n.d.) tells of the interest in the phenomena on the part of thousands of Americans, and of the spread of spiritualism to England, where it has been the subject of more intense and serious inquiry. F. C. S. Schiller in his article in the Encyclopedia of Religion and Ethics vol. 11, entitled "Spiritism," observes that "The literature of the subject is immense, but much of it is of very little value"; he notes that it was with the founding in 1882 of the Society for Psychical Research, by respected scholars, that a source of reliable literature onpsychic phenomena was established. The findings "in favor" of spiritualism by well-known scientists of the period include those of Oliver Lodge, F. W. H. Myers, Richard Hodgson, and — most widely employed in the arguments of the spiritualists — the physicist William Crookes, whose exhaustive experiments are recorded in Researches in the Phenomena of Spiritualism (1874). Others, including colleagues of those mentioned above, have failed to be convinced of spiritual explanations of the phenomena; representative of these are Andrew Lang, The Making of Religion (1898); F. Podmore, Phantasms of the Living (1886); and William James, The Will tc Believe (1897) and Memories and Studies (1911) Whether the phenomena be designated "spiritualism," as in Europe and America, or (with modifications) "spiritism" in Brazil, so called "scientific proof" appears to have been accepted, up to the present time, principally by those who already believed in the spirit nature of the occurrences. In this century, investigations of mediumistic occurrences led the French psychologist, Charles Richet, into the study of what he labeled "metapsychics. His studies of mediumistic activities.

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24 corresponding in a general way to those of J. B. Rhine on extrasensory perception, came to conclusions ranging from exposition of fraud in some cases to suspension of judgment as to cause in others. They were reported in TraitI de Metapsychique (1923). Works Which Delineate the Religious Situation in Brazil Thales de Azevedo, noted social anthropologist, observed in the opening sentences of his brief Catolicismo no Brasil that, except for the sizeable amount of study devoted to indigenous and AfroBrazilian cults, little scientific investigation of religion had been undertaken in Brazil. This still largely is true. Most writings on the subject have been impressionist, and have added little to what had been noted more than a century ago by the observant travelers Daniel P. Kidder and J. C. Fletcher in Brazil and the Brazilians (1857). These writers called attention to the relative indifference of the Brazilian to theological orthodoxy, his pragmatic view of religion, and the resulting tendencies to religious tolerance and syncretism. Social scientists who have summarized the religious situation in the country under study are Roger Bastide, with "Religion and the Church in Brazil," in T. Lynn Smith and Alexander Marchant, Brazil ; Portrait of Half a Continent (1951); T. Lynn Smith, in Brazil: People and Institutions (3rd ed., 1963); Charles Wagley, in his Introduction to Brazil (1963); and Emilio Willems, chapter "Brazil," in Arnold M. Rose, ed. The Institutions of Advanced Societies (1958). Religion has been treated with regard to its role in local communities in such studies as the following: Charles Wagley, Race and Class in Rural Brazil (1952) and Amazon Town (1953); Marvin Harris,

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25 Town and Country in Brazil (1956); and Oracy Nogueira, Familia e Comunidade; Um Estudo Sociologico de Itapetininga, Sao Paulo (1962). Emilio Willems has done much to contribute to the understanding of the proliferation of non-Catholic religions throughout Brazil. His major contributions are: appropriate sections in Uma Vila Brasileira (1961); "Religious Mass Movements and Social Change in Brazil," chapter in Eric N. Baklanoff, ed., New Perspectives in Brazil (1966); and Followers of the New Faith: Culture Change and the Rise of Protestantism in Brazil and Chile (1967). This latter work deals principally with the evangelical groups called "Pentecostals," and their rapid growth. The same movement is described from a Protestant point-of-view in William R. Read, New Patterns of Church Growth in Brazil (1965). Further insight is given into the dynamics of Protestantism on the local level in John V. D. Saunders, "OrganizagSo Social de uma Congregagao Protestante no Estado de Guanabara, Brasil," Sociologia XIII (1960). As deep and rapid changes appear to be underway within the Roman Catholic Church in Brazil, Thales de Azevedo has worked toward the development of more adequate conceptualization for the study of changes in church structure and religious behavior. Recent important writings of this anthropologist are the article on Brazil in "Church and State in Latin America," New Catholic Encyclopedia (1967) and "Catolicismo no Brasil?", Vozes (Petropolis, Brazil) Ano 63, no. 2 (Fevereiro de 1969). He is accompanied by Roman Catholic clerics in this task: Fr. Jose Comblin, Catolicismo no Brasil (1955); A. Gregory, A Igreja no Brasil (1965); and Fr. M. Schooyans, Desafio da SecularizaQao (1968).

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26 Works Related to Spiritism as a Social Phenomenon in Brazil Although the Spiritist movement itself had been relatively prolific in the publication of its doctrinal works, nevertheless, surprisingly little has been published concerning this important development in the life of the Brazilian nation. Furthermore, most of what has been produced falls into two categories: superficial, popularized journalism on the one hand, and partisan — often polemical — writing on the other. There are, however, several works, which in spite of their partisan character give helpful substantive presentations concerning Spiritism, and in which information and opinion can be distinguished with relative ease. Among these is JGlio Andrade Ferreira's Espiritismo, uma Avaliagao (1959); Rev. Ferreira is a Presbyterian church historian and seminary professor. Representing the view of the Roman Catholic hierarchy are two works by the foremost Roman Catholic doctrinal apologist in Brazil, Friar Boaventura Kloppenburg: Espiritismo no Brasil (1960) and Reincarnacionismo no Brasil (1961). Leonidio Ribeiro and Murillo de Campos, former practitioners of legal medicine with the police department of Rio de Janeiro, present a study of the literature and of their own experiences concerning the relationship of spiritistic practices to the incidence of insanity and crime, in Espiritismo no Brasil, Contribuigao ao Seu Estudo Clinico e Medico-Legal (1931). Unfortunately, the work is prejudiced by its polemical tone and its frequent failure to distinguish between charlatans and serious Spiritists, and between these latter and the adherents of Afro-Brazilian cults.

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27 Prof. Candido Procopio Ferreira Camargo, of the Escola de Sociologia e Politica de Sao Paulo, is outstanding among the few who are engaged in the sociological study of Brazilian Spiritism. He presents a functional analysis of Spiritism, based upon investigations in the city of SSo Paulo and other urban areas in the state of Sao Paulo, in a brief work called Kardecismo e Umbanda (1961). The study, which includes both Spiritism and the Afro-Brazilian movement known as Umbanda, was done in cooperation with the Federation Internationale des Instituts de Recherches under the auspices of the Roman Catholic Church, and the material was also published by the Federation with adaptations on changes of organization, as Aspectos Sociologicos del Espiritismo en Sao Paulo (1961). The thesis of this psycho-sociological study is that Spiritism and Umbanda are functional in the adaptation and integration of people in the modem urban society of Sao Paulo, with its changing values. An informative general article, "Spiritism in Brazil," by Donald Warren, Jr. has recently appeared in the Journal of InterAmerican Studies (July, 1958)

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CHAPTER III RELIGION IN THE DEVELOPMENT OF BRAZILIAN SOCIETY In view of the fact that the subject of this study is a religious movement, it seems essential for us to trace briefly the major religious forces and the roles they played in the development of Brazilian civilization from early colonial times to the end of the nineteenth century. The most influential of these was Roman Catholicism, and we first focus upon its role in the formation of the society of the Portuguese colonizers and that of their Brazilian descendants. As we set the scene for the entrance of Spiritism, it is also necessary to note the religious contributions of the Indians and the African slaves. Also, within the context of the development of a plurality of religions in Brazil, we consider the Protestant expressions of colonists and missionaries. Finally, we indicate the presence and influence of certain non-religious movements. The material surveyed here is not new; but it is hoped that it acquires a new significance when related to the rise and spread of Spiritism in the nineteenth and twentieth centuries. Some of the relationships between Spiritism and certain elements of the religious situation are fairly direct. For example, they involve commonality or similarity of beliefs or practices. Some others, although less direct, are more basic. They have to do with the forces which have produced societal conditions conducive to the introduction and acceptance of a religious alternative such as Spiritism. In this 28

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29 respect, the relationships which prevailed among institutions such as the Church, the plantation, and the family are particularly important. Since we are dealing with the rise of a new, sectarian religion in competition with a traditional, universal one, some of the relationships are inverse. Although we hesitate to assert cause-effect relationships, the recognition of certain associations and even patterns of socio-religious phenomena, involved in the rise of Spiritism, seems unavoidable. Roman Catholic Institutions in the Formation of Brazilian Society In his historical presentation of Brazilian culture, Fernando de Azevedo takes "Religious Institutions and Beliefs" as his point of departure. This is in keeping with Brazilian sentiment as a whole. Indeed, the first picture in many elementary school texts and other children's books is that of the First Mass said on the land that was baptized "Ilha de Vera Cruz" (the Island of the True Cross), later called Brazil and Land of the Holy Cross. Azevedo quotes Father Serafim Leite's dictum that "Brazil was born Christian," and goes on to describe the great cross of native wood before which the mass was said as "the august sjonbol of the conquest of the newly discovered lands for Christian civilization." This social historian goes to great lengths in his quasiidentification of Brazilian culture with the finest flowers and Fernando de Azevedo, Brazilian Culture trans. William Rex Crawford, New York: Macmlllan, 1950, p. 140.

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30 fruits of Christianity, declaring that the influence was "without doubt preponderant and practically exclusive in the defining of the culture." In a similar vein, Gilberto Freyre finds great significance in the place of the Cross on the Portuguese coat-of-arms, and goes on to assert: "No other European dedicated himself to conquests giving such emphasis to the missionary aspect of his conquering and colonizing effort." Such sentiments place too great a burden of cultural explanation upon a single element. They are hardly congruent with the theory which Freyre himself has made fundamental to all Brazilian studies, and which is outlined in the dwelling-symbolism employed in the titles of his major works: Big House and slave-quarters, and Mansions and shanties. On the one hand, these dwellings stand for the master's fondness for material wealth, political power and personal assertion, a love which is often strangely and beautifully mixed with religious tradition and devotion. On the other hand, they are symbols of the slave's debasement and servility of a deep personal loyalty to the master, and of the intermingling of varied religious practices for protection, comfort, and social solidarity. The Portuguese religious tradition was neither idyllic, nor was it an isolated element in the formation of the Brazilian people and their development up to the time of the advent and growth of Spiritism. 2lbid. p. 139. Gilberto Freyre, A Proposito de Frades Salvador: Livraria Progresso Editora, 1959, p. 166.

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31 Far more realistic are those appraisals which give due importance, in the motivations and the dynamic for the colonization of Brazil, to the place of the great social changes and the opportunities for economic advancement and social mobility which accompanied them. It is generally recognized that times of great social upheaval are characterized by extremes of religious expression; there is wide-spread disbelief, but mysticism and religious fervor also increase. This occurred in Portugal at the close of the Middle Ages. The increase in such extremes of apostasy on the one hand, and religious commitment on the other, was related positively to imperial expansion and its concomitant political and social instability; these forces had far greater impact than that of the Lisbon earthquake centuries later. We now examine the major features of the socio-religious backgrounds of the various elements of Brazilian colonial society. Religious Background of the Portuguese Colonizer Portuguese piety was far more personal than proselyting, less identified with the spread of the Kingdom of God than with the expansion and protection of the believer's own soul. The total life of the Portuguese was vividly colored by religiosity. Antonio H. Oliveira Marques, who has pictured in rich detail the day-to-day existence of the medieval Portuguese, indicates that: ^Cf. J. P. Almeida Prado, Prlmeiros Povoadores do Brasil ; 1500-1530 SSo Paulo: Companhia Editora Nacional, 1939, pp. 12-18; cf. also F. J. Oliveira Vianna, Evoluggo do Povo Brasileiro Sao Paulo: Monteiro Lobato e Cia. Editores, n.d., pp. 50-52, 58.

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32 All of daily life, from birth to the tomb, unrolled under the sign [of religion]. This faith was not of the most vital, nor was the belief in God of the deepest kind. The fact is that at that time there were fewer means of explaining the subordination of life to supernatural powers. .. .Religion imposed itself upon men more in those times, because it was more necessary. Oliveira Marques goes on to indicate the multiplicity of acts in which the holy, or the sacred, was brought to bear upon the everyday, or profane, as in the blessing of a newly-built house, a freshly dug well, or the first-fruits of the harvest. He also observes that such practices are still encountered in Portugal. Employing the framework which we have adopted for the descriptive analysis of religions, following Joachim Wach, we note the principal components of this religious system, which was coextensive with the natural group. Doctrines and beliefs Rarely, where religious devotion is focused upon ritual santification of daily acts and, in other ways, upon the mystical, is any particular attention given to intellectual expressions of the faith. This does not mean that belief, in such relatively illiterate societies, is unimportant. On the contrary, the constant and repetitive dramatization of belief, in the rituals of day, week, season, and year, serves the functions of transmitting and perpetuating the beliefs, and of allowing them uninhabited emotional expression in the local society. In this manner belief is reinforced, and, although no belief "A. H. Oliveira Marques, A Sociedade Medieval Portuguesa Lisbon: Livraria Sa da Costa Editora, 1964, p. 163.

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33 is immune to loss of vitality and to embodiment in a dead ritual, the union of concept and emotion in the ritual imparts a sacred quality to the act and ensures its continuation. Sanctions are imposed more for ritual deviance than for intellectual disbelief. In Portugual and Brazil, the Inquisition was not directed against "heretics," but against "blasphemers." Generally, the blasphemy was an expression of exasperation at the failure of the functionalism to give the desired material or practical results. We consider under this heading the place of doctrine in the ritualistic religion of an illiterate society; the veneration of the saints; sin, punishment, and salvation; popular superstition; and messianic hopes. Widespread illiteracy, ignorance among the clergy, and a ritualism through which the clerical hierarchy exercised a high degree of social control, all militated against the development of a strong theological education for the priests and against formal doctrinal instruction of the people. Under such conditions, there was little avowed heresy but much ignorance of Church doctrine, on all social levels. It was natural that much of the Church's teaching should be done through religious art, in the temple and in the home. Religious expression in general appealed largely to the senses: in painting, sculpture, and the figures caught in glass and tapestry; in the upward reach of the church-building, and in its great doors open for all village activities; and above all, in the ubiquitous Crucifix. Certainly the characteristic belief of this medieval Catholicism — •still alive in much of Portugal and Brazil — is the functional belief

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34 in the saints as beings to be venerated and called upon for help. The / saint is believed to be able to calm the terror inspired by the spiritworld on the one hand, and a distant and wrathful God on the other. He is called upon for miraculous help and deliverance, and as a visible listener and consoler who can humanize religion and sanctify the human plea before the Almighty. He is an intermediary who can be found in the church, or kept at home, or dealt with at the road-side shrine. The type of commerce with the spirit-world which is represented by the popular cult of the saints has been an important point of transfer from Roman Catholic to Spiritist belief for great numbers of people. On the level of doctrine and belief, Roman Catholicism is above all a religion of salvation. Eternal life is the great issue. The elements most prominent in the exhortations of the priests in colonial times — and up to the present, in many localities — were the threat of Hell and the power of the clergy to aid in avoiding it. Therefore, the emphasis on sin and punishment was heavy, with sin considered principally as carnality, and this, in turn, equated with sex. In this manner great attention was focused upon sinful behavior, and a complex causistic classification of sins and their corresponding penances was developed. For example, the smelling of a flower could be either in the praise of God, or a carnal act of voluptous pleasure. Opportunity was given to the rich to compensate for sinful acts with gifts to the Church, and for the poor to be constant in church devotions, as their respective acts of penance. Later, in the nineteenth and twentieth centuries, these beliefs were to appear unjust or

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35 otherwise unacceptable to many, great numbers of whom would find comfort in the reincarnationist evolution taught by the Spiritists. The type of religious mentality which is here described possesses also the traits of credulity and superstition. Oliveira Marques notes the persistence in popular custom of practices related to ancient cults and superstitious beliefs. Many of these still carry a fagade of nominal Christianity. The existence of many others is made evident, says this historian, by the "long roll" of them named as sins in records of the Church, with their proper penances duly established. In a recent article, one writer has indicated what he considers to be two major "roots of Spiritism" in medieval and modern Portugal. These are the practice of witch-craft and the persistence of the 7 socio-political messianic hope known as "Sebastianism. It is true that there is some congruence between the psycho-social factors associated with the prevalence of superstitious beliefs and practices and those associated with phenomena such as "spirit-possession," "exorcism," et cetera Even so, it is also true that witch-craft and related practices exist in many areas, including large parts of Europe, in which Spiritism is unknown. Moreover, in certain countries such as England and Germany, in which Spiritism is relatively unimportant, belief in ghosts is nevertheless common. With regard to messianism as a preparation for Spiritism it must be remembered that messianic beliefs are normally found among oppressed Donald Warren, Jr., "Portuguese Roots of Brazilian Spiritism," Luso-Brazilian Review, Vol. 5, no. 2 (December, 1968), pp. 3-33.

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36 rural populations and other "pariah peoples." Many of their members, on migration to urban centers, may very well enter into "lowspiritist" practices related to voo-dooism. Few members of such groups, however, are attracted to the low-key evolutionist preacliments — diametrically opposed to messianic apocalypticism — of such indoctrinators as Allan Kardec. The isolated rural descendants of the Portuguese colonists and later immigrants, who according to Warren n'' would have preserved most completely the folklore of the mother country, are those among whom Spiritist organization and practice 9 are least found. Finally, all types of Brazilian Spiritist activities are entered into by great numbers of people of the most varied ethnic backgrounds. Thus, we are in complete agreement with Warren that the religious beliefs and superstitions of the Portuguese were among the elements involved in the formation of the Brazilian ambience in which Spiritism would later take root. We do not feel, however, that the evidence presented by Warren points to the causal relationships which he has indicated. This concludes the discussion of the belief system of the Portuguese colonizers of Brazil. We turn now to the examination of their cultic activities. g Cf. Maria Isaura Pereira de Queiroz, Messianismo — no Brasil e no Mundo Sao Paulo: Dominus Editora, 1965, pp. 93-115, 282-307; and Yonina Talmon, "Pursuit of the Millenium: The Relation Between Religions and Social Change," Archives Europeenes de Sociologie Vol. 3, no. 1 (1962), pp. 125-148. q Professor Warren has employed as one of his sources the same work of A. H. Oliveira Marques to which repeated reference is made in

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37 The cultus: ritual and observances In view of such ideological conditions as those found in medieval Portugal, it is not surprising that the three basic religious practices were the hearing of the Mass, confession, and penance. The fear of Hell was the mainspring of much devotion. There was much fasting; and set hours of prayer in the home, especially during seasons such as Lent, were the rule. Reference has already been made to the penetration of ritual to the steps and stages of daily life. The Portuguese were unusually given to pilgrimages, which were considered to be among the most efficacious means of obtaining indulgences, as well as offering chances for the enlarging of the villagers' restricted horizons. To this and, "throughout the whole country there had grown up churches, chapels, and shrines, all of 10 them sanctuaries of miraculous images and objects of fervent devotion," to which king and peasant alike repaired, the former often conspicuous in humble attire and afoot, the latter wide-eyed with touristic wonder and pious awe. This aspect of the mystical life, the pilgrimage to the holy place, still holds sway in the lives of devoted Brazilian Catholics. An outstanding instance of this is the existence of the shrine of Nossa Senhora Aparecida in the Paulista town of Aparecida do Norte — a town almost exclusively religious in function — and other local, regional, and national shrines. the present study. The writer has conferred with Prof. Oliveira Marques on the points made here, and has found that the historian's views coincide with his own. 10 Oliveira Marques, o£. cit p. 169.

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38 Chroniclers of the colonial period describe the emphasis upon externalities and the lack of depth of religious sentiment which prevailed and which has continued into the modern era. Jo?io Cruz Costa quotes an oft-cited passage of Father Julio Maria, a leading Roman Catholic figure of the nineteenth century: Ceremonies which fail to edify; devotions which fail to purify the spirit; novenas which reveal no fervor; processions which do naught but entertain; festivals which neither benefit the soul nor give glory to God — this is what has befallen the glorious and majestic practices of Catholic worship in the parishes of Brazil. 11 In Chapter VI, the subservience of the Church to the land-owners in the colonial period is indicated. During the period of the Empire, in the nineteenth century, the ecclesiastical hierarchy became deeply compromised with the political regime, and lacked both administrative autonomy and moral authority. The intense personalism of the Brazilian people has made it difficult for them to "separate the man from the act," and disrespect for the clergy undermined belief in the efficacy of the Sacraments. There was a widening rift between such men as Father Diogo Antonio Feijo, the regent of the boy-emperor Pedro II, and enlightened men of culture. Such men remained in the Church by custom or out of respect for family tradition. Cruz Costa has a reference to the emperor himself which even today reflects the religious attitudes of multitudes of Brazilian people: "Dom Pedro II, like his 1 -I M ^-^Joao Cruz Costa, A History of Ideas in Brazil Berkeley: University of California Press, 1954, pp. 55-56.

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39 cultured contemporaries, was a Voltairean — a rationalist who somehow . ,.12 managed to reconcile a vague spiritualism with Catholicism. We turn now to the third aspect of the Roman Catholic heritage of the Brazilians: its social organizational patterns. The religious body as social group The Church in Portugal, and later in Brazil, was coextensive with society. Except for the presence of a very small number of Jews and others, the Church was what Wach refers to as a natural or societal religious group, embracing every member of society from birth to death. Thus it was that common religious practice could permeate all of life; that religious law could be promulgated, and its flouting be punished, by the king; and that deviance from custom in any area of life might come under local religious sanction. Hierarchical authority in religion was accompanied by, and often identical with, civil authoritarianism. In the midst of a generalized religiosity, the mendicant and other religious orders — some of them monastic — provided institutionalized means of giving deeper and more specific expression to piety, in addition to serving the economic and social functions which were characteristic of them throughout medieval Europe. Laymen developed confrarias or brotherhoods, a type of religious trade-guild, which promoted the observance of certain feast-days and other seasons of the Church, and provided mutual aid for the members and works of charity in the community. As membership for the craftsmen became 12 Ibid. p. 57.

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40 obligatory, the craft union aspect developed and the more spiritual 13 and charitable functions waned in importance. Thus, on the local and the more general levels, the Church was the focu^ and the centrally-located local temple often the scene, of the social life of the people, the slow rhythm of life being measured by the passing of the days and seasons of ritual observance and religious feast. A low level of personal and public morality was promoted by the following: an atmosphere of unnatural and excitable piety; a religious fixation on carnality, both in sin and in its punishment; and a society composed chiefly of an idle nobility and clergy and a brutalized lower class. In addition to Fernao Lopes, famed chronicler of the 14th century, Portuguese writers such as Alexandre Herculano in the last century and the more modern Teofilo Braga and Mario Martins are among the many who have commented on these conditions. Oliveira Marques notes that the clergy were not — as is often supposed — worse than others of the upper classes, except as their vocation implied different standards. "Not a few women preferred a liaison (with a priest) to a normal marriage, as a means of satisfying their desires for luxury and wealth," this author reports, and he goes on to cite the great numbers of certificates of legitimacy which had to be secured for the 14 children of the clergy. Thus the laxity of the priests in Brazil — 13 Oliveira Marques, o£. cit pp. 151-152, 172, 182, 242, 244. 14 Ibid., pp. 136-137.

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41 many of whom also took concubines — was not a new thing, but, in the Brazilian phrase, vinha de longe "came from a long way back," in space and time. A decisive element in the organized religious body consisted of the religious orders. The outstanding example of religious motivation in colonizing was the dedication of the members of the Society of Jesus to their twin objectives: the Christianizing of the Indians and the building of Brazilian civilization through education. This activity itself was a product of the socio-religious and intellectual ferment of sixteenth-century Europe. In 1549, 15 years after Ignatious Loyola had founded the Society of Jesus in order to counteract the Protestant movement, a group of Jesuits accompanied Tome de Souza, first governor-general of Brazil, to the colony. Further mention of their work is made in this and subsequent sections. Their civilizing efforts came to an end in 1759, when they were officially expelled. Aside from the over-statements such as those cited earlier, concerning the role of religion in Brazilian life, the high place generally accorded the leaders of various religious orders and the popular Roman Catholic piety in the formation of the Brazilian society and character is well-deserved. The two "founding Fathers," Manuel de Nobrega and Jose de Anchieta, of disciplined missionary fervor and political acumen; Father Antonio Vieira, the powerful preacher and defender of Indians and slaves; Friar Vicente de Salvador; Friar Caneca, the patriot; and Mont'Alverne, preacher to the emperors — Fr. Serafim Leite, Paginas de Historia do Brasil Sao Paulo: Companhia Editora Nacional, 1937, Ch. I, and Fernando de Azevedo, o£. cit., pp. 141-150.

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42 these and such students of their as Eusebio and Gregorio de Matos, were decisive figures in the political, social, and literary development of life in Brazil. An important aspect of the role of the Church as a social body in the formation of Brazilian society was the subservience of the Church to landed interests. For three centuries and more this society centered upon the large agricultural holding. With political power in the hands of the senhores de engenho ," who lived on their properties, there were few functions to be carried out by towns, and the Roman Catholic Church lacked a focus for centralized control. The Jesuits, during their two centuries in colonial Brazil, dedicated their efforts in large measure to the mission work among the Indians. They understood this mission to consist in great part of clothing the Indians totally with their own Portuguese culture. For this purpose, they developed large plantations and sugar mills, to the extent that Azevedo could refer to the Jesuit as "the great colonial producer, 16 the greatest plantation owner of the tropics." This is probably an exaggeration, in view of the enormous holdings in the hands of a few colonial families. In any case, as Smith has pointed out, the Church never had land-holdings in Brazil on a scale even remotely approaching that which it enjoyed in the Spanish-American territories. Moreover, because of a royal letter issued on February 23, 1711, lands could not thenceforth be passed to religious orders, and many properties 17 were owned by local chapels; these were usually small. Azevedo, 0£. cit p. 350. T. Lynn Smith, Brazil: People and Institutions 3rd ed.. Baton Rouge: Louisiana State University Press, 1963, pp. 290, 322.

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43 As is indicated in the discussion of the family in Chapter VI, one aspect of the extended family organization was the tying of the priest-hood to the land-owning families. A common figure in the great houses was the uncle-Father, a brother or a cousin of the master who returned from the seminary as the spiritual shepherd of the plantation community, the tutor of the children, and often — with more or less discretion — the progenitor of his own brood of mulatto children. After the victory of the large landed proprietors over the Jesuits, in the eighteenth century, the clergy was placed in an even more dependent relationship to the landowners. Lack of mechanisms for protest and change It is typical of "natural" religious institutions that they discourage the development of social and cultic mechanisms for the 18 formulation of protest or the institution of change. Wach delineates four types of religious protests: "first, the isolated protest, individual criticism and deviation from the rest of the community; second, the collective protest; [third and fourth] both iil9 kinds either xd.thin the main body, or leading to secession. Religious protests or efforts at change may take place in any of the three areas which have been examined: doctrinal, cultic, or social. Movements of doctrinal protest normally come — among the Christian churches — as a result of renewed emphasis upon Biblical ISjoachim Wach, Sociolo g y of Religion Chicago: University of Chicago Press, 1944, pp. 289 ff. ^^Ibid. p. 156.

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44 and theological studies; we have seen that Brazilian Catholicism has presented little of such emphasis. Within a highly centralized ecclesiastical hierarchy, such movements, which also are normally prerequisite to cultic changes, are restricted to the clergy, and their spontaneous appearance is highly improbable. Until the modern, largely secular, movements of social protest began to impinge also upon the religious institutions, the only types of religious protest that were possible on any significant scale were laxity in religious observance and the practice of superstition. Such negative isolated expressions, and the futile cultic sanctions and moralistic preachments with which they were combatted by the clergy, only attested to the servility of the religious institution, which was incapable of calling into question the social order. Maximum ecclesiastical bodies, in Wach's terminology, are generally "naively positive" with regard to the society of which they are a part. Having noted briefly the principal doctrinal, cultic, and social features of Roman Catholicism as they have affected, and have been expressed in, Brazilian life, we turn now to the Indian and African backgrounds. The Religious Influence of the Indian and the Negro Although such writers as Azevedo and Pedro Calmon refer to the effects of the Indian and the Negro upon the character of Brazilian religion, none of them present specific contributions of the Indian which might have endured and become a part of Brazil's general

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4i religious heritage. The indigenous culture encountered by the Portuguese explorer and colonist was far simpler and more primitive in content and much weaker and less developed in institutions than were the complex civilizations which faced many of the Spanish conquistadores. To this day, the over-all reaction of the Indian to the advance of the white man has been a combination of submission and withdrawal. Except for some influence of pajelanga or shamanism, in isolated areas of the Amazon country, the contribution of the Indian has been re20 stricted largely to the domestic and literary aspects of culture. Freyre has emphasized the major role played by the Negro slaves, particularly the women within the houses of their masters, in shaping the total outlook and patterns of behavior — including the religious — of the children of the Portuguese from the day of their birth. An important part of this influence, Freyre reminds us, was Catholic: "I am concerned with correcting the idea that it was through his nurse 21 that the child received the evil influences of the slave hut." In this, he is emphasizing the human warmth and kindliness which the Negroes imparted to their adopted Roman Catholic observance. This latter, on the part of the whites, was apt to be merely formal, when not motivated by fear. Much of the burden of Freyre 's massive work. 2'^Cf. Artur Ramos, Introdugao a Anthropologia Brasileira Rio de Janeiro: Casa do Estudante do Brasil, 1943; Azevedo, o£. cit pp. 147-149, 303-304, 330-331; Pedro Calmon, Espirito da Sociedade Colonia l, Sao Paulo: Companhia Editora Nacional, 1935, pp. 182-199. ^'Gilberto Freyre, The Masters and the Slaves trans Samuel Putnam, 2nd Eng. ed., rev.. New York: Alfred A. Knopf, 1961, p. 372.

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46 however, has been the tracing of the manner in which the institution of slavery infused into Brazilian society and culture elements of extreme importance — including those of the African religions. In the volume referred to above, he enumerates religious fears and superstitious beliefs which passed from the slaves to the children of both blacks and 22 whites. The effects of this transmission of beliefs, as late as the nineteenth century — and, in many places, to the present time — are set forth in another work: Fetishism was predominant. At times the porch of a house was found in the morning to be spattered with sand from the cemetery; or cabalistic signs were scratched on the wall with charcoal; or pans full of vile things or frogs with their mouths sewn shut would appear in the yard. It was fetishism. The fear of black magic over-shadowed the lives of many women. Filled with anxiety, the poor matrons sent for Negroes known to them who could take the spell from their houses. The struggle against witchcraft was one of the constant preoccupations, one of the tasks with which a housewife of the Northeast was faced in the nineteenth century. It is important to observe that black magic was fought with still stronger powers, and rarely with exorcisms or other practices of the Church alone; the domestic intertwining of two cultures facilitated the syncretism which began in the overt submission of the imported African to Roman Catholic ritual. As in the case of the Indian beliefs and practices, much of the African heritage was concerned with superstitions which were not ^^ Ibid 23 Gilberto Freyre, Regiao e Tradigao Rio de Janeiro: Livraria Jos^ Olympio Edit3ra, 1941, p. 139.

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47 intrinsically religious, and which have had their counterparts in many cultures, alongside various types of religion. Nevertheless, the African religions have been among the m.ost influential of the cultural elements brought by the slaves. The Afro-Brazilian cults, loosely known as "low spiritism," constitute a major religious and social phenomenon in Brazil. Their emphasis upon ritual healing is beginning to be felt strongly among rationalistic Kardecists. Despite the presence of such disparate religious elements, the nineteenth-century Brazilian could conceive of himself as belonging to only one religious institution, the Roman Catholic Church. Indeed, vast numbers of people knew of no other. As commercial and cultural ties with Europe and North America grew stronger, new expressions of religious faith were brought to Brazil which were to produce incalculable social effects in that country. These are considered in the following section. The Development of Religious Pluralism The position of the Roman Catholic Church as a maximum-type ecclesiastical body, co-terminous with a major part of the population of Brazil, continues until the present. Its increasing loss or weakening of functions for and control over the people led to the sharpening of distinctions not only between the professionally "religious" and the laity, but between the devoted laymen, beatos ," and the more or less indifferent mass. It remained, however, for exogenous groups to introduce new doctrines, practices, and religious social

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48 structures which would make of the Catholic Church one among several competing religious bodies. The growing individualization and rationalization of human life in the modern era contributed to the weakening of traditional religious institutions and to the development of a plurality of religious sects and denominations. This was the case in both France — the home of Kardecism — and Brazil, the country in which Spiritism has had its greatest growth. The teachings of Allan Kardec were brought to Brazil no later than the early 1860's, and conditions surrounding their acceptance there are similar in many ways to those related to the growth of Spiritism in France itself. (In Chapter VI, we concern ourselves with intellectual and other influences of France which were brought to bear upon Brazil.) Here we merely indicate certain aspects of French religious life that had a direct effect during this period upon Brazilians who were discovering Kardec as they studied in Paris. These same aspects exercised a more diffuse effect as parts of the general French impact upon Brazilian culture and societal life. The Roman Catholic hierarchies in France and in Brazil passed through similar vicissitudes, in subordination to their respective governments, and to the Papacy, during the nineteenth century. In both cases there were movements for latitude and liberty for the clergy, but these movements had different motivations and expressions. A distinguished historian has noted that in France, by 1830, the relative freedom of expression enjoyed by the people was also of value to the Church in the identification of its mission of service. "In

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49 order to take their place in the life of the nation... the Catholics had to recognize Liberalism as the basis of action.' The Liberalizing movement was led by Montalembert and Lamennais, who were also instrumental in changing the liturgy from Roman to Galilean. The ethical expressions of religion were also emphasized: "Frederic Ozanam (1813-1853) gathered Catholic students at the universities into a society for charitable activity among the working classes, and thus 25 became the forerunner of 'social Catholicism.'" This liberal movement was brusquely cut off by the Syllabus of Pope Pius IX in 1864. Nevertheless, the image of a servant Church had been upheld before the people. In this respect the Brazilian experience was of a contrary nature. The position of Roman Catholicism as the official religion of the Empire had been found to be a trap, as we have indicated, and as far-sighted clergymen had warned, in the constituent assembly of 1823. This condition was brought to a head in 1872, when two of the leading bishops ordered their priests to withdraw from the Masons, and were themselves finally imprisoned by the Crown. The issue at stake was not — as in France — the Church's place in the socio-religious life of the nation, but the limits of its political power and of its own internal control. The hierarchy in general was pleased with the separation of its power from those of the State in the ^'^Emst Robert Curtius, The Civilization of France trans. Olive Wyon, New York: Macmillan, 1932, p. 142. ^^Ibid. p. 143. Cf. also A. Latreille, E. Delaruelle, J. R. Palanque, and R. Remond, Histoire du Catolicisme en France Vol. 3, Paris: Editions Spes, 1962, pp. 301-324, 423 ff.

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50 republican decree of November 15, 1889. However, from that period on, the Church's ultramontane tendency helped to draw it even further away from the life of the people. Thus while the French codifier of Spiritism and the young Brazilians who were studying in his homeland were witnessing the preaching of humanity as a high religious value — perhaps the highest — the stronger tendencies in the dominant religious institution of the Land of the True Cross were away from the ministry to basic human needs. At the same time other groups were at work which did manifest concern with the welfare of society, at the same time that they demanded a commitment which for many of their followers was almost religious. For example. Masonry, with emphasis upon humanitarian and democratic values, created another center of loyalty which was often in opposition to the Church. It helped to meet certain social needs of its own members (relatively few in number) and to promote, at least verbally, liberal ideas. Positivism, which is treated in some detail in Chapter VI, brought — in addition to its intellectual function a type of quasi-religious expression to an even smaller elite. Much of the importance of such movements lies in their popularization of the assumption that commitment to a social or religious system should be made on the basis of rational choice. There were other, more specifically religious, forces at work to complete the creation of a religious pluralism in Brazilian society, and we turn to them at this point.

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51 The Advent and Growth of Protestant Churches During the 1960 's, several Protestant bodies celebrated the centenary of the beginning of their missionary efforts in Brazil. In the early days, legal restrictions and the opposition of the Roman Catholic Church were partially responsible for the channelling of a great part of their resources of the Methodists and Presbyterians, in particular, to educational work. In this way they were able to make a legitimate, acceptable entrance into the social system with a vital contribution in an area in which Brazil was weak and also to gain the good will and support of many substantial citizens. Their religious activity had two major foci: the towns in which the schools were operated as well as others from which students were drawn, and the great rural areas. Fernando de Azevedo has pointed out the function of the rivalry between the Protestant and Catholic forces in bringing them to a sharpening of their belief and to greater exertions in ministering to the material, intellectual, and spiritual needs of the population. The posing of options in matters of religion was, in most areas, an innovation. The alternatives were put in terms of all of the fundamental aspects of religious experience: of doctrinal belief (with the reading of the Bible, and therefore a modicum of education, as a central issue) ; of loyalty to and participation in the central social institutions (the religious and often the familial) ; of the moral life and eternal destiny; and of pageantry and priestliness as over against ^^Azevedo, 0£. cit pp. 157-159.

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52 personal, inner decision. With the presence of a plurality of wellarticulated religious statuses, the factor of choice came to be present in Brazilian religion to a far greater extent than formerly. Other important developments in Brazilian Protestantism were the arrival within a few decades of large numbers of German Lutherans, the rise and growth of Pentecostal sects, and the increasing nationalization of all the Protestant groups. Nevertheless, in relation to the rise and growth of Spiritism in Brazil, the most important aspect of the advent of the Protestants is the nature of the major missionary Protestant denominations mentioned above. These groups put a premium upon education, rational decision, personal experience in religion, moral uprightness, and the practical application of religious principles in every-day life. These features, which they shared with Spiritism, were instrumental in guiding the development of the major segments of these denominations into middle-class organizations. Thus the sociological similarities exhibited by the Protestant denominations and the groups of Spiritist believers were indicative of the competition which would inevitably develop among them, as well as between each of them and Roman Catholicism. That the similarities and parallelisms have been only partial is apparent in the following section. This, however, does not affect the present point: that Protestantism was largely instrumental in creating a condition of "religious pluralism" in Brazil, and that Spiritism was also involved in bringing about this condition and in profiting from it.

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53 Spiritism on the Scene in Nineteenth-Century Brazil By 1850, the rappings heard by the Fox sisters (Cf. supra p. 22) had been transformed, in the salons and parlors of America and Europe, into actual moving of tables, chairs, hats, and other objects, under the conditions of the seance. A Spiritist writer has verified, through newspaper accounts in Rio de Janeiro, that the table-turning phenomenon reached that city in 27 1853, and the newspapers of other major cities report the spread of the fad. Mesmer's "animal magnetism," together with homeopathic medicine, were already in use by a few Brazilian physicians during the 1840' s. The beginning of Spiritism in Brazil, however, is officially identified with a seance held in Salvador, Bahia on September 17, 1865, under the direction of Luis Olympio Telles de Menezes, a physician. In the same year Telles de Menezes defended the teachings of Allan Kardec in a Bahian newspaper, an act for which he ^'Zeus Wantuil, As Mesas Girantes e o Espiritismo Rio de Janeiro: Federagao Espirita Brasileira, 1958, pp. 7 ff. 28 Isidoro Duarte Santos, Espiritismo no Brasil ( Ecos de uma Viagem ) Rio de Janeiro: J. Ozon Editor, 1961, p. 226. The author, director of Estudos Psfquicos official organ of Portuguese Spiritism, in this work describes (euphorically but helpfully) the people, the activities, and the installations of Spiritism in a number of Brazilian cities visited by him. In the item cited, he refers to two physicians, Bento Mure and Vicente Martins, as "famous doctors" who conducted a great charitable enterprise in which they employed mediunic trances. Many such items, for which there is, to this writer's knowledge, no documentation, will be referred to as historical, since they are a part of the accepted Spiritist lore. Mention is also made of these two men by Francisco Candido Xavier in his psychographed history of Brazil, Brasil: Coragao do Mundo e Patria do Evan2:elho 6th ed., Rio de Janeiro: FederajSo Espxrita Brasileira, 1957, p. 141.

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54 received the appreciative acknowlegement of the Master himself. A short-lived organization was formed, with the name "Grupo Familiar de Espiritismo"; in 1869 — the year of Kardec's death — this group published the first Brazilian Spiritist periodical, Eco de Ale mT6mulo ( The Echo from Beyond the Grave ). The journal was circulated only for one year. In 1873, the "Grupo Confticio" was formed in Rio de Janeiro, including in its number professional and military men. Under the auspices of this group, and despite much criticism, the Livraria B. L. Garnier, the nation's largest printing establishment, published the Spiritist Pentateuch, Kardec's five basic works. Further developments in the organization and growth of Spiritism are recounted in Chapter IV. A recent biographical sketch of Telles de Menezes indicates that the brief existence of many of the early Spiritist organizations was not due entirely to the doctrinal and other dissensions which swirled about the new movement. ^^ When, in 1871, Telles de Menzes and 29 others attempted to charter the "Sociedade Espirita Brasileira," Godoy reports that despite civil approval, they were denied the charter by the negative reply of the authorities of the established 30 religion. The group then re-applied, indicating that the society was of a scientific nature, and denominating it the "Associagao Espirftica 29 Paulo Alves de Godoy, "Centenario do Primeiro Jornal Espfrita do Brasil e a Obra de Telles de Menezes," AI^uArIO ESPIRITA 1969, Araras: Institute de DifusSo Espirita, 1969, pp. 73-76. 30lbid. p. 76.

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55 Brasileira." Such conditions must have been of some aid to those Spiritists who insisted, in the internal struggles of the movement, upon the scientific and non-religious nature of the doctrine. Friar Boaventura Kloppenburg, ready to demonstrate the liberty enjoyed by the Spiritists, cites the following passage from a report sent by the "Grupo Confucio," on April 11, 1874, to the Revue Spirite in Paris: ...[hoping that] with the help of the men of good will, and thanks to the freedom of the press which we enjoy here without restrictions, the propaganda so propitiously begun may continue to grow with each day, without obstacles, and will not be long in arriving in the most distant provinces of the Empire. Heavy polemics involved both Spiritists and Catholics, however, and outside cosmopolitan Rio, a city in which Spiritism had highly placed friends, greater repression of the new doctrine was possible. Even in the capital, the interloper was under attack, especially as it sought recognition as a religion. Kloppenburg records the reaction of a Church paper, Apostolo ; The Spiritists miss no occasion to antagonize the Church.... We have already reached the time when a religion can be instituted just like any social club: it is merely a matter of drawing up the bylaws, appointing the leader and beginning to marry and baptize and exercise all the functions of religion. This is real progress* and humanity has gone a long way with Spiritism. •^-'Boaventura Kloppenburg, Espiritismo no Brasil Petropolis; Editora Vozes, 1960, p. 16. ^^Ibid. p. 17.

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56 Thus in the final third of the nineteenth century, Brazilian society came to feel the effects of a genuine religious pluralism. Previously, the clergy often had had to deal with the heathenish practices and superstitions of the African religions, with occasional blasphemies or heresies, and with the widespread indifference to the Church, but all these had been considered as conflicts within the system. Now, with lines drawn between the official religion on the one hand, and the Protestant denominations and Spiritism on the other, religion was a matter of choice. There was also to become increasingly apparent within Roman Catholicism itself the distinction between those who made their faith a question of conscious decision and those who were nominal adherents. The assertion which is often heard, "Sou catolico praticante ," is one small manifestation of the manner in which the ecclesia has taken on certain characteristics of a denomination.

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CHAPTER IV ESSENTIAL FEATURES OF SPIRITISM IN BRAZIL In this chapter, it is our purpose to examine the movement under study, within the framework of its three major forms of expression: doctrines and beliefs, cultic activities, and internal social relationships Spiritist Doctrine According to Allan Kardec Hippolyte Leon Denizard Rivail (1803-1869), resident of Paris, professor of mathematics, science, and grammar, was introduced in 1854, to the "table turning" phenomena of the spiritualist seances then popular in Europe. His inquisitive mind was intrigued by a message given to him through two young girls who were mediums, and signed, "Spirit of Truth." In essence, the message informed him that spirits of a very high rank would continue to communicate with him through the two mediums since he had been selected for a mission of the highest order. A methodical man by nature, Rivail — who was not himself a medium — proceeded to "try the spirits." The spirit communications had been made at first through a code of taps of the seance table. A scientistic pedant, Rivail assumed that such patterned "effects" must have an intelligent "cause," the most plausible one being that which was claimed in the messages. .the activity of spirits. He hit upon a system of "planchette-writing," whereby the spirits guided a pencil attached to a small basket, upon which the mediums' fingers were lightly laid. Rivail then began an extensive interrogation, in which the revelatory 57

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58 spirits guided, answered, and commented on a systematized series of questions concerning life and the universe. 1 On April 30 of 1856, according to a biographer, the Spirit of Truth" announced to Rivail that his mission on earth was to publish and promulgate, under the pen name "Allan Kardec," the teachings which he had received from the spirits. One year later he brought out Le Livr e des Espirits, first in an abbreviated form, and, in a few months, in a second and fuller edition which has remained definitive for his followers to this day. This adaptation of the experimental method became the hallmark of the Spiritists' mediunic activity in the face of a skeptical world. In addition to his own epitaph, Kardec 's followers had the following words inscribed on his tomb in the cemetery of Pere Lachaise, in Paris: Allan Kardec Fondateur de la Philosophie spirite. Tout effet a une cause. Tout effet intelligent a une cause intelligente. La puissance de la cause est en raison de la grandeur de 1' effet. 3 octobre 1804 — 31 mars 1869 Thus a major characteristic of Kardec's writings is the constant appeal to the candid consideration of facts as they are observed, in accordance with the self-confident scientistic ethos of his century. For example, the objectors to spiritistic manifestations, who dub them works of the devil, are reminded: "...if they exist, it can only be with Andre Moreil, La Vie et L'Oeuvre d 'Allan Kardec, Paris: Editions Sperar, 1961,

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the permission of God, and hov; then can we, without impiety, believe that He would permit them to occur only for a bad purpose...? Such a supposition is contrary alike to the simplest dictates of religion 2 and of common sense." In the same way. Biblical literalism is eschewed. The harmonization of the Genesis narrative of the Creation and the miracles of the Bible with the scientific knowledge and opinions of his day is reminiscent of the general approach accepted by many today: to wit, that scientific error on the part of Biblical writers does not mar the spiritual value of that which they have to say. Thus, for Allan Kardec and the adherents of his doctrine, the Bible is not a final authority, and where it is in conflict with Spiritist doctrine, the latter is definitive. The Spread of the Teachings of Kardec Le Livre des Esprits and, to a lesser extent, the more practicallyoriented Le Livre des Mediums (1861) and a commentary of the four Gospels of the New Testament, L'Evangile selon le Spiritisme (1864), provide the basic content of Spiritist doctrine. With his phlegmatic, diffident manner, Kardec laid no claims to originality for them, considering himself merely a systematizer and codifier. "History," he stated, concluding the preface to his first work, "proves that most of the ideas herein set forth have been held by the most eminent thinkers of ancient 2 Allan Kardec, The Spirits' Book trans. Anna Blackwell, Sao Paulo Livraria Allan Kardec Editora, 1964, p. 44.

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60 and of modem times, and thus gives to them the additional sanction of its testimony." All of the works mentioned, and some of Kardec's lesser writings, have gone through many editions in French, Italian, Spanish, Portuguese, and other languages. An English translation of Le Livre des Esprits was made circa 1880 by Anna Blackwell, who gave it the rather awkward title. The Spirits' Book.^ The publication of Kardec's works in Brazil is mentioned in some detail at a later point. Allan Kardec's doctrinal presentation appears to have provided a rallying point for those — especially in Europe — who had been intrigued by the "psychic phenomena" but had not found a meaningful way in which to relate them to their own existence. Shortly after the publication of Le Livre des Esprits in 1857, Kardec organized the Societe Parisienne des Etudes Psychologigues and founded, as its official organ, the Revue Spirite, which is still published. Kardec received correspondence and detailed reports concerning spirit messages and other spiritistic phenomena from many parts of the world. Although his biographers tell of his careful and systematic study of these voluminous reports, they are considered only as confirmatory of his published doctrinal formulations, and none of these latter were modified. Kardec's later writings consist of the spelling out in greater detail or the summarizing of his teaching in the major works; these later books are: 2 This translation was recently brought out, after years of being out of print, in its first Brazilian printing in English, by the Livraria Allan Kardec Edit3ra (LAKE), Sao Paulo, 1964. A major purpose of this edition is its diffusion in Great Britain.

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61 La Genese les Miracles et las Predictions selon le Spiritisme (1867), Le Ciel et L'Enfer ou la Justice Divine selon le Spiritisme (186A) Qui est le Spiritisme ? (n.d.)? Le Spiritisme a sa plus Simple Expres sion (n.d.), and collected occasional papers called Oeuvres Posthumes (n.d.). Although "spiritualism" has a substantial following in Great Britain, Anglican orthodoxy and the traditional directions of English philosophy have militated against the acceptance of the idea of reincarnation. Thus, with Britain and America outside their camp, the works of Kardec and of others of his movement have been little knoxNnn in the Englishspeaking world. The socio-cultural reasons for his acceptance in southern Europe and South America are, of course, at the heart of the present study. The "Spiritualist Philosophy" The Spirits' Book is given its title under the heading, "Spiritualist Philosophy," and the res\jne of Spiritist doctrine contained in this section follows the plan of that work. The volume is divided into four "books." The first deals with God, Creation, and the composition of the universe. The second is concerned with spirits and man, the plurality of existences through reincarnation, and the intervention of spirits in the corporeal world. In the third book are presented the divine laws of the universe, and Book Four is called "Hopes and Consolations." We proceed now to such consideration of these teachings as will throw light on the socio-religious movement to which they are related in Brazil. 4 The editions used by the writer have in almost all cases been in Portuguese; these editions will therefore be cited in this study.

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62 The Kardecist Concept of Deity "God is immutable, immaterial, unique, all-powerful, sovereignly just and good. "5 Thus Allan Kardec begins his summary of Spiritist doctrine. In accordance with the author's positivist background. Deity is described principally in terms of intelligence and power. God, having once created the universe, has left its direction to immutable laws; were He to interfere with them, this would show imperfection in Him, and instability in the universe. ^ This is, of course, simply a restatement of traditional deism. Similarly. God's existence can be proven: Question 4, "What proof have we of the existence of God?" receives the reply, "The axiom you apply in all your scientific researches, 'There is no effect without a cause.' Search out the cause of whatever is not the work of man, and reason will furnish the answer "^ God is one. Jesus was not divine, but a perfected Spirit; there is therefore no place for the Christian Church's doctrine of the Trinity. Cosmology Man's pride and imperfection are the causes of much ignorance. Yet through the spirits God can and does reveal to man that which is essential for his progress but which is beyond the pale of scientific investigation. The Spirits' Book p. 31, 6™, . ^h.^ .1 ""^ ^^^'' important as an assurance to the timid and fearful that the occurrences in stances are simply natural phenomena The. is no supernatural; all is under the laws of God. The Spirits' Book p. 64. ire

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63 There are four aspects of the composition of the universe: The first aspect, "spirit," is the "intelligent principle of the universe," and the second, "matter" is its agent or instrument. There is, thirdly, another element, a "universal fluid," which contains the fourth, the "vital principle." The mediation of these is necessary for the spirit to be linked to matter and give it life. There are, then, two worlds, a world of spirit and a world of matter. Spirits are created by God. Theirs is the enduring world; the material is transitory. The spirits are everywhere, though unseen. Our globe is but one of millions of inhabited planets in the universe. As is shown in detail below, these "worlds" are crucial for the journey of the spirits throughout their existence. The spirits form a hierarchy of three general orders: that of predominant ignorance and evil, when the spirits are as yet relatively undeveloped; that of predominant goodness; and that of perfectedness in knowledge and purity. These orders embrace a total of 10 "classes," or sub-divisions; the destiny of all spirits is to develop and progress through the 10 stages by their own efforts until they reach perfection. All spirits are of equal potential, though at lower stages in their existence they may be unaware of this. There are no "evil spirits" or "demons" in the popular sense, but through the exercise of their free will, spirits may be ignorantly rebellious or frivolously mischievous. The Nature and Place of Man The process of development of the spirits must be carried out largely under the conditions of corporeal existence; therefore, spirits must be incarnated in order to carry out their missions. Man has

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64 been created by God to be the instrument in the incarnation of the spirits in our world. The universal fluid, or life-giving link referred to above, is described, in the case of man, as a "semi-material envelope," called a "perispirit. Man is thus composed of three elements, the spirit (or the soul), the body, and the perispirit which links them. Man's responsibility is great; for it is according to his deeds in this life that his spirit will find its place and mission in its next existence. His duty is to learn to obey God, the law-giver. The doctrine of grace, whereby God establishes a relationship of mutual trust and love, through his forgiveness and acceptance of man, is firmly rejected. The special importance of "magnetic fluids" in Brazilian Spiritism The idea of the "fluidic" action of spiritual forces is important for the directions taken by Spiritism in Brazil, in view of the emphasis on magical and spiritual healing in that country. Allan Kardec adopted Mesmer's concept of "animal magnetism" as the operative force in spiritistic phenomena. It is through the mutual action of their perispiritic fluids that the medium and the incorporating spirits are thought to communicate and to channel efficacious Q forces to those in need. One of the few references to healing made by Kardec in his major works concerns the basis for it in the action of a 9 spirit upon the magnetic fluids. He gives further attention to the Allan Kardec, Livro dos Mediuns Sao Paulo: EditSra Pensamento, 1963, pp. 62-71. ^Ibid. p. 117.

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65 subject, in A Ginese a large part of which is devoted to the"deinythologizing" of the miracles of the Bible. F. C. Xavier, through his influential books, has popularized the application of a scientistic argot to the mediumistic processes, especially those of healing. In one of these books, the author purports to accompany Superior Spirits as they heal the sick through the instrumentality of devoted mediums. There is due association of the work with the names of William Crookes, the Curies, Roentgen, Einstein, et al. and the Spirits observe the inner states and actions of the mediums with the use of a sort of spiritual X-ray machine called a "psychoscope." They speak of men as being "generators of electromagnetic force," who also emit ultraviolet radiations. The selfless devotion of the mediums, say the Spirits, puts them in "appreciable vibratory conditions. .able, therefore, to project mental rays..., assimilating superior currents and enriching the vital rays of which they are dynamos in common." One of the most influential of the books concerning spiritistic healing is particularly impressive to the average reader because of the copious use of scientific jargon, the presence of well-executed multi-colored drawings, anatomical charts, et^ cetera and because of the introduction x^rritten by Sergio Valle, a Spiritist medical doctor. In this work also, the operation of the magnetic fluids is fundamental to the presentation. ^ F. C. Xavier, Nos Domfeios da Mediunidade Rio de Janeiro: Federagao Espirita Brasileira, 1954, p. 24. Wenefledo de Toledo, Passes e Curas Espirituais Sao Paulo; Editora Pensamento, 1958.

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66 This doctrinal emphasis is a major aspect of a fundamental turn which Brazilian Spiritism has taken: that toward a mystical charitableness, with emphasis on mental and physical healing as central to its mission in the universe. Such an emphasis upon thaumaturgy and religious therapy might well have been predicted on the basis of the instrumental character of religion and of the relation of religious sentiment to natural and physiological processes, which were indicated in Chapter III, on Brazilian religious backgrounds. Reincarnation and ultimate destiny Newly-created, undeveloped spirits — all of equal intelligence at their beginnings — gradually acquire consciousness of themselves and of their duty to obey the will of God, as they gain experience. Through reincarnation, the spirits progress to the final stage of perfect intelligence and rationality, which means perfection of decisions and choices of the divine will, which is characterized mainly by charity. BCardec is at pains to emphasize that all movement is forward and upward, all reincarnation is to a higher place and form. Spirits do not regress; man cannot become animal, as he is thought to do in Hindu metempsychosis. Neither is there a continuity by which the spirits in animals "rise up" to human level; there is a qualitative difference. The necessity of progress is not considered as a negation of freedom. The different conditions faced in the successive incarnations are designed to stimulate the spirit in its progress, and to provide it with appropriate opportunities for retribution and expiation. This is the Law of Karma at work. If for every cause there is an effect, then also for every wrong, every act of ignorance or disobedience, there must be retribution in exactly the same measure. Legion are the stories

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67 such as that of the man who stabs his enemy, and in his next incarnation is a paralytic in his right arm. Paradoxically, this implacable law expresses the theodicy from which Spiritists profess to derive great comfort: here lies the justification for all of what appear in this life to be injustices, inequalities, and undeserved suffering. In the end, everything balances. Faced by the objection that some of these ideas resembled doctrines of Pythagoras and of the sacred writings of India, Kardec blandly reiterated his observation that the truths enunciated by the spirits in his seances have been in the thoughts of great men from the earliest times. It is perhaps more than coincidental that he began his writing in the period when French and German scholars were in the forefront of the modern study of ancient and Oriental religions, and were translating their sacred writings. Such studies would not go unnoticed by a man with the interests held by Kardec. The numberless habitable worlds in the universe fall into categories which correspond to the various levels of development of the spirits. Even within our own solar system there is differentiation. It is apparent that the vale of tears which is the Earth is at a rude stage of evolution. Jupiter is at a far, far higher stage; Saturn, less so; Venus is superior to Earth; while Mars is at an even lower stage than ours. In this bread but finite perspective, with its wide range of possibilities, the apparent injustices, the cruel inequalities, and the seemingly undeserved suffering and evil of this world are seen as -'•^Cf. Yvonne Castellan, Espiritistno Sao Paulo: Difusao Europeia do Livro, 1955.

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68 parts of a forward-moving process within which justice and equality are at work. To sum up: We assert that the doctrine of the plurality of existences is the only one which explains what, without this doctrine, is unexplainable; that it is at once eminently consolatory and strictly conformable with the most rigorous justice; and that it is the anchor of safety which God IT in His mercy has provided for mankind. Many pages of Book Two of this volume are given over to questions representing the popularly curious mind: the infancy of spirits, their experience of death, their means and rates of locomotion, their sex (none), the relationships among those which have had previous kinship ties here on Earth, and many others. The third major subject treated in Book Two is the one which follows. Intervention of the spirits in the corporeal world Such types of intervention by spirits as thought-penetration, the influencing of historical events, the universality of guardian angels, and intervention in physical acts (very rare) are dealt with. Communication through mediums is mentioned only in the introduction of The Spirits' Book in summary fashion; the full treatment of this is found in The Book of the Mediums In this latter volume are presented the conditions for development of the mediunic "gift," the various types of mediumistic activity — speech, spiritwriting, clairvoyance, etc. — and much practical guidance. The author's theme here is the evolutionary ^^Kardec, The Spirits' Book p. 147. 14 • Kardec, Livro dos Mediuns pp. 138-200. In an appended glossary, a medium is defined as "a person who can serve as an intermediary between the Spirits and men," p. 335.

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69 differentials among the non-incarnate spirits, differentials which determine the nature of their relationships with incarnate spirits; that is, human beings. The Laws of Life and the Universe Book Three of The Spirits' Book may be called the book of the laws. In positivistic fashion, Kardec felt that he had been given the observable and reasonable evidence, by spirit revelation, for the stating of certain principles as laws of life and as regulatory principles of the universe. We can only mention each by name here: the laws of adoration, of labor, of reproduction, of preservation, of destr, .ction, social law, law of progress, of equality, of liberty, and the law of justice, love and charity. This last, by which we are commanded to achieve perfection, is also summed up in what Jesus has given to us as the Golden Rule. The Ultimate Theodicy The fourth and final book, called "Hopes and Consolations," is another section which was later expanded and developed into a larger work. Heaven and Hell It sums up the theodicy which runs through from the beginning of the work, with the assurance that "Heaven" and "Hell," so violently insisted upon by formal Christianity as final, objective realities, are states which the soul creates for itself. The peace and joy of the one grow, and the tortures of the other diminish, as the spirit makes its way along the evolutionary path to perfection. The spirits ...teach us that there are no unpardonable sins, none that cannot be effaced by expiation. Man finds the means of accomplishing this in the different existences which permit him to advance progressively, and

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70 according to his desire and his efforts, towards the perfection that constitutes his ultimate aim. The deistic rationalism, the pragmatic moralism, and the nontranscendent spiritism of this system leave it centered on man himself. The heart of the doctrine is reincarnation; all other major aspects of it are corollaries of the plurality of existences. From a practical, epistemological point of view, one of those aspects — communication with the spirits — might be considered just as basic, for acceptance of such communication is necessary to the authoritativeness of the doctrine. Thus, in theory, the "Third Testament," or "Third Revelation," depends for its authority upon the acceptance of spirit communication as valid. However, what is posed is a problem in the sociology of knowledge: are the teachings and practices of Spiritism so in tune with certain socially-felt needs and societal changes and currents as to be accepted on their common-sense appeals? Do they in this manner lend credence themselves to the spirit-source to which they are attributed, regardless of its validity? The question which must be asked of every religious and social movement must be put in this case also: What are the latent societal factors in its inception and growth, and to what extent are they dependent upon the manifest factors? to what extent may the manifest factors depend upon them ? These questions will come to a natural focus in the analytical sections of this study. 15 The Spirits' Book p. 36.

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71 From philosophy to religion The principal expression given to a religious doctrine by its adherents can be intellectual, mystical, or practical. Which of these expressive emphases is taken in a given situation is partially determined by the kinds of religious expression encountered in already-existing religious institutions, and by the relationships of the various segments of society to those institutions. Allan Kardec gave to The Spirits' Book the descriptive title, "Spiritualist Philosophy." J. Herculano Pires, professor of psychology and a leading Spiritist intellectual in Sao Paulo, has called attention to Kardec 's avoidance of the term "religion" in The Spirits' Book citing verbal statements of "The Codifier" to the effect that to call Spiritism a religion at that stage would have simply identified it in the mind of the public as another sect. Pires reiterates the point that the religious aspect of the contents of The Spirits' Book is evident, but that the doctrines are of such nature that their revelation had to be held in abeyance until the dawn of the scientific era. "'Without scientific development,' asserted Kardec, 'there would not have been created in the world the climate necessary to the comprehension of Spiritism.'" In these and other passages it becomes clear that in his positivistic age Kardec felt the necessity of the protecting mantle of scientism. J. Herculano Pires, Espirito e o Tempo Sao Paulo; Editora Pensamento, 196A, pp. 191-192. This position is generally held in Brazil today; Spiritism is not a religion, but is fundamental to all religion. Ibid. p. 66; see also pp. 75 and 143.

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72 Kardec devotes half of the Introduction of The Spirits' Book to the refutation of objections to Spiritism; the first of these is "the opposition of the learned world." It is here that a paradoxical tone is set for the treatment of the subject of science in its various reappearances in the volume. The unity of knowledge, both spiritual and material, is strongly asserted: All the laws of nature are divine laws, since God is the author of all things. The seeker after science studies these laws of nature in the realm of matter; the seeker after goodness studies them in the soul, and practices them. But alongside the unity of Truth, the diversity of method is also affirmed in statements such as the following: Science... is therefore incompetent, as such, to decide the question of the truth of Spiritism; it has nothing to do with it Spiritist belief is the result of a personal conviction.-'-^ Nevertheless, the appeal to observation and reason runs throughout the book. It is Kardec's book Genesis however, which has for its major theme the relationship between science on the one hand and Spiritism as a religion on the other, and affirms the unity of the two. Herculano Pires observes that Allan Kardec has added to Comte's three stages — theological, metaphysical, and positive ~ the fourth, and crowning one: ...the psychological phase, in which the sciences open up to the discovery and the affirmation of the psychic as a phenomenon (and no longer as merely an epiphenomenon) recognizing its autonomy and its positive reality which is verifiable, susceptible of experimental proof Spiritism is presented as ^^ The Spirits' Book p. 271. l^Ibid. pp. 37-38.

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73 science, because, as the master explains in Genesis In the first chapter: "As a method of elaboration, Spiritism proceeds exactly in the same way as the positive sciences, applying in the experimental method. .. .Until now, it was thought that this method was only applicable to matter, whereas it applies also to metaphysical subjects.' Pires, one of the founders of the Paulista Institute for Parapsychological Studies, a society of persons interested in psychic phenomena, goes on to indicate that out of Kardecism came the "metapsychics" of Charles Richet, and the parapsychology of J. B. Rhine. Kardec's development, in Genesis of the mutual necessity and complementarity of science and Spiritism is the expansion of the opening part of the more specifically religious work, The Gospel According to Spiritism Spiritists believe that the immutable laws of Spiritism, spelled out in The Spirits' Book are the long-awaited connecting link between material science and spiritual truth, and that they show the Intertwining of the spiritual and corporeal worlds. After eighteen centuries of being overlaid with cumbersome forms, the real Christianity emerges in its simplicity as the natural moral law of the universe, capable of revolutionizing human social relations. Kardec's method for arriving at this essential moral kernel of the second revelation — that which was given by Jesus — is that of stripping away from the Four Gospels those parts which have to do with "the ordinary acts of the life of Christ, the miracles, the prophecies, the words which served for the establishment of the dogmas of the Church," for these "have been the object of controversies," while retaining the part "which has remained 20 Pires, o£. cit p. 155.

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74 unassailable," the moral teachings. Once again, doctrinal originality or claims to a new revelation are deliberately eschewed. The dynamic is that of the rediscovery and reform, not of mere doctrine, but of a "way of life," a practicum considered all-important for this and future existences. Candido P. F. Camargo has observed in this connection, that "The role of the 'orientation of life' which. .characterizes the Spiritist movement, is greatly facilitated by its practical, non22 revealed nature." Religion is the ethic of practical charity. For Spiritists by the millions, "outside of charity there is no salvation" is the supreme motto, the summing up of religion. The Gospel According to Spiritism ( Evangelho Segundo o Espiritismo ) is also the volume which goes into greatest detail in claiming to show the mediumistic nature of the first and second revelations in Moses and the prophets, and in Jesus and the apostles. The use of this book almost to the exclusion of others in hundreds of Spiritist centers indicates that despite the truth of Camargo 's statement above, charity is not merely a calculated system of action for Spiritists, but that the doctrinal study session is increasingly becoming a worship service, with a mysticism of charity at its center. This is quite at variance with the detached, philosophical approach of the Founder. 21 Allan Kardec, Evangelho Segundo Espiritismo trans. Julio de Abreu, Sao Paulo: Editora PensamentP, 1963, p. 11. 22 Candido P. F. Camargo, Kardecismo e Umbanda SSo Paulo: Livraria Pioneira EditSra, 1961, p. 25.

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75 The Challenge of J. B. Roustaing The subjective nature of spirit-communication and the reaction against ecclesiastical dogmatism and the "tyranny of orthodoxy" made it inevitable that differing doctrines would arise. Even so, the practical emphasis on the acts of charity has to a large extent overshadowed doctrinal divergences. Within Kardec's own lifetime, however, one dispute arose which was to have far-reaching effects in the institutionalization of Spiritism in Brazil. Jean-Baptiste Roustaing, of Lyons, published a four-volume study called Les Quatres Evangiles or Revelation de la Revelati on. The work, otherwise of little originality, presents the "docetic" view that Jesus did not have a corporeal body, but that his body here on earth was purely "fluidic," thus relieving him of the physical suffering and limitations of ordinary humans. One circumstance militates against the authority of such a work, among even the Spiritists, for whom it is normal to accept as genuine the mediunically-dictated works of prominent but deceased literary figures. This is the dubious circumstance that the work is attributed to the spirits of the four Evangelists, Matthew, Mark, Luke, and John, assisted by all the other Apostles, as a rectification of the Biblical texts which have been mutilated in their passage through the centuries. The gathering of such a celestial edi. 23 torial committee is considered improbable even by many Spiritists. ^^Isidoro Duarte Santos, Spiritist leader of Portugal, has observations of this type, speaking as an "outsider" to Brazilian Spiritism, Esplritismo no Brasil ( Ecos de Uma Viage m) Rio de Janeiro; J. Ozon Editor, 1961.

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76 Nevertheless, Bezerra de Menezes, the so-called "Allan Kardec of Brazil" and sometime president of the Federajao Espfrita Brasileira, and many other illustrious figures, endorsed Roustaing's doctrine, and since 1900 several editions of a Portuguese translation have come from 9/ the press of the Federa^ao. Although doctrinal rifts and organizational hiatuses exist as a result of this position, the breach is bridged to some extent by the organization's having become by far the largest publisher of the works of the Master, Allan Kardec. Beliefs Concerning the Etiology of Illness In Kardec 's works only tangential references are made to belief in spiritual causes of human ailments. Nevertheless, the constant preoccupation with threats to health and the inadequate medical and health services had facilitated the Brazilians' acceptance of treatment by combinations of magic and herbs; little distinction was made among practices inherited from old Europe, Africa, or the Amerindians, The Kardeckian system offered a rationale for such beliefs, and even covered them with the mantle of "science." On the other hand, healing offered a means of expression for charity, and the healing of mind and emotions assumed the role of assistance in the evolution of "spirits. The belief-system with reference to healing, then, has developed and has captured the interest of those inside and outside the movement in ^^In a folder of the press of the FederagSo Espirita Brasileira, the book is described as "the only mediunic work in the world which makes a complete study of all of the words, all of the miracles, all of the passages, of all that is, which was narrated by the four Evangelists. .in truth, a College Course in Spiritism."

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77 Brazil in a manner apparently undreamed of by Allan Kardec. It is therefore important to note the salient features of this typically Brazilian emphasis given to a marginal aspect of Kardec 's teaching. Despite the general admission among Kardecists that certain cases demand "doctor's medicines" and surgery, the ultimate causes of all illnesses are considered to be spiritual. The following etiology of illness has been drawn from the writings of Spiritist and other commentators and verified by this writer's own observations and interrogations. It will be apparent that certain of the causes overlap; for example, illnesses of a "Karmic" nature may take any of several forms. 1. Karmic effects Rebellious or evil attitudes and behavior in previous existences are thought to necessitate retributive suffering and sacrifice. This may take the form of physical or mental illnesses or defects, which provide opportunity to make retribution through patient suffering, faith, and gnostic development. A picture-story in the ANUARIO ESPIRITA shows how a worker, whose arm was broken in a factory accident, comes to question his ill fate. He is taken by a kindly Spiritist friend to a session; there the spirits inform him that the accident is the result of his having committed murder with that 1ft right hand in a previous incarnation. Thus, although no direct ^^Toledo, o£. cit passim ; Camargo, o£. cit pp. 99-104; Xavier, op. cit passim ; Boaventura Kloppenburg, Espiritismo no Brasil Petr6polis: Editora Vozes, 1960, pp. 217-219. ^^ANUARIO ESpIrITA 1966, Araras: Instituto de Difus^o Espirita, 1966, pp. 120-125.

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78 physical cure was performed, the more important task of inner reconciliation was carried out. This, it was felt, would even have the indirect effect of speeding physical recovery. Enmity and vengeance ~ universally considered in myth and legend to be stronger than death ~ are considered to be particularly apt to bring illness and suffering through the Karmic process, since retribution must be in proportion to the wrong which was done. 2. Undeveloped mediumship Many persons, in attendance at Spiritist sessions for the first time, are attacked by muscular spasms, convulsions, spells of screaming or fainting, or similar manifestations. The writer has observed many such cases; and they are usually associated with symptoms of tension or of nervous or emotional disorders. The usual immediate prescription is: "He needs to desenvolver (develop his mediunity)." Failure to "develop," particularly after the discovery of latent mediunic capacity, is said to result in increased suffering. It amounts to a rejection of the mission to minister to the errant spirits which need the mediunic channel for the carrying out of their own expiatory services, and it inhibits the reception of those services by "incarnate spirits of the material sphere" (i.e., people now alive), who are needy. 3. Religious ignorance or negligence This is closely related, in many cases, to the undeveloped mediunity just described. It is also Important in the conceptions of Umbanda the Afro-Brazilian "whitemagic" cult. 4. Possession by an ignorant or "low" spirit (often termed "obsessao") This can be related to the above if an unsuspecting medium

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79 is taken over by a spirit, without his own knowledge or even against his will. Another term commonly applied here is perturbagoes the expression enc5sto (something which is "lodged") being the one most used among lower class people and followers of Umbanda. The effects of this phenomenon may be felt in the areas of employment, business, home life, et cetera The term obsessao is applied indiscriminately to all types of abnormal and psychopathic phenomena. In both small places and large. Spiritists maintain asylums and hospitals for sufferers of such ills. The 550-bed Hospital Espfrita in Porto Alegre has psychiatrists and modem equipment, but an extensive program of sessions of "desobsessao (lit., "dis-obsession") is carried on daily. Desobsessao is also the name given to the monthly bulletin published by the hospital. 5. Anger, vengeance, and other unwholesome attitudes The principle that "like attracts like," which is also basic to homeopathic medicine, operates here; an evil spirit joins the vindictive heart, bringing illness or even "obsession." The sentimental but rationalistic moralism which insists upon the necessity of constant thoughts of sweetness and light is central in Spiritist writings and exhortations. It perceives in negativism and hatred major sources of human ill-health. The writings of Francisco Candido Xavier and his many emulators are replete with anecdotal and homiletical applications of this common-sense psychological principle. The Cultus of Kardec Spiritism: Religious Practices and Training Attention is directed in the present section to the varieties of seances and to the programs conducted for the winning of new sympathizers

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80 and the indoctrination of experienced members, youth, and children. The increasingly rigidity of institutional structure and of patterns of religious expression is noted. Toward the Uniformity of Spiritist Practice The first formal contact of most persons with Spiritism occurs at a sessao or seance. Visitors are generally filled with apprehension; they expect to hear "voices" and see apparitions, possibly of the spirits of people they have known. Such expectations are rarely fulfilled; the meetings normally proceed with order and may seem dull at points. Yet the atmosphere is permeated with the expectant conviction of rapport with the unseen but stable and permanent world of the Spirits. This is the fundamental attraction of Spiritism. It also creates situations of potential danger, and requires regulation. Such regulation is one of the major tasks of the federative institutions. The Federacao Espirita Brasileira has published several works, in addition to Kardec's Book of the Mediums with the view of establishing standards for the conduct of meetings and the activity of 27 mediums. Among its most effective publications for this purpose, however, is one which carries the prestige and the charismatic aura of Francisco Candido Xavier and his colleague, Waldo Vieira, rather than the flavor of an official pronouncement; it is entitled Mecanismos da Mediunidade (1960). The "spirit of Andre Luiz," believed to have dictated this book to the two mediums, is also given credit for another ^^Martins Peralva, Estudando a Mediunidade n.d.; and Aurelio Valente, Sessoes Praticas e Doutrinarias do Espiritism o, n.d.

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81 publication of the Federajao, Conduta Espirita (n.d.)> which was "received" by Waldo Vieira. This work is relied upon heavily by the Federaffao Espirita do Rio Grande do Sul in its publication which 28 establishes norms of Spiritist practice for its members. The Federafao Espirita do Estado de Sao Paulo has made strenuous efforts to obtain some uniformity of practice among the diverse groups. In its great gray headquarters building in SSo Paulo, the Federa^ao has dozens of sessions of various types each day, in which hundreds of members participate. Through the experiences thus obtained, the Federajao has developed approved orders and techniques for the conduct of the sessions. These have been published as texts for use in the School for Mediums maintained by this body, and also have become the accepted manuals for use in other states. Edgard Armond is the author of some of these texts, and the descriptions presented in the present study, while also dependent upon the writer's observations and further reading, are consonant with Armond 's major book on the direction of the seance 29 and other types of sessions. Armond's presentation is somewhat pedantic and repetitious. Although he considers 10 types of meetings, three of which are for doctrinal instruction and do not involve the "reception" of spirits, the agendas for most of the varieties of sessoes are similar. Thus it is ^ ^Normas para os Trabalhos Praticos e Doutrinarios Porto Alegre, 1968, 2a. ed. rev. ^ ^Trabalhos Praticos de Espiritismo Sao Paulo: Livraria Allan Kardec Editora, 1954. Armond has another work, Mediunidade for which publication data are lacking.

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82 easily understood why most centers have, in general, two types of meetings. One is for instruction and the preaching of the Spiritist message, with some routine mediumistic activity. The other is for the 30 invocation of spirits for tasks of healing and other specific functions. In practice, as Armond himself notes, the majority of the meetings held in Brazilian centers are "mixed sessions," involving both of these general functions. In this manner, as the Spiritist author puts it, in a candid and homely phrase, those present "get a little bit of everything in a short time." The Organization and Functioning of the Mixed Session In small centers, the mixed session is often the principal meeting of the week, and is attended by all members. In the larger organizations, such as the Allan Kardec Center in Campinas or the headquarters of a state federation, many such meetings are held by small groups in rooms set aside for this purpose. Each group is permanent, and holds its meetings weekly or more often. The sessions are normally carried on by the light of day or normal electric illumination, though in some situations and local settings only subdued or colored lights may be used. Frequently there is a bust or a picture of Allan Kardec; his austere aspect is appropriate to the bare severity of the surroundings. In iconoclastic reaction to Roman Catholic practice, there are no images or "distracting decorations." This is also in conscious contrast to the gaudy collections of images and ornaments on the altars and walls of centers of low spiritism. Soft 30 One of the principal and most strict prohibitions in the norms and regulations is that of invoking specific spirits; those which "make

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83 music may be played on records, but Armond reiterates the Spiritist insistence that this is only for the creation of a "mood," and is not 31 liturgical; there are no Spiritist hymns. "The thought is everything; the form is worth nothing"; these words from the Book of the Mediums constitute a popular saying within this movement. This extreme expression of rationalism, however, is inevitably accompanied by the patterning and formalization of cultic behavior. Each local center has a Spiritual Department which is the organ responsible for the proper functioning of the sessions. The leader of each group, however — called the "director of the table" — must be selected by the board of directors of the "society" which operates the center. At the time appointed for the meeting, the director takes his place at a large table, usually flanked by the speaker for the day and a "medium of incorporation." The latter is a person considered to be capable of receiving corporately a spirit, so that it may act or speak through the person's body. In many centers it is the custom for these leaders to sit apart at a smaller table, so that — without interference from the possible presence of "heavy or perturbed spirits" — the director may receive inspiration and energy from "On High." (Armond adds that in this manner the sessions gains in "dignity and efficiency because of 32 its better structure"; there are many such evidences of growing themselves known" upon the general invocation must be accepted. This is an attempt to avoid "personality cults" among mediums and "spirits." 31 Armond, 0£. cit p. 156. ^^Ibid. p. 130.

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84 hierarchical tendencies.) In any case, the large main table is surrounded by the mediums and other "cooperators, while the overflow of such persons and the outsiders who may have come occupy other seats in the room. It should be remembered that thousands of such sessions each year are also held in humble homes, with mediums and audience crowded about a small dining-table. The agenda for a session is as follows with variations according 33 to circumstances: 1. The director invites all present to open the session with silent concentration. This is done with bowed heads and closed eyes. 2. The director gives the opening prayer, with all in the same reverent attitude. 3. The speaker for the day — usually a regular member of the group — reads a text and gives a homily based upon it. The most common source of such readings is Evangelho Segundo o Espiritismo while the writings of Francisco Candido Xavier also are relied upon heavily. 4. "Vibrations" are produced for the cure of sick persons not present. This involves simple mental concentration of the part of the audience, but often it is the preparation for the receptive state of the mediums. This state is one in which it is believed that the mediums' respective "guides," "protectors," or "controls," as their customary guiding spirits are known, can be incorporated in them. It ^^Ibid. pp. 127 ff.

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85 is not necessarily an unconscious state. The process of "incorporation" involves varying degrees of apparent physical and emotional effort and effects on the part of the mediums. Even during the preceding talk, a few yawning sights, groans, and weaving heads may have indicated that some "incorporation" was already in progress. In the Norm as referred to above, such physical manifestations are discouraged. 5. "Passes and vibrations are given for the cure of the sick who are present and for the "fluidif ication" of bottles of water brought by members and others. The passe (pronounced pahsee) is accomplished by the medium's moving his hands over the head and down parallel to the body of the consultee. The hands are maintained several inches away from the body, sometimes with the muscles tense so that there is a physical, as well as a "spiritual," or "fluidic," vibration. Usually the passe is terminated with a shaking or snapping of the fingers, for the more efficacious dismissal of harmful spiritual forces or effects. "Fluidification" refers to the impregnating of a material — in this case, water — with healing fluids from the incorporating spirit. The bottle of water thus becomes a vehicle by which the healing powers can be taken home and used daily by recipients and other people. 6. There may follow a period for the exercising of mediums who are "in development^' ; that is, those who are still in the process of developing their natural mediunic powers, or gifts. It is considered important that this be done only when experienced mediums are present, and in secret sessions; that is? with no non-members present. 7. Indoctrination is given to non-incarnate spirits which it is thought may be present, by mediums who are experienced and apt for this

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86 work. It is considered natural that there be many more spirits present from the "invisible" than the "visible plane," and that many of these "invisible brothers" be on low levels of evolution. Such spirits must be taught and improved; their presence is often manifested in the form of illness or suffering on the part of a person present. (More details of such cases are given in the discussion of healing sessions in the following section.) 8. A message is brought by the "spiritual mentor" of the group; that is, the spirit who is considered to be their invisible leader. The message is given through a medium who has previously been selected for this part of the program and is seated with the director of the table. It usually consists of words of inspiration or moral uplift. 9. All are again asked to concentrate together, for the closing of the meeting. 10. A prayer of thanks is led by the director. The duration of the program is rarely more than one-and-one-half hour s As has been indicated, each of the mediunic practices included in this agenda is frequently encountered as the sole activity of a given session. Such sessions are usually closed to all except members (with the exception of persons being treated) ; this applies principally to sessions devoted to indoctrination of "nonincarnate spirits," to healing — and particularly to treatment of the mentally ill ~ and to the seeking of the "orientation of the spirits" in the direction of the local society. The most important and numerous are those sessions devoted to the attempt to heal body and mind, and to them we now turn.

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87 Healing Sessions The treatment and the cure of human ailments, both "material" (physical) and "spiritual" (including emotional disturbances and nervous disorders), is a major function of Spiritism in Brazilian life. It is commonly accepted that most persons have their initial contacts with Spiritism because of illness, either their own or that of loved ones. The findings of the previously mentioned survey conducted by Camargo are in accord with this. Of the 580 respondents, 62.1 per cent attributed their first attendance at Spiritist sessions to the search for cures. It is worthy of note that, among those who had been frequenters of Spiritism for five years or less, the percentage of those who recall having first sought healing was 70. 0.-*^ Many sessions for the exercising of the healing ministry must, of necessity, be held at the bedside of the sick, at home or in a hospital. (In the latter case, sharp controversies often arise between hospital personnel — especially Roman Catholic "sisters" — and Spiritist practitioners.) Although the nature and degree of seriousness of the illness determine the particular combinations of techniques employed for the healing, the essential features of the session are the following: (1) mental concentration of those present, reinforced by the joining of hands, to form the "current", (2) spoken prayers, (3) the execution of the passe or the laying on of hands, on the site of the medulla oblongata, the 34 Camargo, og^. cit p. 171. Also, cf. infra pp. 97-98.

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00 solar plexus, or other "central part," or upon the affected part itself. These techniques have been developed into complex patterns by specialized teams of the FederagSo Espirita do Estado de Sao Paulo. These teams are known as "Pasteur groups," since their guiding spirit in the science of healing is considered to have been Louis Pasteur in a recent incarnation. Many Spiritist physicians give their services without charge to centers that have medical consultation as a part of their social service program. Frequently the work of the healing session is preparatory for 35 or complementary tc "official" medical treatment, especially surgery. It is increasingly common for the healing session, or a portion of it, to be devoted in a somewhat routine manner to passes de limpeza (cleansing passes) and to "vibrations." The purpose of these is the removal of maleficent influences (many of which may have been suffered without the subject's awareness) and the imparting of spiritual power over evil forces. Many persons receive such vibrations and passes regularly — "like taking a bath," as some have ingenuously put it — and even the children are brought forward to receive them. Such activities are usually accompanied by low lights, often with soft music played on a phonograph. They become routinized, much as were the prayer meetings once common in Protestant churches. When questioned as to the specific function and value of such sessions, many participants give such answers as : "It is a purification," "I feel better," "I don't feel right without it," "I feel lighter," and "It frees me from depression." In some centers, the mediums circulate among the assemblage 35 Spirit surgery, and related phenomena, are treated in the section on special mediunic phenomena.

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89 during this period, administering passes to all; the present vrriter has often been the "beneficiary" of such ministrations. As was suggested above, the treatment of a disorder is determined by what are considered to be spiritual, as well as physical, factors in its cause. The various types of treatments are noted briefly in the following paragraphs. The categories of Spiritist treatment s The treatments dispensed in the mediunic sessions vary with the type of sufferer and his illness; nevertheless, they fall generally within the following categories. 1. Prayers and passes, and — for more powerful action of the magnetic fluids — laying on of hands and the forming of a "current" by the joining of hands of the mediums present. 2. Religious teaching and exhortation, for both the sufferer and his tormenting spirit. One of the surprises of the neophyte — to whom "spirits" are awesome beings — comes upon hearing the director of the table reprehend sharply an insolent or ignorant spirit, or patiently explain to him his condition and the steps he should take concerning it. Again the emphasis upon will-power and the rationalistic basis of behavior comes to the fore; the reading of such books as the translation of Norman Vincent Peale's Power of Positive Thinking is often recommended. Cures are frequently attributed to cumulative effects of regular attendance at the sessions. 36 For beliefs concerning the spiritual factors in physical and other disorders, cf supra, pp. 76-79.

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90 3. The development of mediunic faculties, referred to above. 4. Expulsion of the perturbing spirit. This, of course, has ample precedent in the Bible, and above all in the work of Jesus Christ; for this reason, convincing persuasion can be made to Roman Catholics and Protestants to bring their sick to the center for treatment. Often persuasion of the evil spirit, rather than expulsion, is the remedy; it is believed that the consulting discarnate spirit, which acts through the medium, or one of the "incarnate" Spiritists can employ sympathy and low-key argumentation to induce the ignorant or guilty spirit to depart. Or, a more developed spirit must expel the perturber. Certain rebellious spirits, however, are of such violence that the more refined beings of the Kardecist level can have no effect. In such cases, even against the admonitions of the Kardecists, the sufferer frequently takes his woe to the tendas of Umbanda. New and inexperienced mediums are constantly warned against the dangers of attempting to "develop" or attempting any mediunic activity except in the company of more experienced mediums. Otherwise, they are subject, at any moment in such efforts, to the unwitting "incorporation" of some inferior spirit, which may do great damage to them and those related to them. 5. Homeopathic medicines and treatments. The alleged superiority and efficaciousness of such medications are considered to be due to their being products of Nature. 6. "Spiritual surgical operations," such as those performed by mediums of special gifts. 7. Spiritist treatments given as supplements to "official," or formal medicine. These are usually passes, use of "f luidif icated" water, et cetera.

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91 The healing practices are thus integrally related to the mediunic phenomena and to the religious beliefs and activities. Even so, some programs are given over entirely to doctrinal instruction and persuasion, and to these we now turn. Classes for Instruction in Doctrine Doctrinal teaching is of two kinds: the first is called, as in the churches, a pregagao do Evangelho" ("the preaching of the Gospel") and refers principally to the presentation of the religious message of Spiritism to non-believers; the second is doutrinagao ("indoctrination") and signifies doctrinal instruction of any kind. For adults The following is patterned on the announcements circulated in the city of Campinas, describing the types of activities under consideration here, within the context of other phases of the program of the "Allan Kardec" society. These meetings are typical of thousands which occur in Brazilian towns and cities each week. Spiritism Irma Serafina Street, 674 Today, from 14:00 to 16:00 hours: passes, vibrations and ministry to the sick, and doctrinal teachings; from 19:40 to 21:00 hours, passes followed by doctrinal teachings and development of mediums (School of Mediums). A study on Reincarnation, under three aspects: Scientific, Philosophical, and Evangelical. The classes will be held on Saturdays at 20:00 hours, the second being given on the 2nd of October, by Sr. Afonso Ubinha. Admission is open to all, in order that interested persons may become informed about one of the fundamental principles of Spiritist doctrine. Commemorating the date of the birth of the codifier of Spiritist doctrine, this Center will hold a solemn session on the 3rd of October, at 10:00 hours. The program

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92 consists of a talk by Dr. Lauro Gongalves and an artistic part under the responsibility of the "Allan Kardec" Spiritist Youth. All are invited. Fraternal Evening The Municipal Spiritist Union and the Spiritist Youth groups announce that the next "Fraternal Evening" will be held at the "Allan Kardec" Spiritist Center, Irma Serafina Street, 674, on next Sunday, at 20:00 hours. The speaker's tribunal will be occupied by the widely acclaimed speaker, Dr. Wilson Vieira de Mello. For youths Organizations of young people from about ages 15 to 30, such as those mentioned in the above-cited announcement, follow closely the patterns set by the corresponding groups of the Protestant churches. Usually under the guidance of an adult counselor, they meet weekly for studies of doctrine very similar to those held by the adults. They are not usually as successful as the Protestant groups in obtaining the visits of "outsiders," except in the case of youth who are in schools, orphanages, or other institutions maintained by the centers. Therefore, the content of the studies is rarely prepared with neophytes in mind. An important activity, through which the youth often attempt to reach their "outside" peers, is the editing and publishing of small newspapers and journals; these and the social activities of the youth groups are further examined from other points of view in Chapter V. For children The instruction of children, too, follows the lead, to some extent, of the Protestant denominations. The writer has visited "Sunday School" classes of children who sang "Jesus Loves Me," and who were shown Bible film-strips produced (with English titles) by Protestant-oriented organizations in the United States. In recent years, slides, films.

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93 records, and other audio-visual materials have been developed by Spiritists. The numerous local and regional journals carry frequent articles on the "orientation" and education of children, as well as announcements of meetings of Spiritist educators. Even so, much of what is said and written is more hortatory than pedagogical in nature, and the educational process is antiquated. The material remains largely within the extremes of heavy, doctrinaire teaching on the one hand, 37 and the "Peter Rabbit" and fairy story level, on the other. It can be said that in general Spiritism does not see in the children the evangelistic opportunity which is seen by the Protestants. Most of the children in Spiritist "Sunday Schools" are those of the members. For this reason, since large numbers of centers have few young couples, many of such centers do not have an educational program for small children. Where there are orphanages, the children are given religious instruction or, in some cases, allowed to receive Roman Catholic or Protestant Instruction. This latter occurs principally when such instruction is available in the public schools. The Practice of Charity 38 "Outside of charity there is no salvation." This statement is 37 The ubiquitous writings of Francisco Candido Xavier appear also on this level. Nearly a dozen books, "for children from those with their first teeth to those with false teeth," have come from his mediunic pen. Some of them are grim fairy tales, and nearly all end with the moral, "Be good." They comprise almost the entire range of the Federagao's catalog of children's literature. 38 Allan Kardec, Evangelho Segundo o Espiritismo Sao Paulo: Editora Pensamento, 1963, Ch. 15, "Fora da Caridade nao Ha Salvacao," paragraph 10, with same title. The early part of the chapter is a refutation of Tertullian's dictum, "Outside the Church there is no

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94 constantly present, in Spiritist publications, on the walls of sessionrooms, and even as the name of some centers. Elsewhere in this study we speak of the organizational and other social aspects of the extensive program of good works carried on by Brazilian Spiritists; here we indicate the relation of the teaching concerning charity, the impulse, and the acts of humanitarian service to the remaining components of the cultus. The doctrinal basis for the important place of the practical expression of Christian love (particularly to those less fortunate materially) has been set forth in the teachings of the Codifier. (Cf. supra p. 64) An important negative factor which is related to the emphasis upon charity has been the repudiation by Spiritists of the ritualism and the dogma of the churches. They decry the "formalism without charity "of the "established religions." Typical of the descriptions of their own religion which have been given by adherents, are phrases such as: "Truth without dogmatism," "an act of purity," "an abstract society — a Way to be learned," "religion with God and primitive Christianity," "it is a true doctrine without rituals, where we may feel Jesus in our hearts. "^^ Ideally, and, as we later observe in detail, often in practice, the major channel for religious expression is charitable activity, both individual and institutional. The practice of humanitarian love is considered to be the key to Karmic retribution for the past and evolution toward perfection. The salvation," and what is termed its corollary, "Outside the truth there is no salvation." 39 From interviews, carried out by the writer.

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95 programs of charitable works are examined in the section on institutions and activities. The Cultus and the Internalization of Institutional Norms "The thought is everything; the form is nothing." These words, referred to in other contexts, indicate the importance attached by institutionalized Spiritism to "the knowledge of the true doctrine" and therefore to the activities related to doctrinal study. This observation appears to receive corroboration from results of the survey by Camargo in Sao Paulo. Length of experience as a member of this society appears to be directly related to preference for the doctrinal aspects of the movement. It was noted in connection with the healing activities that 70 per cent of Camargo 's respondents with five years experience or less gave illness as their motive for seeking help in Spiritism. Among those who had been participants for over five 40 years, only 58.5 per cent gave this answer. When questioned as to their preferences between meetings devoted to study and mediumistic sessions, slightly over 48 per cent of each group, the "older" and the "newer," indicated a preference for study meetings. However, only 6.5 per cent of the former — the veterans of five years or more — expressed a preference for mediumistic sessions, as over against 26.7 per cent of the latter, newer, group. (The remainder showed no preference.) Op cit p. 171. "^^Ibid. p. 172.

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96 Camargo has pointed out the significance of the fact that even though such large proportions of the membership were attracted to Spiritist centers by the hope of cures, at a later time 53.2 per cent of his respondents named "the intellectual function" as one of their three principal reasons for actually joining a society. "Illness," named as one of the three reasons by 20.9 per cent, and "pain, suffering, disturbance, or anguish," cited by 21.1 per cent, even when considered as one general category of personal suffering, were major motivating elements for only 42.0 per cent of these persons. "Manifestation of mediunic phenomena" was mentioned by only 10.9 per cent of this sample of Paulista Spiritists. Camargo concludes: Everything ~ especially the analysis of the typical paradigm of conversion — leads us to believe that many of the faithful tend, after some time has passed, to forget their initial motives of conversion, being inclined to accept the religious experience on the terms ideally established by the institutions. The intellectual functions and the capacity to reorganize and orient their lives assume the dominant role in the Spiritist religious "life style." The Allan Kardec Center in Campinas, some of whose members were interrogated by the writer, is an old center in a smaller city, the population of which is less mobile than that of the state capital. Several families have members of three generations who belong to the center. Eleven, or 14 per cent of the 75 respondents, were young people who attributed their adherence to their having been reared in Spiritist homes. Over a period of many years, the center has 42 Ibid., p. 169.

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^7 developed a corps of highly-trained doctrinal instructors and a large educational and social service program. For these reasons, and for others related to characteristics of the smaller cities which are considered in Chapter VII, it was expected that initial contacts with Spiritism in Campinas would be less related to illness and acute suffering than in Sao Paulo. This was consistent with the percentages of those giving the following reasons for initial contacts with Spiritism: Illness 25 per cent Intellectual-religious problems 28 per cent Followed family 16 per cent Curiosity 13 per cent Unspecified _18 per cent Total 100 per cent Independently of the presentation of Camargo, the present writer had observed an even more pronounced division by age between the group of respondents who gave as their initial motivation "Illness" and "intellectual-religious problems." This difference was linked to length of time as a Spiritist. It is indicated in Table 1. Table 1. — Proportions of Those Who Were Both Over 30 Years of Age and Spiritists for 10 Years of More, in Sample of Allan Kardec Center, Campinas Age, and Experience in Spiritism Reason for First Attending Illness Intellectual-Religious Problem Over 30 and 10 years as Spiritist Per cent 68 Per cent 85 Under 30 and less than 10 years 32 15

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98 In addition, when the respondents in Campinas were asked to name the three sectors of Spiritist activity in which they preferred to participate, preferences expressed for the four major sectors were as follows: Doctrinal studies 73 per cent Charitable works 72 per cent Stances 63 per cent Fraternization 57 per cent Thirty-four, or 45 per cent, also indicated that they "liked all types of activities" engaged in at the center. Such findings concur with Camargo's thesis, given above, concerning the internalization of norms and behavior patterns of a rationalistic nature, which are held up as ideals by the institution. Even so, further research is necessary to determine to what extent such evidence indicates the internalization of relatively stable norms, or to what extent it may reflect changes which are being brought about in the goals, norms, and functions of the institution itself, in the face of changing social conditions and felt needs of prospective adherents. Social Groups in Brazilian Spiritism A major function of local Spiritist centers is to provide group associations and activities for its members and sympathizers. A social group may be defined as two or more persons in social 43 interaction who have a feeling of solidarity among themselves. Group experience is a fundamental human need, and in this time of changing and disintegrating institutions and groups, one hears 43 T. Lynn Smith, Sociology of Rural Life 3rd ed.. New York; Harper and Brothers, 1953, pp. 363-369.

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99 Brazilians complain of the falta de solidariedade the "lack of solidarity." The household has always been the distinctive unit of group life in Brazilian society, and often it has included members of widely extended families. Indeed, these households were commonly linked by family ties to others nearby. Such a household was able to carry out or participate in most of the societal functions. In Chapter VII are indicated some of the changes which have curtailed the effectiveness of the household group. Brazilian society has not produced the proliferation of social, civic, and other interest groups which typifies our own society. Social groups outside the home have been relatively few, especially for women. A large portion of those which have existed are related to the Roman Catholic parishes and have devotional functions. Relatively few people actively participate in and support them. Spiritism extends the offer of a ministry to people in the area of their specific, felt social needs, within the intimate local groups which it forms. We turn now to the consideration of the composition, structure, and functions of these social groups. The Composition of Local Spiritist Groups It is already apparent from earlier statements that adherents of Spiritism are largely drawn from the middle class and the upper fringes of the lower class. We also have seen that for instructional purposes there are groups divided according to age. We are interested here, however, in the composition of the small groups of adults which meet regularly for sessions, both doctrinal and mediunic.

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100 The single most striking feature of the make-up of these groups is the high proportion of women in them. Membership statistics are almost non-existent; nevertheless, the writer has observed on many occasions that by actual count the number of women in attendance at meetings was higher than that of the men. For example, in 1966, the writer completed 75 interview schedules with Spiritists in Campinas. Those interviewed consisted of all persons attending these meetings, one meeting each for three different groups. Of these respondents, 49 were women and 26, men — a ratio of almost two to one. Many men study Spiritist doctrine by themselves, reading the works of Kardec, Pietro Ubaldi, and Chico Xavier. This is rare among women; their participation is almost always within the group. For many women, participation in Spiritism is more than mere escape from isolation; this is the group in which they can place personal trust. The roving husband and the treacherous female friend, deceiving the wife, are a common theme in Brazilian society's image of itself. Most middleclass and upper-class women have few friends, and, with the diminishing size of the Brazilian household, they find themselves with few significant others from whom they may receive affective support. Many, therefore, find social integration and expression in the group activities of Spiritism. This association has the further advantage of being identified with the religious ideal, representing the highest and best in life. Moreover, within the egalitarian ethos of the Spiritist group, a woman of intelligence has opportunities for leadership which are still denied to her in most areas of Brazilian culture. Women of masculine aggressiveness and appearance also compose a common type found in Spiritist centers.

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101 On the basis of data available at present, it is difficult to Isolate specific personality or behavioral variables which might be of higher incidence among Spiritists than among other groups in the population. The popular notion that the mentally ill are overrepresented in Spiritist groups has been treated, and it was noted that statistical data on this question are lacking. Nevertheless, new and heterodox movements of this type inevitably attract some persons who deviate from certain norms of the society. Two particular types of men are found with great frequency in Spiritist ranks, and their presence offers some clues as to certain functions of the groups. One of these types is particularly in evidence both in the meetings and through the communications published in the numerous local Spiritist periodicals and newspaper columns. This type exhibits certain qualities once requisite for recognition as a man of culture in Brazil: an eloquent flow of words, and a capacity to expound at will on almost any theme, studding the discourse with flowery phrases and historical references. The presence of a large proportion of such persons, particularly in positions of importance, is significant for the activities of local groups and for the general directions in which Spiritism will move. In Brazilian society today, such persons — although they may enjoy local respect and even prestige — are often among those of low vertical social mobility; some are being forced downward slowly from the high statuses held by their fathers. They are interested in the maintenance of the status quo. They may participate in the center's social "repair work," helping those whom they consider inferior or "less fortunate," but they tend to prefer the task of

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102 directing the doctrinal studies. They envision little in the way of social engineering; they are not risk-takers. The second type appears to be, at first glance, the opposite of the one just described. This is the type of the practical man. It, also, is a deviant tjrpe, even in modern Brazil, for it includes those who are often more interested in machines and techniques than in the niceties of personal relationships. Such men like mechanical things and enjoy working with their hands, despite the stigma still attached to manual labor in their society. Many of them are amateur radio operators. Men with such interests are often at the practical heart of the charitable works of the Spiritist centers. Technologically, they are innovators. Sociolcgically, they, like their eloquent confreres have their vision restricted principally to individuals and their Immediate conditions. Many of them are rising within the middle-class, as their types of technological or bureaucratic employment gain in status. Their social and political conservatism is of a piece with the activities and teachings of their Spiritist group. The groups which hold their meetings during the day-light hours are naturally composed almost altogether of persons not regularly employed. These include a relatively large proportion of older people, spinsters, and widows. There are also such persons as women whose husbands are not Spiritists, and who cannot attend such meetings in the evenings. Daytime groups include relatively few lower-class persons. The groups which meet in the evenings are more heterogeneous; they include persons of a broader span of ages, occupations, and social statuses. There are more family groups in the evening, and it is in the company of these that many outsiders attend for the first time, often in search of cures.

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103 As might be expected, there are also groups which meet in the private homes of the well-to-do. Many Spiritists who are themselves of high social status would nevertheless have great difficulty in persuading friends to accompany them to a center. The writer has been personally acquainted with such situations, in some of which well-known, "powerful" mediums were used in order arouse interest and attract the invited persons. The first experiences of many people with Spiritism occur in domestic seances. The Stiructure of Local Spiritist Groups The basic unit of Spiritism is the local center. In keeping with the general norms of the movement, the structure of the center is characterized by simplicity, voluntarism, and personalism. Camargo has pointed out the democratic nature of the Spiritist group as representing a value of the socially mobile urbanites who reject the traditional or44 ganization of society. Even so, there are certain limits to this egalitarianism, as is suggested below. In the Book of the Mediums Allan Kardec presents a suggested constitution for local centers. It is adapted for use by many centers, with two principal types of changes. These represent two major adaptations of Kardecism to the Brazilian milieu, adaptations to which the success of the movement is largely due. In the first place, the Brazilian centers have removed most of the restrictions upon public attendance at the seances, thus making the healing function more accessible to the people; and in the second place, they provide for a 44 Camargo, o£. cit p. 117.

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104 pronounced religious atmosphere and orientation in both the healing and the doctrinal aspects of the meetings. A board of directors and its officers are elected by the members, and this body meets monthly to carry out the routine business of the center. There are no salaried officers, and, of course, no paid clergy. Occasionally, and especially in small places or in lower-class neighborhoods, the meeting-hall is in the house or on the property of the leading member. He may have been the founder of the center, and is frequently referred to, by members and townspeople alike, as its "dono" (owner). (Some such arrangement is extremely common in the case of Umbanda and other low types of Spiritism.) Centers or their agencies which wish to receive public funds for their programs of education and charity must go through the legal process of being declared "of public utility" in order to enjoy this privilege. The designation also carries a modicum of prestige. It Indicates that the organization has members or friends in high places. Additional prestige and financial support is sometimes secured by enrolling persons of prestige as members of the board of directors of a center or its chartered agency of charity. Such persons are often believers, such as those referred to above, who do not find it convenient to associate themselves with the ordinary activities of the center, but who can appear as patrons. In such quasi-political areas, Spiritism shows a moral continuity with the larger society and its norms, which Protestantism often refuses to share. Following separatist norms, the latter disengages itself from much of the culture, emphasizing the gap which exists between itself and "the world."

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The general formal structure of the center is thus seen to be very simple. Only in the case of a large center with several hundred members and many institutions and service projects, such as the Allan Kardec Center in Campinas, are there any paid employees and more complex organization. Even in those, much routine work is done by volunteers. Most of the cultic activity, involving interaction among members, goes on in the smaller groups. These are normally composed of from five to 15 people. Leadership here is normally associated with any or all of three elements: mediumship, intellectual capacity, and social status. In most Kardeckian centers the rationalistic emphasis upon self-control and self-development, doctrinal gnosis and the ethic of charity minimizes internal struggles for control. In addition, leadership qualities are usually fairly well distributed among a number of individuals. Even so, there are situations similar to that which is normal in Umbanda groups; that is, domination by a medium of powerful personality. Within a situation in which expectations are high, concerning the wisdom and directive powers of the medium's "guiding spirit," a perceptive medium can exercise control over many people, and mediums are not elected. There are several built-in checks against abuse of such power. Teachings and behavior of the spirits must be in accord with accepted Kardeckian doctrine; thus there is less opportunity for rampant subjectivism and arbitrary fiat than is imagined by outside critics. Moreover, the "director of the table" is usually an experienced leader. He may be a medium, but does not function as one while presiding. A major function of his role — apparent to the outside

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106 obsei-ver as latent on some occasions and manifest on others — is to act as a check against excesses. In view of these webs of subtle and overt interaction, it is understandable that relagoes humanas" ("human relations") should be a popular subject in Spiritist literature and lectures. The local group, despite its simple general structure, thus embodies intricate patterns of human interaction. We shall note briefly the major functions of these structures and processes. The Functions of the Local Spiritist Group The structure, activities, and interaction of the groups under study are functional for their adherents in a variety of ways. We indicate here those which are of major importance. 1. The most manifest of these is the therapeutic function. 2. Participation in the group provides social identification for large numbers of people. This function appears to be linked to the first; the continuation of many as members of the group after they have felt that they were healed indicates that in some of these cases isolation and illness may be linked to each other. 3. Many individuals find in Spiritism a satisfactory mode of religious expression and participation. The participation of laymen in leadership activities, both in the cultus and in decision-making, is important here. The religious fellowship in the liturgy and the social interaction and responsibility in the organizational aspects of the group constitute a large part of that which has been lacking for many in the Roman Catholic Church. Despite the paucity of data, observation and personal interviews have led the researcher to the conclusion that among

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107 those for whom this function is most pronounced are families which have been Spiritist for more than one generation. The socialization of the children is focused more upon the moral-religious than the phenomenological aspects of doctrine and practice. 4. The group provides mechanisms for the rationalization, and sometimes the resolution, of conflicts, within personalities and between individuals and groups. One of the most efficient of such mechanisms is that of "spirit-incorporation," by means of which conflicts may be carried on indirectly, through the substitute identities of the "guiding spirits" who are believed to be present. It is often easier to argue with, reprehend, or vent hostilities upon one of the "brothers from the invisible plane" than to face a fellow-member in the same way. 5. The social integration of many individuals who are mentally or emotionally disturbed is facilitated by the group's natural acceptance of them. In some cases, it might even be said that a "premium" is put upon these abnormalities, when they appear to be associated with mediumship. 6. There are sources of prestige in the intellectual, mediunic, and charitable activities. Particularly in the case of efficacious mediums, such prestige may be felt even in the surrounding society. Attention is directed here to the relationships between local Spiritist centers and the tendas of Umbanda, to which reference is also 45 made elsewhere, in a larger context. As more and more people are diverted to the greater dynamism of the sessions at the tendas, there ^(supra) p. 90,

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108 is an increasing tendency of certain local Spiritist centers to adopt some of the external features of the other cult: more ritualism, the use of white clothing, rhythmical music, et cetera Tensions are produced by these departures from orthodoxy both within the center and between it and the federative groups. Even so, a serious attempt is being made in many centers to "keep the faith" and, at the same time, maintain or introduce the healing and social functions of the group. This is considered necessary for reaching the lower classes, and often for the survival of the center. It should not be forgotten that, in the case of failure or illusory success in the performance of one of these functions, the latter often becomes dysfunctional. An example of this is the occasional aggravation, rather than cure, of a mental or physical disorder after treatment at the center. It was indicated previously that the effects of mediumistic activities, or of interaction with mediums, and of other Spiritist group behavior, are the subject of debate in the professions of medicine and psychology. As happens with reference to other social movements, the behavior and the social processes which function positively to integrate an individual in the Spiritist group frequently have the effect of isolating him from the outer society, and even from other significant in-groups, such as the family. Integration into the new group may well be considered by the individual to be worth the price. In summary, one of the keys to the spread and acceptance of this movement, as of many others, has been the purposeful or fortuitous development of small and often intricate groups in which adherents find

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109 meaningful participation and emotional support. Such groups are effective cells of indoctrination; they are well-adapted to the peculiarities of the seance; and they provide stimulus and channels for the charitable projects of the center.

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CHAPTER V ADHERENTS, ORGANIZATIONS, AND ACTIVITIES OF SPIRITISM The present chapter is devoted to three basic aspects of the Spiritist movement in Brazil; namely, its membership and follov;ing, its organizational and institutional aspects, and its activities in relation to the larger society of which it is a part. The Adherents of Spiritism Despite the lack of adequate statistical data, there is much that can be observed and inferred with regard to the mem.bers and sympathizers of Spiritist organizations, as concerns their numbers, geographical distribution, and composition. Numbers No one can say with any certainty how many Brazilians are Spiritists; yet it is generally conceded that their numbers run into the millions and that their influence extends far beyond those included in formal membership. Conservative estimates indicate that be1 tween two and three million persons are members of local centers. Although the official census data on religious affiliation are very imperfect, and the latest such data available are from the 1950 Cf. Donald Warren, Jr., "Spiritism in Brazil," Journal of InterAmerican Studies Vol. 10, no. 3 (July, 1968), pp. 393-394. Candido P.P. Camargo also observes that Spiritists are greatly under-enumerated in the official census reports, Kardecismo e Umbanda SSo Paulo: Livraria Pioneira Edit3ra, 1951, pp. xi, xix. 110

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census, nevertheless they are very useful, in the light of other knowledge, in indicating the extent of Spiritism in the country as a whole. They are particularly helpful in showing its relative strength in 2 various parts of the national territory. Figures for the nation and the states are presented in Table 2 The 1950 census reported 824,553 Spiritists in Brazil; the number given in 1940 was 463,000. In the decade of 1940-1950, while the population of the country as a whole increased by 25.1 per cent, the reported increase of Spiritists was 78 per cent. It is possible that a part of this increase is due to improved techniques of datagathering in the 1950 census, and to the greater willingness of persons to declare themselves Spiritists in 1950. Even so, the Spiritist movement has grown rapidly, as is evident in the sections which deal with the institutions and activities of the movement. Geographical distribution Spiritism is largely concentrated in the areas of greatest urban development, as is indicated in Tables 2 and 3. The five states of Minas Gerais, Rio de Janeiro, Federal District, SSo Paulo, and Rio Grande de Sul, with 49.9 per cent of the national population, had 80.1 2 The latest report on Spiritism of the official body for the taking of the census in Brazil is Estatistica do Culto Espirita do Brasil, 1961 Rio de Janeiro: Conselho Nacional de Estatistica, 1964. The data for this report were derived from the XXVI Statistical Campaign of 1961, and lack by far the completeness of a full census. Data are given for only 883 of the 1,575 municipios in Brazil. Sixty-nine of the 369 municipios in Sao Paulo were omitted. The writer checked 23 of these, selected at random, and found that in the 1950 census, 3,241 Spiritists had been reported as residing in them. It is evident, also, that many Spiritist centers were omitted in the municipios reported on. While this report contains some information of value for our study, we base our statistical analysis upon the sixth Brazilian census, of 1950.

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112 Table 2. --Spiritists in the Population of Brazil by States, 1950. State or Territory Total Population Serra dos Aimores (disputed by Minas Gerais and Espirito Santo) Rio de Janeiro Federal District Sao Paulo Parana Santa Catarina Rio Grande do Sul Mato Grosso Goias 160,072 2,297,194 2,377,451 9,134,423 2,115,547 1,560,502 4,164,821 522,044 1,214,921 Ntnnber of Spiritists BRAZIL

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113 o SB O •H O. Vrl U •H I 00 •H •H A P4 4> 4J § CO 01 4J CIJ 4J CO o CO 4J n •H U cj x: CI 0) CO O CO o I 0) 4J O OS •rl 4J P. CO I I • en a> 1-1 U2 (0 H I O 4J -H to a C s^ a; 0) tH Pi O p. CO CO 0) M-i en l^ O -H C CO •H 4-1 cjo a. C CO C 0) O CO xj u CO CO 0} O -H PL, •H 4-1 CU -H \-H U O T-{ U •H O, (U C W ^ ^ I CiO c CO o CO CO 4-1 iH O 3 H P. O Ph 4J c CJ CO 4-J U rH en a> CO -H Ph 4-1 4J CO -H M-I o CJ to XI c o C
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114 c o u I I CO (U H

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115 per cent of the Spiritists. In all but two of the most rural states, the Spiritist population was heavily concentrated in the municipio containing the state capital, and in one of these states, Mato Grosso, one-half of the more than 12,000 Spiritists were concentrated in the three cities of Cuiaba, Campo Grande, and Corumba. In this state, with 75 municipios, 50 municipios reported no Spiritists at all, and in each of 26 municipios, fewer than 10 Spiritists were reported. In the state of Sao Paulo, on the other hand, there were no municxpios without followers of Kardec. Tlie municipios of the capitals contained 15.9 per cent of Brazil's population in 1950, but they accounted for 35.4 per cent of the Spiritists. These latter comprised 3.5 per cent of the population of the municipios referred to, although on the national level, only 1.6 per cent of the population consisted of Spiritists. In the metropolitan area composed of the nation's capital, Rio de Janeiro, and its suburban municipios in the state of Rio de Janeiro, there was reported a total population of 3,516,469, of which 152,990 (or 4.4 per cent) were Spiritists. In the SSo Paulo metropolitan area, with a population of slightly more than three million, there were 74,699 (or 3.4 per cent) Spiritists. These two metropolitan centers alone accounted for 26.4 per cent of Kardecists in Brazil. The proportion of Spiritists in the population of Rio was nearly three times that reported for the nation as a whole, while that of Sao Paulo was more than twice the national percentage. Outside of the capitals of states, the municipios in which the largest numbers of Spiritists were reported are those in Table 3.

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116 Table 4. — Municlpios not State Capitals with Largest Numbers of Spiritists Municipio 1. Uberaba, Minas Gerais 2. Alegre, Espirito Sto. 3. Uberlandia, Minas G. 4. Campinas, Sao Paulo 5. Santos, Sao Paulo 6. Ribeirao Preto, S.P. 7. Bauru, Sao Paulo 8. Sorocaba, Sao Paulo SOURCE: Compiled and computed from data in "Censo Demograf ico," VI Recenseamento Geral do Brasil, 1950, Rio de Janeiro: Conselho Nacional de Estatistica, 1956. Total

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117 Five of these cities are in the State of Sao Paulo, and have participated in the rapid urbanization and industrialization of that state. All of them are also transportation centers, with relatively high rates of employment in the administrative bureaucracies of the railroads and other governmental enterprises. Uberaba and Uberlandia are included in a group of eight municipios, located relatively near to one another in the triangular southwestern portion of Minas Gerais, in which there is an unusually high incidence of Spiritist membership reported in the 1950 census. These eight localities, with a combined population of 267,790, reported 27,871 Spiritists, or 10. A per cent of the total of inhabitants; that is, these combined municipios, with 3.4 per cent of the population of Minas Gerais, included 24.4 per cent of the Spiritists of the state. Moreover, several nearby municipios in the bordering states of Goias and Sao Paulo also had relatively high proportions of Spiritists in the population as reported by the census. A similar situation exists with regard to Alegre, in the state of Espirito Santo, which reported a much larger Kardecist membership than did Vitoria, the state capital, and which also has several neighboring localities with high indices of Spiritism. All of these places are highly rural. In some, such as Ituiutaba in Minas Gerais, the seat of the municipio has only 15 per cent of the people, while more than 80 per cent are in the rural 3 zone. In most of them, rates of illiteracy run above 60 per cent. 3 The towns in the two rural areas under discussion here, and the sources of information concerning them, are the following: in the state of Espirito Santo, Alegre and the Zona Serrana do Sul,

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118 Yet the "Triangle of Minas" is well-known as a redoubt of Spiritism; Uberaba is the home of Candido Francisco Xavier, the leading Spiritist medium and writer, and from this region have come some of Brazil's most famous thaumaturgs. Palmelo, nearby in Goi^s, has about 1,500 people, all Spiritists. While in both of these regions Roman Catholicism is taken seriously, and some of the traditional feast-days and pageantry, fast, disappearing in other places, are still faithfully observed, these are also two regions in which Protestantism is relatively strong, according to the 1950 census. Kardecism is often treated as a metropolitan phenomenon, and the reports cited here demonstrate a high concentration of it in the large urban centers. Nevertheless, it must be noted, for example, that the seat of every municipio in the states of Sao Paulo and Minas Gerais, including even relatively backward trading centers of far-flung agropastoral areas, has at least one small Spiritist group. As is indicated more fully in a subsequent chapter, the appeals and functions of Spiritism in the small urban places appear to vary from those it displays in large metropolitan areas. Enciclopedia dos Municipios Brasileiros Rio de Janeiro: Institute Brasileiro de Geografia e Estatistica, 1959, Vol. XXII, pp. 21 ff.; in the state of Minas Gerais, Frutal, ibid Vol. XXV, pp. 145 ff.; Ituiutaba, ibid pp. 304 ff.; Sacramento, ibid Vol. XXVII, pp. 105 ff.; Tupaciguara, ibid pp. 382 ff.; Uberaba, ibid ., pp. 394 ff.; Uberlandia, ibid pp. 400 ff. (P690S de Caldas and Verissimo were not investigated as to per cent rural-urban literacy, et cetera although they are included in the eight urban centers mentioned above.) Donald Warren, Jr., op cit passim

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119 Sex As is indicated in Table 5, the ratios of males to females among Spiritists closely parallel those of the population of the country at large and of each of the major geographical regions. This similarity continues in the various states. In Table 6 the proportions of males to females among the Spiritists of various age-groups are seen to follow the same general tendencies as those of the corresponding groups in the population at large. However, there is one particularly noticeable difference: in the ages between 20 and 39 years, men are less represented among the Spiritists than in the general population, while among those aged 40 and over the reverse is true. Further study, based upon data from subsequent censuses, should enable us to determine whether this difference indicates a dropping-out of older women, or a greater participation of younger women in recent years. The writer is inclined to the latter view. Age Spiritism is still in the process of relatively rapid growth through the conversion of adults, and its programs for the young are comparatively undeveloped. It is not surprising, therefore, that 57.1 per cent of those enumerated as related to the Spiritist movement in 1950 were 20 years old or older, in contrast to only 48.1 per cent of the total population in this category. Protestants in this age group approximated the national proportions, with 49.6 per cent aged 20 and over. ^"Censo Demografico," VI Recenseamento do Brasil, 195 0, Vol. I, pp. 8, 72.

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120 Table 5. — Sex Ratios of the Total Population and of Spiritists in Brazil and Its Major Geographic Regions, 1950 Region Sex Ratios. Total Population Sex Ratios Spiritists BRAZIL 99.3 99.7 North 103.8 103.3 Northeast 95.6 • 94.2 East 97.7 99.0 South 102.9 100.2 Central-West 104.9 103.7 SOURCE: Computed from data in "Censo Demograf ico, VI Rec enseamento Geral do Brasil_ ,_j^950,, Rio de Janeiro: Conselho Nacional de Estatistica, 1956, Vol. I, p. 72. Table 6. — Sex Ratios of Total Population and of Spiritists in Brazil, By Age, 1950 20-24 25-29 30-39 40-49 50-59 60-69 70-over BRAZIL 91.5 96.6 100.2 106.0 105.9 100.8 77.5 Spiritists 90.1 92.2 96.6 107.7 115.5 108.9 85.8 SOURCE: Computed from data in "Censo Demograf ico," VI Recenseamento Geral do Brasil, 1950 Rio de Janeiro: Conselho Nacional de Estatistica, 1956, Vol. I, p. 8.

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121 In Table 7, in which the adult population alone is treated as a whole, it is seen that Spiritists are more highly represented in the three groups which include those aged 30 through 59 than is the general population (Spiritists: 60.6 per cent; Brazil: 54.0 per cent), while among those aged 20 through 29 and more than 60, the reverse is true. Table 1 — Age Distribution of Total Population and of Spiritists in Brazil, 20 Years Old and Older, 1950 20-24 25-29 30-39 40-49 50-59 60-69 70-over Brazil 20.1 16.8 Spiritists 15.7 14.4 25.5

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122 hand, 74.2 per cent of the "Paulista Spiritists were from 30 to 59 years old, a much higher proportion than that reported for Spiritists as a whole. Ethnic origins There are no data concerning the population of Brazil which attempt to relate religion and ethnic origins. Nevertheless, because of the growing influence of "low Spiritism," which is strongly influenced by African religious elements, many persons associate all or most spiritistic manifestations with lower-class blacks. On the other hand, some scholars have attempted to link Kardecism and its wide acceptance almost exclusively to Portuguese "folk Catholicism" and 7 superstitions. However, mere casual observation indicates that the proportions of black persons are much lower among Kardecists than in the population at large. In 1966, the writer filled out interview schedules with 75 members of the large "Allan Kardec Spiritist Center" in Campinas, which has a membership of over 200. Only six of these persons were black. Twenty-three were either immigrants or children of immigrants from Spain, Italy, France, and Germany, and 46 were whites of Brazilian and Portuguese descent. Attention has previously been drawn to that part of Brazil consisting of the "Sao Paulo-Rio de Janeiro axis" and the three southernmost states, as being the area with the largest numbers and highest concentration of Spiritists. These are also the states which have For example, Donald Warren, Jr., "Portuguese Roots of Brazilian Spiritism," Luso-Brazilian Review Vol. 5, no. 2 (December, 1968), pp. 3-33. Cited in present study, supra p. 35.

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123 heavy concentrations of people of Italian and, particularly in the far south, German and Polish stock. It is a common observation that immigrants in Brazil — with certain exceptions — have found it easy and natural to adapt themselves to many of the country's societal patterns and cultural norms. This appears to be true with respect to the adoption of the Brazilian expression of Kardecism by foreigners. It also appears to be the case that with some of these newcomers — in particular, the better-educated — the acceptance of Spiritism represents in part a reaction to disillusionment with the laxness of Brazilian Roman Catholicism. In addition, a desire to maintain social distance from those whom they consider to belong to the "superstitious low classes," appears to have led them to find Spiritism intellectually and socially appealing. Some of these people are socially maladjusted, unable to move on the same social plane as upper-class Brazilians to whom they may be equal or superior in intellectual accomplishment or in other capacities. Such persons and families are able to find in Spiritism intellectual, emotional, and social compensations. Hence, it is not strange that even a rapid perusal of Kardecist periodicals reveals many names such as Schutel, Figner, Imbassahy, Halfeld, Sarczuk, and Ferrioli. Education Illiteracy is relatively rare among Spiritists. In the study of Sao Paulo by Camargo, previously cited, only 2.2 per cent of the respondents could not read and write, this is in sharp contrast to the 8 Camargo, 0£. cit p. 166.

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124 rates of illiteracy of 20.6 per cent in the city of Sao Paulo, 40.7 in the state, and 57.3 in the nation, as computed from census reports of 1950. Beyond this, however, Kardecism demands more than mere functional literacy from the vast majority of its adherents; it requires a certain interest in study and in the intellectualization of beliefs. In Table 8 are given the relative levels of instruction received by the people of Sao Paulo and Brazil, which can be compared with the educational status of Spiritists as indicated in Table 9, from data secured from samples of the Spiritist populations of Sao Paulo and Campinas. It is readily apparent that within the capital city the Spiritists are drawn from groups of generally far higher educational attainment than that enjoyed by the great majority of the population of even that most privileged state in Brazil. While the number of university trained and professional people in Campinas appears to ba large — about one in six members — the writer's personal acquaintance with the Allan Kardec Center, which was sampled, and another center, even larger and of equal social prestige, leads him to believe that the sample is representative. (Membership records of the centers are totally inadequate.) These data give important indications concerning the social composition of Spiritism. Education is ver>' closely linked to socioeconomic status in societies such as the Brazilian, and the indications are very strong that in cities such as Campinas (population 152,547 in 1950), and those of smaller size, greater proportions of the welleducated and well-to-do are in the ranks of Spiritism than is the case

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125 Table 8. — Percentages of Persons Aged Ten Years and Over, Completing Various Academic Stages, in Brazil and the State of Sao Paulo, 1950 Elementary Stage of Instruction Completed Secondary University and Professional BRAZIL Sao Paulo 14.8 26.8 2.7 4.6 .4 .7 SOURCE: Compiled and computed from data in "Censo Demograf ico," VI Recenseamento Geral do Brasil, 1950 Rio de Janeiro: Conselho Nacional de Estatistica, 1956, Vol. I, p. 24 and Vol. XXV, pp. 20, 107. Table 9. — Educational Levels of Spiritists in the Cities of Sao Paulo (1958) and Campinas (1966) sac Paulo (N=580) Campinas (N=75) Elementary 60.8 38.7 Stage of Instruction Completed Secondary University and Professional 32.2 44.0 4.8 16.0 SOURCE: C.P.F. Camargo, Kardecismo e Umbanda Sao Paulo: Livraria Pioneira Editora, 1961, p. 166; and results of survey by the writer in Campinas

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126 in the largest urban areas. Being a Spiritist is one way of being an intellectual for many Brazilians, especially those of small towns. There are several reasons for this. The first is related to religious instruction. Roman Catholic theology is virtually untaught. Protestant doctrine is generally considered "more reasonable" than popular Catholicism, until this reasonableness is effaced by denominational quibblings or by the obscurantism of some Protestants. Many a "village free-thinker," faced with these alternatives, has found himself convinced of the plausibility of Kardec's open-ended system. The second intellectual appeal of Kardecism comes in the form of a negative reaction to the encyclopedism which has characterized the educational system. Many local and regional leaders among the Spiritists, whose biographical sketches appear in the periodicals of the movement, have been curiosos — men and women of an innovative, inventive nature — who were ready to tr>' the new and to search for answers, not content to learn by rote. These are often persons of substantial influence; many are medical doctors. Their effect upon the spread of Spiritism is in evidence in various sections of this study. It is impossible to estimate how many highly-educated men study Spiritism on their own, without committing themselves to membership in any group. During the many visits he has made to the homes and offices of professional men, the writer has rarely failed to observe some of the works of Allan Kardec or other Spiritist writers. In the great cultural centers of Brazil, such as Rio de Janeiro, elite Spiritist groups are found. In a discussion of these groups, in

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127 personal conversation, the eminent student of Latin American societies, Roland Hilton, described to the writer his meeting with two very high officials of the Brazilian Ministry of Education who belonged to such centers. The Institutional Development of Brazilian Spiritism Fundamental Questions of Autonomy and Organization There is no official hierarchy of Spiritism in Brazil. There do exist, however, four general levels of cooperative endeavor: the individual center, local associations of centers, and state and national federations. Every Spiritist center is an organization and a law unto itself. Nevertheless, in many localities, various centers are organized into associations on the level of the municipio (similar to county) or other unit. Up to the present time, such organizations are often extremely tenuous. They function principally in the planning and execution of joint representations in public celebrations, in order that "we Spiritists can make a good showing." Leaders of such associations in several Brazilian cities have spoken freely to the writer of the difficulty of "getting things organized"; "the people won't help." Some of the functional reasons for this difficulty are at the heart of Spiritism and of certain of the motivations people have for adhering to it. First, Spiritism is a lay movement. Although it possesses many leaders on the various levels who inspire respect, and even veneration, there is no clergy. Any hierarchy of volunteers is apt to lack the time, the motivation, the discipline, and the authority which are necessary for the formation of an efficient

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128 organization. Those who do have a modicum of these qualities are often feared as possible "dictators." Most Spiritists are opposed to religious hierarchies; many feel that they have been freed from the domination of one. Less and less mention is heard of persons who are both Roman Catholics and Spiritists, Freedom of conscience and a sometimes belligerent attitude toward hierarchical authority are frequent themes in Spiritist writings and talks, particularly those which mention the conversion and struggles 9 of Spiritist pioneers. This movement has often been compared with those of the Baptists and other Protestant groups who emphasize individual freedom and the autonomy of the local congregation. Emflio Willems, in viewing this aspect of Protestantism, considers it "a symbolic protest against the traditional social structure," a structure which has, as prominent features, the "religious monopoly" of 10 the Roman Catholic Church allied to the ruling classes. This leads Willems to the formulation of a hypothesis which, although it refers to Pentecostal movements that occur largely among the lower classes, has significance for our analysis of the internal and external relationships of Spiritism. This student of religion in Brazil q Examples are found in such articles as the following, of recent publication: Noronha Filho, "Igreia e Dialogo," Revista Internacional de EsDiritismo Ano XLIV, no. 10 (Novembro, 1968), pp. 298-301; "0 Esplritismo Nao Tern Ramif icagoes," ibid pp. 306-307; Carlos Imbassahy, "Espiritismo e Christianismo," ibid no. 6 (Julho, 1968), pp. 155-159; "Eurlpedes Barsanulfo: Cinquentenario de Desencarnajao," Reformador Ano 86, no. 11 (Novembro, 1968), pp. 253-255. 10 F ollowers of the New Faith Nashville: Vanderbilt University Press, 1967, p. 154.

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129 hypothesizes that the extent of the resemblance of the structural and ideological elements of a particular religious denomination to those of the traditional society is in inverse relationship to the proselytic 11 success of the denomination. The second reason for the weakness of local associations is that, since leadership in this movement is rarely conferred, but generally 12 must be earned, leaders are often unwilling to share powers of decision and other prerogatives with "outsiders." This objection frequently does not apply to affiliation with state or national groups, since their personnel would be too far removed to constitute a local threat. Such affiliations, in fact, often enhance the local prestige of the leader. Third, many leaders and members, caught up in the activities and loyalties of their own center (and possibly even feeling rivalry toward others) do not perceive any functionality on the part of a municipal association. Such occasional activities as those mentioned above require no permanent organization. The Development of State and National Federations During the nineteenth century, a major factor which inhibited the formation of federated groups of centers was the difficulty involved in gaining legal status. Such problems in themselves often touched Ibid 12 Cf. George C. Romans, The Hiiman Group New York: Harcourt, Brace, and World, 1950, pp. 415-440.

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130 off internal doctrinal disputes as well. Vlhen Telles de Menezes, in 1873, was fo-rced by Church and civil authorities of Bahia to register his group as a "scientific society" and not a religious one, a strong argument was put into the hands of those Spiritists who insisted upon the philosophical-scientific and non-religious character of the movement. Emphasis upon Spiritism as a science and/or a philosophy on the part of many adherents was further strengthened by the necessity of overcoming the general atmosphere of suspicion among the people. Newspapers and police records of the time give ample evidence of the widespread sensationalism and charlatanry on the part of "spiritistic healers. "-"-^ Joao do Rio (Paulo Barreto) in a classic of Brazilian journalism of the turn of the century, describes the heartless exploitation in the houses of such charlatans, in a terri14 fying atmosphere of false necromancy, crime, and prostitution. Such activities were unrelated to Kardecist centers. In 1873, the Grupo Confucio was organized in Rio de Janeiro, not merely as a local center, but with the aim of directing Spiritist activity in Brazil. ^^ Doctrinal dissensions were still rife, however; ^^Leonidio Ribeiro e Murillo de Campos, Espiritismo no Brasil ; Contribuicgo ao Seu Estudo Clinico e Medico-Legal Sao Paulo: Companhia Editora Nacional, 1931, cf. especially pp. 17-142; Frei Boaventura Kloppenburg, Espiritismo no Brasil Petropolis: Editora Vozes, 1961, pp. 12-19, 217-224. These authors assume conscious or unintended fraud in all cases. l^ As Religioes do Rio Rio de Janeiro: Organizagao Simoes, 1951. ^^Conceming the historical resume which follows, cf.: Kloppen-

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131 the group was disbanded, to be succeeded by other attempts at organization by former members, until, in 1880, a more lasting entity was formed under the name "Sociedade Espxrita Fraternidade Among its more prominent members were Francisco Leite de Bittencourt Sampaio, outstanding writer and politician, and Antonio Luis Sayao. These and others, who accepted the teachings of J.B. Roustaing, were ousted from the "Fraternidade," forming in 1885 the "Grupo Ismael." A prominent business-man, Elias da Silva, had fovinded the periodical Reformador in 1883, as an organ of unity. In January, 1884, several members of the "Fraternidade," headed by an army officer. Marshal Ewerton Quadros, organized the Federa^ao Espirita Brasileira, making the Reformador its official organ. The Federapao was unrelated to any of the existing centers, and with diplomacy its members worked at the task of federating them. The almost impossible feat of uniting Roustaingists with those who accepted only Kardec was accomplished by two means. The first was the reception (by a medium trusted by all) of what was believed to be a message from the spirit of Allan Kardec on the twentieth anniversary of his death, calling for unity in the spirit of charity. The second consisted of the patiently astute efforts and the wisdom and kindness of a highly placed medical doctor and citycouncilman, Adolf o Bezerra de Menezes, who had been brought to Spiritism through the healing of his own illness. Espirit§; Sao Paulo), Setembro de 1968, p. 4, Janeiro de 1969, p. 4; and ANUARIO ESPIRITA, 1968, Araras: Instituto de DifusSo Espirita, 1968, pp. 165-166.

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132 On August 16, 1886, Bezerra de Menezes electrified the city of Rio de Janeiro by making a ringing declaration of his adherence to Spiritism, before a social gathering of more than 2,000 of the elite. In 1890, the provisional government of the newly-formed Republic of Brazil included in its New Penal Code strong sanctions against the practice of Spiritism. Bezerra de Menezes, through his widely read Spiritist column in the newspaper Pals and by his personal efforts, led the successful fight for religious liberty. He was enabled by this crisis to extend and strengthen the unity of the Spiritist groups. With his irenic spirit, during his terms as president of the Federacao (1889, 1895-1900), this leader and his coworkers were able to set the course of Brazilian Spiritism definitively as a religious movement. In that period of Spiritist history the sub-title on the masthead of the Reformador was changed from "Evolutionist Organ" to "Religious Monthly of Christian Spiritism." (" Mensario Religioso de Espiritismo Cristao"). In the above-mentioned documentation by Joao do Rio — one of the very few descriptions of the multiplicity of religions in Rio de Janeiro during this period — the Federacao is described in impressive terms. It is pictured as having 800 members, including generals, admirals, and other persons in high places. Many followers among the social elite are described as frivolous faddists, but the activities directed toward healing and indoctrination, in the enormous and wellorganized headquarters, are treated with respect. The transcription of a mediumistically "received" doctrinal address, delivered by the president, serves as a model of what is still today considered by

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133 Spiritists to be an exemplary oratorical resume of the origin and foundations of the doctrine. The Federagao Espirita Brasileira presents enigmatic aspects. Although in many cases it is able to speak for the Spiritists of Brazil, it has been unwilling to disavow the teachings of Roustaing, and in this manner continues to alienate large groups. Its most useful function for most Spiritists consists in the enormous output of literature from its presses, which is discussed elsewhere in this chapter. The Federaqao is often accused of being oligarchical and dictatorial, and the present writer and other researchers have had first-hand experience with its unwillingness to furnish statistical data concerning its activities, although an attentive and cordial reception is accorded to all. The current president, Dr. Wantuil de Freitas, has been in office since 19^3. Under his administration, the publishing facilities of the Federagao have become among the largest and most modem in Brazil. At the Federation headquarters, thousands of people are attended each year in programs of charity, education, job-training, medical assistance, and legal consultation. Most of the state federations are affiliated with the Joao do Rio, op cit pp. 189-198. This chapter is entitled, significantly, "Spiritism Among the Sincere." Cf. the experiences of the leader of the Spiritist movement in Portugal: his surprise at being invited — and furthermore, being asked to speak — to the headquarters of the Federacao Espirita Brasileira; Isidore Santos Duarte, Espiritismo no Brasil (Ecos de uma Viagem ), Rio de Janeiro: J. Ozon Editor, 1960, pp. 223-225.

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134 Federacao, and it exercises close supervision and control over the participating centers, to ensure their maintenance of the norms of doctrine and practice. The Federag'So Espirita do Parana was organized in 1902. Similar organizations followed in other states, the most active and powerful of them being the Uniao Espirita Mineira (1908) the FederagSo Espirita do Rio Grande do Sul (1921) and the Federagao Espirita do Estado de Sao Paulo (1936). This latter group, formed of those who opposed the national Federagao on doctrinal grounds, exercised not only the major Spiritist control within its own state, but also great influence in other parts of the nation. It called a unifying congress of state organizations in 1949; the Federagao Espirita Brasileira refused to participate, suspended those state organizations which agreed to take part. The impending crisis was resolved in a meeting of state federation officials in Rio de Janeiro, with the signing of what is known as the "Facto Aureo" de Unificagao ("Golden Pact" of Unification) This pact brought into being a permanent Conselho Nacional Federativo composed of representatives of the Federacao Espirita Brasileira and of each state federation. This council is "the orientor of Spiritism in Brazil," with Allan Kardec's B ook of the Spirits and Book of the Mediums as doctrinal standards. The monthly meetings of the Conselho are held at the headquarters of the Federagao in Rio, and its deliberations are published in the Reformador Thus the remarkable Brazilian political talent for compromise produced a solution. Doctrinal positions and organizational control were both involved; since the doctrinal question was

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135 on a secondary issue, the Federa^ao conceded itj rather than see its sphere of influence reduced. It still publishes Roustaing's work, and the matter apparently is no longer discussed officially. In recent months the Federa^ao Espfrita do Estado de Sao Paulo has proposed a manner of uniting with the Uniao das Sociedades Sspiritas the next largest association in the state of Sao Paulo, and indications are that the plan of union will be accepted. Since the period of the "Pacto Aureo," conditions for further united effort and even unification have steadily improved. This is due to several factors: the growth of the nationalistic consciousness, and greatly increased ease of travel and communication; the "snowballing" effect of unification (each new uniao or "federai^ao" adds not only enthusiasm but new publications, the content of which is devoted largely to the subject of unity and to reports of congresses, at c etera ) ; the increasing emphasis upon healing, sentimental mysticism, and works of charity, which provide less controversial subjects in doctrinal studies; and finally, of great importance, the growth of the youth organizations, with their enthusiasm for large gatherings and united efforts. (The writer counted, in recent periodicals, news items concerning more than 20 activities usually denoted by such initials as COMECSESP — Concentraggo de Mocidades Espiritas do Centro-Sul do Estado de Sao Paulo — Concentration of Spiritist Yo.uth of the South-Central Region of the State of Sao Paulo.) As a result of the "Pacto Aureo," in 1949 two youth organizations, the Uniao das Juventudes Espiritas do Distrito Federal and the Conselho Consultivo das Mocidades Espiritas do Brasil, joined to become the

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136 Youth Department of the Federa^iao in its headquarters in Rio. Its monthly official organ is Brasil Espxrita There is a small but growing number of local Spiritist women's organizations, patterned -as is the youth work — after the similar work of Protestants. Associations of Spiritist doctors, journalists, and other professionals exist. One of the best-known is the Cruzada dos Militares Espiritas (Crusade of Spiritist Military Men) ; since the days of Marshal Ewerton Quadros, Spiritism has had a large following in the military establishment. (The writer has observed large numbers of Kardecists among the soldiers of Campo Grande, where he resided near the large Army post. He also was acquainted with higher officers who "followed Kardec," but in solitary study, not in the centers.) Activities of Charity and Social Service The central place of charity, both as a sentiment and in practical works, is delineated in the discussions of the beliefs and the cultus of Kardecism. The activities of charity and social service are now considered, in their relationships to the Spiritist organizations and to the society at large. Societies such as that of Brazil include a relatively large number of indigents who are ill, crippled, orphaned, aged, or otherwise unable — or unwilling ~ to care for themselves, and who receive no help from families. Religious teachings and other cultural elements have given emphasis to the virtue and the rewards of charity, which is largely sentimental and impulsive in its expression. Spiritism, looking upon itself as the corrective and fulfilling expression of genuine Christianity, the religion of love, frequently has charitable works as its major expression.

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137 In conversations and correspondence with, officers of Spiritist associations, the researcher grows all too accustomed to variations of the expression: "We are very sorry, but our records are very incomplete...." Many local institutions are extremely well-organized and have supplied excellent records, but the localism referred to in a previous section inhibits data-collection on the part of municipal 18 and state organizations. Nevertheless, in the periodicals of these unifying entities considerable space is devoted to reports, frequently illustrated with photographs, of the institutions maintained by local groups. The ANUARIO ESPIRITA, published each year since 196A, is an excellent depository of such material, as many local associations accept the opportunity to give wide-spread publicity to Spiritist work in their cities. Typical of the presentations of the work of social concern is a brochure prepared in 1969 by the Spiritist youth and the municipal association of Franca, a city with light industry in a cattle-raising section of Sao Paulo. In this municipio of about 70,000 persons, the brochure reports the presence of eight Spiritist centers; three "foundations"; two youth organizations; one elementary school with 18 As well-organized an entity as the FederacSo Espirita do Rio Grande do Sul has no regular, efficient reporting system. In a survey which it conducted for a complete publication of Spiritist acitivity in the state, replies were received from 42 out of 52 member organizations in the city of Porto Alegre, and from 85 out of 125 in the rest of the state, or 127 of 177 member groups. ( A Reencarnagao Ano XXIII, no. 7 (Abril, 1957), p. 12.) These 127 organizations reported a total of 21,237 members; this is very low when compared to 125,552 members reported in the 1950 census.

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138 120 pupils: one hospital for the mentally ill with 200 patients; two homes for the aged — one of which also has 50 orphans and a group of houses where indigent families are maintained; a hostel for homeless men; a religious newspaper; and a book-store. The "foundations" house Spiritist centers, but by virtue of medical and dental assistance, provision of clothing and food for the poor, and other service activities performed in them, they are legally registered and receive financial assistance from governmental agencies. All of the entities which are eligible, and even one of the youth groups, are thus registered. Registration numbers and the names of members of the directorates of the various institutions are given. Appearance of the same names on several directorates indicates the close relationship of the centers to the social service projects. Following the common practice in Brazil, each institution has sustaining members who contribute monthly to its support, and whose ranks include many non-Spiritists. Even with the volunteer service and financial support of the members of the centers, such work is usually possible only with financial help from outside. A report of the activities of the "Allan Kardec Spiritist Center" of Campinas (approximately 200 members) from January to October, 1968, was prepared for the writer by the director of its social service branch, the "Instituto Popular Humberto de Campos .' Of 2,339 students in elementary, typing, and sewing schools, 1,269 attended free. The medical and dental offices, with Spiritist doctors giving their services, attended 4,340 persons. The Institute keeps 34 homeless boys, who operate a messenger service and "Goodwill Industry" project. It furnished food and clothing to 103 families.

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139 in addition to school lunches for 500 students. Total expenses for these and other services were 43,433.86 New Cruzeiros, or U.S. $11,657.00, a very large amount of money in the Brazilian economy. Even though over-all statistical data, gathered over a period of time, are lacking, certain observations can be made concerning the programs of assistance and education of the Spiritist organization in Brazil: 1. In general, there is participation by members of all ranks in the actual work of assistance. For example, members of the board of directors of the 550-bed Hospital Espirita in Porto Alegre, including a former mayor of the city, take turns in the direction of devotional and passe" sessions with the mentally-ill patients. 2. Most work is done by relatively small groups, and is charity or assistance of a direct, immediate type. Although there is an increasing awareness of the need for social and economic changes of a fundamental nature, most people see no possibility of participation in such changes, but they do see immediate needs and attempt to meet them on a personal basis. 3. As a consequence of the above, much that is done is of a very practical nature, such as using the delivery-boys in Campinas to bring in used articles for the repair-and-resale shop. 4. The political issue of church-state separation creates for the Brazilian no qualms concerning the use of public funds by religious groups, for conducting their service programs. The government agencies alone are usually unable to meet the needs, even though a welfarestate organization exists. Religious groups are a logical choice for assistance in carrying out welfare objectives.

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140 5. Even so, public financing will tend to be one factor in the increasing impersonalization of many Spiritist programs; with more money available, larger institutions, with fewer volunteer workers, will appear. Another factor of importance in the impersonalization and growth of the programs is a growing number of homeless children, matriarchal families, and aged persons in the cities of Brazil; at the same time, urban conditions are increasingly less conducive to 19 the care of such people by families (see Chapter VII) Leaders of organizations such as those mentioned in Campinas feel the growing load of assistance to these people. 6. An important change to programs of a more "long-run" nature is the growth in number and size and Spiritist schools. A large portion of these schools began through the necessity of educating the children in orphanages sponsored by the centers. Beginning as elementary schools, typically they have added courses, as in the case of the large Spiritist school, the Colegio 'Precursor', in Belo Horizonte, 20 Minas Gerais. 7. There is an ever greater emphasis upon modernization of pedagogy, child-care in the orphanages, and techniques of social service. The insistence upon "old-fashioned morality" is rarely 19 Cf. Thales de Azevedo, "Family, Marriage, and Divorce in Brazil," in Dwight B. Heath and Richard N. Adams, Contemporary Cultures an d Societies of Latin America New York: Random House, 1965, pp. 296-299. 20 Articles on this subject are frequent; they are typified by those in an official spiritist paper, Espirita Mineiro Ano LIX, no. 123 (Janeiro e Fevereiro de 1967), pp. 1-2.

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141 related in Brazil to a resistance to modern educational methods, so often found in the United States. Spiritists, with their conseivative moralism, perceive in modern child-care and educational methods an emphasis upon love and respect for personality and freedom of development which appear to be consonant with their beliefs and outlook. A major occurrence in Brazilian Spiritism, in recent years, was the _I Encontro de Educadores Espiritas da Regiao Cent ro-Sul (I Meeting of Spiritist Educators of the South-Central Region) in Curitiba, Parana 21 in April, 1968. At this meeting, a bold plan was presented for the development of a Spiritist educational system, with a Spiritist educational psychology, a Spiritist pedagogy, and a Spiritist philosophy of education. 8. Its social service and educational programs appear to contribute to the general tendency of Brazilian Spiritism toward a higher middle-class composition and value-orientation, and toward a greater rationalization of its institutional structure. Spiritism and the Media of Communication Spiritism is a doctrine with an explicit formulation, knowledge of which is considered by its adherents necessary for the due progress and evolution of every spirit. It is therefore of fundamental importance to note the means by which the followers of Allan Kardec disseminate the doctrine, and their adaptation of these means to the target population. ^"•ANUARIO ESPIRITA, 1969, p. 247.

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142 Gathering in public to hear good speakers, and the writing and reciting of poetry, are treasured socio-cultural elements among the Brazilian people. Spiritist lectures and literature are frequently well-adapted to this important pattern of social behavior. The traditional Roman Catholic religion has rarely offered opportunity for such expression, and literary creativity has had almost no religious channels. The creative talent — as well as the mere verbosity — of people in local situations has been channelled through literary clubs and the oratory typical of patriotic celebrations. Protestantism, a book-centered, preaching religion, brought new opportunities for verbal expression. Spiritists have an advantage even over Protestants: since all members are laymen, occasions for speaking and writing are more evenly distributed among them. "Evangelization" or "the preaching of the Gospel" in regular meetings is described elsewhere in this study. Informal proselyting activity is frequent in personal or small-group situations, but such techniques as street-preaching, still common among Protestants, and not employed by Kardecists. In 1966, 944 radio stations were functioning in Brazil. From large numbers of them, principally in small cities of the interior, are broadcast the messages of speakers representing local Kardecist centers. Until recent years, telephone lines were inadequate for the establishment of regular networks; therefore, most programs are local and generally enjoy a good audience. A small number of very powerful stations in principal cities do cover the nation with their broadcasts, and well-known Spiritist orators often speak from them.

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143 In 1940, the Uniao Federativa Espirita Paulista acquired the Radio Piratininga," a powerful station, thus making it the first of several Spiritist-owned broadcasting units. It is well-known that stations of a sectarian nature tend to be heard principally by their own coreligionists, but the total effects of such stations and programs is unknown The movement under study has no television programs, but several events have provided opportunities for sensational documentaries and interviews concerning Spiritism. In 1964, after a leading weekly magazine "unmasked" an alleged fraudulent "spirit materialization" to which it had given serious publicity, a series of televised debates between Spiritists and opponents occupied national attention 22 for weeks. More recently, two interviews with Francisco Candido Xavier were of nation-wide interest. The more arresting of the two dealt with the death of Brazil's first heart-transplant patient, and with the subject of organ transplants in the light of Spiritist doctrine. Both were transcribed in full in the ANUARIO ESPIRITA, 1969. Persons accustomed to consider such television productions as "The Twilight Zone," "Outer Limits," and "One Step Beyond" as mere entertainment are impressed by the seriousness with which they are taken by many persons in Brazil, particularly those within the spiriti-stic religions. The writer has been present when Kardecists used 23 such productions as evidences of the truth of their own doctrines. 22 Cruzeiro Jan. 18, and February 1, 1964. He has recently been requested to remit to a cultured Spiritist acquaintance a script of the original production of "The Ghost and

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144 Among the socio-cultural factors conducive to the acceptance of Spiritism by Brazilian people is the personal, often intensely dramatic view of life. This is particularly in evidence in the positive reactions to such dramatic productions as those just mentioned, whether in person or on the screen. That which impresses all observers, however, is the impact of the Spiritist press upon the country, and particularly upon that relatively small portion of the population with at least a secondary education. Repeated references have been made to local and associational periodicals. The Reformador, published by the FederagSo Espirita Brasileira since 1883, boasts of being the oldest Spiritist publication in continual publication in the world. Yet no circulation figures are available for these periodicals as a whole. In July, 1968, the Editoral Department of the Federagao reported that up to that time it had published ten million Spiritist books, including 2,334,000 copies of works of Allan Kardec, and 1,931,000 copies of the books of F.C. ("Chico") Xavier. The books of Kardec with the largest printings were: Evangelho Segundo o Espiritismo 760,000 (The Gospel According to Spiritism) A Prece (Prayer) 485,000 Livro dos Espiritos 330,000 (The Book of the Spirits) Mrs. Muir" (now a television series). This person is a leading Spiritist writer, who wishes to translate the play into Portuguese, in order that drama-groups of young Spiritists may use it as a means of propagating the doctrine.

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Liv ro dos Mediuns 281,000 (The Boole of the Mediums) Ceu e o Inferno (Heaven and Hell) 107,000^^ The LAKE, Livraria Allan Kardec Editora, in Sao Paulo, second largest Spiritist publisher, printed 435,000 volumes in 1959, of vhich 80,000 were works of Kardec, and 180,000 were other doctrinal expositions. The rest were fictional and children's books which present Spiritist beliefs. This is the publishing house which in 1964 revived the English translation of Le Livre des Esprits and is exporting copies to Great Britain. The LAKE is the publishing arm of the Federaggo Espirita do Estado de SSo Paulo Both this Federasao and the FederajSo Espirita Brasileira devote the profits of their publishing enterprises to very extensive programs of assistance to the needy. The EditSra Pensamento operated by an esoteric society, has for many years published annually the Alma naque d'O Pensamento popularly thought of as a Spiritist almanac. Each issue consists of about half a million copies. In addition, this very liberal group prints other Spiritist and Umbandist works and those on magic, including the Book of Saint Cyprian The imposing number and rapid sale of Spiritist publications are evidences of the need for analyses of the content and the market of such books and periodicals. Even in the absence of such an analysis, 2'^Reformador, Ano 86, no. 10 (Outubro de 1968), p. 237. ^^Camargo, op. cit p. 144. This author gives 20,000 as the average number of copies for a best-seller in Brazil, thus indicating the extreme popularity of the works of Kardec and Xavier.

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146 however, certain important facts may be noted. One is the tendency, frequently lamented by Spiritist leaders, away from "philosophical studies," particularly those based on The Spirits' Book and from the scientific aspects of Spiritism. ^^ jhe above list of "best sellers" is consonant with such observations; "devotional" materials of Xavier, even though they are of more recent production, outsell doctrinal works. Among Kardec's own writings, the Gospel According to Spiritism and Prayer have nearly twice the volume of the three doctrinal books listed. The Spiritist messages found in the periodicals consist largely of banal, moralistic cliches and pious, sentimental uplift. The following is an example from the prolific pen of Francisco Candido Xavier: (Emmanuel is the "dictating spirit"): Thou Shalt preserve the faith. Thou shalt learn with her to sing praises for the blessings of the Father Supreme, manifesting the gratitude that wells up in Thy spirit. Even so, above all thou shalt take her as the sure guide along the way of the regenerating trials of Earth, that thou mayest worthily fulfill the designs of the Lord, in the execution of the tasks which life has reserved for thee. Emmanuel ([From] a page received by the medium Francisco Candido Xavier, in a public meeting of the Christian Spiritist Communion, on the night of January 19, 1968, in Uberaba, Minas Gerais.)^^ ^This was observed by Camargo as far back as 1960: 0£. cit pp. 146-148, and more recently by Donald Warren, Jr.: "Spiritism in Brazil," Journal of Inter-American Studies Vol. 10, no. 3 (JulyAugust, 1968), pp. 397-398. 27 Reformador Ano 86, no. 12 (Dezembro de 1968), p. 288.

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147 Another tendency, noted in a previous section, is that toward emphasis upon works of charity and the building of social service institutions. Although these are essential to the movement, concern is shown by some leaders that much space is devoted to reports of them, complete with photographs, while little is given to genuine study of the basic beliefs. Related to this is the general turning of the attention of editors of periodicals to the subjects of unification and of the institutionalization of the movement. A foremost example of this process is the ANUARIO ESPfRITA, published annually since 1964 by the Instituto de Difusao Espirita in the small city of Araras, Sao Paulo. The ANUARIO is avowedly a promotional organ. In addition to complete and well-illustrated reports of the institutions of Spiritism in various cities and regions, it carries announcements and reports of congresses and institutes, "fillers" of devotional messages and psychographed poems; biographies of outstanding Spiritists of the past; news of Spiritism in the world; "name-dropping" articles concerning spiritistic phenomena in the lives of Clark Gable, Elizabeth Taylor, Winston Churchill or Abraham Lincoln; and articles which are often about doctrinal subjects but rarely come to grips with them. The ANUARIO is an excellent bird's-eye view of much of what Brazilian Spiritism is today. This is helpful for curious outsiders (very few of whom are aware of its existence) but it may be too similar in content to local and long-established periodicals; the first ANUARIO had a printing of 15,000 copies, but the 1969 issue is down to 8,000 copies.

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148 Mediumistic Phenomena and the Popularization of Spiritism The tendency grows among Spiritists to fill the religious gap in Brazilian institutions and daily experiences, and toward the provision of a rationale with which to meet the changes implicit in modernization. It is well illustrated not only by the general content of publications, as noted above, but in the great impression which has been made upon the Brazilian public by the work of two mediums: one, the writer who has received frequent mention, Francisco Candido Xavier; the other, a healer. Bom in 1910 in a backward mill-town in Minas Gerais, "Chico" Xavier lost his mother when he was five years old. The family was large and poor, and as a small boy, he worked on the night shift in the textile mill and studied during the day. He was kno^m as sensitive and intelligent, and had a prodigious memory. The family was strongly Catholic, but when Spiritist friends cured Chico 's sister of "attacks," and showed great kindness to the family, the father and children were converted to Kardecism. At the age of 17, Chico showed unusual mediumistic capacities; and in 1931 he "psychographed," or — as was believed — wrote under the direct guidance of the spirits of departed Brazilian literary figures of note, a small volume of poems, which was immediately published by the Federagao in Rio. The publication of works attributed to the spirits of men long dead created a furor in literary circles, particularly since the "author" was an unlettered small-town cashier. One of the distinguished writers who "contributed" to the book was Humberto de Campos, and during the following ten years, five of Chico Xavier' s

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149 books were attributed entirely to that author. In 1944 his widow sued the Federa^ao and Chico Xavier; the fundamental decision forced upon the court was as to the genuine character of the spirit-writings. Comparisons of the writings of "Humberto the Man, "and "Humberto the Spirit" appeared to reveal one uniform style in both, and the Spiritists won 28 the case. Even so, the spirit of Hiamberto de Campos refused to allow further works to carry his name, and subsequent publications by this noted "spirit" bear the simple name. Brother X. Xavier has passed his adult life as a humble government clerk. Very modest, he lives in a house similar to the one in which he was born; proceeds from his books go to the social service work of the Federafao. After a scandal in which the "psychography" of a nephew was admitted by the nephew himself to be a fraud, and in which aspersions were cast upon Chico, the famous medium moved to Uberaba, in the "Spiritist heart-land" of Minas Gerais. There his home is a mecca for Spiritists and the curious. There and all over Brazil, the fortieth year of his mediunic work was celebrated in 1967. His books now number 93, all purportedly dictated by spirits. Despite the banal and sentimental character of many of his occasional "pages received in session...," there is a doctrinal pattern discernible in Chico Xavier 's books. Three of them parallel Kardec's three major works; each may be seen to be a commentary — in warm, accessible language and in terms of felt needs of the modern Brazilian Miguel Timponi, A Psicografia Perante os Tribunals Federa^ao Esplrita Brasileira, 1945 (Includes transcripts of articles in newspapers, magazines, and other publications which gave the case wide publicity)

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150 — of the corresponding volume of the "Master." The "spirit of Andre Luiz" contributes much that claims to link Spiritism with modern science, while "Emmanuel" is a theologian-philosopher. Some "spirits" present doctrine or "spiritual laws" in the form of novels; these probably illustrate best the Romantic attempt that is being made to apply nineteenth-century moralism, science, and theodicy to twentieth-century life. One of the more important of his works — "by the spirit of Humberto de Campos" — is Brasil: Coragao do Mundo e Patria do Evangelho (Brazil: Heart of the World and Homeland of the Gospel 1938). This is a melodramatic account of the direction of the destiny of Brazil by the "spirit Ismael" over the past 450 years. The guidance of the nation to world spiritual leadership, through such "apostles" as Bezerra dc Menzes and heads of state unlcnowingly led by the spirits, appeals to the growing national consciousness in Brazil. Chico Xavier and his writings embody much that is representative, to many Brazilians, of being a Brazilian and being a Christian: modesty and piety, the warn personal heart e::pressed in acts of kindness, articulation of what he thinks and feels, and a feeling of destiny for himself and for Brazil. The second medium to whom reference was made is Jose Pedro de Freitas, also of old Minas Gerais. He is virtually unknown by this name, but Ze Arigo or simply Arigo is a more common household term than even Chico Xavier. Arigo is from a well-to-do but humble, strongly Catholic family, farm-owners in a rural area in which religion and tradition are firmly held. As a boy, he noticed the occasional peculiar behavior of

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L51 material objects near him. While still a young man, he experienced several unexpected trances in the presence of sick persons, during which he compulsively but expertly performed surgical operations with knives or other crude instruments. Convinced that this was the work of spirits, he began the study of Kardec, and opened the first Spiritist Center in his hometown of Congonhas do Campo. Despite the open hostility of the Roman Catholic clergy, he attended increasingly large crowds of people in the Centre Espirita Jesus Hazareno. It is believed by the Spiritists and many others that most of the operations are performed through him by the spirit of a German, "Dr. Fritz"; however, there are other "spirits" who specialize: the gjmecologist, for example, is a Japanese, "Dr. Catarachi," and the oculist is "Dr. Pierre." He treated, and is believed to have saved the life of, a daughter of Juscelino Kubitschek, then President of Brazil, and has performed operations on numerous persons of high status, both from Brazil and from other countries. The ntunber of persons treated by Arigo is now well above 3 million. He does not receive money; treatments are done in the morning and at night, for in the afternoon Jose Pedro de Freitas is a clerk in the local Social Security office. In spite of the imposing testimonies given by many thousands of persons, many of them of great prestige, since 1954 Arigo has faced accusations of charlatanism by the Medical Association of Minas. Convicted once, and pardoned by President Kubitschek, his subsequent convictions and appeals have cause his imprisonment and release several times, and have provided material for great amounts of sensational

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Lbl journalism. Throughout this period, however, Arigo has demonstrated the same simplicity and humility which characterize Chico Xavier, and the journalists have been unable to carry their sensationalism into 29 his own life. He has a comfortable home in his native town of Congonhas do Campo, the site of much of the work of Brazil's most famous sculptor, "The Little Cripple." His only other possession is a ten-acre farm near the town. Unlike his friend Chico Xavier, who never married, Arigo has a wife and six sons. They appear to be part of a typical, extended rural family, and separation from them is the only sacrifice acknowledged by the healer with regard to his work and his imprisonment. Scientists from the United States and other countries have studied him and his cures, and he has rejected many lucrative offers to leave Congonhas. It is reported that in February, 1969, he began operating 30 again, his first patient having been a famous soccer player. An expectant attitude toward miraculous healing is an aspect of Brazilian culture since earliest times. From time to time "healers" appear, often attracting large numbers of people. In recent decades, through the news media and with the power of its own press, Spiritism has been able in some degree to link its own rationale to such phenomena in the public mind. This is greatly facilitated when the healers 29 A good account of ArigO^'s life, work, and his trials and imprisonment may be found in Cruzeiro Ano XXXVIII, nos. 31 and 32 (6 de maio and 13 de maio de 1966) 30 Desobsessao Porto Alegre, Ano XXI, no. 252 (Fevereiro de 1969), p. 7.

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153 themselves profess Spiritism, as in the present case. Confirmation is given and prestige added to the work of local centers, reinforcing the factor which is vitally requisite to any sustained work of healing through personality: generalized expectancy of the phenomenon. This attitude, coupled with constantly increasing medical costs, and the continued alienation of the medical profession from the public, leads large numbers of people, who have no way to access to Ze Arigo, to seek Spiritist friends or local centers. Spiritism in its Internal and External Relationships; Typological Classification The place of Spiritism in the religious development of Brazil has been indicated (Chapter III), as have its principal aspects as a socioreligious movement, in the present chapter. In the presentation of these elements and processes, certain features have becom.e visible in such a way as to make possible an attempt at a tentative classification of Spiritism among the religions. The unsettled state of the sociological classification of religious bodies is discussed in the review of the literature (Chapter II, supra ) Several features of the internal life of Spiritism and of its relationships to the wider society contribute to difficulty in the tjrpological description of it. In its early stages in Brazil, this movement possessed largely the characteristics of a cult ; the groups were oriented toward the needs and experiences of individuals, loosely organized, and disconnected from the established religious institution. Riven by heterodoxy of belief, they were short-lived, and an arduous political process of long duration was

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154 necessary in order that they develop accepted norms and structures. Even so, these still apply largely to autonomous local societies. Thus internally Spiritism possesses both sectarian and denominational characteristics. The latter are particularly in evidence in the processes of institutionalization and unification. In its relationship to other religions and to the sociocultural environment, one feature which militates strongly against the classification of Spiritism as either cult or sect is the broad strand of social and cultural continuity which relates it to Brazilian society as a whole. The "break" which it represents with many of the beliefs and cultic aspects of the traditional religion has already existed for generations in many families and groups which have been nominally Catholic. Furthermore, parallels and affinities between "folk Catholicism" and Spiritism have been indicated. A major one of these is the pragmatic, instrumental view of religion. Even today, many people avail themselves of the therapeutic function of Spiritism — often after other means have failed — but remain Catholics or profess no religion. This occurs to an ever greater extent in low spiritist circles. Physical and mental therapy constitute the major manifest function of Umbanda, and the writer concurs with Camargo that ever larger areas of this activity are being preempted 31 from the Spiritists by the Umbandistas. This is due in part to the less institutionalized character of the doctrinal and social aspects of Umbanda, which facilitates the instrumental use of its cultus by 31 Op cit pp. 74-75, 99 ff.

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155 individuals, with little emphasis on conversion or commitment. Proponents of uniformization and institutionalization of Umbanda are as yet a very small minority. On the other hand, the therapeutic and other aspects of Kardecism, as viewed from within by the believers, fcnn an integrated whole. The movement has acquired characteristics which might well be those of a denomination or a very loose ecclesiastical body. The believers might well reject such terminology, for they consider Spiritism not as "a religion," but the fundament which is necessary for all true religion. "Spiritism is a doctrine," in the oft-cited words of Allan Kardec, and should therefore not be considered as "one among other religions." According to a certain logic, it should possess no social institutions. Neither should it have norms and sanctions, since a basic tenet of its orthodoxy is that in the relativities of evolution there can be no final orthodoxy. Sociologically, however, it is a movement which has growing and solidifying institutions and specific norms, in which Sr. Carlos Imbassahy himself, for example, is deeply involved. With its present doctrinal, cultic, and social definitions (both within itself and in relation to society), Brazilian Spiritism may be considered a developing religious denomination. 32 Carlos Imbassahy, "Espiritismo e Cristianismo," Revista Internacional de Espiritismo Ano XLIV, no. 6 (Julho de 1968), p. 156.

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CHAPTER VI HISTORICAL ANTECEDENTS WHICH AFFECTED THE RISE OF SPIRITISM IN BRAZIL The present chapter is an endeavor to indicate certain historical conditions, elements, and processes within Brazilian society which were instrumental in setting the stage for the advent and the development of Spiritism in Brazil. The religious conditions of the colonial period and that of the Empire appear in Chapter III, as a background for the subsequent exposition of Spiritism. The historical elements and processes under consideration in the chapter include the following: the agrarian character of colonial society, and the modifications which it underwent, and the influence of European intellectual and technological developments. The Agrarian Colonial Society and Its Decline The dependence upon plantation agriculture, which relied upon slave labor, was a major determinant of the character of society in colonial Brazil. In this chapter we examine the principal features of the agrarian society and the transformations which occurred vrithin it up into the nineteenth century, at which time Spiritism was introduced into Brazilian life. The Agrarian Character of the Colonial Society By 1533, the Portuguese had been engaged for a third of a century in little more than the extraction of brazilwood from their New World possession. In that year, however, Martim Afonso de Sousa established 156

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157 the first Brazilian sugar mill in SSo Vincente, near the present port of Santos. A few decades after this a whole social and economic system had developed, founded upon the large land-holding, slave labor, and sugar cane, a product admirably fitted for the rich massape soil. The enormous land-grants, called sesmarias were of such extent that even after many divisions, through inheritance or sale, each remaining part constituted a plantation of sometimes unknown dimensions. Each of these holdings was a domain unto itself, subject to the "Big House',' 1 which has been described in classic manner by Gilberto Freyre. Throughout this period, and up into the nineteenth century, life in Brazil could be characterized largely by two words, "isolation" and "exploitation." The geographic isolation of the new continent from the home-land was accentuated by the oppressive colonial policies of an avaricious and debt-ridden Crown. Brazil's ports were kept closed to nearly all trade save that of the annual "sugar fleets" and other shipments of raw materials, and the receipt of manufactured goods, slaves, and other items controlled by the Metropolis. All but the lightest manufacturing was prohibited. Except for the government-controlled shipping, towns had few functions. Social and economic life was Gilberto Freyre, The Masters and the Slaves trans. Samuel Putnam, 2nd Eng. rev. ed., New York: Alfred A. Knopf, 1963. Cf also, by the same author, Nordeste Rio de Janeiro: Livraria Jose Olympio Edit^ra, 1961. For further bibliography on this period of Brazilian social and economic development, cf. Fernando de Azevedo, Brazilian Culture trans., William Rex Crawford, New York: Mactaillan, 1950, pp. 45, 66-67.

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158 organized as widely separated nuclei on a few huge plantations, where nothing was bought from outside except "iron, salt, powder and lead." An outstanding sociologist has described this "ganglionated and dispersed aspect of extreme rarefaction" of the colonial society as the basic cause of its inefficient government: This gcvernip.ent — fragmented, pulverized, dissolved — is really an adaptation of political organization to colonial society. This latter is not a complex and cohesive whole... it is, on the contrary, a vast collection of social nodules, of little human groups, living their isolated life, dispersed along the immense littorals, lost in the solitudes of the boundless hinterland; cities flowering on the coast while in the sertoes there are malformed and lifeless hamlets, insignificant encampments and villages, reststops for pack-trains, mining and nuclei — lively and congested but unstable and transitory; and principally, 'round about these rudimentary urban or urbanizing centers, the endless mantle of innumerable latifundia both agricultural and pastoral, extending to the deepest zones of the interior, every one autonomous and almost without the slightest economic or social contact with others. Such isolation, closely related to economic and political rivalries was necessarily a factor in the development of strong regional feelings. Jose Honorio Rodrigues has cited, as an "admirable synthesis" of the Brazilian character at the end of the colonial period (1808), the following description by the historian Capistrano de Abreu: ...five ethnographic groups bound actively by a common language and passively by a common religion, molded by the environments of five different geographical regions, filled with a noisy enthusiasm for the natural riches of 2 F.J. Oliveira Vianna, Evoluggo do Povo Brasileiro Sao Paulo: Monteiro Lobato & Cia. Editores, n.d. pp 189-190. (Originally published as the first volume of the 1920 census of Brazil.)

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of the land, feeling aversion or scorn for the Portuguese, vet having no particular esteem for one another. The second characteristic aspect of this agrarian society, as mentioned above, was exploitation, of both natural and human resources. Such exploitation was inherent in the system. The concentration of land ownership in the hands of a few gives rise to a specific type of rural social system in all places in which it occurs. Smith has presented the following characteristics of such a system, in contrast to those of a system in which family-sized farms prevail: System Based on Large Holdings System Based on Family-sized Farms 1. High degree of social stratiLow degree of social stratificafication. tion. 2. Little vertical social mobility. Much vertical social mobility. 3. Caste as an important factor. Caste as unimportant. 4. Low average intelligence. High average intelligence. 5. Restricted development of Broad development of personality, personality. 6. "Order-obey" personal relations. Equalitarian personal relations. 7. Routine all-important. Search for improvement, progress, etc. 8. Manual labor is degrading. Manual labor considered dignifying. 9. Low levels and standards of High levels and standards of living. living. 10. Little incentive to work Great incentive to work and and save. save.*^ •^Jose Hon(5rio Rodrigues, The Brazilians, Their Character and Aspirations Austin: The University of Texas Press, 1967, p. 42. T. Lynn Smith, The Process of Rural Development in Latin America Gainesville: University of Florida Press, 1967, pp. 15-16.

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160 As is clear from this presentation, the underlying social characteristic of the society founded upon the latifundium is a rigid social stratification, with a strict division between a very small social elite and an under-privileged majority, with almost no provision for a middle class. Gilberto Freyre, in his classic presentation of such a society in Brazil, pictures the irony of a system geared to the production of riches, yet which for centuries produced an undernourished people. "The system of big landownership [which] prevailed in slave-holding Brazil was to deprive the colonial population of a balanced and constant supply of fresh and wholesome foodstuffs." This same scholar also brought to the attention of modern readers the pioneer work of Antonio Pedro de Figueiredo, a teacher, editor, and prolific writer in the state of Pemambuco. Figueiredo 's incisive studies of the latifundiary basis of the social and economic exploitation of his region could have done much to alleviate and even to obviate some of the miserable conditions which worsened in the area with the passage of time. However, they went unheeded. The quasi-feudal agrarian system was not conducive to the rise of strong cities. Indeed, for centuries almost the only urban centers were the few major ports. These served as military and administrative posts and as ecclesiastical and educational centers. The crown The Masters and the Slaves p. 45. Cf. Freyre, Nordeste pp. 115-120; T. Lynn Smith, Brazil; People and Institutions 3rd ed.. Baton Rouge: Louisiana State University Press, 1963, pp. 307, 324-325; and T. Lynn Smith, Agrarian Reform in Latin America, New York: Alfred A. Knopf, Inc., 1965, pp. 67-79.

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161 prohibited major industry, which is necessarily an urban enterprise, and the self-sustaining fazendas left slight opportunity for artesanry in the small tovms A profound student of urban life in Brazil has observed that the feudalism of the colonial city, represented by the Church and the Crown, was different from that of the rural senhores but that both types of feudalism were opposed to the mercantilists. Many of these latter were Jews and "New Christians"; they were the objects not only of economic rivalry, but of vilification for social and religious motives. Moreover, the capitalistic aspects of the city and of the 7 plantation found themselves inescapably opposed to one another. As the slave-traders and bankers, sugar-brokers and merchants prospered, and as the chief cities grew, their political power increased at the time at which the economic strength and the influence of the great landowners was on the wane. The War of the Mascates ('herchants, literally "peddlers") in Recife, occurred a century before the opening of the ports and the gaining of independence. Nevertheless, it showed the beginnings of the decadence of the plantation system and of the strength of the urban centers. We now consider briefly the rural decline. The Decline of the Rural Aristocracy Gilberto Freyre, who was the first modern Brazilian to give to his countrymen a clear and convincing picture of their colonial heritage — particularly as concerns the Northeast, an area, gave a clear Nelson Omegna, A Cidade Colonial Rio de Janeiro: Livraria Josd Olympio Editora, 1961, pp. 274-292.

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162 delineation of the decline of the Northeastern rural aristocracy during the period of the Empire and up into the present century. His researches and vision were added to the observations and insights of a young novelist, Jose Lins do Rego, in the 1930's; the result was Lins do Rego's monumental series of novels which picture the "cycle of sugar"; Menino do Engenho (1932), Doidinho (1933), Bangue (1934), Moleque Ricardo (1935), and Usina (1936). The final title in the series just cited refers to the usina or modem sugar mill, which replaced the old-fashioned animal-powered engenho and symbolized the modernization of the entire process of sugar production. The major consequence of this process was the amassing of vast land-holdings by large impersonal corporations, and the disruption of centuries-old patterns of rural life. The collection of articles and lectures by Freyre called Regiao e Tra d igao and principally the lengthy chapter, "Aspectos de um Seculo de Transijao no Nordeste do Brasil" (1925), presents in massive scope, and also by the intimate glow of the oil lamp, the life of that self-contained society as it was broken open and dispersed by economic, technological, 8 and social changes in Brazil and in the wider world. Abolition was the final blow to the plantation-owners of the Northeast. The preponderance in agricultural production was already 8 Gilberto Freyre, Regiao e Tradigao Rio de Janeiro: Livraria Jos^ Olympio Editora, 1941. Jose Lins do Rego, in his preface to this volume, describes Freyre 's catalytic intellectual and personal influence upon him, his conception of Brazilian social history, and his creative presentation of it in the novels.

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163 swinging to the coffee growers of the South; even railroads were being built into the coffee-producing area. The South was able to withstand the drastic change in labor supply at the expense of the Northeastern littoral. Being in a prosperou53 stage of development, it could even import the blacks no longer usable in the North. Thus there was developed, particularly in the state of Sao Paulo, a more rationally capitalistic agriculture, with a new kind of aristocracy, characterized by absenteeism from the land. It was far more extensively involved in the urban capitalistic enterprises than had been the previous landed aristocracies in Brazil. Concurrently with these economic developments of the late nineteenth century, and as a part of them, the South was being strengthened by an increasing immigration of Europeans, no longer composed of single, adventurous men, as was so largely the case with the earlier Portuguese colonists, but with families predominating. In this era, then, the modernization and prosperity of the South were in full sv7ing, in part at the expense of the declining North and Northeast. The increasing social and economic imbalances which resulted were to be associated later with the differential acceptance and growth of Spiritism. Certain aspects of the colonial society itself appear to be associated with the preparation of the socio-cultural conditions which were later to be found propitious for the acceptance of Spiritism by many Brazilians. These aspects may be summarized as follows: 1. The dispersion and isolation of the population led to high rates of illiteracy and ignorance, and to a high degree of individualism. Such traits are harmonious with the nature of those social groups

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164 which tend to personalize and spiritualize the numerous otherwise unexplained circumstances and forces which so often envelope our frail human existence. 2. Exploited groups tend to seek within the world of the unseen those portions of reality which are concerned with values and social dynamics. This was the case with the slaves and many lower-class whites in Brazil. 3. The endemic malnutrition, featured in the writings of Freyre, has been a major cause of poor health and high morbidity and mortality rates. It has thus been associated with a morbid fatalism on the one hand, and with the credulous dependence upon "natural" medicines and treatment, and magical practices on the other. 4. The organization of the slave society was such that much of the culture of its lowest elements, especially the religious and superstitious beliefs, was transmitted to the members of the higher classes, particularly during their formative years. Other facets of the colonial society, related to these, are discussed in separate chapters. Influences of Liberal European Thought Upon Brazilian Society In this section we examine certain European intellectual and social movements of the nineteenth century and the expression which some of them received in Brazil after they had spread to that country. Our particular interest is directed to certain affinities of these movements with the doctrinal system of Spiritism and to their role

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165 in the development of a socio-intellectual tailieu conducive to the acceptance and spread of that system in Brazil. The Prominent Role of French Culture in Brazilian Life In the late eighteenth and early nineteenth centuries, as the political hold of Portugal upon Brazil grew more tenuous, the contacts of the latter with other European countries increased. The comparative backwardness of what had been grandly known as the Metropolis became 9 apparent, and was a source of shame to many Brazilians. Gilberto Freyre mentions several of the various accounts which have been offered of the origin of the expression, "para o ingles ver ("to impress the English"). ^-Hiatever its source, the phrase expresses the eagerness with which Brazilians adopted European fashions, architecture, flowers and gardens (disdaining their own orchids), street10 lighting, and all manner of other social and cultural traits. French ways, in particular, were the objects of emulation, and it was largely through the medium of French culture that German Romanticism and English scientific thought were transmitted to the intellectuals of Brazil. In the nineteenth century, many scions of wealthy Brazilian families were sent to Paris rather than to the University of Coimbra, 9 It was equally embarassing to many Portuguese* Cf for example, the chronicles and novels of Portugal's greatest writer, Eca de Queiroz (late nineteenth century) in which Paris is exalted as the center of culture and Lisbon is despised. '-'Gilberto Freyre, The Mansions and the Shanties New York: Alfred A. Knopf, 1963, pp. 203-230; cf. also Jose Honorio Rodrigues, The Brazilians, Their Character and Aspirations Austin: University of Tfexas Press, 1967, pp. 43, 45.

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166 where not a few of their forebears had studied. Just as artisans were brought froi?. Europe to construct the lavish buildings and begin small industries of high quality, so also tutors were imported from France, to turn out more polished young gentlemen and ladies. "They learned to speak and think French," recounts an outstanding student of Brazilian culture. He notes that Brazilian law was based on the Code of Napoleon, and that generations of educated Brazilians v/ere expected to be conversant with French philosophy, political writings, and literature. During this period, many Brazilian authors wrote in French, not merely out of dilettantism, but for the practical reason that their works could more easily be published and find acceptance among Brazilians in that language. For example, important works of Raiuiundo Nina Rodrigues, the great student of the slave trade and the Negro in Brazil, had to be translated from the French in order to be 12 made available to later generations of Brazilians. The royal family itself took the lead in this borrowing of culture. Basilio de Magalhaes, a social historian, has described the liberal, unorthodox beliefs held by the young emperor, Pedro II, beliefs which he shared with and encouraged among the young intellectuals Emilio Willems, "Brazil," in Arnold J. Rose, Institutions in Advanced Societies Minneapolis: University of Minnesota Press, 1958, p. 536. 12 In 1954, at a Rotary Club meeting attended by this writer m a Brazilian town, a greeting card from a sister club in France was read aloud with great difficulty by the secretary, amid the hilarity of his fellows. None of them could have done better, but almost any of them could have read such a card in English. Half-a-century before, or less, the reading of such a greeting would have been a normal effortless occurrence.

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167 who were attracted to him. His enthusiasm for, and active patronage of, the philosophic and scientific activity of his age made him a convinced evolutionist, while the liberalism which he imbibed from the French appealed to his kindly nature; he espoused a gentle, universalist deism, and its influence added greatly to the spirit of 13 the times — the falling away from the old orthodoxies. Although they did produce a few such gifted spirits as Dom Pedro II, such conditions bode ill for the development of a genuinely Brazilian intellectual life. The depletion of the country's educational system after the expulsion of the Jesuits, which is traced in broad strokes by Fernando de Azevedo,^ had left in its wake a sterile parasitism, incapable of adapting to its own realities even the intellectual products of others. JoSo Cruz Costa observes that various ideas were uncritically "grafted" onto the vine of European thought which itself had been thrust into the soil of Portuguese culture: "From Paris came doctrines and theories swallowed wholesale and ill-digested by the sybaritic intellectuals of the upper classes.' In the final part of this chapter, we note the beginnings of a new intellectual movement in Brazil toward the end of the nineteenth century. At the present juncture, we turn to the contributions mediated through the contact with French intellectual life. 13 Cf. Basilio de MagalhSes Estudos de Historia do Brasil Sao Paulo: Companhia Editora Nacional, 1940, pp. 151-155. '^^92.' cit • PP355-363. JoSo Cruz Costa, History of Ideas in Brazil Berkeley: University of California Press, 1964, p. 49.

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168 In tellectual Movements in France Which Influenced Brazil Four intellectual movements in France were particularly influential in preparing the way for Spiritism in Brazil. These are rationalism, eclectism, occultism and other marginal movements, and Positivism. 1. Rationalism The philosophical and the social movements which shook Europe in the eighteenth and nineteenth centuries were fundamentally influenced by the extreme rationalism which had its focus in England and France. The rationalist emphasis — personified in Voltaire — brought humanistic norms to the fore, and was accompanied by the insistence upon the exercise of individual liberty. A major effect of it was the inevitable weakening of the hold of social institutions, particularly the institutions or religion. This rationalism was often superficial and academic, as is illustrated in its relationship to one of the above-named elements: liberty. Hans Kohn cites Ernest Kenan's warning, in 1858, against "a liberalism, which pretends to base itself on the principles of reason alone and thinks it does not need tradition"; and Kohn draws the contrast between France and England, where liberty had deep historical roots. In both France and Brazil the social structures were lacking '^Cf. W.E.H. Lecky, History of the Rise and Influence of the Spirit of Rationalism in Europe London: Watts and Company, 1946 (first published 1865), passim ; and Ernst Robert Curtius, The Civilization of France trans. Olive Wyon, New York: Maclaillan, 1932, pp. 125-145. Hans Kohn, Making of the Modern French Mind Princeton: D. Van Nostrand Company, 1955, p. 35.

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169 which might give adequate support to libertarian regimes. In Kohn's phrase, "'Liberty' was a rational demand, not a way of life." From such a rationalist stance, Henri Saint-Simon attempted to establish a principle upon which to base society. His answer to the search for something to replace "outmoded Christianity" as a functional basis for the social order, as "true religion," was the philosophy of the science of his age. Saint-Simon was only one among many. "His application of the law of 'universal gravity' to all phenomena [including the societal] .. .was only an exaggeration of a widespread belief among his contemporaries," the belief that there 1 g could be found an efficacious monistic social principle." 2. Eclecticism The rationalism of the French could not be identified with the exercise of cold logic. In addition to being Gallic in origin, it had been exposed to the rosy light of nineteenthcentury German philosophy and was deeply colored with its Romantic optimism. Romanticism is characterized by Roger Picard in the following manner: "lyricism, a philosophical spirit, a belief in the 20 people, and a universal piety." Eclecticism is a familiar child of Romanticism, and by the 1830' s, under the name of "Spiritualism," it was the quasi-official philosophy ^^Ibid. '^Frank E. Manuel, The New World of Henri Saint-Simon Cambridge: Harvard University Press, 1956, pp. 21-25. 20, Cruz Costa, op cit p. 50.

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170 in France. Cruz Costa notes that the philosopher Taine referred to philosophy as "the affectionate and indispensable ally of religion," and to Eclecticism as "preparatory faith which allowed Christianity to retain its dogmas and its hold on humanity. "^'Through the neglect of philosophical, Biblical, and theological studies, Brazilian philosophy and theology were almost bereft of any sure foundational principles and intellectual criteria. The introduction of Eclecticism as the philosophy of the Church by Domingos Gonfalves Magalhaes met with little resistance. It was a conservative philosophy, admirably fitted to the tastes of the "slipper aristocracy." Its undisciplined mixing of ideas appealed to such mentally lethargic ecclesiastics as the verbose monk Mont'Alverne (Brazil's foremost religious orator), who "parrotted gross eclecticism," as Euclydes da Cunha put it. The anarchic nature of eclectic philosophies, which leave the selective principles and criteria to the individual, is illustrated by the fate of Eclecticism in Brazil. There was little unity of concern and commitment among the Brazilian products of the Sorbonne and Montpellier, and little that was unifying and constructive in their mental baggage. Pessoa de Moraes gives the following description: "the young university graduate, coming home... with a degree in law or medicine. .mathematics or philosophy, brought .. .social ideas which proceeded from the bourgeois and liberal individualism that had broken 21lbid. p. 53.

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171 22 out in France." To large numbers of these young men, the doctrines, like the wines they had known in France, produced only a heady feeling, and confirmed them in the assertion of their own privileges; they were left perfectly at home with the conservatism of their fathers and the empty pedantry of Friar Mont'Alveme. Others among them, largely of bourgeois origins, did imbibe the principles and sentiments that made them leaders of the abolitionist, anti-clerical, republican movement that was victorious in 1888-89. We return to them in the final portion of this section. One of the introducers of Eclecticism to Brazilian readers focused his philosophical views through the lens of pragmatic social concern. He was A. P. Figueiredo, educated not in Paris but in Recife, who at an early age had translated writings of the eclectic Victor Cousin, including Cousin's popularizations of German Romanticism and 23 John Locke. Figueiredo also came under the influence of a French civil engineer named Louis Vauthier. The latter spent six years in Recife, on public works projects which he designed to modernize and — as he hoped — to humanize the city. This was during the formative period of Figueiredo's intellectual life (1840-46), and there is no doubt that he received much from the idealistic engineer. This 22 Pessoa de Moraes, Sociologia da Revolugao Brasileira Rio de Janeiro: Edit6"ra Leitura, S.A. ., 1965, p. 29. (The present writer has observed that this is a paraphrase of a long passage by Gilberto Freyre.) 23 On A. P. Figueiredo, cf. T. Lynn Smith, "Some Notes on the Life and Work of A. P. Figueiredo," West Georgia College Studies in the Social Sciences Vol. VI, no. 1 (June, 1967), pp. 119-126; and Gilberto Freyre, Um Engenheiro Frances no Brasil Rio de Janeiro: Livraria Jos^ Oiympio Editora, 1961, pp. 93-98, 123-146.

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172 association and his own studies gave young Figueiredo an unparalleled imderstanding of the social and economic problems which were related to the mal-distribution of the rights to the land, improper taxation, and similar socio-economic factors. Lamentably, Figueiredo was almost unique; it is also unfortunate that his profounder concepts were linked in the minds of his opponents to the extremes of Fourierism. However, his definitions of and solutions to the problems of land and society in Northeastern Brazil would have been unacceptable in any case to the holders of power. Many of his contemporaries who were rising on the intellectual, economic, and political scene were either too individualistically oriented or too much a part of the existing social system to visualize, in the pragmatic fashion of Vauthier and Figueiredo, the practical application, at the roots of society, of the scintillating social ideas which accompanied their luggage from Paris. 3. Heterodox religionists and occultists A historian of social thought and religion has shown the relationship of this general intellectual orientation to unorthodox religious behavior. He demonstrates that although phenomena of the "spiritualistic" type do have a xmiversal appeal, occultism was unusually congenial to the spirit of the nineteenth century. It allied itself with the belief in progress and human perfectibility, and was in harmony with the eclectic philosophy of such men as Victor Cousin. It advocated a vague humanitarianism, and was associated with the promotion of feminine 1.24 egalitarianism and with attempts to find the "universal religion." D.G. Charlton, Secular Religions in France London: Oxford University Press, 1963, pp. 127-142.

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173 The same author goes on to cite several who attempted to unite science and illuminism, among them: Joseph de Maistre, in Soirees de Saint-Petersbourg ; F. A. Mesmer, with his magnetism; Allan Kardec, in the codification of Spiritism; Eliphas Levi, with his theistic positivism; Michelet, producer of La Bible de la Humanite ; Balzac, especially through his classic character, Louis Lambert, in Comedie Humaine ; and the new illuminist schismatic "churches." "Religious aspiration mingled with reverence for science," says Charlton, "here is one of the mainsprings of the age's thought, manifested in Balzac and some at least of the occultists as much as in more abstract and saner thinkers. "^^ The European thinker who exercised by far the greatest direct influence upon the intellectual life of Brazil, however, was Auguste Comte, and we note briefly the place of his Positivism in Brazilian life and thought. 4. Comte and positivistic humanism Auguste Comte, who had served as secretary to Saint-Simon, had absorbed the monistic spirit and the intransigent rationalism of his master. In an age and a nation tossed about on uncertain social, political, and intellectual waves, Comte produced a sweeping formula of secular humanism, scientific synthesis, and social betterment. This system was soon found to be attuned to the yearning spirit of many ambitious young Brazilians. The cold and exact hand of science, freed from the fumbling of theological and metaphysical searches, must also be warmed and softened 25ibid., p. 135.

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174 by human feelings, said Comte. Referring to the failure of "Theology and war" as attempted solutions to the problem of human-kind, he summarized the need for his religion of mankind as follows: All the previous convictions of men, whether of the revolutionary or retrograde school, lost their hold. If discipline is partial it cannot be real and lasting. If it is to be universal, it must rest on one principle — the constant supremacy of the heart over the intellect. But this principle has been increasingly disbelieved since the Middle Ages... Even in the evolution of science, the provisional order which Bacon and Descartes had tried to establish disappeared in the empirical rush of the dispersive specializations, which blindly refused any philosophical synthesis. .Each discipline has tried to extend itself without limits, becoming more and more isolated from any recognizable whole.... By allowing complete dominion to the human point of view, a subjective synthesis was able to construct a totally unshakeable philosophy. This led to the founding of the final religion, as soon as the leap to new moral heights had completed my mental renovation.... The positive progress [of Humanity] is finally seen to be capable of satisfying all of the intellectual and social demands... In all of life the relative succeeds irrevocably to the absolute; altruism tends to dominate egoism; and a systematic march takes the place of spontaneous evolution.-. In a word. Humanity is permanently substituted for God.... The iconoclastic austerity symbolized by the motto, "Order and Progress," found enthusiastic followers in Brazil. In the early 1850's several scientific and mathematical treatises were published by men from northern provinces who had come under the influence of the Positivist system. The strict systematization and the scientific approach of Positivism found ready acceptance among the instructors and students at 2fi Auguste Comte, Catecismo Pozitivista, ou Sumaria Espozigao da Religiao Universal trans, and notes by Miguel Lemos Rio de Janeiro: Templo da Humanidade, 1934, pp. 445-448.

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175 the Central Technical School and the Military School, both located in T,. J T • 27 Rio de Janeiro. The religious fervor with which many of these men embraced Positivism is illustrated in the letters of Benjamin Constant Botelho de Magalhaes, written to his wife from the Paraguayan battle-front in the early 1860 's. As professor in the Military School after the war, this "molder of men" was strongly instrumental in forming a generation of men inspired by the ideals of Auguste Comte — a generation which contributed considerably to the downfall of the Empire and the formation of the Republic. Benjamin Constant was not a follower of the anti-religious French positivist Littre, as were many of his fellov;officers. Neither did he share the near-fanatical religious persuasion of the disciples of Pierre Lafitte, under whom the Positivist Apostolate came into being. This latter group, led in Brazil by Miguel Lemos and the "saint" of Positivism, Teixeira Mendes, channelled most of its zeal into disputes with Lafitte over doctrine and polity, finally cutting itself off from the leadership of Paris. Positivism spread through the "new bourgoisie," principally through those members of it whose professions brought them in close touch with physics, chemistry, biology, and mathematics. These professors, doctors, and military men were drawn to Positivism for several reasons: (1) they had little patience with the empty For fully documented treatment of Positivism in Brazil, with exhaustive bibliogrpahy, cf. Ivan Lins, Historia do Positivismo no B rasil SSo Paulo: Companhia Editora Nacional, 1964; and Cruz Costa, op cit. Ch. 5, "The Advent of Positivism," pp. 82-182.

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176 verbosity of the spiritualistic Eclectic philosophy; (2) Positivism offered opportunity for a rationalized commitment, important to men reared in an atmosphere of religiosity but upon whom religion had lost its hold; (3) the moral appeal of "The Religion of Humanity" was actually based upon their traditional values, but now it was in a form more acceptable to their high position in the social scale; (4) Positivism offered the "order" and the "progress" of which their republicanism felt the need — and which they later incorporated as the motto on the new Brazilian flag, and; (5) there was also a growing dissatisfaction with the sterile educational process, which was heavily influenced by encyclopedism. Although the Apostolate was the only group which considered itself to constitute the official Positivist movement, it was extremely small in number; the majority of Positivists in Brazil belonged to no such organization. Nevertheless, most of the adherents of Comte's movement, whether official members or not, took a firm stand against slavery and for the improvement of the educational system. In general they were morally self-righteous. Their intransigence — particularly that of Miguel Lemos — "against sin" led the Positivist Apostolate into the advocacy of a rigid type of social control which was tantamount to a political dictatorship. When the republic did come, in November, 1889, the Positivists involved in its establishment were those led by Benajmin Constant; only after two days did the official movement give its adherence to the new regime. Immediately, however, it attempted to pontificate concerning the organization of the new government. Lemos and his followers had little success in such a practical political

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177 matter. Constant was able to work for two short years at a radical reform of the educational system, only to see the results of his work largely disperse within a brief time. From this period on, Positivism, as a movement, steadily lost headway in Brazil. Even to the present, however, Comte's philosophy is admired by many Brazilians and has permeated the intellectual atmosphere shared by all of them. Positivism and Spiritism In a phrase which is almost an aside, Fernando de Azevedo has alluded to an aspect of the career of Positivism in Brazil which is most illuminating for our study of Spiritism: he speaks of "Positivism, a philosophy which aborted and became a system of morality ,28 and religion in Brazil.... We have seen how almost the same words can be said of Spiritism. During the last thirty years of the nineteenth century the controversy raged among Spiritists as to whether the movement was, and should be developed as, a philosophy/science or a religion. Indeed, the major task of Bezerra de Menezes within the FederacSo Espirita Brasileira, both politically and through doctrinal 29 exposition, was to assure its continuance as a religion, and the institutionalized religious branch led bjhim did, in fact, dominate. Positivism, on the other hand, as an intellectual movement to be reckoned with by all educated persons, was accepted by most of its adherents on philosophical and pragmatic/scientific grounds, albeit. ^^Op. cit p. 270. 29 Cf. pp. 131-132, infra.

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178 as in the case of Benjamin Constant, often with religious fervor. As an institutionalized religious movement it made its appeal to a moralistically self-conscious intellectual elite which fought a strident but losing verbal battle for the determination of the directions to be taken by the republic. Although both positivistic movements — the "official" and the unorganized — were patronizing to the lower classes, Miguel Lemos and Teixeira Mendes were patently insensitive to the human needs of the poor. Paradoxically, while they rejected the folk theism and the Virgin-centered hagiolatry of the masses of the people, these Positivist priests partook of their own humanistic sacraments beneath the portrait of Clothilde de Vaux. The academism of large numbers of the followers of both Positivism and Spiritism led these two groups to follow generally the culturallypatterned tendency to identify the verbalization of problems with their solutions. For example, Miguel Lemos wrote in 1890, concerning A.uguste Comte: "...in 1885 a French philosopher resolved all the great problems on which depend the integration of the working classes into modem 30 society." And yet the Positivists, as a social elite, were able in only a few cases to give concrete form to their verbal solutions of human problems. It was partly because of this that their influence waned. On the other hand Spiritism, through the victories of Bezerra de Menezes and the religionists, was maintained on the popular level of mysticism and healing, even though its doctrinal preachments might have seemed hollow and pedantic to many. This enabled it to remain within the mainstream of folk piety, even under the heavy religious, legal, and ^^Cruz Costa, op cit p. 152.

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179 social sanctions of institutional Roman Catholicism; it also associated Spiritism, as we note elsewhere in greater detail, with the growing national consciousness. One further consideration is important for our analysis of Spiritism. Joao Cruz Costa cites the observation of Manuel Bonfim that Positivism seemed to confer upon its disciples "a tone of sovereign and absolute self-suff iciency. .. [which] gives them the privilege of infallibility; they have a solution for everything, an answer for 31 every question." Cruz Costa goes on to reflect upon the inflexibility of the Positivists as possibly symbolizing the anxiety of the Brazilian people, who seek the cures for their ills and problems through the application of a single, all-resolving formula. Again, at the close of the lengthy treatment of Positivism, this historian of philosophy is drawn ruminatively to the question of the role of this movement in Brazilian society. He finds no "clear or cogent justification" for the course which Positivism has run through modern Brazilian history; it has certainly not made great philosophical contributions. This author then expresses agreement with Otto Maria Carpeaux, that Brazilian Positivism is a "symbol of deeper realities 5 he feels that there is an intangible but deep relationship between this doctrine and the formative factors in Brazilian society, a "compatibility with our formative in32 fluences and the most profound verities of our spirit." ^-^Ibid. p. 148. ^^Ibid. p. 182.

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180 An important key to this compatibility may well be that the positivisitic orientation which has permeated much of Brazilian higher education since the latter part of the nineteenth century is of a piece with that which was absorbed by such philosophers and occultists as 33 those referred to by Donald Charlton, cited above, including Allan Kardec. A scientism was created which itself carried something of the mystical, and which had affinities with the individualistic voluntarism so common to the Brazilian spirit; the infusion of it into generations of professional men, teachers, journalists, administrators, and other middle-class dealers in ideas prepared a fertile field for the acceptance of a movement such as that of Kardec, with its combined humanitarian, scientistic, and religious appeal. Intellectual Aspects of the Rise of the Bourgeois Elite In the preceding pages the growth of an educated bourgeois e].ite in nineteenthcentury Brazil has been apparent. This was associated with a literary, intellectual, and social awakening which occurred in the 1860 's and which was largely the result of the liberal European influence. Nev/ departures in letters, technology, politics, and economic activity were associated with the development of a mental activity which was, in the words of Antonio Candido, "the first coherent expression in the literary and philosophical fields, of a bourgeois 34 ideology in Brazil." 33 P. 172 supra Cruz Costa, on. cit. p. 181.

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This ideology expressed the breaking away from aristocratic tradition, on the part of young men educated in the schools which were being established in Brazil. Many of them, lacking the means to study abroad, studied at the state-supported Central Technical School and Military School, and were influenced b^/ Benjamin Constant and his contemporaries. Although opposed to the land-owning aristocracy, they were moving up in the socio-economic scale, and saw themselves as the formers of a new elite. Moreover, cultural norms were deeply ingrained, and detailed, empirical study smacked too much of the manual labor they had been conditioned to disdain. Pragmatic philosophical concepts had no basis in every-day experience. Further, encyclopedism still heavily influenced their educational system, and they lacked a solid basis for intellectual and empirical synthesis of the masses of academic knowledge they had accumulated. Fernando de Azevedo refers to the more alert among them as "agitators of ideas like Tobias Barreto,...a restless and combative spirit within whom there succeeded, depending upon the period, a spiritualist, a positivist, a metaphysician, and even a materialist."-^-' Such men were more fascinated by rhetoric and the play of ideas than by the attempts at philosophical synthesis, empirical verification, and the pragmatic application of knowledge. This condition continued to exist in the present century. Gilberto Amado, in the period of World War I, analyzing such basic flaws in modem Brazilian intellectual life, observed that there had been no change 35, 'Op cit p. 269.

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182 of direction in the educational system in the move from the monarchy to the republic. The educational system was developed, in the phrase of Amado, "outside of reality"; it did not prepare students for the needs and tasks which their nation faced, but for an unreal existence. The search for a magical "key of Solomon," continuing since long before the days of Eclecticism, still persisted.-^" The adherence to new heterodoxies such as Spiritism is very likely to occur among social groups which are typified by the new middle classes discussed here. These groups have been exposed not only to rapid shifts in social rank and status but to mental stresses caused by the shifts in the bases of intellectual activity. One of the variables in this process is the factor to which Gilberto Amado has referred; that is, an intellectualism relatively unrelated to its social and technological environment, but which has continued to attempt to solve the problems of existence through intellectual and verbal exercises. The presence of a bourgeois elite in which such an intellectualism is common appears to be related to the uniqueness of the Brazilian situation in its widespread adoption of Spiritism as an intellectualreligious option ^^Gilberto Amado, "A Chave de Salomao," in Tres Livros Rio de Janeiro: Livraria Jose Olympio EditSra, 1961, p. 242. 37 The writer had the privilege of discussing this and related subjects for several hours with a man who holds the rank of general in the Brazilian Army and the Ph.D. degree in electronics from a major American university. The views of this man concerning intellectual life and the attitude toward scientific endeavor among Brazilians are essentially those presented here. He was educated in Protestant schools in Brazil, but professed no religion, only expressing preference for Protestantism; his wife, an intelligent woman with secondary education, is an avid Spiritist.

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CHAPTER VII SOCIETAL FACTORS RELATED TO THE SPREAD OF SPIRITISM IN MODERN BRAZIL In the present chapter are indicated the relationships of Spiritism and its rise, with three major factors of change in modern Brazilian society: the family, increased vertical social mobility, and the growth of urbanization with its accompanying changes in occupational structure. Spiritism and the Chanoing Structure And Functions of the Family It has been well established in the works of Gilberto Freyre T. Lynn Smith, Fernando de Azevedo, Thales de Azevedo, and others that the distinctive and most powerful motivating features of Brazilian civilization are to be found in the structures and dynamics of its familial systems. It is therefore crucial in this study of Spiritism for us to examine the main currents of Brazilian family life. Of particular importance are the changes in the family which have occurred at an increasingly rapid pace over the past one hundred years. It is our purpose to examine here the relationships of Spiritism, as a socio-religious movement, to these changes in the structure and functions of the family and in its relationships to other societal institutions. The Importance of the Extended Family The fundamental place of the extended family in Brazilian society has long been recognized; T. Lynn Smith has drai'm attention to the distinctive manner in which it has carried out the biological, social, and 183

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184 and economic functions. The recognition of these distinctive features by the Jesuits is shown by Azevedo. He describes the manner in which their struggle to control the landowners' families through education contributed to their expulsion from the country in 1759.^ Gilberto Freyre's epochmaking study of the aristocratic senhor de engenho and his plantation family demonstrates how this type of domestic unit developed: it grew out of a high degree of concentration in the ownership and control of the land, and, indeed, an aristocratic control of the entire o slaveholding societal organization. The master's absolute control over many women, involving concubinate and sexual promiscuity, was tempered by his sentimental attachment to their numerous progeny. Rarely was a child diso^med, though he might have no legal status in the family. In view of the isolation of the plantations, the despotic control of the patriarch was facilitated — often necessitated — by his function as the final arbiter of justice in his domain. Isolation and family control of lands made also for close intermarriage among the leading families, and even within them, as has so often occurred in our own Southland and in similar plantation societies. Despite the master's maintenance of his illegitimate children within the household and family, the number of legitimate heirs was usually 1 T. Lynn Smith, Brazil: People and Institutions 3rd. ed. Baton Rouge: Louisana State University Press, 1963, pp. 460-461. 2 Fernando de Azevedo, Brazilian Culture trans. William Rex Crawford, New York: Macmillan, 1950, pp. 334-338. -"Gilberto Freyre, The Masters and the Slaves trans. Samuel Putnam, 2nd English ed. rev.. New York: Alfred A. Knopf, 1963, passim.

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185 too large for all to participate in the inheritance of the land. In the absence of a law of primogeniture, Azevedo, citing Pedro Calmon, describes the common solution to this problem: According to a tradition of Portuguese families, on the model of which the patriarchal family in the Colony was shaped, the sons took three roads or careers, "not rarely," as Calmon reminds us, "after many goings and comings ending in the same family house which was the inheritance of the oldest." He, the heir, followed the path of the father, the second the career of the literary man, [with study in Europe]..., and the third entered the church taking his vows at fifteen in the convent, or in a college or donning the cassock in a seminary. "His pious mother made him into a priest." T. Lynn Smith has noted this process, in which was implicit "the gradual debasing of persons born in the upper classes," for whom those classes afforded no place.-' Those who gradually lost much of their upper-class status in this manner could still proudly bear traditional names and expect cousinly patronage from aristocratic kinsmen. They remained members of clans which, according to Oliveira Vianna, were the most cohesive and powerful "social blocks" of the era. A further, and effective, means of maintaining what Freyre termed "genuine clans," was the compadrio the godfather system. Under it even the poor and servile, who could not be joined to the family of the master by marriage, could yet have him in a patronly manner "baptize" their child. To have the senhor de engenho stand up with them as godfather at the baptism signified, in former times, acceptance of certain ^Op. cit p. 335. ^Smith, o£. cit p. 7. F. J. Oliveira Vianna, Evolugao do Povo Brasileiro Sao Paulo: Monteiro Lobato e Cia., n.d., pp. 66 ff.

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186 genuine obligations concerning the maintenance and the future of the child and created yet another bond of loyalty and mutual responsibility between the compadres who were, in this case, the lord of the plantation and the humble couple. With authority vested in personality more than in principle, some of the foundations for the individualism and for the decentralization of Brazilian society were laid within the social order. Rodrigues gives expression to an oft-commented element of Brazilian life: "Attachment to individual personalities is the dominant feature of Brazilian public and political relations. "7 This type of paternalism, and familism is evinced in the spread of Spiritism and in the life of its local groups in several ways. In some of the heavily Spiritist small towns and rural areas, the patriarchal heads of clan-like families have, on numerous occasions, brought their families with them into the Spiritist ranks. (The writer has had personal acquaintance with such cases in Mato Grosso, and they account for a part of the large Spiritist population of the "Triangle of Minas," referred to in Chapter IV.) 8 Another manifestation of the personalism ascribed by Rodrigues to patriarchal domination is the relatively frequent submission of the members of a group of Spiritists to a dominant Jose Honorio Rodrigues, The Brazilians, Their Character and Aspirations Austin: University of Texas Press, 1967, p. 46. "For the persistence of the patriarchal extended family today, among the rural lower classes, cf. Levy Cruz, "Aspectos da Formajao e Desintegragao da Familia em Pd.o Rico, "Sociologia, Vol. 16, no. 4 (Outubro de 1954), pp. 390-412. :

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187 personality, even one who has no mediunic gifts or similar charisma. The constant campaign against such personalismo in Spiritist literature is further evidence of its presence. The tendency toward "personality cults" involving outstanding leaders of the movement is perhaps more far-reaching in its possible consequences than the other manifestations mentioned. During the year 1969 — centenary of the "dis-incarnation'" of Allan Kardec — the Spiritist press has carried articles expressing veneration which borders on the maudlin, tributes with which the phlegmatic founder would have readily dispensed in favor of the propagation of his principles. Nevertheless, the paternalistic mark left upon the character of Brazilian society appears distinctly in the Spiritism of the country. Changes in the Stru c ture of the Family Major changes have occurred, altering the structure of the extended family, and greatly diminishing its patriarchal aspect. (The decline of the aristocratic landholders, basic to these changes, is discussed in Chapter VII.) One of these changes was the diminution of concubinage and similar practices connected with slavery. Another was the dissolution of the plantation community, which left many workers disoriented. African kinship systems had been destroyed, and slaves had often seen little in the example of the masters and chaplains which would internalize in them the values of the monogamous household. Instability has characterized the families of the lower classes in many areas. ^ g Cf. Freyre, op. cit., pp. 455-456, and The Mansions and the Shanties trans. Harriet Onis, New York: Alfred A. Knopf, 1963, pp. 194-195, Cruz, op. cit., pp. 390-392. See also Rene Ribeiro,

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188 A major aspect of the changes in the Brazilian kinship structure has been the increasing importance of the nuclear family. Over 30 years ago Wirth explicated the classic thesis that urban life is disruptive of primary relationships, including those of the family, and that the unstable nuclear family prevails in urban centers. It has long been recognized by Thales de Azevedo and others that this has not been true of the upper-class in Brazilian cities, where patriarchal extended families maintain their solidarity; this 12 solidarity is demonstrated in a recent study. Rosen and Berlinck, testing hypotheses drawn from the theory of Wirth, found an unexpected degree of solidarity in middle class families, those among which Spiritism has its greatest strength. Such solidarity among families of this class, however, is frequently between a few members or conjugal units; it is quite different from participation in an urban upper-class or a rural lower-class clan. In the region of the "SSo Paulo-Rio de Janeiro axis," particularly, large numbers of middle-class families, embracing only a few conjugal units in any given generation, have maintained close solidarity over long periods of time. "On the Amaziado Relationship and Other Aspects of the Family in Recife (Brazil)," American Sociological Review Vol. X, no. 1 (February, 1945). l^Louis Wirth, "Urbanism as a Way of Life," American Journal of Sociology Vol. 44, no. 1 (July, 1938), pp. 1-25. -'Shales de Azevedo, "Family, Marriage, and Divorce in Brazil," in Dwight B. Heath and PJLchard N. Adams, eds. Contemporary Cultures and Societies of Latin America New York: Random House, 1965, pp. 292-293. l^Bernard C. Rosen and Manoel T. Berlinck, "Modernization and Family Structures in the Region of S2o Paulo, Brazil," America Latina, Ano 11, no. 3 (Julho-Setembro, 1968), pp. 75-96.

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189 The increasing nuclearity of families of this type can be seen in their changing functions, to which we now turn. ^ Changes in Family Functions The decline of the landed aristocracy, modern urban-industrial growth, and the widening scope of governmental activity have been major factors in bringing about changes in the functions performed by the family for its members and for the community. In our examination of these changes, we focus upon the middle-class family and note certain relationships between the changes and the role of Spiritism. The areas of functional change which we observe are: reproduction, conferral of status, material sustenance, discipline and socialization, affective support, recreation, and welfare and aid. 1. Reproduction The middle-class is the stronghold of the Roman Catholic Church in the cities; from its ranks come articulate women who campaign for the sanctity of the family and against birth control and divorce. Yet the middle-class family of our time contributes less than formerly to the population growth of the country. These family groups are smaller also because of the decline of the custom, in this social 13 This nuclear type family and its solidarity, faced with modem changes, is the subject of a series of novels which has become a modern classic: the Eramos Seis ( We Were Six ) novels, by Sra. Leandro Dupre. For examples of this type in the nineteenth century, cf. such novels of Machado de Assis as laia Garcia and Pom Casmurro It was among such families, and within their homes, that the first Spiritist meetings were held in Bahia, Rio de Janeiro, and Sao Paulo; cf. Pessoa de Moraes, Sociologia da Revolugao Brasileira Rio de Janeiro: Leitura, 1965, pp. 30-36. For the corresponding type in smaller cities of the hinterland of S3o Paulo, cf. Paulo Setub^l, Confiteor (autobiography), Sao Paulo: Editora Saraiva, 9th ed., 1958. It appears probable that outlying small towns and cities have contributed large numbers of "practicing" Catholics and Spiritists to the large cities, as has been the case among Protestants in the rural-urban migration in the United States.

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190 class, of taking on by adoption, or simply "to raise," additional children. Increased educational demands, accompanied by great rises in the levels and the cost of living, have been largely responsible for this rational approach to family size. Although no population data by socio-economic status are available for Brazil, John V. D. Saunders was able, in his study of human fertility In Brazil, to make some rough comparisons of fertility by occupation of the husband. This was done with data for the state of Sao Paulo, from the census of 1950. Social class is reliably indicated by occupation in Brazil. Saunders observed that the index for the number of children residing with their families, among those employed in agriculture and husbandry, was 19.8 points above the state average, while the index for such children among those engaged in the liberal professions was 30.4 points below the state average. This same index indicated low fertility among those engaged in real estate, banking, finance and insurance, and high fertility among persons employed in transportation, communication, 14 and storage, and in the extractive industries. The groups of high and middle socio-economic status, that is, those with lower fertility, are those most likely to adhere to Spiritism. Saunders includes a reminder of the rural-urban and other differentials which might well account for part of the observed difference between occupational classes. Even so, we may safely say that, whatever the combination of contributing factors, the societal levels in which John V. D. Saunders, Differential Fertility in Brazil, Gainesville: University of Florida Press, 1958, pp. 75-76.

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191 most Kardec Spiritists are found are those with the smallest mean family size, and that this size has been on the decrease. The Spiritist movement has no governing body that can make moral and ethical pronouncements which would be binding upon members. Nevertheless, in their belief that birth control is against the laws of Nature and that it upsets the planned scheme of reincarnation. Despite this, it is generally recognized that individual cases may require varying decisions concerning this question. The Spiritist emphasis on rationalization of conduct conflicts here with a deeply held cultural norm which is also supported by Kardecist doctrine. This writer has had occasion to verify in personal interviews that this conflict gives rise to strong feelings of guilt on the part of many Spiritist women. 2. Conferral of status With the decline of the rural aristocracy, the increase of economic opportunities for mulattoes, and the abolition of slavery, the relative rigidity of the caste-like system was weakened, and status in modern Brazilian society became increasingly based upon achievement. Thus pressures are heavy upon the children of the middle classes and the upper sectors of the working classes to excel and to rise in the social scale. Spiritism entails a far less inclusive and definitive religious commitment than does Protestantism, and by remaining in the cultural mainstream is an increasingly accepted religiophilosophical development. It therefore presents itself more and more as a practicable option for professionals, bureaucrats, and others of some educational and social attainment who no longer accept Roman Catholicism. Although social standing is decreasingly related to religious affiliation, the tendency is still strong for many Protestants to isolate

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192 themselves from Brazilian society in general because of their disapproval of certain practices which they consider worldly. The Spiritists, on the other hand, share the dominant social and cultural values and practices, and encounter far fewer problems of social integration and ascension, when other factors are held constant. 3. Material sustenance The urban family, unable to produce its own food and shelter, must depend upon the income, not only of the husband, who frequently holds several jobs simultaneously, but often of the wife. This has been true as far back as the early nineteenth century, particularly in the cases of downward social mobility of men of upperclass families, noted above. Their precarious living as government bureaucrats or professors was often augmented by such decorous activity as that of seamstress, on the part of the wife. Today, wife and daughters may work in business firms, and public offices. -^ The children are usually expected to live at home and contribute to the family budget until they marry or are taken away by their careers. Family cohesion is fostered to some extent in this way. 4. Discipline and socialization The above-mentioned economic factor carries an implicit tendency toward egalitarianism within the family. Since paternal dominance is a cultural ideal, the egalitarian role is difficult or impossible for many men, and implies to them their abdication of authority; the woman is often the psychological main-stay of the family. Sons, in particular, feel their independence as they earn their ^Antonio Candido, "The Brazilian Family," in T. Lynn Smith and Alexander Marchant, eds., Brazil; Portrait of Half a Continent New York: Dryden Press, 1951, pp. 296-297.

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193 own money and live in an increasingly individualistic and rationalized society. Moreover, as in other modern societies, the functions of socialization are being divided among the family and other agencies, particularly the school. Special pressure is put upon the boys with regard to study, for places in secondary and higher educational institutions are exceedingly hard to obtain. Boys traditionally receive little discipline, and today family authority diminishes at the same time at which many outside controls, in large urban centers, are relatively ineffective. New and more liberal patterns of courtship and mate-choosing have evolved, influenced in part by American films. Not only do employment and educational activities contribute to increased family dispersal, but the home is no longer the scene of social life that it traditionally has been. Young people have circles of social interaction which no longer intersect with those of the older members of the family, and the girls are far less subject than formerly to family scrutiny and supervision. For these reasons, there is a constant and conscious effort on the part of large numbers of such families to 16 . r -.v maintain and strengthen the ties. Spiritism promotes, often with solemn preachments and exhortations in a traditional moralistic vein, the necessity of family solidarity. It is as yet unclear, however, whether the movement's developing youth and children's programs will strengthen family solidarity, or whether they will be parts of an institutional development that will further remove members from the family as the scene of decisions and activity. Already the center is Thales de Azevedo, o£. cit pp. 293-296.

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194 displacing the home as the principal locale of sessions. The extent to which Spiritist institutions will attempt to develop a program of parent-and-child religious education remains to be seen. 5. Af fective support The provision of positive emotional attachments and constant, face-to-face, verbalized reinforcement of them is still a part of the ideal, or the "mystique," of the Brazilian family, and exists as a vital aspect of the life of many conjugal families. As apartment-living and other innovations related to family-dispersal increase, "the conjugal family is sometimes the only, and at least the main, group of primary relationships for most Brazilians." By cultural and societal formation, Brazilians tend to be individualistic and familistic, not joiners of clubs. The life of many middle-class and upper-class women has often been extremely lonely, for they have been expected to remain largely in the home, and have had relatively few opportunities for social expression and the forming of friendships. The demands and tensions of urban life, moreover, frequently weaken family solidarity, giving rise to feelings of alienation and guilt. In coping with such problems, common to the middle class in unstable societies, the Spiritist theodicy contains an emotional-rational balance which appeals to those who value their status as educated and selfcontrolled persons. Moreover, one of the latent functions of meetings such as those in the Spiritist centers is the opportunity which they afford for the forming of friendships based on shared beliefs and values. l^Thales de Azevedo, Social Change in Brazil Gainesville: University of Florida Press, 1962, p. 21.

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195 Not least among the appeals of Spiritism are those teaching and mediumistic activities in which immortality and the survival of loved ones are emphasized. Communication with the spirits of departed family members and friends is not the major focus for most adherents, except quite often in their earliest mediiomistic experiences. Nevertheless, this aspect of Spiritist activity does bring comfort and support to many adherents, both in their rationalization of the problem of death, and during times of bereavement and crisis. For these reasons, the Spiritist center in many cases is a place at which a person receives sympathetic help in confronting the emotional, disciplinary, and organizational problems faced by isolated individuals and conjugal units in a complex and changing social environment. 6. Recreation This function is closely allied to the preceding one. Brazilians have not traditionally been players of games, nor have they enphasized sports as have the Anglo-Saxons and others. For adults, particularly, visiting and conversation, largely within the extensive network of relatives, filled the leisure hours and focused them upon the home. Azevedo has compiled a lengthy list of non-domestic and commercial modes of entertainment which have encroached upon this area of conjugal family life. Emilio Willems observes that "the pattern of sociability as found in the Protestant congregations of Latin America, is alien to the native society, but that it has contributed significantly to the social development of women." This pattern of "social meetings" 18 'Azevedo, "Family, Marriage, and Divorce," p. 296. Willems, o£. cit p. 168.

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196 and parties, many of them held in homes, ha? influenced many Spiritist societies, and to some extent has contributed a recreational function to them. 7. Welfare functions Smith has called attention, as have Willems and others, to the importance of the family as the principal agency of 20 mutual aid and of protection of the young, the infirm, and the aged. However, it was the very extended nature of the family and its agricultural base, with simple levels of living, which largely enabled it to carry such a welfare burden. Willems observes that, "with reference to the present situation, there appears to exist a close correlation between functional relevance and the extent to which the structural characteristics of the large family have been maintained.' It is apparent that these characteristics have been maintained only to a relative extent. Azevedo refers to the manner in which urban patterns of living, and the high cost of them, militate against family welfare solidarity. "Not only do they [young couples] close the walls of their homes around then, excluding relatives, but they also try to limit procreation. "2^ This is one of the major social problems of the Brazilian people today. It constitutes a principal point of contact of Spiritism with the lives of many persons, as they strive, through the ministrations ^OSmith, o£. cit pp. 477-481; Emilio Willems, "A Estrutura da Familia Brasileira," Sociologia Vol. 16, no. 3 (October, 1954), pp. 327-340. 21 Willems, ibid p. 336. 22 Azevedo, "Family, Marriage, and Divorce," p. 293.

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197 of local Spiritist groups, to find cures for their sick, asylum for orphaned children and the aged, and relief from their own stresses. It remains to be seen whether such activity will continue to be localized and often ad hoc or whether Spiritism will produce a body of principles and a program of activity for meeting such problems on the societal level. Implications for Spiritism of Changes in Social Mobility and Stratification In this section we attempt to analyze certain of the changes in social stratification and social mobility that seem to have played significant roles in the rise and development of Spiritism in Brazil. Pitirim A. Sorokin has given three primary factors which are operative in producing and directing vertical social mobility: demographic phenomena, changes in the social environment, and dissimilarities 23 among individuals. In preceding sections we have indicated how demographic, economic, and societal changes have made for complex processes of social mobility, both upward and downward. At this point we examine the role of vertical mobility in the creation of conditions conducive to a plurality of religions, and to the rise of Spiritism in particular. The changes in Brazil during the second half of the nineteenth century were the deepest, swiftest, and most far-reaching in the three centuries of the nation's history. A major evidence of transformation in Brazilian society was the very fact these changes were effected largely through the intellectual, political, and economic activity of men from the middle, and even the lower, classes. They represented the ^-^Pitirim A. Sorokin, Social Mobility New York: Harper's, 1927, Ch. 14.

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198 bourgeoisie which had risen relatively in the cities as the economic power of the landed aristocracy waned. Many were educated in the new schools and universities of Brazil, instead of in Europe. They were "the expression of a new form of bourgeoisie, opposed to the traditional one generally deriving from the aristocracy...."^ The middle class whose rise in the eighteenth and nineteenth centuries is described by Gilberto Freyre,"^-^ Fernando de Azevedo,'^" Oliveira Vianna,^^ and others, was in reality a bourgeois elite. It was composed, in the main, of the large merchants, bankers, doctors, lawyers, and others of similar standing. Despite the fact that their number might include, as Freyre shows, Negroid elements, such groups identified themselves with the upper classes, shunning social contact with shopkeepers, elementary school-teachers, and small white-collar workers. Only later, chiefly after 1930, did the "middle class," in the generally accepted "Western" meaning of the term, make itself felt as a social force. The early leaders of the Spiritist movement, such as Marshal Quadros and Adolf o Bezerra de Menezes, were members of this bourgeois elite, although they were innovators who often were considered as deviants by their peers. However, it was from the petit bourgeoisie — teachers. ^^Joao Cruz Costa, A History of Ideas in Brazil Berkeley: University of California Press, 1964, p. 83. ^ ^The Mansions and the Shanties pp. 3-25, 354-399. 2^0£. cit. pp. 92-94, 106. 97 F. J. Oliveira Vianna, £g^. cit passim

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199 shop-keepers, artisans, and others — and the "white-collar" lower middle class that Spiritism received its numerical strength in the late 1800' s; and it grew and flourished with the expansion of that class after 1930. The Modern Rationalist Bourgeoisie and Religious Plurality Antonio Candido has described the development of a "bourgeois ide28 ology" toward the end of the nineteenth century. As important as this may have been, a more essential factor in the development of a middle class is the capacity for rational, reasonably autonomous action and the opportunity to take responsibility for managerial decision-making. This was lacking in the case of many free men in Brazil. Even though they were neither masters nor slaves, most of them were not of "middleclass" status, in the sense of the term referred to above. The exceedingly small group of bourgeois elite and independent small entrepreneurs whom we have called the petit bourgeoisie began to increase significantly only with the urbanindustrial expansion, which reached full swing in the Vargas era, beginning in 1930. This growing middle-class was and is characterized by rationality, in the Weberian sense, both in its occupational activities — in which dec is ion -making ^^^ ^ssponsibility distinguish many of its members from routine workers — and in its personal existence, in which situations with alternate solutions are rationally faced. Its beliefs also are likely to be intellectualized and therefore secularized to some extent. 28 Cruz Costa, op. cit pp. 155 ff.

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200 males de Azevedo, in his discussion of the urban upper and 29 middle classes, indicates the secularization of values. Except as the scene of elaborate weddings, the church occupies relatively little place in the lives of those pertaining to the new wealthy upper sectors and to those in the strata which attempt to emulate them. Moreover, many of the traditionally middle-class families do not feel that the Church is a social necessity. In their pragmatic, privatistic view, other considerations than tradition are able to move them in the search for religious expression, and other institutions than the Roman Catholic Church can be examined. The dictum "Outside the Church there is no salvation" has been replaced by "Todas as religioes sac boas" ("All religions are good") The specific meaning attached by many to this latter sentiment is, "Whichever one satisfies me is good for me," and the number of times that Spiritists say of their former religion, "It didn't satisfy," is significant. The bourgeois self-determination of life (so closely associated with Protestantism) calls into question the whole socio-religious structure in which initiative and decision lie in the institutions. Considerable attention is devoted elsewhere in this study to profound modifications ~ and even the weakening and decline ~ of some of the components of Brazilian society, domestic, economic, and political. Some of these are due to new and strengthening tendencies in other areas, Nevertheless, more than fifty years ago the perceptive Gilberto Amado 29 Soc ial Change in Brazil pp. 67-74.

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had discerned certain weaknesses in his country's institutional and class structure: In view of the social conditions of Brazil, is it allowable to believe that any change in the institutions can have a decisive influence on the well-being of the country? ...what is evident is that the social elements of the present Brazilian society are the same which existed at the end of the Monarchy, with some modifications.... I think that for the present we cannot link the destiny of Brazil to a transformation of institutions which would have little influence or none on a population which is politically non-existent.-*^ Although this distinguished statesman and man of letters referred principally to political structure, his thought in this selection embraced the entire institutional make-up of Brazilian society in that era; and it was concerned with the social atomization which could even then be verified, in the rise of a rationalist middle and upper class. In recent years, this subject has been investigated sociologically 31 through certain aspects of the politico-economic activity. For the present discussion, the major element of interest in Leeds's investigation of informal organizations in business, politics, and career channels is the underlying condition of the lack of adequate institutional structures, including those which embody norms and sanctions with regard to career and class mobility. In a society in which religion, family tradition, and social status were closely interrelated, it is not surprising that one ^^"The Political Institutions and the Social Milieu in Brazil," (1916), in Tris Livros Rio de Janeiro: Livraria Jose Olympio Editfira, 1963, p. 242. ^'Anthony Leeds, "Brazilian Careers and Social Structure: A Case History and Model," Heath and Adams, 0£. cit pp. 379-404.

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i^U^ result of the opening of new channels of vertical social mobility and the rationalization of behavior should contribute to the development of a plurality of religions. The Relationship of Color to Status, as It Affects Spiritist Recruitment It is common-place knowledge today that color and social class are very closely related in the society under consideration. Stratification into t^JO major hierarchical groups and a broad correlation of status to color in a system based more on prestige than on pure social class has been found to be characteristic of Brazilian traditional society in general. 32 Azevedo, in the context from which the above statement is quoted, describes the manner in which racial discrimination is ideologically opposed among even the white elites, while at the same time the definition of social classes in terms of color has persisted. Reference has already been made to Freyre's demonstration of the rise of the mulattoes, in The Mansions and the Shanties It should be remembered that a large proportion of mestizo men whom Freyre has in mind were the sons of white landowners, and that they were able to maintain as much as to rise to, a social position of respectability which had been provided for them, along with their higher education, by their fathers. Thus there was differentiation among the processes and the channels through which various elements entered or helped to form the bourgeoisie. The mulattoes in many cases found their places through intellectual 32 Thales de Azevedo, Social Change in Brazil Gainesville; University of Florida Press, 1963, p. 43.

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203 and artistic accomplishment or as managers of family estates. Many whites, particularly the sons of Portuguese Jews, rose by the accumulation of wealth — symbolized by the magnificence of their town houses; a few whites rose from the ranks of white-collar workers by acquiring training for a profession; and still others were forced down into the bourgeois social class from former aristocratic opulence. Jose Honorio Rodrigues, in a chapter entitled "Miscegenation and Relations between Brazil's Whites and Africans," has brought together the necessary census and other statistical data and the findings of most of the major students of race in Brazil, in an effort to show the 33 development of the nation as an exemplary "Mestizo Republic." Nevertheless, instead of falling into what T. Lynn Smith has referred to as "the cult of racial equality," Rodrigues recognizes "the ideal of whiteness" which persists to the present time. At the period of Independence, with the country open for manufacture and commerce, there 34 were already large numbers of free mulattoes. Many of these possessed skills or academic instruction, and were candidates for the class of artisans, small merchants, bureaucrats, and teachers, a class which was to grow with increased urbanization, and in which "whiteness" was a distinct asset. 33 >. Jose Honorio Rodriges, Brazil and Africa Berkeley: University of California Press, 1965, Ch. 4, pp. 52-101. Frank Tannenbaum, in Slave and Citizen: the Negro in the Americas New York: Alfred A. Knopf, 1946, has mentioned the relative ease of manumission in Latin American slavery in contrast to its near-nonexistence in that of the English and the North Americans. Rodrigues states that by 1798 there were 400,000 free Negroes in Brazil: The Brazilians, p. 48.

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204 The four southern states, SSo Paulo, Parana, Santa Catarina, and Rio Grande do Sul received the lion's share of the white element comprised by innnigrants from Europe. Large numbers of these, and particularly the Italians and the Spaniards, were integrated into the lower bourgeoisie. Through industriousness, good marriages, and correct reading of the economic signs of the times, many of them were able to rise in the socio-economic scale, and a few even penetrated, or helped to form, the new upper class. ^^ Consequently, such elements, which pertained to the lower classes in their countries of origin, and had no historical master-slave reference of their own, have had a less emotional or ideological prejudice concerning the Negro than have many among the Brazilians of Portuguese descent. However, they share the general assumption of white superiority, and in general have been able to win out in economic competition with the black. The self-perpetuating inferior status of the major portion of black persons is associated with lower educational and occupational levels. These are major causes of the low proportions of blacks in 1 36 Kardecist circles. Spiritism and Social Status As was indicated in the treatment of Spiritism and its institutions in Chapter IV, relatively few upper class persons are identified with local Spiritist centers. Even so, a large and undetermined number of ^\hales de Azevedo, Social Change in Brazil pp. 45-50; Richard M. Morse, F rom Community to Metropolis Gainesville: University of Florida Press, 1958, passim ^^In such places as Sao Paulo, these levels are rising. Cf. p. 216 infra.

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205 them "embrace the doctrine," often as assiduous but private students of Kardec and other Spiritist writers. Many such uncommitted examinadores of Spiritist philosophy are able to avail themselves of passes, cures, and other ministrations, while maintaining a decorous social distance. This is usually done by obtaining, in a patronizing manner, private seances or consultations with well-known, "powerful" mediums. Large numbers of high government officials, business men, and politicians seek advice in this way; the present v/riter has been acquainted with some of these, as have intimate friends of his. Even when these mediums are Spiritists in good standing and maintain the ethic which forbids remuneration, social distance is often maintained through financial gifts to the center or its charities. This may be on a regular basis, as in the case of an "honorary membership." Much of this type of consultation is done with practitioners of low spiritism — Umbanda or white magic; and macumba, or voodoo Here the question of social distance is more easily resolved; there are less apt to be scruples concerning payment, and paradoxically, the himibling of the high-placed person before the illiterate channel of spiritual power can be patronizing (a fact well-known to blacks in the United States). For the vast majority of believers in Spiritism, however, there is maintained a continuous, albeit not always conscious, struggle for the attainment of greater social recognition for their religion. Spiritists are not alone here; the same holds true for most of Brazil's nonCatholic religions. Individual needs for social recognition are met in these religious groups. Nevertheless, the need is felt for universal

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206 and respectful recognition of the group, so that it may fulfill the function of linking its members to the greater society. Such publications as the ANUARIO ESPIRITA give gratuitous evidence of the struggle of the Spiritists for greater social recognition and higher social status. And yet the linking of Spiritism to the names and works of outstanding people in the fields of science, government, literature, and especially entertainment; the assiduous efforts to rename streets and plazas for prominent Spiritists, and to give the maximum of publicity to such legislative actions — these and other status-seeking activities should not be taken merely as the efforts of a social group to "raise itself" in the public estimation. The issue at stake here is cultural legitimation. Several aspects of Brazilian social mentality must be borne in mind as we consider this point. -^ First, to be a "good Catholic" or to deny or ignore that "faith of the fathers" — neither of these positions is intrinsically related to social standing. Positively or negatively, Catholicism is nearly universal, but it is no longer considered essential for membership or special position in the society. Second, by men, anything more than casual interest in religion, and particularly organized ^^Cf. supra p. 147. Closely linked to such efforts were the legal battles such as that engaged in by Adolf o Bezerra de Menezes, while president of the FederagSo Espirita Brasileira, for the repeal of decrees outlawing Spiritist practices. Such a stigma was not easily erased from the public mind ^^he discussion of Thales de Azevedo on "Religion" is helpful at this point ( Social Change in Brazil Ch. 3, pp. 57-81), although much in this section is the fruit of the writer's observation, study and thought over a number of years.

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207 religion, is unusual. Third, the acceptance of religions other than the Roman Catholic as parts of the warp and woof of culture is still very partial and tenuous. Fourth, as is indicated in Chapter III, there is much in Spiritist belief and practice, principally as regards healing and other instrumental functions, and also in terms of the dealings with the spirit world, which is well established in Brazilian culture. This does not imply that all Brazilians believe in all that Spiritism teaches, but it does imply that there is a large core of belief of extremely wide popular acceptance, and that there is much which — even though it may be disliked or feared — is nevertheless believed. Thus while it might seem unnatural for a person to be concerned enough about religious questions to examine and even embrace a "different" (non-Catholic) religion, he would nevertheless be acting within the mores if he took his sick child to a Spiritist center to be healed, or even if he regularly availed himself of Spiritist counsel concerning business matters. In the same way, the counsel of a Protestant minister in a family crisis may be openly sought. Such activities are within the pale of normal conduct in the society. But conversion to the new religion may weaken cultural ties and certain social relationships. Needless to add, it is largely for such reasons that most of the initial contacts with Spiritism arise out of illnesses and other crises. One negative effect of this circumstance, with regard to the societal view of Spiritism, is that in this way it has become associated in the minds of many with the nervous and emotional disorders to which it so often tries to minister. Even so, among a people for whom traditionally the instrumental effectiveness and the cultural acceptability of a

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208 religion are of more consequence than its doctrinal adequacy, the testimony, "Look what it did for me," is the most effective channel of propagation. Spiritism thus occupies an ambivalent position in Brazilian society. It is inhibited by sectarian opposition, emotional and intellectual prejudices, social tradition, and religious inertia. On the other hand, it is promoted by its claims to cultural legitimacy, which are greater than those of most aspects of Protestantism, and even of some features of Roman Catholicism. Moreover, a major source of its dynamic for expansion has been the rise and development of a middle social class. For a substantial portion of those of this status, Kardecism has proved to be efficacious in fulfilling needs related to religion, group identification and participation, and social status. Following this consideration of the social aspects of Spiritism as a middle-class phenomenon, we proceed to consider the occupational and educational status of its adherents. Urbanization and Changes in the Occupational Structure As Related to the Growth of Spiritism The present section is devoted to the processes of urbanization and rationalization of Brazilian life, primarily as they are manifested in the re-distribution of the population, in modifications of the occupational structure, and in consequent changes in social mobility and stratification. These are seen as conditions propitious for the rise of SpiritismThe Re-distribution of the Population Aside from the growth of population itself, the most striking feature of present-day society in Brazil and neighboring countries is

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209 the migration of people to, and their orientation about, urban centers. The beginnings of this migration are not recent; they were present on a significant scale over a century and a half ago, at the time when the Court was being brought from Lisbon to Rio de Janeiro. This change, and others related to it, form the theme of Gilberto Freyre's second major volume. Near the outset of it he observes that the increasing numbers of educated young men were unwilling to return to the patriarchal plantations, preferring to add their culture and talents to the life of the cities. "This was a period of deep differentiation," says Freyre, in which patriarchal domination was on the wane in the rural sector, and disorganization and suffering increased in the cities; it was an epoch of "patriarchalism becoming urbanized." The attraction of the city was not only for the well-born and the educated. As the ports were opened and the cities took on new functions, rural-urban migration increased. The sons of subsistence farmers, the landless poor, and slaves hired out by their masters came to man the foundries, the construction works, and the shops of cabinet40 makers, tinsmiths, and others. As the Europeanization of the cities progressed during the nineteenth century, this tendency remained unabated, principally in the port cities. After the abolition of slavery, as Oliveira Vianna noted, there was a heavy influx into both coastal 39 The Mansions and the Shanties pp. 23-24. Cf., ibid ; Jose Artur Rios, "The Cities of Brazil," in T. Lynn Smith and Alexander Marchant, Brazil: Portrait of Half a Continent New York: Dryden Press, 1951, pp. 188-207.

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210 and interior cities, not only of those who sought employment, but also of many whose motivation was simply to flee the scene of their enforced servitude. Although the railroad-building and industrialization which accompanied the growth of the cities began about 1860, the beginning of the Vargas regime in 1930 is the symbolic date of the modern urbanindustrial upsurge. Sao Paulo, with 20,000 people in 1870, had grown ten-fold by 1900, and this feat was repeated in the succeeding fifty years. Since 1950 the population again has doubled, and industry in Sao Paulo has undergone vast expansion. The growth of Recife, representing the relatively non-industrial Northeast, has also been very rapid. The number of its inhabitants has increased by 50 per cent in each of the past three decades. As for the country as a whole, a traditionally rural population had become 45 per cent urban by 1960. Not only the great primate cities, but urban centers of all sizes, had increased in number and in population. Great numbers of people reside in regions and states far from their places of birth. Changes in Occupational Structure and th e Growth of Spiritism Brazil's traditional primitive, self-sustaining, agricultural economy had provided a very limited number of occupations for the small middle class and the lower classes of the urban centers. Small merchants, administrative bureaucrats, professional men, teachers, priests, and certain artisans — these and a few others comprised the middle class. 41 F.J. Oliveira Vianna, op. cit pp. 92 ff,

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211 As was first indicated, in Chapter IV, it was among such people that Kardecism was introduced into Brazil, and its widest acceptance has continued to be among them. For this reason, the spread of Spiritism has depended, to a large degree, upon the expansion of the middle classes. Even though there are few statistical data concerning any aspect of Spiritist organization and activity until recent years, certain inferences are forced upon us by well-known facts In the first place, as has been indicated, the practice of Kardecism demands not only functional literacy, but the mental disposition to study and to rationalize over beliefs. In Brazilian society, literates of this type have been found almost exclusively in the urbanized areas. Secondly, however, elementary and even secondary education has been made increasingly available to the lower strata of society in these areas. Higher educational levels for more people have 42 been made necessary by the growth of technology and bureaucracy. There has thus been rapid growth of those sectors of society in which Spiritism found its greatest acceptance. At the same time, an increasing nvimber of people on a lower socio-economic level has also acquired the educational and other social characteristics compatible with adherence to the doctrines of Allan Kardec. Candido Procopio Ferreira Camargo advances the thesis that Kardecism has the function of / Bertram Hutchinson, "Urban Social Mobility Rates in Brazil Related to Migration and Changing Occupational Structure," America Latina, Vol 6, no. 3 (July-September, 1963), pp. 47-61.

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212 integrating individuals into modern industrial society. '^^ He maintains that Sao Paulo represents David Reisman's "other-directed" type of society, ^'^ and that Spiritism provides for many an "inner-directedness" without which they could not satisfactorily guide their own lives. Although Camargo applies this thesis to both Kardecists and "low Spiritists," it is particularly applicable, it seems to this writer, to the lower class group. Their occupational status is more tenuous, and they do not have the stake in, and the support of, the societal institutions that is likely to be enjoyed by those of higher status. Occupation is a reliable indicator of educational level and socioeconomic status in Brazilian society, and the data in Table 10 illustrate the association of higher incidence of Spiritist membership with the increased proportions of occupations that produce middle-class status. In column one are given the percentages of persons in the economically active population over ten years of age, in each of the twelve occupational categories. In column two are presented the percentages of those Brazilians engaged in the "urban" occupations alone, the ten categories being considered as a total. The respective occupational percentages of samples of Spiritists in S3o Paulo and Campinas appe jear in columns three and four.^ Some of the variations in the ^^ Kardecismo e Umbanda Sao Paulo: Livraria Pioneira Editora, 1961, pp. 68-69. ^^David Reisraan, The Lonely Crowd New York: Yale University Press, 1950. ^^The SSo Paulo sample consists of the 580 Spiritists interviewed by Camargo and his assistants in the study referred to above. The Campinas sample is composed of 75 Spiritists interviewed by the writ .and

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213 • •

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214 percentages from one column to another are simply reflections of the differential incidence of given occupations in specific cities, and allowances have been made for this. For example, Campinas, a rail and bus center, has a high percentage of transportation workers. We consider briefly the information provided in the table. Those employed in "manufacturing, processing, and construction," comprise one-third of the total of urban workers; large numbers of them are unskilled laborers. They are greatly under-represented among the Spiritists, in comparison with the population as a whole, and this is especially true in Campinas. Workers in commerce and public and private bureaucracies, the white-collar categories numbered 4, 5, and 11, have an unusually high representation among Spiritists; an exception to this is category number 5 in Campinas, which is not a commercial center and thus has relatively fewer such workers. The "domestic service" percentage for SSo Paulo is inflated by the inclusion of housewives in this category; in the Campinas survey unemployed housewives were asked to give the occupation of the head of the family. In both cases, there appear to be about the same proportion of domestics among Spiritists as in the urban population as a whole. It is significant that these female servants are on the same occupational level as the male laborers who are so under-represented in Spiritist circles. assistants in 1965-66. All of these persons were interviewed while attending meetings of their centers; observation has indicated that they are generally representative, although there is possibly some underrepresentation in occupational category number 3, composed of skilled and unskilled laborers.

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215 The functions of Campinas as a transportation center and as a focus of educational and cultural activities are reflected in its high employment ratings in the corresponding categories in the table. Even so, the proportions of the Spiritists of Campinas found in these two occupational sectors are substantially higher than those for the Spiritists of Sao Paulo and for the nation as a whole. These occupations, as well as the liberal professions and the police and military, have an unusually high representation among Spiritists, and this is greatly accentuated in the smaller cities. In a survey of professional people in twenty-seven small cities in the state of Sao Paulo, Camargo found relatively high proportions of Spiritists and those s>Tnpathetic to Spiritism (see Table 11) Table 11. Three Professional Categories Considered in Relation Lo Spiritism Profession Pharmacists* Spiritists Sympathizers Dentists Spiritists Sympathizers Owners of Civil Registry Office Spiritists Sympathizers Number

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216 While there are no comparative data on these professions for the metropolitan centers, it is generally agreed that the proportions of Spiritists in them would hardly be as high as these. This is supported by the general observation that individuals of middle-class occupational status are apt to be "joiners" and leaders on a relatively larger scale in smaller localities than in large cities. It is also consonant with the observation of the writer that large proportions of the innovators and deviants from traditional norms in Brazilian society are composed of the intellectually curious of the upper middle classes, and of elements of the lowest classes. Among the former are many candidates for Spiritism, while many of the latter become Pentecostals or follow low spiritism. The expansion of the industry, the urban centers, and the total population has brought rapid growth in the ranks of technicians, whitecollar workers, and professional people. Spiritist recruitment has continued to be heaviest in these occupational categories. In large industrial centers, such as SSo Paulo, the extension of greater educational and occupational opportunities to more lower class people has also made them more receptive to Spiritism. In contrast to this, places such as Recife, with rapid growth in population but a relatively small increase in productivity, have bad a low rate of growth among Kardec Spiritists. The appeal of Spiritism, and its growth, are more pronounced among the better-educated in smaller cities, and among younger industrial and bureaucratic workers in the very large centers.

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217 This is partially attributed by some to the strains of urban life and 46 the high cost of modern medical care. 46 Cf. Camargo, o£. cit pp. 99-104,

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CHAPTER VIII CONCLUSION In this conclusion we focus upon some of the major findings of this study; we also attempt to indicate some of the trends now under way, and to identify a few additional lines of investigation which our study suggests. The Brazilian census of 1950 reported as Spiritists 824,553 persons, or 1.6 per cent of the total population. It is estimated that at present there are two to three million Brazilian Spiritists. They are heavily concentrated in the cities, especially in the states of Minas Gerais, Rio de Janeiro, Guanabara, SSo Paulo, and Rio Grande do Sul The ratio of the sexes among Spiritists generally follows that of the population at large. The proportion of whites to colored is higher among Spiritists than in the total population. Most Spiritists are literate members of the middle and lower classes, and are generally found in the "white-collar" occupations and in teaching, small business, and the professions. The Roman Catholic Church and, more important, "folk Catholicism" and the religious and superstitious beliefs of the Indians and African slaves contributed to the religious milieu in which Spiritist doctrines, seances and cures might find ready acceptance. The presence of these various belief systems, together with the rationalist philosophies and the advent of Protestantism in the 19th century, made for the legitimizing of a plurality of religions in Brazil, where only Roman Catholicism had previously been recognized. 218

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219 Spiritism is based upon teachings which a French pedagogue, Allan Kardec, believed he received from the spirits in the 1850' s. The fundamental belief is in the perpetual existence of spirits, including our own, who through successive reincarnations are perfected in moral goodness. Thousands of Spiritist societies function in "centers," conducting seances, doctrinal studies, and charitable programs. These latter are of primary importance, and include many large institutions. This is a volunteer lay movement, in which each member receives recognition for his activity, whether as a spiritistic medium or a worker. These activities have been functional for members and for those whom they serve, in the rapid process of urbanindustrial development in Brazil; they have aided In the adaptation of great numbers of people to modern urban life. In urban places, both large and small, Spiritism offers a religious option and an opportunity for social interaction and religious expression to "freethinkers" and other non-Catholics, as well as a "non-dogmatic" humanistic frame-work for the traditional conservative morality. Certain trends are clearly observable in Spiritism today. A major one is toward further institutionalization through the unifying of municipal, state, and other federative bodies. At the same time, on the level of local societies there appears to be much ambivalence toward such unification. This gives evidence of being related to the widespread trend of increased emphasis upon sentimental piety, charity, and mysticism, in which local charismatic figures assume important roles. The very teachings of Allan Kardec are self-contradictory at this point; apparently unaware of the mechanisms of institutionalization, he wished for uniformity without "orthodoxy," and for concerted action with a minimum of organization. This poses problems for his followers.

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220 Other, less clearly discernible trends are under way in the area of organization. Of principle importance among these is the relationship of Spiritism to Umbanda, the Afro-Brazilian cult of so-called "Christian white magic." This movement is numerically strongest among the lower classes in the same regions in which Spiritism has its greatest middleclass strength. Research is required to determine to what extent Spiritism has the flexibility to incorporate Urabandist practices i-nto its healing rites, and to verify the proportions of Spiritists and Spiritistsympathizers who may be turning to Umbanda. This latter movement and its institutions have yet to be investigated adequately. It has been made apparent that Spiritism, possessing a rationalistic approach but a conservative ethic, presents an aspect of ambivalence with regard to the family. Having originated in Brazil as a householdgroup phenomenon, and encouraging the domestic virtues, it yet makes its "conversion" appeal on a rational, individualistic basis, and generally to adults. Interest and effective action on the part of Spiritists are slowly turning toward the family, to religious programs for youth and children, and to the general subject of education. It will therefore be of importance to study, not only those changes in themselves, but also their relationships to the growing organizational complexity and rigidity within the movement. On the other hand, the changes in the program with regard to the family and education should also be examined in the face of the growing demand — referred to above in connection with Umbanda — for immediatism and emotional dynamic in the cultus. Although there is a fundamental break with Roman Catholicism on the question of reincarnation and eternal destiny, the major grounds of most persons for coming to Spiritism from the Catholic Church, and for

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221 Spiritist polemics against it, have been those involved in the Catholic cultus, hierarchical authority, and degree of control over "nonreligious conduct." In the wake of the Second Vatican Council, various changes in these areas of Roman Catholic life have ensued, and others appear to be in the offing. There is thus the possibility that Spiritists will be forced to make subtle changes in their stance, vis-a-vis the Roman Catholic Church. Another major insitution, the services of which may profoundly affect Spiritist organization and cultic emphasis, is that of government. As public welfare increasingly becomes a matter of governmental attention, the Spiritist emphasis upon assistance to the needy will inevitably be affected, with results as yet unforseeable. Related to this subject, however, are equally knotty questions which concern the more esoteric teachings and practices of Spiritism. This doctrine is adhered to, as we have seen, by large n'jmbers of persons with bureaucratic types of employment, including government functionaries. Increasing numbers of such persons entrust their destinies and their daily decisions to the orientation of entities which they believe to be wise and wellinformed spirits. There are at present no data available on civilian government personnel and military men, as to religious preferences and activity. Nevertheless, a fruitful area of research might well be that concerning the degree to which Spiritist practices influence professional conduct. The identification of Spiritism, by many adherents, with the growing national consciousness in Brazil, may tend to reinforce the possibility of such influence. (It must be remembered here that what is involved, as far as the Spiritist is concerned, is not a vague "praying for guidance" to a supernatural being, though he may also pray, but a

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222 normal process of consultation with natural beings, "the spirits.") Such seeking for guidance is often referred to in "testimonials" of individuals who relate, in public meetings or in the Spiritist press, experiences of orientation received in business and personal affairs. Such questions as these have also come to the surface many times with relation to decisions of Spiritist medical and psychological practitioners, and it is to be expected that they will arise increasingly in those fields and that of education. In this study, we have had occasion to mention such a case with reference to literature. This area of inquiry may become of ever greater importance if, as appears to be the case, Umbanda continues to invade the terrain of Spiritism through its emotional dynamic and the upward social mobility of its adherents. Umbanda gives a smaller amount of disinterested attention to moral-intellectual doctrinizing, and much more emphasis to practical solutions for questions of decision and action.

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BIBLIOGRAPHY Almeida Prado, J. F. Primeiros Povoadores do Brasil; 1500-1530 Sao Paulo: Companhia Editora Nacional, 1939. d'Alviella, Goblet. "Animism," in James Hastings, ed. Encyclopedia of Religion and Ethics New York: Harper's, Vol. I, 1955. Amado, Gilberto. Tr^s Livros Rio de Janeiro: Livraria Jose Olympio Edit6ra, 1963. ANUARIO ESPfRITA. Araras: Instituto de Difusao Espirita, 1965-1969. Armond, Edgard. Trabalhos Pr^ticos de Espiritismo Sao Paulo: Livraria Allan Kardec Editora, 1954. Azevedo, Fernando de. Brazilian Culture Trans. William Rex Crawford. New York: Macmillan, 1950. Azevedo, Thales de. "Family, Marriage, and Divorce in Brazil," in Dwight B. Heath and Richard N. Adams, eds. Contemporary Cultures and Societies of Latin America Nevr York: Random House, 1965. Azevedo, Thales de. Social Change in Brazil Gainesville: University of Florida Press, 1962. Barreto, Paulo. (See Joao do Rio). Brazil. Conselho Nacional de Estatistica. Estatistica do Culto Espirita do Brasil, 1961 Rio de Janeiro, 1964. Brazil. Conselho Nacional de Estatistica. VI Recenseamento Geral do Brasil, 1950 Rio de Janeiro, 1956. Brazil. Instituto Brasileiro de Geografia e Estatistica. Enciclopedia dos Municipios Brasileiros Rio de Janeiro, 1959. Calmon, Pedro. Espirito da Sociedade Colonial Sao Paulo: Companhia Edit6ra Nacional, 1935. Camargo, Candido P. F. Kardecismo e Umbanda Sao Paulo: Livraria Pioneira EditSra, 1961. Candido, Antonio. "The Brazilian Family," in T. Lynn Smith and Alexander Marchant, eds. Brazil: Portrait of Half a Continent New York: The Dryden Press, 1951. 223

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224 Castellan, Yvonne. Espiritismo Sao Paulo: Difusao Europeia do Livro, 1955. Charlton, D. G. Secular Religions in France London: Oxford University Press, 1963. Cicero, Marcus Tullius. De Natura Deorum Book I. Trans. Hubert M. Poteat. Chicago: University of Chicago Press, 1950. Codrington, R. H. The Melanesians: Studies in Their Anthropology and Folklore Oxford: Clarendon Press, 1891. Comt e Angus t e CaLecismo Pozitivista, ou Suiaaria Espozi^pao da Religiao Universal Trans, and notes by Miguel Lemos. Rio de Janeiro: Templo da Humanidade, 1934. Cruz, Levy. "Aspectos da Formajao e DesintegragSo da Fam^lia em Rio Rico." Sociologia Vol. 16, no. 4 (Outubro de 1954), pp. 390412. Cruz Costa, Joao. A History of Ideas in Brazil Berkeley: University of California Press, 1964. Cruzeiro Rio de Janeiro. Issues used: Jan. 18, 1964; Feb. 1, 1964; May 6, 1966; May 13, 1966. Curtius, Ernst Robert. The Civilization of France Trans. Olive Wyon. New York: Macmillan, 1932. Desobsessao (Orgao Of icial do Hospital Espirita de Porto Alegre) PQrto Alegre. Issue used: Ano XXI, no. 252 (Fevereiro de 1969). Espif^rita Mineiro (Orgao Of icial da Uniao Espirita Mineira) Belo Horizonte. Issue used: Ano LIX, no. 123 (Janeiro e Fevereiro de 1967). Evans-Pritchard, E. E. Theories of Primitive Religion London: Oxford University Press, 1965. Federajao Espirita do Rio Grande do Sul. Normas para os Trabalhos Praticos e Doutrinarios 2nd rev. ed. Pdrto Alegre, 1968. Freyre, Gilberto. A Proposito de Frades Salvador: Livraria Progresso Edit6ra, 1959. Freyre, Gilberto. The Mansions and the Shanties New York: Alfred A. Knopf, 1963. Freyre, Gilberto. The Masters and the Slaves Trans. Samuel Putnam. 2nd Eng. rev. ed. New York: Alfred A. Knopf, 1963.

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225 Freyre, Gilberto. Nordeste Rio de Janeiro: Livraria Jose Olympio Edit6ra, 1961. Freyre, Gilberto. Regiao e Tradigao Rio de Janeiro: Livraria Jose Olympio Editora, 1941. Freyre, Gilberto. Um Engenheiro Frances no Brasil Rio de Janeiro: Livraria Jose Olympio Editora, 1961. Gerlach, Luther P., and Virginia H. Hine. "Five Factors Crucial to the Growth and Spread of a Modem Religious Movement." JSSR Vol. 7, no. 1 (Spring, 1968). Godoy, Paulo Alves de. "Centenario do Primeiro Jornal Espirita do Brasil e a Obra de Telles de Menezes." ANUARIO ESPIRITA, 1969. Araras: Instituto de Difusao Espirita, 1969. Homans, George C. The Human Group New York: Har court, Brace, and World, 1950. Hoult, Thomas F. The Sociology of Religion New York: Holt, Rinehart, and Winston, 1958. Hutchinson, Bertram. "Urban Social Mobility Rates in Brazil Related to Migration and Changing Occupational Structure." America Latina Vol. 6, no. 3 (July-September, 1963), pp. 47-61. Imbassahy, Carlos. "Espiritismo e Cristianismo. Revista Internacional de Espiritismo Ano XLIV, no. 6 (Julho de 1968), pp. 155-159. Imbassahy, Carlos. "Eurfpedes Barsanulfo: Cinquentenario de Desencarnagao." Reformador Ano 86, no. 11 (Novembro, 1968), pp. 253-255. JoSo do Rio (Paulo Barreto) As Religit!)es do Rio Rio de Janeiro: Organizagao Simoes, 1951. Kardec, Allan. Evangelho Segundo o Espiritismo Sao Paulo: Edit6ra Pensamento, 1963. Kardec, Allan. Livro dos Mediuns SSo Paulo: Editora Pensamento, 1963. Kardec, Allan. The Spirits' Book Trans. Anna Blackwell. Sao Paulo: Livraria Allan Kardec Editora, 1964. Kloppenburg, Boaventura. Espiritismo no Brasil Petr6polis: EditSra Vozes, 1960. Kloppenburg, Boaventura. Reencarnacionismo no Brasil Petropolis: Editora Vozes, 1961.

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226 Kohn, Hans. Making of the French Mind Princeton: D. Van Nostrand Company, 1955. Latreille, A. E. Delaruelle, J. F. Palanque, and R. Remond. Histoire du Catholicisme en France Vol. 3. Paris: Editions Spes, 1962. Lecky, W. E. H. History of the Rise and Influence of the Spirit o f Rationalism in Euro^ London: Watts and Company, 1946 (First published in 1865). Leeds, Anthony. "Brazilian Careers and Social Structure: A Case History and Model," in Dwight B. Heath and Richard N. Adams, eds Contemporary Cultures and Societies of Latin America. New York: Random House, 1965, pp. 379-404. Leite, Fr. Serafim. Paginas de Hist<$ria do Brasll SSo Paulo: Companhia Editora Nacional, 1937. Lins, Ivan. Historia do Positivismo no Brasil Sao Paulo: Companhia Editora Nacional, 1964. Magalhaes, Basflio de.^ Estudos de H ist6ria do Brasil. SSo Paulo: Companhia Editora Nacional, 1940. Malefijt, Annemarie de Waal. Religion and Culture New York: Macmillan, 1968. Manuel, Frank E. The New World of Henri Saint-Simon Cambridge: Harvard University Press, 1956. Moraes, Pessoa de. Sociologia da RevolugSo Brasileira Rio de Janeiro: Editora Leitura, S.A., 1965. Moreil, Andre. La Vie et L'Oeu^/re P'Allan Kardec Paris: Editions Sperar, 1961. Morse, Richard M. From Community to Metropolis Gainesville: University of Florida Press, 1958. Noronha Filho. "Igreja e Diilogo." Revista Internaciona l de Espiritismo, Ano XLIV, no. 10 (Novembro 1968), pp. 298-301. Oliveira Marques, Antonio H. A Sociedade M edieval Portuguesa. Lisbon: Livraria Sa da Costa Editora, 1964. Oliveira Vianna, F. J. Evolueao do Povo Brasileiro SSo Paulo: Monteiro Lobato e Cia. Editores, n.d. Omegna, Nelson. A Cidade Colonial Rio de Janeiro: Livraria Jose Olympio Editora, 1961.

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227 Peralva, Martins. Estudando a Mediunidade Rio de Janeiro: Federayao Espirita Brasileira, n.d. Pires, J. Herculano. Espirito e o Tempo Sao Paulo: Editora Pensamento, 1964. Queiroz, Maria Isaura Pereira de. Messianismo — no Brasil e no Mundo Sao Paulo: Dominus Editora, 1965. Ramos, Artur. Introdugao a Antropologia Brasileira Rio de Janeiro: Casa do Estudante do Brasil, 1943. Ribeiro, Leonidio e Murillo de Campos. Espiritismo no Brasil; Contribuicao ao Seu Estudo Clinico e Medico-Legal Sao Paulo: Companhia EditSra Nacional, 1931. Ribeiro, Rene. "On the Amaziado Relationship and Other Aspects of the Family in Recife (Brazil) V American Sociological Review Vol. X, no. 1 (February, 1945). Reisman, David. The Lonely Crowd New Haven: Yale University Press, 1950. Rios, Jose Artur. "The Cities of Brazil," in T. Lynn Smith and Alexander Marchant. Brazil: Portrait of Half a Continent New York: The Dryden Press, 1951. Rodrigues, Jose Honorio. Brazil and Africa Berkeley: University of California Press, 1965. Rodrigues, Jose Honorio. The Brazilians, Their Character and Aspirations. Austin: University of Texas Press, 1967. Rodriguez, Luis J. God Bless the Devil, the Key to the Liberation of Psychiatry New York: Boolonan Associates, Inc., 1961. Rogler, L. H. and L. B. Hollingshead. "The Puerto Rican Spiritualist as a Psychiatrist." American Journal of Sociology Vol. 67, no. 1 (July, 1961). Santos, Isidoro Duarte. Espiritismo no Brasil ( Ecos de uma Viagem ) Rio de Janeiro: J. Ozon Editor, 1961. Saunders, John V. D. Differential Fertility in Brazil Gainesville: University of Florida Press, 1958. Schiller, F. C. S. "Spiritism," in James Hastings, ed. Encyclopedia of Religion and Ethics New York: Harper's, Vol. XI, 1955. Setubal, Paulo. Confiteor 9th ed. Sao Paulo: Editora Saraiva, 1958.

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228 Smith, T. Lynn. Agrarian Reform in Latin America New York: Alfred A. Knopf, Inc., 1965. Smith, T. Lynn. Brazil; People and Institutions 3rd ed. Baton Rouge: Louisiana State University Press, 1963. Smith, T. Lynn. The Process of Rural Development in Latin America Gainesville: University of Florida Press, 1967. Smith, T. Lynn. The Sociology of Rural Life 3rd ed. New York: Harper and Brothers, 1953. Smith, T. Lynn. "Some Notes on the Life and Work of A. P. Figueiredo," West Georgia College Studies in the Social Sciences Vol. VI, no. 1 (June, 1967), pp. 119-126. Smith, W. Robertson. The Religion of the Semites 3rd ed. New York: Macmillan Co., 1927. Soderblom, Nathan. "Holiness," in James Hastings, ed. Encyclopedi a of of Religion and Ethics Vol. VI. New York: Harper's, 1955'i Sorokin, P. A. Contemporary Sociological Theories New York: Harper and Row, 1928. Sorokin, P. A. Social Mobility New York: Harper's, 1927. Talmon, Yonina. "Pursuit of the Millenium: The Relation Between Religions and Social Change," Archives Europeenes de Sociologie Vol. 3, no. 1 (1962), pp. 125-148. Tannenbaum, Frank. Slave and Citizen: The Negro in the Americas New York: Alfred A. Knopf, 1946. Tillich, Paul. Theology of Culture New York: Oxford University Press, 1964. Timponi, Miguel. A Psicografia Perante os Tribunals Rio de Janeiro: FederajSo Espirita Brasileira, 1945. Toledo, Jethro Vaz de. Espiritismo em Face da Ciencia de Nossos Dias Sao Paulo: Edicel Ltda. 1966. Toledo, Wenefredo de. Passes e Curas Espirituai s. Sao Paulo: Edit3ra Pensamento, 1958. Valente, Aurelio. Sessoes Praticas e Doutrinarias do Espiritismo Rio de Janeiro: FederagSo Espirita Brasileira, n.d. Valle, Sergio. Mist^rios e Realidades deste e do Outro Mundo ( Materia lismo vs. Espiritualismo ) Sao Paulo: Livraria Allan Kardec EditSra, 1959.

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229 Wach, Joachim. The Comparative Study of Religions New York: Columbia University Press, 1961. Wach, Joachim. Sociology of Religion Chicago: University of Chicago Press, 1944. Wallace, Anthony F. C. Religion: an Anthropological View New York: Random House, 1966. Wantuil, Zeus de. As Mesas Girantes e o Espiritismo Rio de Janeiro: Federac;:ao Espirita Brasileira, 1958. Warren, Donald, Jr. "Portuguese Roots of Brazilian Spiritism," LusoBrazilian Review Vol. 5, no 2 (December, 1968), pp. 3-33. Warren, Donald, Jr. "Spiritism in Brazil," J ournal of Inter-American Studies Vol. 10, no. 3 (July, 1968), pp. 392-405. Weber, Max. The Sociology of Religion Trans. Ephraim Fischoff. Boston: Beacon Press, 1967. Webster's New Collegiate Dictionary 7th ed. Springfield: G. C. Merriam and Co. Willems, Emilio. "Brazil," in Arnold M. Rose. Institutions in Ad vanced Societies Minneapolis : University of Minnesota Press, 1958. Willems, Emilio. "A Estrutura da Famxlia Brasileira," Sociologia Vol. 16, no. 3 (Outubro de 1954), pp. 327-340. Willems, Emilio. Followers of the New Faith Nashville: Vanderbilt University Press, 1967. Wirth, Louis. "Urbanism as a Way of Life," American Journal of Sociology Vol. 44, no. 1 (July, 1938), pp. 1-25. Xavier, Francisco Candido. Brasil: Coraggo do Mundo e Patria do Evangelho 6th ed. Rio de Janeiro: Federagao Espirita Brasileira, 1957. Xavier, Francisco Candido. Nos Dominios da Mediunidade Rio de Janeiro: Federagao Espirita Brasileira, 1954.

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BIOGRAPHICAL SKETCH Jarrett Parke Renshaw was bom in Memphis. Tennessee, January 27. 1923. to Anderson N. and Grace P. Renshaw. He was graduated from the Wh.itehaven High School in 1939. and from Emory University in 1943, with the B.A. in Romance Languages. After several years as a Boy Scout Executive, he entered the ministr>of the Methodist Church. He received the degree now known as Master of Divinity from Emory University in 1949. and. after two years as a pastor in South Georgia and a brief period of special training, went with his family as missionaries to Brazil. He served in that country as a pastor, opening new fields of work in MaringS. Parani and Campo Grande. Mato Grosso and surrounding rural areas. In 1961. he was appointed director of the Escola de Portugues e OrientafSo. a school for new missionaries in Campinas, near the city of Sao Paulo; he held this post with a year's break for a furlough until his coming to the University of Florida in 1966. Here he resumed the doctoral studies begun at Emory in 1962-63, serving as an assistant in the Center for Latin American Studies and as an NDEA and Graduate Fellow. In 1946, he was married to Eunice Whiting, of Camilla, Georgia; they have four children: Kathleen, Jarrett, Suzannah, and Clay. 230

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This thesis was prepared under the direction of the chairman of the candidate's supervisory committee and has been approved by all members of that committee. It was submitted to the Dean of the College of Arts and Sciences and to the Graduate Council, and was approved as partial fulfillment of the requirements for the degree of Doctor of Philosophy. August, 1969 Dean, Graduate School Supervisory Committee: Chairman ~A^ ^y>r>^ t2^--^/ K^C^A'~*f /J. jrr.l/t ~ /(Z^ /t//,^^^^ //L^^rt^^

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PAGE 1

THE EFFECTIVENESS OF A BRIEF COMMUNICATIONS SKILLS PROGRAM INVOLVING FACILITATIVE RESPONDING AND SELF-DISCLOSURE TRAINING FOR STUDENT VOLUNTEERS IN COLLEGE RESIDENCE HALLS By J.AQUh'LyN LISS RESNICK A DISSERTATION PRESENTED TO THE GPJ^.DUATE COUNCIL OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY UNIVERSITY OF FLORIDA 1972

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Copyright by Jaquelyn Liss Resnick 1972

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To my parents It takes two to speak the truth — one to speak, and another to hear. Henry David Thoreau

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AC KNOWLEDGMENTS I would like to express my deep appreciation to the following people: . Joe Wittmer, who in taking over the chairmanship of this dissertation, has been so available and supportive, and in general very helpful. . Jim Lister, for his expert editorial assistance. , Sid Jourard, for teaching me about research and human potential, and for offering his friendship. ... Ted Landsman, who has served as chairman, guide and friend through most of my graduate career. Art Combs, for introducing me to a humanistic view of psychology. . Harry Grater and the staff at the University Counseling Center, for their warm support and encouragement, for offering me their trust, and helping me to grow. ... Paul Schauble, who shared in developing and carrying out the training program, and was a special friend. iv

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Bill Ware, who generously served as statistical consultant. Nancy Weber and members of Broward and Rawlings Residence Halls for their cooperation and enthusiasm. To the many students who participated in this study. Lindwood Small and Cindy Dewey for serving most ably as judges. Nancy McDavid for typing the manuscript. My son, Aaron, who has brought me so much joy. My husband, Michael, for being all he has been to me,

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TABLE OF CONTENTS Page ACKNOWLEDGMENTS iv LIST OF TABLES ix LIST OF APPENDICES xi ABSTRACT xii CHAPTER I INTRODUCTION 1 Introduction 1 Statement of the Problem 3 Purpose 5 Model of Communication 5 Hypotheses 7 II REVIEW OF THE LITERATURE 8 The Use of Lay Helpers: Paraprofessionals 8 Peer counseling 11 The Conditions Characterizing Facilitative Interpersonal Relationships . 12 Self Disclosure 17 Non-verbal communication 23 Training Programs 24 Systematic, integrated training programs 24 Videotape and interpersonal process recall 27 Microcounseling 29 Summary 31 Implications for a Training Program. 33 VI

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40 42 TABLE OF CONTENTS (CONTINUED) CHAPTER Pa^e III DESIGN AND METHODOLOGY 3 5 Design 35 Sample 37 Experimental subjects 37 Standard clients 37 Trainers. 38 Description of Experimental Procedure 39 Experimental Treatment Programs. . Instruments The Helpee Self-Exploration in Interpersonal Processes Scale ... 43 The Gross Ratings of Facilitative Interpersonal Functioning Scale . 43 Rating Process Scales 46 Segment size and location 46 Validity of independent judges' ratings 47 Selection and training of judges. 48 Analysis of the Data 49 Null Hypotheses 49 IV ANALYSIS OF THE DATA 50 Rater Reliability 50 Evaluation of the Experimental Treatment Program 52 Discussion 59 Trainees' Subjective Evaluation. ... 60 Relationship Between Facilitative Responding and Self-Disclosure .... 62 Siommary ^^ V SUMMARY AND IMPLICATIONS ." . 68 Summary ^^ Implications 71 Limitations 71 The Training Program 71 Selection of trainees 71 Length of the training program. . 72 Instruments 73 The Relationship Between Facilitative Responding and Helpee-Disclosure ... 74 Conclusions 75 vii

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TABLE OF CONTENTS (CONTINUED) Page APPENDICES 76 REFEREKCES 102 BIOGRZ\PKICAL SI^TCH 113 Vlll

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LIST OF TABLES TABLE Page 4.1 ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE GROSS RATINGS OF INTERPERSONAL FUNCTIONING SCALE (HELPERS) 51 4.2 ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE HELPEE SELF-EXPLORATION IN INTERPERSONAL PROCESSES SCALE (HELPEES). ... 53 4.3 ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE HELPEE SELF-EXPLORATION IN INTERPERSONAL PROCESSES SCALE (HELPERS). ... 54 4.4 MEANS AND STANDARD DEVIATIONS OF PRE TREATMENT, POST-TREATMENT, AND DIFFERENCE SCORES OF FACILITATIVE RESPONDING .... 55 4.5 TWO-WAY ANALYSIS OF VARIANCE WITH REPEATED MEASURES: FACILITATIVE RESPONDING. ... 55 4.6 MEANS AND STANDARD DEVIATIONS OF PRETREATMENT, POST -TREATMENT, AND DIFFERENCE SCORES OF HELPEE -DISCLOSURE 56 4.7 TWO-WAY ANALYSIS OF VARIANCE WITH REPEATED MEASURES: HELPEE -DISCLOSURE 56 4.8 MEANS AND STANDARD DEVIATIONS OF PRETREATMENT, POST TREATMENT, AND DIFFERENCE SCORES OF SELF-DISCLOSURE 57 4.9 TWO-WAY ANALYSIS OF VARIANCE WITH REPEATED MEASURES: SELF-DISCLOSURE 57 4.10 ONE-WAY ANALYSIS OF VARIANCE WITH REPEATED MEASURES: FACILITATIVE RESPONDING, GROUP I 61 ix

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LIST OF TABLES (CONTINUED) TABLE Page 4.11 PEARSON PRODUCT-MOMENT CORRELATION COEFFICIENTS FOR RATINGS OF FACILITATIVE RESPONDING AND HELPEE-DISCLOSURE 64 4.12 PEARSON PRODUCT -MOMENT CORRELATION COEFFICIENTS FOR RATINGS OF FACILITATIVE RESPONDING AND HELPEE-DISCLOSURE WITH RESPECT TO HIGH AND LOW DISCLOSURE. ... 65

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LIST OF APPENDICES APPENDIX A HELPEE SELF-EXPLORATION IN INTERPERSONAL PROCESSES SCALE • I Empathic Understanding in Interpersonal Processes Owning of Feelings in Interpersonal Processes J RAW DATA Page 77 B GROSS RATINGS OF FACILITATIVE INTERPERSONAL FUNCTIONING SCALE 79 C HOMEWORK ASSIGNMENT FOR GROUP I, SESSION 1 ^ 86 88 D HOMEWORK ASSIGNMENT FOR GROUP I, SESSION 2 E HOMEWORK ASSIGNMENT FOR GROUP II, SESSION 1 F HOMEWORK ASSIGNI^ENT FOR GROUP II, SESSION 2 ^2 G INSTRUCTIONS TO HELPEES AND HELPERS ... 93 H PROCESS RATING SCALES FOR TRAINING 95 97 LETTER OF NOTIFICATION FOR TRAINEES ... 98 Facilitative Responding 99 Helpee-Disclosure 100 Self-Disclosure ^01 X 1

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Abstract of Dissertation Presented to the Graduate Council of the University of Florida in Partial Fulfillnent of the Requirements for the Degree of Doctor of Philosophy THE EFFECTIVENESS OF A BRIEF COMMUNICATIONS SKILLS PROGRAM INVOLVING FACILITATI\^ RESPONDING AND SELF-DISCLOSURE TRAINING FOR STUDENT VOLUNTEERS IN COLLEGE RESIDENCE HALLS By Jaquelyn Liss Resnick Chairman: Joe Wittmer Major Department: Counselor Education The purpose of this study was to develop and investigate the effects of a brief communication skills program on the interpersonal effectiveness of participants in the Student Volunteer program at the University of Florida. Student Volunteers are selected undergraduate students who enroll in a credited course related to student development in the university setting, and who are expected to serve as general peer counselors to fellow students in the residence halls. Research has demonstrated the potential effectiveness of training paraprofessionals to facilitate their interpersonal functioning with helpees, An experimental treatment program which integrated communication skills with additional self-disclosure training (Group I) was compared with a communication skills training program alone (Group II) and a control group xii

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receiving delayed treatment follov/ing the investigation (Group III) A two-part model of communication was employed: the generator of the message, the discloser ; and the perceiver who assigns meaning to the communication, the facilitative respondent The training program combined three major trends in methodology: systematic, integrated didactic and experiential training; the use of videotape and Interpersonal Process Recall; and the microcounseling paradigm. The training was led by two experienced counselors from the University Counseling Center. The three groups were composed of 15 female members each. The dependent variables were Facilitative Responding (FR) ; Helpee-Disclosure (HD) ; and Self-Disclosure (SD) The null hypotheses were that there would be no systematic interaction effects between treatment and time of testing across groups for the three dependent variables. The Ss acted as helpers and helpees in separate 15minute analogue counseling sessions with standard partners both before and after the experimental treatment. Excerpts from these audiotape-recorded interviews were coded, randomly ordered, and submitted to trained judges for rating xixi

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The instruments used were two process rating scales: the Gross Ratings of Facilitative Interpersonal Functioning Scal e (GIF) and the Helpee Self-Exploration in Interpersonal Process Scale (DX) Measures of FR were obtained from the GIF scale; measures of HD and SD were obtained from the DX scale. The rater reliability (r) calculated between judges ranged from .91 to .98. According to the split-plot design with repeated measures, a two-way analysis of variance was performed across the three groups for each dependent variable. Significant preto post-treatment gains were found across groups for FR and SD. However, the null nypotheses were accepted since interaction effects did not reach statistical significance. It was not possible to conclude from the analysis of the data that any one treatment demonstrated greater effectiveness as a training program. It was interesting to note that for Group I, preto post-treatment gains were significant at the .05 level with respect to FR. These differences were not found for the other two groups. Subjective evaluations made by the trainees following treatment indicated that they perceived the training as a valuable experience. This was not confirmed by the objective ratings, where the average base level xiv

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of functioning was found to be significantly less than minimally facilitative The relationship between FR and HD was re-examined in terms of helpee-characteristics Pearson product-moment correlations between FR and HD were calculated for pretreatment, post-treatment, and combined data. The relationship between FR and HD was found to be statistically significant for low disclosers, as expected. For high disclosers, however, the correlations between FR and HD did not reach significance, suggesting that the depth of selfexploration of high disclosers is independent of the level of facilitative conditions offered. The implications of these findings were discussed with respect to the training program and the theoretical and methodological issues regarding the complex relationship between FR and HD. Limitations of the current program were noted and directions for further research were indicated. XV

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CHAPTER I INTRODUCTION Introduction The present shortage of professional mental health workers has given a new impetus to investigations focusing on what appears to be the active therapeutic ingredients of the counselor-client interaction (Poser, 1966) Rogers (1957) has described several non-academic dimensions as characteristic of the effective helping relationship. This view that central interpersonal skills, rather than a particular theoretical orientation or special knov/ledge, are the critical dimensions has received considerable experimental support (Carkhuff & Berenson, 1967; Truax & Carkhuff, 1967). These findings also suggest that effective counseling can be carried out by personnel without professional training. Reviews of several research projects (Carkhuff, 1969a, 1969b; Carkhuff & Berenson, 1967; Rogers, Gendlin, Kiesler, & Truax, 1967; Truax & Carkhuff, 1967) demonstrate that systematic training of lay personnel results in their attaining minimally facilitative levels of interpersonal functioning — in some cases at levels significantly higher than professional trainees and practitioners. Studies describing the spontaneous

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improvement of client control groups (no treatment) in psychotherapy research also lend credence to the idea that people other than professionals offer helping conditions which promote positive change (Bergin, 1966). Landsman (19G6) and his associates (Fuerst, 1965; McKenzie, 1967) in their studies of positive human experience and healthy personality, found that it is the human relationship which is the primary source for both positive and negative experiences. Furthermore, a negative experience that is shared with another person who is seen as a helper increases the probability that the experience will be seen later as having had beneficial effects on the individual (McKenzie, 1967) The availability of a helper (not necessarily a professional ) at the time of crisis was more frequently mentioned by persons describing negative-positive experiences, differentiating them from those describing negative-negative experiences Carkhuff and Truax (1966) have proposed a developmental model based on the degree of therapeutic conditions found in human relationships: While the evolution of the severely disturbed might include a series of failing relationships, less severely disturbed or moderately distressed may be seen as consequents of some relationships that have been f acilitiative and some which have been retarding . while the healthy case results from a succession of essentially successful relationships [p. 727]. Thus, facilitative human interaction has the potential for providing positive intervention during crisis periods, and daily supportive and growth-producing contacts.

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statement of the Problem Facilitative human interaction programs for positive intervention are especially appropriate at the university setting. Beginning students arriving on campus are confronted with immensely complex tasks — meeting a new set of academic standards, social codes, and other environmental demands--typically without any close familial and familiar support (Yamamoto, 1970). In this process, students are expected to pursue their long-range goals, while retaining their self-confidence and learning effective coping strategies. It is generally agreed that student peer groups play a key role in determining the course of events in college experiences. Facing common tasks of adjustnient and mastery, students develop certain shared patterns of beliefs, values, symbols, and actions. Such student cultures serve to facilitate both the process of accommodation and assimilation (Yamamoto, 1970) Universities have begun to respond to these personalsocial needs of their students by developing programs, often in conjunction with students' living arrangements, which recognize the many difficult tasks confronting incoming students and attempt to foster personal adjustment and growth. The aim of such programs is to maximize the therapeutic effect of the natural agents of the university, such as the peer group, and to create a more efficient network of referrals (Wolff, 1969). Describing the traditional reactive.

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curative role in counseling, v;here the few are reached through one-to-02ie counseling or small groups, Aspy (1970) notes : For too long we have limited ourselves to "saving" the victims (of society); now it's time to initiate training prograr.s to "prevent" them [p. 118]. The Student Volunteer Program at the University of Florida was proposed in order to enhance student life and the quality of human relationships among students in their residence halls. Tjie Student Volunteers (SV's) are selected male and female undergraduate students who participate in the program for an academic year and who are expected to enroll in a three-credit course related to student development in the university setting. The SV's serve essentially as "super good neighbors and companions" concerned about the welfare of their peers, who can give, share, and communicate their concern to others; provide a personal sense of stability for the living group experience and help others develop their own feelings of security and identity; offer leadership; and help students get acquainted with different aspects of the university, such as courses, activities and programs, and helping services (Mable, 1970). z\i' Student Volunteers differ from counselors both in the nature and duration of their contacts, and in their responsibility for the students. Clearly, however, they are expected to be able to establish facilitative interpersonal relationships with their fellow students. The need for a practical training program, involving the acquisition

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and refinement of interpersonal skills geared to the goals of the University of Florida Student Volunteer Program, became apparent. Since the communicative process is a (if not the) basic ingredient in all human relationships (Goyer, 1970), a training program in communication skills is most appropriate. Sullivan (1953) has stressed the importance of the verbal and non-verbal communication by which interpersonal relationships develop and regards these relationships as having the greatest significance for an individual's behavior. Purpose The purpose of this study was to develop and investigate the effects of a brief communication skills program on the interpersonal effectiveness of Student Volunteers. A treatment program which integrated communication skills with additional self-disclosure training was compared with a communication skills program alone and with a control group receiving delayed treatment following the investigation. Model of Communication Communication is a "process by which meanings are exchanged between individuals through a common set of systems (Webster's Dictionary, 1969)." Watzlawick, Beavin, and Jackson (1967) describe an item of communication not as a single entity, such as a response, but rather as a part of feedback loops (overlapping in a stimulus-responsereinforcement sequence) An item of communication by person

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A, for example, is a response and reinforcer to B s last statement, as well as a stimulus to his next one (Loeffler, 1970). This mutuality of effect has been noted in the counseling interview by Kell and Mueller (1966). Goyer (1970) has described a model of communication involving a sequence of events: (1) a generator of a (2) stimulus which is (3) projected to a (4) perceiver who (5) responds discriminatively Thus, the two main components of communication emerge: 1. The generator— the transmitter of the message, the Discloser and 2. The perceiver who assigns meaning to the communication, the Facilitative R espondent If the reception is accurate, communication has taken place; if not, it remains only a message sent. The training program developed for teaching effective communication skills to the SVs was founded on this two-part model of communication. The SV s were taught both the discrimination and communication of facilitative responding. in addition, one group of SVs received specific self-disclosure training, with the focus on a process conception of selfdisclosure, as well as the process of helpful responding. Several distinct but interrelating trends in the literature were integrated to form the basis of the treatment program: the use of lay helpers; the conditions characterizing facilitative Interpersonal relationships; the self -disclosure

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process, including verbal and non-verbal communication; and systematic training programs and current training methodology. These concepts and related research findings are presented in the review of the literature in Chapter II. Hypotheses The hypotheses are stated in research form, as follows: H, : The group receiving communication skills training with additional self-disclosure training will increase their levels of Facilitative Responding more than will a group receiving communication skills alone; both groups will increase their levels of responding more than a control group receiving no treatment. H-: The group receiving communication skills training with additional self-disclosure training will elicit higher levels of Helpee-Disclosure than will a group receiving communication skills alone; both groups will elicit higher levels of disclosure than a control group receiving no treatment. H^: The group receiving communication skills training with additional self-disclosure training will increase their levels of Self -Pis closure more than will a group receiving communication skills alone; both groups will increase their levels of disclosure more than a control group receiving no treatment.

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CHAPTER II REVIEW OF THE LITERATURE The Use of Lay Helpers; Paraprof essionals The greatly increased demand for personnel to provide counseling and psychological services has resulted in the development of a new group of positions in the helping professions, referred to as paraprof essionals lay helpers, or support personnel. The responsibilities of these workers vary considerably, converging mainly around two points of view. One school of thought has been concerned with the lowering of professional standards, and recommends the use of support personnel only as aides to professional workers, freeing the latter from clerical and more menial duties (Gust, 1968; Patterson, 1965; Salim & Vogan, 1968). The American Personnel and Guidance Association statement of policy (APGA Professional Preparation and Standards Committee, 1967) regarding the roles of support personnel differentiates the activities of lay helpers from the work of the counselor in several basic respects, with support personnel having only restricted functions, and those under the direction of a counselor.

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Another group has emphasized the direct counseling contributions of paraprof essionals with considerable interest in their selection, training, and effectiveness, (Carkhuff, 1968; Magoon & Golann, 1966; Poser, 1966; Reiff, 1966; Rioch, 1966) Studies reporting the use of lay helpers in this manner include both male and female helpers, with diverse educational backgrounds ranging from college graduates to hospital attendants with minimal schooling. Training programs vary in length, with some as brief as 10 or 12 hours. Extensive reviews of the literature assessing the effects of such programs in terms of process and outcome variables related to indexes of constructive client outcome (Carkhuff, 1968; Carkhuff & Berenson, 1967; Truax & Carkhuff, 1967) have yielded the follov/ing conclusions: 1. Lay persons can be trained to function at minimally facilitative levels of conditions related to constructive client change over relatively short periods of time. 2. Comparative studies indicate that following training, on both identical and converted indexes, lay trainees function at levels essentially as high or higher and engage clients in counseling process movement at levels as high or higher than professional trainees. 3. Selected lay persons can effect significant constructive changes in clients whom they see. 4. Selected lay persons with or without training and/or supervision can effect client change on indexes assessed as great or greater than clients of professional trainees and practitioners. (Carkhuff, 1969a) Truax and Lister (1970) compared the effectiveness of untrained counselor aides and professionals (rehabilitation

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10 counselors) under three case management conditions: counselor alone; counselor assisted by counselor aide; counselor aide alone. The findings revealed the greatest client improvement occurring when counselor aides handled the cases alone, and the least client improvement when counselors were assisted by counselor aides, supporting the position of directly involving paraprof essionals in the helping process. Paraprofessionals have also served as helpers outside of the counseling relationship. Selected black parents were trained as "human relations specialists" assigned to integrated schools (Carkhuff & Banks, 1970; Carkhuff & Griffin, 1970) Assessments of their effectiveness showed them to be functioning above minimally facilitative levels by independent judges, students and staff. Carkhuff and Griffin (1971), v/orking with indigenous lay personnel of a Head Start program, gave advanced training to those trainees demonstrating the highest levels of communication skills, and effectively taught them to become trainers themselves. In the university setting, Wolff (1969) evaluated the effect of group discussions held in the residence halls on the interpersonal relations of college students. The groups were led by undergraduate dormitory advisors and psychology graduate students, with consultation by the mental health service. The groups met for 10 sessions. The criterion measures of interpersonal behavior used encompassed many aspects of campus life, with special interest on

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11 sociometric measures of interpersonal relationships with peers living in the dormitories. The findings suggest that group experiences can favorably affect the interpersonal relationships of freshman students. Participants were perceived more favorably and less unfavorably after the sessions both by other group members and non-participants living in their residence areas. Peer counseling A particular use of paraprof essionals is that of "peer counselors." The lay helper is selected from the peer group of the helpee population. Peer groups have been employed to influence school achievement, where students v/ho already demonstrate the desired behaviors can provide leadership and role models for the positive development of other students (Brov;n, 1965; Mezzano, 1968; Vriend, 1969 ; Wittmer, 1969) They have also been used in counseling practicum supervision to supplement the supervisor's role and facilitate the supervisory process (Fraleigh & Buchheiraer, 1969) Zunker and Bro\7n (1966) compared the effectiveness of carefully trained student counselors with that of professional counselors in providing academic guidance to beginning freshmen. A 50 hour training program was given to four professionals and eight student counselors. The 160 advisees were carefully matched for each group. The evaluation criteria were a preand post-treatment study test, a 60item questionnaire, and grade-point average. The results

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12 indicated that student counselors v/erc as effective as professional counselors on all criteria; in fact, student counselors achieved significantly better results on most outcome variables. It vas inferred that the peer counselors were better accepted by the freshmen than the professional counselors, which led to more effective interactions. The Conditions Character izing Facilitative Interpersonal Relationships "Helping" can be viewed as any relationship between a "more knowing" person (helper), whether a counselor, supervisor, teacher or parent, and a "less knowing" person (helpee), a client, trainee, student, or child (Carkhuff, 1971). There is an extensive body of evidence suggesting that interactions between "more knowing" and "less knowing" persons may have facilitative or retarding effects upon the "less knowing" (Carkhuff, 1969a, 1969b; Carkhuff & Berenson, 1967; Truax & Carkhuff, 1967). To a large degree, the facilitative or retarding effects can be accounted for by a core of dimensions which are shared by all interactive human processes, independent of theoretical orientation (Carkhuff, 1966; Rogers, 1962; Truax, 1963; Truax & Carkhuff, 1967). Fiedler's (1951) study revealing greater similarities among expert therapists of different orientations than between experts and non-experts within a given orientation lends support to this view. The experts were characterized as sharing a capacity for understanding and effective communication to a higher degree than non-experts.

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13 Rogers (1957) conceptualized the helping relationship as a heightening of the constructive qualities which often exist in part in other relationships. lie outlined six conditions which he considered necessary and sufficient for constructive personality change: 1. Two persons are in psychological contact. 2. The first person (client) is in a state of incongruence, being vulnerable or anxious. 3. The second person (therapist) is congruent or integrated in the relationship. 4. The therapist experiences unconditional positive regard for the client. 5. The therapist experiences an empathic understanding of the client's internal frame of reference and endeavors to communicate this experience to the client. 6. The communication to the client of the therapist's empathic understanding and unconditional positive regard is to a minimal degree achieved. (Rogers, 1957, p. 96) Condition 1 is either present or not; the other conditions are on a continuum — the greater the degree to which they are present, the more marked will be the constructive personality change in the client. Rogers (1957) defines the three main therapeutic dimensions as follows: Genuineness : the therapist should be, within the confines of the relationship, a congruent, genuine, integrated person; he is freely and deeply himself, with his actual experience accurately represented by his awareness of himself [p. 97].

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14 Unconditional Positive Regard ; the therapist warmly accepts each aspect of the client's experience as being a part of the client; there are no conditions of acceptance. Unconditional positive regard exists as a matter of degree in any relationship [p. 98]. Em pathy : the therapist experiences an accurate, einpathic understanding of the client's awareness of his own experience [p. 99]. Barrett-Lennard (1962) developed the Relationship Inventory derived from Rogers' postulations to measure certain qualities in the therapist's response to the client. Both the therapist and client answer the questionnaire which measures the therapist's level of regard for the client, the degree to which the regard is unconditional or unqualified, the therapist's empathic understanding, his congruence or genuineness, and his willingness to be known by the client. Process rating scales operationally defining empathy, positive regard, and genuineness have also been developed. Early scales constructed by Truax (1963) with ranges up to nine points, have been revised and widely used in the form described by Carkhuff and Berenson (1967) All the scales are five-point, with Level 3 defined as the minimally facilitative level of interpersonal functioning. For example, on the Empathic Understanding Scale at Level 3 the verbal and behavioral expressions of the first person (helper) are interchangeable with those of the second person (helpee) expressing essentially the same affect and meaning. Below Level 3, the responses of the helper

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15 detract from those of the help.-:e; above Level 3, they add noticeably to the helpee, expressing feelincjs at deeper levels than the helpee himself was able to express. Empathy (E) Unconditional Positive Regard redefined as Positive Regard or Respect (R),and Genuineness (G) have been termed the"f acilitative dinensions," the "therapeutic core," or the "core conditions" of the helping relationship. Although the sufficiency of these conditions has been questioned, their relationship to constructive helpee change or gain on a variety of process and outcome measures has been empirically established (Barrett-Lennard, 1962; Bergin, 1966; Carkhuff, 19C9a, 1969b; Carkhuff & Berenson, 1967; Kiesler, 1966; Rogers, 1962; Rogers et al., 1967; Truax, 1963; Truax & Carkhuff, 15 67; Truax, Wittmer, & Wargo, 1971) These findings hold for both individual and group contacts, in a wide range of settings, v/ith both lay and professional helpers. The criteria for assessing the degree of constructive change include personality tests such as the MMPI change scores; projective tests analyzed "blind" by clincicians; changes in Q-sort adjustment scores; changes in measures of anxiety; therapists' and judges' ratings of changes in personality and adjustment. High levels of helper-offered E,R, and G are related to helpee improvement; low levels are related to helpee deterioration.

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16 Vitalo (1970) demonstrated the efficacy of the facilitative dimensions for the implementation of a systematic conditioning program. The level of the experimenters' functioning with respect to E R, and G were found to be significant variables in the conditioning process, observable in the differential learning slopes of the trainees. These findings lend support to the theory that at the center of all helpful interpersonal learning experiences is a primary core of facilitative, interpersonal dimensions (Carkhuff, 1966; Rogers, 1962). Carkhuff and Truax (1966) present a reversible model for all interpersonal processes based on the presence or absence of the core dimensions. The model can be used to predict gain (when high levels of the core conditions are offered) as well as negative movement or deterioration (when low levels of the conditions exist) The "core" conditions have since been modified and the equation for helping effectiveness expanded (Carkhuff, 1971) In the highly interactional communication process, the helper not only responds to the helpee, but also initiates communication and action. The dimensions of helper Concreteness or Specificity of Expression (Truax & Carkhuff, 1967), Self-Disclosure (Carkhuff & Berenson, 1967; Jourard, 1964), and Confrontation and Immediacy (Carkhuff, 1969a) have been added as effective ingredients in helpee change.

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17 The expanded model of helping incorporates counselor (helper) -responsive and counselor (helper) -initiated dimensions, taking into account the more action-oriented dimensions in which the helper acts upon his own personal experience of what is going on within and between the helper and helpee (Carkhuff & Berenson, 1969) The responsive dimensions (E, R, G, and Concreteness) and the actionoriented dimensions (G, Self-Disclosure, Immediacy, and Confrontation) are conceptualized as the feminine and masculine components, respectively, of the helper. Carkhuff and Berenson (1969) have also pointed to the need for both the masculine and feminine response potentials to be integrated in the fully-functioning counselor. Research findings support the significance of these dimensions as important variables in effective interpersonal processes (Anderson, 1968; Berenson, Mitchell, & Laney, 1968; Berenson, Mitchell, & Moravec 1968; Carkhuff, 1969a, 1969b; 1969c; Carkhuff & Berenson, 1967). Furthermore, those helpers who offer the highest levels of facilitative responding conditions also offer the highest levels of action-oriented dimensions (Carkhuff & Berenson, 1969) Self -Disclosure Self-disclosure refers to the process of making the self known to other persons, and coming to know one's real self as a consequence of engaging in this process (Jourard, 1958)

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The investigation of self-disclosure by vTourard and his associates (Jourard, 1959, 1964, 1968, 1969) indicates that it is a function of several variables, such as the discloser's age, sex, marital status, religion, raca, nationality, and personality characteristics; the nature of the information to be disclosed, and characteristics of the target-person to whom disclosure is made. Much of the research employed the self-report rating scale developed by Jourard and Lasakow (1958) or questionnaires derived from it. The original instrument consists of six 10-statement categories of "aspects of self". For the 60 itemrj, the subject reports his disclosure in differing degrees to four target-persons: mother, father, same-sex friend, and opposite-sex friend or spouse. A departure from this research in self-disclosure is studies reflecting a process conception of communication, which consider classes of data in addition to the content and frequency of disclosure (Epting, Suchman, & Barker, 1969). Variables contributing to the person's style of communication and paralinguistic characteristics of verbal productions are treated as additional sources of data. The concept of self-disclosure as an on-going communication process has been variously termed "experiencing" (Gendlin & Tomlinson, 1961), "revealingness" (Suchman, 1965), and "self-exploration" (Truax & Carkhuff, 1967), with respective rating scales developed to operationalize the process. These scales

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19 were in part derived from the Process Scale (Rogers, Walker, & Rablen, 1960) which essentially measures the degree of self -exploration, rigidity of concepts, and degree of immediate experiencing. The Helpee Self-Exploration in Interpersonal Process Scale (Carkhuff & Berenson, 1967) frequently used in research is a five-point scale. Self-exploration in interpersonal process is defined at Level 3 by the voluntary introduction by the helpee of personally relevant material, although he may do so in a mechanical manner without the demonstration of emotional involvement. Below Level 3, the helpee either does not voluntarily introduce personally relevant material or responds only to the introduction of personally relevant material by the helper. Above the 3, there is a voluntary introduction of personally relevant material by the helpee with increasing emotional proximity. A powerful determiner of self-disclosure is the willingness of the target-person to disclose himself to the indi, vidual to the same extent that he expects the individual to reveal his experience. This input-output correlation of revealingness has been termed the "dyadic-effect" (Jourard, 1959) It asserts the principle that "Disclosure begets disclosure" (Jourard, 1964) with disclosure serving both as reinforcer and model. The dyadic-effect has been demonstrated in questionnaire research (Jourard & Lasakow, 1958; Jourard &

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20 Landsman, 19 60; Jourard & Richman, 196 3) and in interview research (Drag, 1968; Jourard, 1968; Jourard & Jaffee, 1970; Jourard & Resnick, 1970; Matarazzo, Wiens, & Saslow, 1965). Heller, Davis, and Myers (1966) found not only that greater interviewer activity produced higher proportions of subject verbalization, but also that interviewer silence was the most verbally inhibiting, producing the least interviewee talk time. Similar trends have been found in small groups. Himelstein and Kimbrough (1963) in a study of self-introductions in a classroom situation, observed that the order in which the speaker appears in relation to the other speakers is significantly related to the amount of material disclosed. Chittick and Himelstein (1967) have examined the effects upon the amount of information self-disclosed by individuals as a function of the self-disclosing behavior of confederates. They found that naive subjects conform to standards of disclosing behavior presented by confederates in a small group. The Ss revealed more about themselves when others were revealing more, and conversely, revealed less when others did. There are some conditions under which an individual will disclose in a more unilateral manner. The presence of helperoffered therapeutic conditions facilitates the self-disclosing behavior of the helpee. Therapists and other helpers offering high levels of E, R, G (and in some cases accompanied by

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21 concreteness immediacy, and confrontation) elicit greater depth of self-exploration in helpees as measured by process rating scales than do those offering low conditions (Anderson, 1968; Berenson, Mitchell, & Moravec, 1968; Carkhuff 1969a, 1969b; Carkhuff & Berenson, 1967; Hountras & Anderson, 1969; Leitner, 1969; Truax & Carkhuff, 1967). The generality of the findings relating the core conditions to depth of self-exploration has been investigated by Shapiro, Krauss, and Truax (1969) They studied the relationship in formally non-therapeutic encounters between levels of perceived E, R, and G received from significant others and the amount and type of disclosure given. The Ss (30 undergraduate students, 39 male police applicants, and 2 day hospital patients) rated the levels of conditions they perceived themselves receiving from their parents and two closest friends on a modified Barrett-Lennard inventory. The Ss reported their own disclosures of both positive and negative affect to these target-persons with respect to a 12,item scale. The findings reveal that Ss disclosed themselves more deeply to those persons offering the highest perceived levels of facilitative conditons. Several studies (Cannon & Pierce, 1968; Holder, Carkhuff, & Berenson, 1967; Piaget, Berenson, & Carkhuff, 1967; Truax & Carkhuff, 1965) demonstrate the differential effects of manipulating helper-offered conditions of E, R, and G (and to some extent Concreteness) upon the level of self-exploration

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22 of high-and low-functioning helpees. The depth of selfexploration of low functioning helpees is a direct function of helper-offered conditions, whereas for high functioning helpees, the depth of self-exploration is independent of helper-offered conditions. In related research (Jourard & Resnick, 1970), the disclosure patterns of low-disclosers were dependent upon their partners" level of disclosure, whereas high^disclosers were independent of their partners' level. Indeed, the helpee s ability to be openly and genuinely himself in his relationship with the helper is perhaps the most important of all the activities he can engage in. This process of self-exploratory, disclosing behavior has been related to constructive helpee change or gain in numerous studies, cited by Carkhuff and Berenson (1967); Rogers (1962, 1967) ; and Truax and Carkhuff (1967) Successful cases showed significantly more self-exploration, whereas those characterized by low levels of self-exploration showed less improvement Jourard (1958) has proposed that accurate portrayal of the self to others is an identifying criterion of the healthy personality. He describes the relationship between mental health and self-disclosure as curvilinear; too much or too little disclosure is viewed as unhealthy. Self-disclosure is regarded both as a symptom of personality health and at the same time, a means of achieving healthy personality (Jourard, 1959).

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23 Non-verbal communication In the communicative process of interpersonal relationships, the variables are primarily dealt with by participants through not only verbal, but also non-verbal communicative means. Formal non-verbal variables have been found to be quite reliable and valid factors which strongly affect interview behavior (Matarazzo, Wiens & Saslow, 1965). Rosenthal, Fode, Vikan-Kline, and Persinger (1964) found that verbal conditioning is neither a necessary condition nor a necessary augmenting factor in the operation of the Experimenter outcome-bias phenomenon, underlining the significance of the mode of mediation of the phenomenon. A study by Davitz and Davitz (1961) demonstrates that relatively untrained speakers can communicate feelings reliably by content-free, non-verbal speech. Ten different feelings were expressed by reading aloud parts of the alphabet. Activity levels of feeling were linearly related to speech characteristics: loudness, pitch, timbre, and rate. The importance of nonlinguistic (vocal and visual) cues in the communication of affect is further documented by Shapiro (1966) He attempted to specify between judgments of affect in verbal and non-verbal channels. Four groups of judges observed interviews of 56 Ss in five-minute segments. The independent variables were the mode of presentation: audio-video, video, audio, verbal transcript. Analysis of correlations between the channels of communication suggests

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24 that verbal (audio and transcript) and non-verbal (video) cues were used by judges having access to audio-video. There was little overlap in information communicated from verbal and non-verbal sources. The intercorrelation between video and audio was .11, between video and transcript .02, between audio and transcript .64. The audio-video ratings correlated .38 with transcript, .54 with audio, and .64 with video, indicating the importance of nonlinguistics in the communication of affect. Training Programs Three major trends in current training methodology in the helping services will be reviev/ed: systematic, integrated training programs; the use of videotape and Interpersonal Process Recall; the microcounseling paradigm. Systematic, integrated training programs Carkhuff (1971) has developed a "Systematic Human Relations Training Model," translating the therapeutic equation into a human developmental model. A basic assumption is the helping processes and their training programs are all instances of learning. Carkhuff (1971) states: The theme of systematic human resource training is skill acquisition. The key to the model is the systematic expansion of the quantity and thus quality of an individual trainee's response repertoire in physical, emotional, and intellectual spheres of functioning [p. 4].

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25 The model has its roots in the integrated approach to training helpers conceived by Carkhuff and Truax (i955b) An attempt was made to translate research findings and theoretical views into effective practice by focusing upon experiential and didactic elements concurrently (Truax & Carkhuff, 1967). The training took place in the context of a relationship where the trainer provides high levels of facilitative conditions. The trainees were taught didactically with the process rating scales developed for research. They learned discrimination of the core conditions by rating tapes, then formulating their own responses to stimulated tape segments and role-playing, which they also rated. Finally, their interviews with clients were recorded and rated, providing immediate feedback. This training paradigm effectively employs Rogers' (1962) guidelines for training programs, which suggest emphasis upon interpersonal experience as well as intellectual, and critical assessment of the actual behavioral dynamics of the helping relationships formed. A review of several studies (Truax & Carkhuff, 1967) using the integrated didactic and experiential approach strongly indicates that trainees, both professional and paraprofessional, can be brought to a level of interpersonal skill that is:

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26 1. nearly commensurate with that of highly experienced and effective counselors; 2. significantly above that of post-practicum and post-internship trainees in counseling and psychology at major universities involved in doctoral training; 3. effective in producing significant positive changes in mildly and severely disturbed clients on a variety of outcome indexes. Comparative studies of the systematic, integrated approach to other training programs support the former as the most effective method (Berenson, Carkhuff, & Myrus 1966; Pierce & Drasgow, 1969; Truax & Carkhuff, 1967). Programs focusing upon discrimination skills alone often fail to provide their trainees with experiences necessary to effectively communicate the core conditions they successfully learned to discriminate. Research has indicated the independence of the ability to discriminate and the ability to corny municate, especially at lower levels (Carkhuff, 1969a, 1969b; Carkhuff, Collingwood & Renz 1969). These results are consistent with those evaluating graduate training programs (Carkhuff, Kratochvil, & Friel, 1968) where the traditional focus is upon discrimination training. To effect differences in communication of conditions, training must emphasize a behavioral approach which provides practice in communication. This applies to training programs on the sensitivity to nonverbal cues as well (Delaney & Heimann, 1966). There are two significant variables, in addition to the type of training program being conducted, which help determine

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27 the effectiveness of training: the level of interpersonal functioning of both the trainee and the trainer (Carkhuff 1971; Tru.ix & Carkhuff, 1967). The lower the level of functioning of the trainee, the longer the training by a high level trainer is necessary. A trainer functioning below minimally facilitative levels can influence growth only in those functioning below him, and not beyond his own level of functioning. Exceptions are if the trainee is already functioning at Level 3, and self-sustaining, or if the interaction is modified by contextual variables, such as outside help (Carkhuff, 1969c). Studios on both lay and professional trainees (Pierce, Carkhuff, & Berenson, 1967; Pierce & Schauble, 1970) indicated that trainees of high-level supervisors 'change positively and significantly on the facilitative core after training, while trainees of low-level supervisors did not change, and in fact declined slightly. Videotape and interpersonal process recall In the last decade, there has been increasing use of videotape equipment for providing audio-visual feedback beneficial to individual assessment (Markey, Fredrickson, Johnson, & Julius, 1970). Landsman and Lane (1963) have described the use of repeated visual self-confrontation in enhancing the self-concept of young school children. Changes in self-perception have been found to accompany the viewing of their videotaped interviews for both counselors-in-training (Poling, 1968; Walz &

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28 Johnston, 1963) and inpatients in a mental ward (Boyd & Sisnay, 1967; Moore, Chernell, & West, 1965). In the supervisory process, evidence indicates the use of videotape feedback enables the trainee and supervisor to pick up non-verbal cues that elicit or cause reaction from the client or counselor, cleirifying the dynamics of the communication process (Ryan, 1969; Schiff & Revich, 1964; Suess, 1966) Schauble (1970b) has noted that to the extent that the helping professions are interested in improving interpersonal processes, and to the extent that they investigate the process, the videotape recorder may prove to be the most valuable technical advance made to date. Kagan, Krathv;ohl, and Miller (1963) developed a technique in stimulated recall methodology called Interpersonal Process Recall (IPR) Videotape playback provides participants in a recently concluded dyadic encounter with maximum cues for reliving the experience. A third person, called Interrogator (or Interviewer or Recall Worker) encourages the participants to recall feelings, and interprets their behavior at significant points, calling attention to behavioral dynamics. In the helping relationship, this technique has been used successfully as a tool for accelerating client insight and change, when the counselor is actively involved in the recall process (Kagan et al., 1963; Kagan, Krathwohl et al., 1967; Resnikoff, Kagan, & Schauble, 1969; Schauble, 1970a).

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29 A variation of the interrogator role, adding the dimension of training students in consultatior. skills, has been termed "micro-counseling-consultation" (Wittmer & Lister, 1970) Interviews by pre-practicum counseling trainees are videotape recorded. Recall sessions are held with advanced counseling students, enrolled in a course on consultation procedures, who serve as recall workers. The recall session is also videotaped and monitored along with the initial counseling session to monbers of both classes in an adjacent room. This second interaction becomes the focus of further recall and discussion. The importance of the presence of another person, such as a recall worker or supervisor, has been indicated by Markey et al. (1970) in their study of the training impact of different electronic playback techniques (audiovideo, video, audio, or no playback) on the performance of student counselors. Two 20-minute counseling sessions were interrupted by the treatment. The results, showing no judged differences among the playback treatment groups, suggest that without supervision, the trainee may have missed behaviors requiring modification, thus limiting the value of feedback without supervision. Microcounseling "Microcounseling" is a video method of training counselors in basic skills within a short period of time (Ivey, Normington, Miller, Morrill, &

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30 Haase, 1968) by breaking counseling into small units and making possible immediate direct feedback to the trainee. It has been used as an effective training procedure for teaching attending behavior (listening to the helpee both verbally and non-verbally) reflection of feeling, and summarization of feeling to three groups of beginning counselors (Ivey et al. 1968) Microcounseling has also been used successfully with paraprof essionals (Haase & DiMattia, 1970). The training paradigm includes the following steps, taking approximately one to two hours: a 5-minute base line session, followed by instruction and feedback; a second 5-minute session followed by instruction and feedback; and a final 5-minute session. Instruction includes both written manual and video models, with discussion by a supervisor. Feedback is provided by critical viewing of the microcounseling interview and of role-playing, introduced after the first video replay. The training process is designed to model behavior and reinforce it once it occurs by supervision. An advantage of the technique is the interactive quality, requiring the active participation by the trainee. Ivey et al. (1968) suggest the microcounseling framework as a vehicle by v/hich the developmental skills of interpersonal functioning may be taught.

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31 Higgins, Ivey, and Uhleraann (1970) applied the microcounseling paradigm to the counseling process itself, ternii.ng it "media therapy. Couples were taught skills of directness in communication in three groups of 10 dyads each. Media therapy was compared to a group receiving programiiiad text and video models alone, with no supervisors present and no video feedback, and a group receiving only printed material. The group receiving media therapy consistently improved with respect to judges' ratings over the three trials, demonstrating it to be the most effective ineans of training for direct, mutual communication. SxHnmary Research has demonstrated the potential of training paraprofessionals in facilitation interpersonal relationships. The lay helper who is a mem)er of the helpee's peer group has been shown to have particular advantages in establishing helping relationships because of his status. More specifically, in the university setting, university students have been trained to help their peers in both academic and personal-social areas. There is evidence that all significant human encounters may have constructive or deteriorative consequences. The effective interpersonal processes share a common set of conditions that are conducive to facilitative interpersonal relationships. They are characterized by the core of

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32 therapeutic conditions (Empathy, Regard, and Genuineness), as well as action-oriented dimensions such as Self-Disclosure, iKonediaoy, Confrontation, and Concreteness of expression. These dimensions have been operationalized on process rating scales and related to indexes of positive helpee change and gain. self-disclosure is the process of making the self Known to others and coming to Know one's self as a conseguence of engaging in this process. Individuals disclose themselves through both verbal and non-verbal means; the amount of disclosure is dependent upon several factors. Selfdisclosure has been operationally defined on process rating scales and related to indexes of positive helpee change and gain. It increases as the levels of the facilitative conditions offered in a relationship increase. The most effective brief training programs for training prospective lay and professional helpers in sKills of facilitative interpersonal functioning are systematic, integrated training programs. They corvine didactic and experiential elements, focusing upon discrimination and *^„„ of facilitative conditions. A basic aspect communication ot taciiitai.j.v= of the training is the structured feedback, which is enhanced by the use of videotape equipment. "Interpersonal Process Recall" and "microcounseling" are two techniques Which have been developed to provide imxaediate, structured

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33 audio-video feedback and to provide insight into the behavioral dynamics of highly interactive relationships. Implications for a Training Program The most effective brief training program for teaching communication skills to Student Volunteers (SV's) is one which combines didactic and experiential elements in an integrated program. A structured approach which permits systematic feedback enables the trainee to learn skills most directly. Carkhuff (1969a) has stated that the best training program is one which trains on dimensions which have been related to outcome which we wish to influence. In a communication skills program, these dimensions include the two-parts of communication: Self-Pis closure and Facilitative Responding The interactive nature of communication must also be underlined; it is a process with two-way influence. The behavioral dynamics of interpersonal functioning need to be clarified for both the discloser and the facilitative responder, in order to teach effective communication skills. Most training has emphasized the facilitative responder or helper role in communication. There have been some studies which use the systematic training paradigm as treatment (Carkhuff, 1969a, 1969b, 1971; Pierce & Drasgow, 1968) where helpees are themselves directly taught facilitative responding. In a study using university

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34 counseling center clients, Pierce, Schauble, and Wilson (1971) applied systematic training in a group setting to teach helpees both helper (empathy) and five dimensions of helpee behavior. Comparisons with a traditional therapy group show both groups improving on indexes of helpee gain, with the training-treatment group accelerating helpee growth on both helper and helpee dimensions. The relationship between helpee and helper behaviors has been demonstrated in research (Holder et al., 1967; Piaget et al., 1967). There is a direct relationship between the level of facilitative conditions offered by Ss when cast as helpers and the level of self-exploration they attain as clients. Those persons functioning at higher levels of conditions also explore themselves at higher levels. Furthermore, with respect to aspects of non-verbal, emotional communication, three variables are positively and significantly related: 1. ability to identify others' expressions of feelings 2. ability to express feelings to others 3. ability to identify one's own expressions of feelings. (Davitz & Davitz, 1961) That is, discrimination, and both aspects of communication (disclosing and facilitative responding) are interrelated. The proposed program goes beyond earlier training programs by attempting to train SV's in discrimination and communication of both aspects of interpersonal relating (disclosing and facilitative responding)

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CHAPTER III DESIGN AND METHODOLOGY Design The communication skills program developed in this study goes beyond the traditional systematic, integrated training paradigm (Carkhuff, 1969a, 1969b, 1971; Truax & Carkhuff, 1967) reviewed in Chapter II. Videotape was introduced, along with microcounseling and interpersonal process recall methodology, to provide immediate feedback with respect to verbal and nonverbal communication. The stimulus value of both the discloser and the facilitative responder was explored with the goal of teaching more direct and effective communication. A treatment group teaching communication skills with additional self-disclosure training was compared to a group receiving communication skills training alone, and to a group receiving no training. The research paradigm employed a pre-post test control group design (Campbell & Stanley, 1967). The initial interviews provided measures of baseline functioning for ascertaining the degree of behavior change resulting from different treatments. A schematic representation of the design is presented in Figure 3.1. 35

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36 Communication Skills

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37 Sample Experimental subjects The 4 5 female undergraduate students selected as experimental Ss were participants in the Student Volunteer program at the University of Florida. The training program was offered to the Volunteers in two residence halls through the University Counseling Center. The Ss were randomly assigned to two treatment groups or to the delayed treatment control group. They were notified of their group assignment by letter (see Appendix I) There were 15 members in each of the three groups Standard clients Early studies of training and treatment used actual clients for post-testing results (Carkhuff & Truax, 1965a, 1965b) But the potential dangers for clients in the pre-testing interviews led to the use of standard clients or helpees. Standard helpees are often trained graduate or undergraduate students, instructed to explore problems that are meaningful for them, while the prospective helper is cast in the helping role, given the set to be as helpful as possible with the problem presented. The use of the coached client has been advocated by some researchers (Whiteley & Jakubowski, 1970). The client is asked to play a specific role consistently, over many interviews with different helpers. Sometimes he is asked to make a certain number of definitive statements or to display certain affect, regardless of its appropriateness to the counseling situation. Structuring the interview and using

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38 carefully trained clients helps to control variables, but at the possible expense of "reality." Kagan (1970) suggests that coached clients offer one set of conditions, while real (or standard) clients offer another, each with their own merits. He indicates the use of coached clients if nearly identical client behaviors are needed to measure small differences. Since this v;as not the case for the purposes of this study, standard clients were used. The precedent for employing standard clients has been established in research assessing the effects of training and treatment (Berenson, Carkhuff, & Myrus, 1966; Carkhuff, Kratochivil, & Friel, 1968; Pierce, Carkhuff, & Berenson, 1967). Carkhuff (1969a) has stated "if the conditions are available, casting prospective helpers in the helping role appears to be the preferred method of assessing communication [p. 105]." Undergraduate students enrolled in beginning psychology and education classes at the University of Florida were selected as "interview partners" for the SV's, for preand post-testing purposes. They were similar to the SV's in characteristics such as sex, age, year in school. Trainers The training in the communication skills programs was conducted by two counseling center staff members. The male trainer recently completed his Ph.D. degree in counseling psychology; the female trainer (and investigator) had completed all the requirements but dissertation for the Ph.D. degree in counselor education. Both trainers had been found to be functioning beyond the minimal level of facilitative interpersonal functioning in previous research.

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39 The trainers were aware of the research hypotheses and which Ss were assigned to which treatment group, due to the obvious differences in procedure. However, random assignment to groups and reliance of their professional attitudes should have diminished any biased effects. Furthermore, using the same trainers for both treatment groups had the advantage of assuring equality of trainer skill and background across treatments. Neither trainer was used as a judge for preor post-test rating. Description of Experimental Procedure For pre-test purposes, all 45 Ss were randomly assigned to dyads, where their partners were selected from a pool of same-sexed standard clients. In a counterbalanced design, half of the experimental Ss played the role of Helpers in the first 15-minute interview, and after changing partners, played the role of Helpee in the second 15-minute interview. The order for role-playing was reversed for the other half. The Ss were instructed to be as helpful as possible (Helper) or to explore meaningful problem areas as deeply as they wished (Helpee) depending on the role played (see Appendix G). The interviews were audiotape recorded. Pre-test measures were obtained the week prior to the experimental treatment. Post-test measures were obtained in a similar manner the week following the experimental treatment. The Ss were randomly assigned to one of three groups:

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40 Group I ; Communication Skills with. Additional SelfDisclosure Training Group II ; Communication Skills Training Alone Group III ; Delayed Treatment Control Group (No Training) Experimental Treatment Programs The training was divided into three sessions, over a four -week period. Each session lasted approximately four hours Group I; Communication Skills with Additional Self Disclosure Training Session 1. The theme of the first session was an Introduction to Effective Communication Skills The two-part model of communication was discussed, emphasizing the roles of the Discloser and the Facilitative Responder. The following schedule was followed in the development of the theme: 1. Introduction and brief didactic discussion of two-part model of communication, with audio and live models demonstrating effective and ineffective communication. 2. Introduction of simplified rating scales (see Appendix H) with three levels; interchangeable, additive and detractive responses; using the scales to rate audiotape segments of disclosures and facilitative responding; group discussion of ratings 3. Individuals responding to stimulated audiotape segments, with ratings, group discussion, and feedback. 4. Break into dyads for practicing communication skills. 5. Return to group for general discussion and summary. 6. Homework assignment (see Appendix C)

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41 Session 2 The theme of the second session was the Introduction to Videotape and Non-Verbal Communication The following schedule was followed in the development of the theme: 1. Re-cap Session 1; introduction and brief didactic discussion of videotape and non-verbal communication, with live models 2. Exposure to videotape with affective exercises 3. Exercises in non-verbal communication, feedback, and discussion. 4. Introduction to IPR, with live models, and group participation in recall. 5. General discussion and summary. 6. Homework assignment (see Appendix D) Section 3 The theme of the third session was the continued use of IPR and microcounseling techniques. Microcounseling focused upon situations relevant to the SV in the residence halls. The following schedule was followed in the development of the theme: 1. Re-cap of Session 2; discussion of themes 2. Introduction to microcounseling, with IPR, break into small groups for roleplaying and recall. Use of videotape rotated for all groups. 3. Large group discussion. 4. Relating skills learned to issues facing SV's, role-playing. 5. Summary.

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42 r-v^np TT: Communication Skills Training Alone The treatment was essentially the same as for Group I, with two exceptions: (1) Although the communication model presented was two-part, focus was upon Facilitative Responding in all sessions. For example, recall focused on the helper rather than on both helper and helpee; there was no specific training in Self-Disclosure alone. (2) The homework assignments were different from those of Group I, but taking the same amount of time (for homework assignment for Group II, Session 1, see Appendix E; for homework assignment for Group II, Session 2, see Appendix F) Group III: No Treatment Participants in Group III participated in preand post-testing only; they received no treatment. At the conclusion of the experiment, they received communication skills training. Instruments TWO measures were used as criteria in this study: 1) the Helpee Self-E x ploration i n Interpersonal Processes scale (Carkhuff, 1969b) and 2) the Gross Ratings of Facilitative Interpers onal Functioning Scale (Carkhuff, 1969d)

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43 The Helpee Self-Exploration in Interpersonal Processes Scale The Hel pee Self-Exploration in Interpersonal Processes Scale Cpx) is a five-level process rating scale, ranging from the lov/est possible score of one to the highest possible score of five (see Appendix A) The scale is derived in part from the Measurement of Depth of Intrapersonal Exploration (Truax & Carkhuff, 1967), which has been validated in extensive process and outcome research on counseling and psychotherapy (Carkhuff & Berenson, 1967; Truax & Carkhuff, 1965a, 1965b, 1967). The present scale represents a systematic attempt to reduce ambiguity and increase reliability (Carkhuff, 1969b). The Gross Ratings of Facilitative Interpersonal Func tioning Scale The initial core of therapeutic conditions has been expanded, with additional dimensions also found to be significant variables in the helping relationship (see Chapter II) Five-level process rating scales have been developed for each of these dimensions (E, R, G, Concreteness, Self-Disclosure, Immediacy and Confrontation) by Carkhuff (1969b) However, the large number of ratings resulting has been found unwieldy. There has been a trend toward reporting the modal or average ratings on the various scales as a score described as "overall" level of facilitative functioning (Carkhuff, 1969a, 1969b; Collingwood, 1969).

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44 Research findings indicate that the level of functioning across all the facilitative interpersonal dimensions is very similar for both high and low functioning helpers and helpees For example, if a helper is functioning at moderate levels on E, he tends to function at the same level on all the other process dimensions (Pierce & Schauble, 1970; Rogers, 1962). These findings are supported by a factor analytic study involving all of the interacting conditions of E, R, G, Self-Disclosure, and Concreteness taken together, performed to find out if they share any significant common variance which may underlie the total therapeutic effort (Muehlberg, Pierce, & Drasgow, 1969). The rated facilitative conditions are intercorrelated both positively and substantially, as indicated in Table 3.1 A single, major factor accounts for practically all of the observed correlations among the obtained facilitative conditions. Therapists high on one facilitative dimension are high on all facilitative dimensions, and vice versa. The Gross Ratings of Facilitative Interpersonal Func tioning Scale CGIF) is a five-level process rating scale, ranging from the lowest possible score of one to the highest possible score of five (see Appendix B) A description of facilitative interpersonal functioning is provided, which includes both the facilitative responding and actionoriented dimensions of the helping relationship. Ratings are made on a Likert-type scale, where Level 3 is defined as

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45 TABLE 3.1: INTERCORRELATIONf' AMONG EMPATHY (E) REGARD (R) GENUINENESS (G), CONCRETENESS (C) AND SELFDISCLOSURE (SD) SD (Muehlberg, Pierce, & Drasgov-, 1969)

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46 communicating all conditions at a miniirially facilitative level. Ratings below Level 3 reflect the degree to which some or all of the conditions are absent; ratings above Level 3 reflect the degree to which they are present. Rate-rerate reliabilities of the GIF have been reported as high as .95, with inter-rater reliability .89 (Carkhuff 1969d) Validity of the individual scales from which the GIF is derived has been established in several studies relating the scales to various measures of positive helpee change or gain (Carkhuff, 1969a, 1969b; Carkhuff & Berenson, 1967; Truax & Carkhuff, 1967). The GIF has also been related to positive helpee change or gain, as well as the successful prediction of degree of change and final level of functioning of trainees (Carkhuff, 1969a, 1969b, 1969d). Rating Process Scales Segment size and location Since the therapeutic conditions should be operative and manifest at every point in therapy, major sampling concern is to sample at points that would be representative of the entire interaction (Kiesler, 1966) Carkhuff (1969b) suggests either random sampling or stratified time sampling for obtaining segment location, although evidence has been presented against the validity of random sampling (Kiesler, Klein, & Mathieu, 1965) Kie'sler, Mathieu, and Klein (1964) compared the effect of varying segment lengths, ranging from 2 to 16 minutes on

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47 ratings of a dimension of client process. They found interrater and rate-rerate reliability on ratings not affected by segment length. Furthermore, the discriminating power of the ratings were independent of segment length, and with no significant difference in the range of ratings. Although Therapist-Patient-Therapist samples have not been found more accurate than Patient-Therapist-Patient in predicting outcome (Truax, 1966) PTP excerpts are considered preferable because they allow assessment of both the helper's degree of responsiveness and its effect upon the helpee (Carkhuff, 1969b). In keeping with the research findings, two 3-minute segments were taken from each 15-minute interview, around the first-third and second-third points in time. Each sample included a PTP interaction. The segments were then coded and randomly ordered and submitted for judges' ratings. Validity of independent judges' ratings The validity of independent judges' ratings has received support from several studies. Hansen, Moore, and Carkhuff (1968) found no significant correlation between client ratings and independent judges' ratings of levels of facilitative conditions offered by the counselor. Client ratings were unrelated (r=.19) to change in self-concept measures, whereas judges' ratings were significantly related (r=.86). The findings support a study by Truax (1966) that patient perceptions of therapistoffered conditions tend to be less predictive of outcome than

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48 objective tape ratings. Kiesler (1966) found that therapists' ratings of the conditions they offered diverged from those of both clients and independent judges; however, the latter 's ratings of the level of therapeutic conditions offered correlated with process measures. Selection and training of judges Research on the selection of raters suggests that both rater level of functioning and experience are significant sources of effect for discrimination scores (Cannon & Carkhuff, 1969). However, the naive-experience continuum of the raters is not as critical as the level of functioning on relevant dimensions of the prospective raters (Shapiro, 1968). Indeed, Carkhuff (1969b) states that persons functioning below Level 3 would not be capable of accurate ratings. Two judges v;ere selected as raters from a pool of graduate students in counseling and psychology for the UK and GIF scales respectively. They were themselves functioning at minimal levels of facilitative interpersonal functioning, ascertained from independent ratings of their own tapes as helpers. The training of the raters was conducted by a University Counseling Center staff member who is experienced in using the process scales, and who is himself functioning at high levels on these instruments. The training tapes included helping situations similar to those which were encountered in the actual study. Inter-rater reliability was calculated by the analysis of variance method estimating reliability of measurements (Winer, 1962)

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49 Analysis of the Data The three dependent variables in the study were Facili tative Responding y He Ipee-D is closure and Self-Disclosure The Facilitative Responding measures were obtained from the GIF scale ratings. The Helpee-Disclosure measures were obtained from the DX scale ratings in the interview where the Ss acted as Helpers; the measures of Self -Disclosure were obtained from the DX scale ratings in the interview where the Ss acted as Helpees. According to the split-plot design with repeated measures described by Kirk (1968, p. 245) a two-way analysis of variance was performed across the three groups for each dependent variable. Null Hypotheses Ho, : There will be no systematic interaction effects between treatment and time of testing among the three groups with respect to Facilitative Responding Ho-: There will be no systematic interaction effects between treatment and time of testing among the three groups with respect to Helpee-Disclosure Ho^: There will be no systematic interaction effects between treatment and time of testing among the three groups with respect to Self -Disclosure

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CHAPTER IV ANALYSIS OF THE DATA In this chapter an analysis of the data is presented based on the methodology and statistical procedures described in Chapter III. Tape-recordings of interviews in which Ss role-played both Helper and Helpee were obtained before and after the three experimental treatment programs. Trained judges rated two 3-minute excerpts from each roleplaying interview using the Gross Ratings of Facilitative Interpersonal Functioning Scale ( GIF ) and the Helpee Self-Exploration in Interpersonal Processes Scale (DX). Rater Reliability The procedure used to determine rater reliability between the judges v;as the analysis of variance method estimating reliability of measurements described by Winer (1962, p. 124). The analysis was carried out separately for each instrument used, employing the ratings taken from pretreatment interviews. The rater reliability of the average rating obtained for the two judges using the GIF scale was r=.91 (Table 4.1) 50

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51 TABLE 4.1: ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE GROSS RATINGS OF INTERPERSONAL FUNCTIONING SCALE (HELPERS) Source of Variation

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52 in interviews where the Ss acted as Helpers. The rater reliability obtained for the two judges using the DX scale was r=.98 (Table 4.2) in interviev/s where the Ss acted as Helpers, and r=.9 6 (Table 4.3) in interviews where Ss were Helpees. Evaluation of the Experimental Treatment Programs The three dependent variables in this study v/ere Facilitative Responding (FR) Helpee-Di sclos ure (HD) and Self -Disclosure (SD) The measures of FR and HD \\?ere obtained in the interviev/s where the Ss acted as Helpers from ratings on the GIF and DX scales respectively. The measures of SD were obtained in the interviev;s where the Ss acted as Helpees from ratings on the DX scale. For each dependent variable, a two-way analysis of variance with repeated measures was performed across the three groups to evaluate the effectiveness of the treatment programs. The means and standard deviations of pre-treatment, post-treatment, and difference scores for the three groups with respect to FR, HD and SD are presented in Tables 4.4, 4.6 and 4.8. The results of the analyses are presented in Tables 4.5, 4.7 and 4.9. With 2 and 44 degrees of freedom, an F value of 3.22 was necessary to reject the null hypotheses of no differences among treatment groups at the .05 level of confidence.

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53 TABLE 4.2: ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE HELPEE SELF-EXPLORATION IN INTERPERSONAL PROCESSES SCALE (HELPEES) Source of Variation

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54 TABLE 4.3: ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE HELPEE SELF-EXPLORATION IN INTERPERSONAL PROCESSES SCALE (HELPERS) Source of Variation

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55 TABLE 4.4: MEANS AND STANDARD DEVIATIONS OF PRE -TREATMENT, POST-TREATMENT, AND DIFFERENCE SCORES OF FACILITATIVF RESPONDING

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56 TABLE 4 6: MEANS AND STANDARD DEVIATIONS OF PRE-TREATMENT POST-TREATMENT, AND DIFFERENCE SCORES OF HELPEEDISCLOSURE

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57 TABLE 4.8: MEANS AND STANDARD DEVIATIONS OF PRE-TREATMENT POST-TREATMENT, AND DIFFERENCE SCORES OF SELFDISCLOSURE

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58 The null hypotheses tested and the results of the analyses were as follows: Hoi: There will be no systematic interaction effects between treatment and time of testing among the three groups with respect to Facilitative Responding Inspection of Table 4.5 indicates an F value exceeding 3.22 for preto post-treatment differences within subjects for FR. However, since the interaction did not reach statistical significance, it was not possible to determine which treatment groups contributed most to this effect. Therefore null hypothesis 1 was accepted. Null hypothesis 2 was as follows: H02: There will be no systematic interaction effect between treatment and time of testing among the three groups with respect to HelpeeDisclosure inspection of Table 4.7 indicates that all values of F are less than 3.22 for HD. Therefore null hypothesis 2 was accepted. Null hypothesis 3 was as follows: H03: There will be no systematic interaction effects between treatment and time of testing among the three groups with respect to Self-Disclosure, inspection of Table 4.9 indicates an F value exceeding 3.22 for preto post-treatment differences within subjects

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59 for SD. However, since the interaction did not reach statistical significance, it was not possible to determine which treatment group contributed most to this effect. Therefore null hypothesis 3 was accepted. Discussion It is not possible to conclude from the analysis of the data that any one treatment group demonstrated greater effectiveness as a training program in communication skills, despite the fact that there were significant preto posttreatment gains across groups for FR and SD. Kirk (1968) notes that a limitation of the split-plot design is that its "estimates of B and AB (within-block) effects are usually more accurate than estimates of A (between-block) effects. . the increased precision on B and AB is obtained by sacrificing precision on A [p,317]." The data confirm Carkhuff 's (1969a, 1969b) findings that the average base level of functioning is significantly less than minimally facilitative for inexperienced trainees. The pre-treatment means for the three groups with respect to FR were 1.68, 1.72, and 1.63 (Table 4.4). Examination of the raw data (Appendix J) reveals that one-third of Group I made preto post-treatment gains in FR ranging from 1 to 1.75 points. In contrast, all the members of the other two groups made gains in FR of less than 1 point.

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60 A one-way analysis of variance with repeated measures (McNemar, 1962, p. 267) was performed for each group with respect to FR. It is interesting to note that for Group I the F ratio calculated was significant at the .05 level (Table 4.10). There was a statistically significant gain in the level of FR from preto posttreatment. These differences were not found for the other two groups. Trainees' Subjective Evaluation It is interesting to note that a posttreatment subjective evaluation of the training experience revealed that the Ss felt that they had gained valuable insights into themselves and the communication process. Statements made by the trainees following the final sessions included: This (experience) really meant alot to me. I realize how much of the time I spend saying things without really meaning them and how often people respond without having really listened. This training has helped me not just as an SV but in my relationship with ray boyfriend. Now we try to communicate what we are feeling to each other and it works! When I go home this summer, I hope I can use what I learned with my parents. I haven't been able to talk with them lately and I'd like to put some of these ideas into practice. I enjoyed this... I think that I'll be able to be a better listener to the girls on the floor not just hear the words but the feelings too. As in the study by Berenson, Carkhuff, and Myrus (1966) involving undergraduate resident assistant trainees.

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61 TABLE 4.10: ONE-WAY ANALYSIS OF VARIANCE WITH REPEATED MEASURES: FACILITATIVE RESPONDING, GROUP I Source of Variation

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62 these self-perceived changes were not confirmed by independent raters of preto post-training tape recordings of simulated counseling interviews. Relationsh i p Between Facilitative Responding and Self-Disclosure Truax and Carkhuff (1965b, 1967) and other researchers (see review in Chapter II) have presented extensive evidence demonstrating that levels of helperoffered facilitative conditions are related to helpee's level of depth of self -exploration. However, studies on the differential effects of manipulating helperoffered conditions reveal that these earlier findings need to be qualified. A more complex relationship between these two variables is becoming apparent. The depth of self-exploration of helpees who are themselves functioning at low levels of E, R, G, and Concreteness is dependent upon levels of helper-offered conditions, whereas high functioning helpees maintain their initial level of self-exploration independent of helper-offered conditions in the presence of high functioning helpers (Holder et al., 1967). Looking at high and moderate functioning helpers together, the depth of helpee's disclosure is dependent upon both helper and helpee level of functioning and the interaction between them (Piaget et al., 1967).

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63 The reinstatement of higher conditions, once lowered, for moderate functioning helpers does not re-establish high levels of self-exploration for helpees functioning at high or low levels of E, R, G, and Concreteness These studies divide helpers into high and low levels of functioning with regard to helper variables. However, the research in self-disclosure by Jourard (1964, 1968) points toward classifying helpees in terms of helpee variables. In other v;ords, V7hat are the disclosure patterns of helpees functioning at high and low levels of self-exploration in relationship to helper's facilitative responding? At first glance, the data in this study confirm the simple positive relationship between FR and HD. The Pearson product-moment correlation coefficients (r) between helperoffered level of conditions (FR) and helpee s depth of selfexploration (HD) are statistically significant (p<.01) for pre-treatment, post-treatment, and combined data (Table 4.11). Statistica] significance was ascertained from Ferguson's (1971) table of critical values of the correlation coefficient. A quite different relationship appears when the Ss in this study were divided across groups into high (HD>_2.5) and low (HD<2.5) disclosure groups for pre-treatment, posttreatment, and combined data. The Pearson product-moment correlation coefficient (r) remains significant between FR and HD only for the low disclosure group (Table 4.12).

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64 TABLE 4 11PEARSON PRODUCT -MOMENT CORRELATION COEFFICIENTS FOR RATINGS OF FACILITATIVE RESPONDING AND HELPEE-DISCLOSURE N Pre-treatment .53** 45 Post-treatment .65** 45 Combined PrePost Treatment .68** 90 **p<.01

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65 TABLE 4.12: PEARSON PRODUCT -MOMENT CORRELATION COEFFICIENTS FOR RATINGS OF FACILITATIVE RESPONDING AND HELPEEDISCLOSURE WITH RESPECT TO HIGH AND LOW DISCLOSURE

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66 The correlation coefficients for the high disclosure group for pre-treatment, posttreatment and combined data are not significant. Thus, the relationship between FR and HD may be considered dependent for low disclosers but independent for high disclosers. Therefore, personality characteristics of the helpee (in this case, high or low discloser) are also seen as qualifying the originally postulated simple relationship between FR and HD. This finding supports related research by Jourard and Resnick (1970) where the disclosure patterns of female disclosers was found to be independent of partner's disclosure level, but those of low disclosers were dependent upon partner's level of self -exploration. Summary The rater reliability calculated between judges ranged from .91 to .98 on the process scales used to obtain the dependent measures. The three dependent variables were Facilitative Responding (FR) Helpee-Disclosure (HD) and Self -Disclosure (SO) The hypotheses regarding systematic interaction effects betv/een treatment and time of testing for the three experimental groups were tested using a two-way analysis of variance with repeated measures for each dependent variable. Significant preto post-treatment gains were found across groups for FR and SD. However, interaction effects did not reach statistical significance, and the null hypotheses were accepted. It was not possible to conclude

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67 that any one treatment demonstrated greater effectiveness as a training program. It was noted that for Group I, preto post-treatment gains with respect to FR were significant at the .05 level; these differences were not foiind for the other two groups. For all groups, subjective evaluations of the trainees indicated the training was perceived as a valuable experience, although this was not confirmed by the objective ratings. The relationship between FR and HD was re-examined in terms of helpee characteristics. Pearson product-moment correlations between FR and HD were calculated for pretreatment, post-treatment, and combined data. The relationship between FR and HD was found to be statistically significant for low disclosers, as expected, but correlations did not reach statistical significance for high disclosers. The finding indicates that the depth of self-exploration of high disclosers is independent of the level of facilitative conditions offered by helpers.

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CHAPTER V SUMMARY AND IMPLICATIONS Summary The purpose of this study was to develop and investigate the effects of a brief communication skills program on the interpersonal effectiveness of participants in the Student Volunteer program at the University of Florida. Student Volunteers are selected undergraduate students who enroll in a credited course related to student development in the university setting, and who are expected to serve as general peer counselors to fellow students in the residence halls. Research (see the Review in Chapter II) has demonstrated the potential effectiveness of training paraprofessionals to facilitate their interpersonal functioning with helpees. An experimental treatment program which integrated communication skills with additional self-disclosure training (Group I) was compared with a communication skills training program alone (Group II) and a control group receiving delayed treatment following the investigation (Group III). A two-part model of communication was employed: the generator of the message, the disclpser ; and the perceiver who assigns meaning to the communication, the f acilitative respondent 68

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69 The training program combined three major trends in methodology: systematic, integrated didactic and experiential training; the use of videotape and Interpersonal Process Recall; and the microcounseling paradigm. The training was led by two experienced counselors from the University Counseling Center. The three groups were composed of 15 female members each. The dependent variables were Facilitative Responding (FR), Helpee-Disclosure (HD)/ and Self -Disclosure (SD) The null hypotheses were that there would be no systematic interaction effects between treatment and time of testing across groups for the three dependent variables. The Ss acted as helpers and helpees in separate 15minute analogue counseling sessions with standard partners both before and after the experimental treatment. Excerpts from these audiotape-recorded interviews were coded, randomly ordered, and submitted to trained judges for rating. The instrioments used were two process rating scales: the Gross Ratings of Facilitative Interpersonal Functioning Scale ( GIF ) and the Helpee Self-Exploration in Inter personal Process Scale (DX) Measures of FR were obtained from the GIF scale; measures of HD and SD were obtained from the DX scale. The rater reliability (r) calculated between judges ranged from .91 to .98. According to the split-plot design with repeated measures, a two-way analysis of variance was performed

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70 across the three groups for each dependent variable. Significant preto post-treatirient gains were found across groups for FR and SD However, the null hypotheses were accepted since interaction effects did not reach statistical significance. It was not possible to conclude from the analysis of the data that any one treatment demonstrated greater effectiveness as a training program. It was interesting to note that for Group I, preto posttreatment gains were significant at the .05 level with respect to FR. These differences were not found for the other two groups. Subjective evaluations made by the trainees following treatment indicated that they perceived the training as a valuable experience, although this was not confirmed by the objective ratings. The relationship between FR and HD was re-examined in terms of helpee-characteristics. Pearson product-moment correlations between FR and HD were calculated for pretreatment, post-treatment, and combined data. The relationship between FR and HD was found to be statistically significant for low disclosers, as expected. For high disclosers, however, the correlations between FR and HD did not reach significance, suggesting that the depth of selfexploration of high disclosers is independent of the level of facilitative conditions offered.

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71 Implications Limitations There are tv;o major limitations inherent in the design of this study v/hich need to be considered v/hen discussing the implications: 1) The Ss in the study were all females. They represent student volunteers in this particular residence hall program at the University of Florida. Therefore, caution must be used in generalizing these findings to other populations. 2) The outcome criteria were obtained within two weeks of the final training sessions. The question arises as to whether these results would remain the same if the outcome criteria were obtained at a later date (a few weeks or months follov;ing training) Possibly, any gains made in interpersonal skills v;ould diminish. Alternatively, there is the possibility that additional time would enable the ideas presented in training to be integrated more fully into trainees behavior, with further gains being made. Research is needed to determine the more long-range effects of training. The Training Program Selection of trainees The problem of selecting those persons who are most capable of making maximum use of training programs has been underscored (Carkhuff, 1969a; Carkhuff & Berenson, 1967). In the presence of high-level

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72 trainees, those individuals functioning at the highest interpersonal levels themselves are the most effective trainees, while those at the lowest levels are most difficult to train (Carkhuff, 1969a). The Ss in this study, at the outset of training, were at levels well below minimal levels of facilitative interpersonal functioning. With a group mean of 1.61, they could be considered in the "difficult to train" category. Furthermore, the Ss were required by their supervisors to attend the training sessions, in addition to their other commitments as Student Volunteers. t#iile some of the Ss regarded this as a unique opportunity to improve their interpersonal skills, others viewed the training with resentment and/or as an encroachment on their already busy schedules. It was assumed that this motivational factor would be evenly distributed among the groups. However, no preor posttreatment measures were taken, and it is possible that it contributed to the variability within groups. Both these factors (level of interpersonal functioning and motivation) are issues in training a group which was pre-selected, such as residence hall staff. Perhaps more attention need be paid to "who" is being trained before training programs are initiated and evaluated. Length of the training program An important consideration in developing training programs for residence hall workers is the length of the program. Because of the limited

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73 time available to most trainees in this setting, it is desirable to determine the least amount of time in which individuals can be effectively trained to function at minimally facilitative levels (Mitchell, Stanford, Bozarth, & Wyrick, 1971) While research verifies the effectiveness of some brief programs, there is evidence which suggests that longer programs are perhaps more effective in leading to changed behavior (Dendy, 1971; Scharf 1971) Many of the trainees in this study expressed the need or. desire for extended training, despite the fact that they also felt pressed for time. Additional research needs to be performed to ascertain the differential effects of length of training on outcome criteria. Instruments A limitation of the process rating scales currently used in the evaluation of this and other training programs needs to be noted. These scales were designed with the knowledge that very few individuals can be found functioning at the higher (Levels 4 and 5) levels of facilitative interpersonal functioning (Carkhuf f 1969a) Therefore, the five-level scales may be more accurately described as having a more restricted range (Level 1 to 3 of 3.5). This lowered range may render these scales relatively insensitive to smaller changes which may result from communication skills training. It is suggested that new instruments be developed which expand the range at the lower end of the scale. Although progress at these lower levels of

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74 functioning may not be meaningful in terms of counseling practice, it may give us additional useful information in the evaluation of training programs. The Relationship Betv7een Facilitative Responding and Helpee-Disclosure The data reveal a complex relationship between FR and HD, dependent upon whether the helpee can be considered a high or low discloser. For low disclosers (DX<2.5) the helpee depth of self-exploration appears to be related to level of helper-offered FR; whereas for high disclosers (DX>_2.5), the depth of self-exploration is not significantly related to helper-offered conditions. The relationship between FR and HD in the numerous research studies using these variables has been obscured to some extent by grouping high and low disclosers together. This data needs to be re-evaluated, parceling out the high disclosers from low. This new analysis could clarify not only the relationship between FR and HD, but also the complex and somewhat inconclusive findings regarding the manipulation of helper-offered conditions on level of helpee depth of self -exploration. There is a further methodological note stemming from the complex relationship between FR and HD If as a variable, HD is not consistently correlated with FR, serious questions arise as to its use as an outcome criterion in research.

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75 The issue of standard vs. coached clients has been discussed (see Chapter III). Based on the existing theory, it v/as felt that for the purposes of this study, uncoached clients could serve as partners in preand post-treatment interviews, where HD was a dependent variable. However, if HD is not always dependent upon levels of FR offered, its use as a dependent variable is not appropriate, and possibly confounding, in the evaluation of trainees. (It would be necessary in such cases to first obtain baseline data on HD.) Another unknown is the differential effect of helpee depth of self-exploration on levels of helperoffered FR. Conclusions Before the training programs developed can be fully assessed, this study needs to be replicated, with attention paid to the methodological difficulties noted both with respect to selection of trainees and the outcome criteria. Additional research also should compare a longer term communications skills program, with the briefer programs to ascertain the effect of length of training on the effectiveness of the training. The current data indicates that at the end of training, the average base level of functioning of the S V s was found to be significantly less than minimally f acilitative.

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APPENDICES

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APPENDIX A HELPEE SELF-EXPLORATION IN INTERPERSONAL PROCESSES SCALE Level 1 The second person does not discuss personally relevant material, either because he has had no opportunity to do such or because he is actively evading the discussion even when it is introduced by the first person. EXAMPLE: The second person avoids any self-descriptions or self-exploration or direct expression of feelings that would lead him to reveal himself to the first person. In summary, for a variety of possible reasons the second person does not give any evidence of self-exploration. Level 2 The second person responds with discussion to the introduction of personally relevant material by the first person but does so in a mechanical manner and without the demonstration of emotional feelings. EXAMPLE: The second person simply discusses the material without exploring the significance or the meaning of the material or attempting further exploration of that feeling in an effort to uncover related feelings or material. In summary, the second person responds mechanically and remotely to the introduction of personally relevant material by the first person. Level 3 The second person voluntarily introduces discussions of personally relevant material but does so in a mechanical manner and without the demonstration of emotional feeling. EXAMPLE: The emotional remoteness and mechanical manner of the discussion give the discussion a quality of being rehearsed. In summary, the second person introduces personally relevant material but does so without spontaneity or emotional 77

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78 proximity and without an inward probing to discover new feelings and experiences. Level 4 The second person voluntarily introduces discussions of personally relevant material with both spontaneity and emotional proximity. EXAMPLE: The voice quality and other characteristics of the second person are very much "with" the feelings and other personal materials that are being verbalized. In summary, the second person introduces personally relevant discussions with spontaneity and emotional proximity but without a distinct tendency toward inward probing to discover new feelings and experiences. Level 5 The second person actively and spontaneously engages in an inward probing to discover new feelings and experiences cibout himself and his world. EXAMPLE: The second person is searching to discover new feelings concerning himself and his world even though at the moment he may perhaps be doing so fearfully and tentatively. In summary, the second person is fully and actively focusing upon himself and exploring himself and his world.

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79

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APPENDIX C HOMEWORK ASSIGNMENT FOR GROUP I, SESSION 1 WHO KNOWS YOU? Introduction People differ in the extent to which they let other people know them. We are seeking to investigate what people tell others about themselves. Naturally, the things that are true about your personality, your feelings, your problems, hopes and actions will change as you get on with living. Therefore, the idea that other people have about you will be out of date from time to time. What was true about you last week or last year may no longer be true. When you see people after a lapse of time, and you want them to know you as you now are, you tell them about yourself so that they will have a more up-to-date picture of you. If you don't want them to know, you don't tell them, even if they ask you personal questions. Some of the things about yourself you will regard as more personal and private than others; people differ widely in what they consider appropriate to let others know, and what they consider is nobody's business but their own. Instructions On the next page there is a list of topics that pertain to you. You have also been given a special answer-sheet. What we want you to do is indicate on the answer-sheet the degree to which you have let each of several people in your life know this information about you. You have a reasonably good idea of how much about yourself you have let each of the people know about you in the past, and how current and up-to-date their knowledge about you is at the present. Therefore, will you indicate on the answer-sheet the extent to which each of the other persons now knows the pertinent facts about you. In other words, how complete, up-to-date, and accurate is their picture of you as you are now. Use the following scale to indicate your answers: 0: The other person doesn't know me in this respect right now, because I haven't told him, or let him 80

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81 know in any other ways. 1: The other person has a general idea of how I am now, of what is true in thTs respect, but his idea of me is not complete, or up-to-date. 2: The other person fully knows me as I now am. in this respect, because I have talked about this topic to him fully in the recent past, and things have not changed. I have kept him fully informed about this aspect of me. X: V'Jrite in an X instead of an for those items which you would not confide to the person even if that person asked you to reveal the information.

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82 1. What you dislike about your overall appearance. 2. Things about your appearance that you like most, or are proudest of. 3. Your chief health concern, worry or problem, at the present time. --^4. Your favorite spare time hobbies or interests. 5. Your food dislikes at present. 6. Your religious activity at present — whether or not you go to church; which one; how often. 7. Your personal religious views. 8. Your favorite reading materials — kinds of magazines, books, or papers you usually read. 9. What particularly annoys you most about your closet friend of the opposite sex or (if married) your spouse. 10. Whether or not you have sex problems, and the nature of these problems, if any. 11. An accurate knowledge of your sex life up to the present — e.g. the names of your sex partners in the past and present, if any--your ways of getting sexual gratification. ^ 12. Things about your own personality that worry you or annoy you. 13. The chief pressures and strains in your daily work. 14. Things about the future that you worry about at present. 15. Things you are most sensitive about. 16. What you feel the guiltiest about, or most ashamed of in your past. 17. Your views about what is acceptable sex morality for people to follow. 18. The kinds of music you enjoy listening to the most. 19. The subjects you did not like, or do not like at school. 20. Whether or not you do anything special to maintain or improve your appearance, e.g., diet, exercise, etc. 21. The kind of behavior in others that annoys you the most or makes you furious. 22. The characteristics of your father that you do not like, or did not like. 23. Characteristics of your mother that you do not like, or did not like. 24. Your most frequent day-dreams — what you day dream about most. 25. The feelings you have the most trouble controlling, e.g., worry, depression, anger, jealousy, etc. 26. The biggest disappointment that you have had in your life. 27. How you feel about your choice of life-work. 28. What you regard as your chief handicaps to doing a better job in your work or studies.

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83 29. Your views on the segregation of whites and Negroes. 30. Your thoughts and feelings about other religious groups than your own. 31. Your strongest ambition at the present time. 32. Whether or not you have planned some major decision in the near future, e.g., a new job, break engagement, get married, divorce, buy something big. 33. Your favorite jok;es--the kind of jokes you like to hear. 34. Whether or not you have any savings; if so the amount. 35. The possessions you are proudest of, and take the greatest care of, e.g., your car or musical instrument, or furniture, etc. 36. How you usually sleep at night, e.g., well or poorly, or with help of drugs. 37. Your favorite television programs. 38. Your favorite comics. 39. The clubs or groups or organizations you belong to, e.g., fraternity, lodge, bridge club, YMCA, professional organizations, etc. 40. The beverages you do not like to drink, e.g. coffee, tea, coke, beer, liquor, etc. and your preferred beverages.

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84 ANSWER SHEET Pi Q ffi WW fa S fa a S H fa fa rp o; a WW fa s fa w 21 22 23 24 25 26 27 28 29 10 30 11 31 12 32 13 33 14 34 15 35 16 36 17 37 18 38 19 39 20 40 PLEASE, DO NOT TURN TO QUESTIONNAIRE PAGE 4 UNTIL YOU HAVE COMPLETED THE

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85 Scoring Instructions When you have completed the questionnaire, we would like you to score yourself. For each numbered item, add across target-persons and put the total score under the column marked "T". Count 2, 1, or 0, depending upon your ratings; count X as 0. Now, consider the items for which you have received a score of 5 or above. Do they have anything in common? How do you feel about disclosing these items? Now look at the items for which you have received a score of 4 or less. What are the characteristics of these items? Do they have anything in common? Does anyone know how you feel about these items? Please formulate disclosures with respect to the items you scored with a total of 4 or less. If you have difficulty responding, or if you prefer not to disclose yourself, describe these feelings in the space below. Use the back side of the paper, too, if necessary.

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APPENDIX D HOMEWORK ASSIGNMENT FOR GROUP I, SESSION 2 Please choose a partner from the group to share this assignment with. Below are 10 topics. By yourself rank them in order of how intimate the items are to your personally, ranging from #1, Least intimate, to #10, Most intimate. We are going to ask you and your partner to share disclosures. Take turns going first. You may ask your partner to disclose on any rank number (for example, #1 or #9) but you must also be willing to disclose yourself on the item you ranked on that number (for example, #1 or #9). Continue to exchange rankings until you have both covered all items The aim of this exercise is to explore yourself as deeply as possible by disclosing yourself to another. However, you may reveal as much or as little as you desire, or you may decline to discuss an item. Rank Items What your personal goals are for the next 10 years or so. Characteristics of yourself that give you cause for pride and satisfaction. The unhappiest moments of your life, in detail. What you regard as the mistakes and failures your parents made in raising you. My opinions about how capable and smart I am compared to others around me. Your hobbies, how you best like to spend your spare time. Why some people dislike me. How satisfied I am with different parts of my body — legs, weight, chest, etc. 86

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87 The happiest moments of your life, in detail. Feelings about my adequacy in sexual behavior — my abilities to perform adequately in sexual relationships. Now review your experience silently. On the reverse side, write down your feelings about revealing yourself to your partner and/or your declining to do so at times. When you are done, you may discuss these feelings with your partner if you choose.

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APPENDIX E HOMEWORK ASSIGNMENT FOR GROUP II, SESSION 1 Part I We have discussed the helping relationship and certain skills which facilitate helping. We would like you to think about an experience where you were really helped by someone. It can be a recent experience or an important incident from your past. Try to remember how the other person was helpful to you and describe his behaviors in the space below. Include in your description your own feelings about being helped. Part I I Now think about an experience where someone was most unhelpful to you. Try to remember what was not helpful about the other person's behavior and describe this in the space below. Include in your description your own feelings about not being helped. When you have finished, please go on to the next page, 88

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89 Part III Now refer to Part I and think about the person who was helpful to you. Below are listed a variety of ways that a person could behave in relation to another person. Please consider each statement with respect to whether you think it is true about your relationship with the person who helped you. Mark each statement at the space provided in the left margin according to the following scale: +1. I feel that it is probably true, or more true than untrue. +2. I feel it is true. +3. I strongly feel that it is true. -1. I feel that it is probably untrue or more untrue than true. -2. I feel it is not true. -3. I feel strongly that it is not true. 1. He respects me. 2. He tries to see things through my eyes. 3. He pretends that he likes me or understands me more than he really does. 4. He disapproves of me. 5. He understands my words but not the way I feel. 6. What he says to me never conflicts with what he thinks or feels. 7. He is curious about "the way I tick," but not really interested in me as a person. 8. He is interested in knowing what my experiences mean to me. 9. He likes seeing me. 10. He nearly always knows exactly what I mean. 11. I feel that he has unspoken feelings or concerns that are getting in the way of our relationship. 12. Sometimes he thinks I feel a certain way, because he feels that way. 13. He is friendly and warm toward me. 14. He understands what I say, from a detached, objective point. 15. I feel that I can trust him to be honest with me. 16. He does not realize how strongly I feel about some of the things we discuss. 17. He does not realize how strongly I feel about some of the things we discuss. 18. There are times when I feel that his outward response is quite different from his inner reaction to me. 19. He tries to avoid telling me anything that might upset me. 20. He appreciates what my experiences feel like to me. WHEN YOU ARE FINISHED PLEASE TURN THE PAGE.

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90 Now refer to Part II and think about the person who was not helpful to you. Below are listed a variety of ways that a person could behave in relation to another person. Please consider each statement with respect to whether you think it is true about your relationship with the person who helped you. Mark each statement at the space provided in the left margin according to the following scale: +1. I feel that it is probable true, or more true than untrue +2. I feel it is true. +3. I strongly feel that it is true. -1. I feel that it is probable untrue or more untrue than true. -2. I feel it is not true. -3. I feel strongly that it is not true. 1. He respects me. 2. He tries to see things through my eyes. 3. He pretends that he likes me or understands me more than he really does. 4. He disapproves of me. 5. He understands my words but not the way I feel. 6. What he says to me never conflicts with what he thinks or feels. 7. He is curious about "the way I tick," but not really interested in me as a person. 8. He is interested in knowing what my experiences mean to me. .9. He likes seeing me. 10. He nearly always knows exactly what I mean. 11. I feel that he has unspoken feelings or concerns that are getting in the way of our relationship. 12. Sometimes he thinks I feel a certain way, because he feels that way. 13. He is friendly and warm toward me. 14. He understands what I say, from a detached, objective point. 15. I feel that I can trust him to be honest with me. 16. He does not realize how strongly I feel about some of the things we discuss. 17. He does not realize how strongly I feel about some of the things we discuss. 18. There are times when I feel that his outward response is quite different from his inner reaction to me. 19. He tries to avoid telling me anything that might upset me. 20. He appreciates what my experiences feel like to me. WHEN YOU ARE FINISHED PLEASE TURN THE PAGE.

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91 Scoring Instructions In order to score your relationship scales, fill in the following equations, substituting your scores for the numbers underlined. The numbers underlined refer to item numbers on the scale. You will notice that for some items you will have to multiply by (-1) to get the true score. POSITIVE REGARD = 1 + 9. + 13 + ("D 1 + ("D 1 + ("^^ 16 EMPATHY =2+8+10+20+ (-1) 5 + (-1) 12 + (-1) 14 + (-1) 17 GENUINENESS = 6 + 15_ + (-1) 3 + (-1) 11. + (-1) 1B_ + (-1) (19) As you can see, the scores are related to three important characteristics of facilitative responding: Empathy, Positive, and Genuineness. What are the characteristics of the person who was helpful to you? What are the characteristics of the person who was not helpful to you?

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APPENDIX F HOMEWORK ASSIGNMENT FOR GROUP II, SESSION 2 Please choose a partner from the group for this exercise. We would like you to think about your experiences as incoming students at the University of Florida. Try to remember a situation in which you needed help either received it or were disappointed, or perhaps you solved it yourself. For about 15 minutes, one of you will role-play your personal experience and your partner will role-play a helper, responding to you as helpfully as possible. You wxll be tape-recording your session with the tape-recorders provided. At the end of 15 minutes, discuss together ways in which your partner was helpful and/or was not helpful to you. Describe how you felt about your helper's behavior. You may listen to your session by playing back parts on the tape recorder to help you recall what happened. Take about 15 minutes for feedback. Now, reverse your roles. The person v/ho was helped will not become helper. For the next 30 minutes, follow the procedure outlined above. 92

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APPENDIX G INSTRUCTIONS TO HELPEES AND HELPERS Instructions to Helpees The purpose of this interview is to look at ways that people help each other. You have volunteered to discuss an important personal matter with another student, who will try to he as helpful as possible to you. Your role as helpee means exploring meaningful personal problem areas as deeply as you feel comfortable doing. Take a few minutes to decide v/hat you would like to talk about to another person. The 15-minute session will be tape-recorded. The tapes will be coded, so that you will remain anonymous, and they will be treated in a confidential manner. If you have any questions about the session once you are finished, I'll be available to try to answer them for you. Instructions to Helpers The purpose of this interview is to look at ways that people help each other. You will be seeing another student who will be discussing an important personal matter. Your role will be to respond to this person in as helpful a way as possible. Helping means listening and responding to a person in such a v/ay as to make her more comfortable in discussing herself and her feelings. 93

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94 The 15-ininute session v^ill be tape-recorded. The tapes will be coded, so that you v;ill remain anonymous, and will be treated in a confidential marner. If you have any questions about the interview once you are finished, I'll be available to try to answer them for you.

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APPENDIX H PROCESS RATING SCALES FOR TRAINING Empathic Understanding in Interpersonal Processes A Scale for Measurement Detracting Level The verbal and behavioral expressions of the listener either do not attend to or communicate less of the speaker's feelings than the speaker has communicated himself. Example: The listener may communicate little awareness of even the most obvious expressed surface feelings of the speaker, or he may communicate some awareness of obvious surface feelings of the speaker but his communications drain off a level of the affect and distort the level of meaning. The listener may communicate his own ideas of what may be going on, but these are not congruent v;ith the expressions of the speaker. In summary, the listener tends to subtract from or respond to other than what the speaker is expressing or indicating. Equal Level The expressions of the listener in response to the expressed feelings of the speaker are essentially interchangeable with those of the speaker in that they express essentially the same affect and meaning. Example: The listener responds accurate understanding of the surface feelings of the speaker but may not respond to or may misinterpret the deeper feelings. In summary, the listener is responding so as to neither subtract from nor add to the expressions of the speaker; but he does not respond accurately to how the speaker really feels beneath the surface feelings. The equal level constitutes the minimal level of facilitative interpersonal functioning. 95

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96 Adding Level The response of the listener adds to the expressions of the speaker in such a way as to express feelings deeper than the speaker was able to express himself. Example: The listener communicates his understanding of the expressions of the speaker at a level deeper than they were expressed, and thus enables the speaker to experience and/or express feelings which he was unable to express previously. In the event of ongoing deep exploration of feelings on the speaker's past, the listener communicates a full awareness of what the speaker is experiencing. In summary, the listener's responses add deeper feeling and meaning to the expression of the speaker.

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97 Owning of Feelings in Interpersonal Processes Level 1 The speaker avoids accepting any of his feelings or he expresses feelings vaguely. When feelings are expressed, they are always seen as belonging to others, or situational and outside of himself. Example: The speaker avoids identifying of admitting to any feelings, or he discusses or intellectualizes about feeling in a detached, abstract manner and gives little evidence. In summary, any expression of feeling appears intellectualized, distant and vague. Level 2 The speaker can usually identify his specific feelings and their source, but tends to express what he feels in an intellectualized manner. Example: The speaker seems to have an intellectual grasp of his feelings and their origin, but has little emotional proximity to them. In summary, the speaker usually ties down and owns his feelings, but in an intellectual manner. Level 3 The speaker almost always acknowledges his feelings and can express them with emotional proximity, and at the same time shows awareness that his feelings are tied to specific behavior of his own and others. Example: The speaker shows immediate and free access to his feelings, expresses them in a genuine way, and is able to identify their origin. In summary, the speaker clearly owns his feelings and accurately specifies their source.

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APPENDIX I LETTER OF NOTIFICATION FOR TRAINEES May 4, 1971 Dear We have arranged some meeting times for the Communication Skills program we talked about. Due to details in scheduling, some of you will begin the program this week, while others will begin toward the end of the month. All of the sessions will be completed before the last week of classes. Below you will find the time that you will be meeting. It is important that you attend all three sessions, so plan to clear your calendar for these days. Day; Time: Dates; All the meetings will be held in the group room at the Counseling Center, 311 Little Hall. Wear comfortable clothes and please be prompt. We plan to start on time. If you have any questions, please call us, 392-1575. We're looking forward to seeing you. Sincerely, Jaquie Resnick Paul Schauble 98

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99 C •H Xi c o a m Pi > -H +J (D 4J •H iH •iH U (0

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100

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101

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REFERENCES American Personnel and Guidance Association, Professional preparation and standards committee. Support personnel for the counselor: their technical roles and preparation. Personnel and Guidance Journal 1967, 45^, 857-861. Anderson, S. C. Effects of confrontation by high and low functioning therapists. Journal of Counseling Psychology 1968, 15^, 411-416. Aspy, D. N. The helpers tools: chicken soup and rifles. Per sonnel and Guidance Journal 1970, 4_9, 117-118. Barrett-Lennard, G. T. Dimensions of therapist response as causal factors in therapeutic change. Psychological Monographs 1962, 76(43), No. 562. Berenson, B. C, Carkhuff, R. R. & Myrus, P. The interpersonal functioning and training of college students. Journal of Counseling Psychology 1966, 13^, 441-446. Berenson, B. G. Mitchell, K. M. & Laney, R. Level of therapist functioning, types of confrontation, and type of patient. Journal of Clinical Psychology 1968, 24, 111-113. Berenson, B. G. Mitchell, K. M. & Moravec, J. A. Level of therapist functioning, patient depth of exploration, and type of confrontation. Journal of Counseling Psychology 1968, 15, 136-139. Bergin, A. E. Some implications of psychotherapy research for therapeutic practice. Journal of Abnormal Psychology 1966, 71^, 235-246. Boyd, H. S., & Sisnay, V. V. Immediate self-image confrontation and changes in the self -concept. Journal of Con sulting Psychology 1967, 31, 291-294. Brown, W. F. Student-to-student counseling for academic adjustment. Personnel and Guidance Journal 1965, 48 811-816. 102

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103 Campbell, D. T., & Stanley, J. C. Experimental and quasi experimental designs for research Chicago: Rand McNally, 1967. Cannon, J. R. & Carkhuff, R. R. The effect of rater level of functioning and experience upon discrimination of facilitative conditions. Journal of Consulting Psy chology 1969, 33, 189-194. Cannon, J. R. & Pierce, R. M. Order effects in the experimental manipulation of therapeutic conditions. Journal of Clinical Psychology 1968, 2_4, 242-244. Carkhuff, R. R. Toward explaining success or failure in interpersonal learning experiences. Personnel and Guid ance Journal 1966, 4_4, 723-728. Carkhuff, R. R. Differential functioning of lay and professional helpers. Journal of Counseling Psychology 1968, 15, 117-126. Carkhuff, R. R. Helping and human relations: A primer for lay and professional helpers Vo 1 1 Selection and training New York: Holt, Rhinehart, & Winston 1969. (a) Carkhuff, R. R. Helping and human relations: A primer for lay and professional helpers Vo 1 2 Practice and Re search New York: Holt, Rhinehart, & Winston, 1969. (b) Carkhuff, R. R. Critical variables in effective counselor training. Journal of Counseling Psychology 1969, 16, 238-245. (c) Carkhuff, R. R. The prediction of the effects of teachercounselor education: the development of communication and discrimination selection indexes. Counselor Educa tion and Supervision 1969, 8^, 265-272. (d) Carkhuff, R. R. Training as a necessary pre-condition of education: the development and generalization of a systematic resource training model. Journal of Research and Development in Education 1971, 4_, 3-16. Carkhuff, R. R. & Banks, G. Training as a preferred mode of facilitating relations between races and generations. Journal of Counseling Psychology 1970, _17, 413-418. Carkhuff, R. R. & Berenson, B. G. Beyond counseling and therapy New York: Holt, Rhinehart & Winston, 1967. Carkhuff, R. R. & Berenson, B. G. The counselor is a man and a woman. Personnel and Guidance Journal 1969, 48 24-28.

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104 Carkhuff, R. R. Collinqwood, T. & Renz, L. The prediction of the effects of didactic training upon trainee level of discrimination and communication. Journal of Clinical Psychology 1969, 23, 460. Carkhuff, R. R. Friel, T., h Kratochvil, D. The effects of sequence of training in counselor-responsive and counselorinitiated conditions. Co unselor Education and Super vision 1370, 9, 106-109. Carkhuff, R. R. & Griffin, A. H. The selection and training of human relations specialists. Journal of Counseling Psychology 1970, vf, 443-450. Carkhuff, R. R. & Griffin, A. H. The selection and training of functional professional for the inner-city and pres choo 1 Journal of Rese arc h and Deve lopment in Educa tion, 1971, 4,~"87-:)"6. Carkhuff, R. R. Kratochvil, D. & Friel, T. The effects of professional training: the communication and discrimination of facilitative conditions. Journal of Counseling Psychology 1968, 15, 68-74. Carkhuff, R. R. f< Truax, C. B. Lay mental health counseling: the effectiveness of lay group counseling. Journal of Consulting Psyc hology, 1965, 29^, 426-431. (a) Carkhuff, R. R. & Truax, C. B. Training in counseling and psychotherapy: an evaluation of an integrated didactic and experiential approach. Journal of Consulting Psychology 1965, 2^, 333-336. (b) Carkhuff, R. R, & Truax, C. B. Toward explaining success and failure in interpersonal learning experiences. Personnel and Gu idance Journal 1966, 44^, 723-728. Chittick, E. v., & nimelstein, P. The manipulation of selfdisclosure. Jour nal of Psychology 1967, 6_5, 117-121. Collingv/ood, T. R. The effects of large group training on facilitative interpersonal communication. Journal of Clinical Psychology 1969, 25^, 461-462. Davit z, J., & Davit z, L. Non-verbal vocal communication of feeling. Journal of Communication 1961, 1_1, 81-86. Delaney, D. J., & Heimann, R. Effectiveness of sensitivity training on perception of non-verbal communication. Journal of Counseling Psycholog y, 1966, 1_3, 436-440. Dendy, R. F. A model for th e tr aining of undergraduate resi dence hall assistants as paraprotessional counselors

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105 using videotape techniques and interpersona 1 process re call (IPR ) (Doctoral dissertation, Michigan State University) Ann Arbor, Michigan: University Microfilms, 1971. No. 72-8676. Drag, L. R. Experimenter-subject interaction: a situational determinant of differential levels of self-disclosure. Unpublished master's thesis, University of Florida, 1968. Epting, F. R. Suchman D. I., & Barker, E. N. Some aspects of revealingness and disclosure: a review. Unpublished manuscript, University of Florida, 1968. Ferguson, G. A. Statistical analysis in psychology and edu cation (3rd ed.) McGraw Hill, 1971. Fiedler, F. E. Comparison of therapeutic relationships in psychoanalytic, non-directive, and Adlerian therapy. Journal of Consulting Psycholog y, 1951, 1_4, 436-445. Fraleigh, P. W. & Buchheimer, A. The use of peer groups in practicum supervision. Counselor Education and Super vision 1969, 8_, 284-288. Fuerst, R. E. Turning-point experiences. Unpublished doctoral dissertation. University of Florida, 1965. Gendlin, E. Experiencing and the creation of meaning; A philosophical and psychological approach to the subjec tive The Free Press of Glencoe, 1962. Gendlin, E. & Tomlinson, T. A scale of experiencing and a scale of relationship qualities. Unpublished manuscript, Wisconsin Psychiatric Institute, 1961. Coyer, R. S. Communication, communicative process, meaning: toward a unified theory. Journal of Communication 1970, 20, 4-16. Gust, T. Support personnel vs. the counselor. Counselor Education and Supervision 1968, 7_, 152-154. Haase, R. F., & DiMattia, D. J. The application of microcounseling paradigm to the training of support personnel in counseling. Counselor Education and Supervision 1970, liO, 16-22. Hansen, J. C. Moore, G. D., & Carkhuff, R. R. The differential relationships of objective and client perceptions of counseling. Journal of Clinical Psychology 1968, 24 244-246. Heller, K. Davis, J. D. & Myers, R. A. The effects of interviewer style in a standardized interview. Journal of Consulting Psychology 1966, 3_0, 501-508.

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106 Higgins, W. H. Ivey, A. E., & Uhlemann, M. R. Media therapy: a programmed approach, to teaching behavioral skills. Journal of Counseling Psychology ^ 1970, 17, 20-26. Himelstein, P., & Kimbrough, W. W. A study of self-disclosure in the classroom. Journal of Psychology 1963, 55, 437-440. Holder, T. Carkhuff, R. R. & Berenson, B. G. Differential effects of the manipulation of therapeutic condition upon highand low-functioning clients. Journal of Counseling Psychology 1967, 1£, 63-66. Hountras, P. T. & Anderson, D. L. Counselor conditions for self-exploration of college students. Personnel and Guidance Journal 1969, 4_8, 45-48. Ivey, A. E., Normington, C. J., Miller, C. D. Morrill, W. H., & Haase, R. F. Microcounseling and attending behavior: an approach to prepracticum counselor training. Journal of Counseling Psychology 1968, 15^, Part II. Jourard, S. M. Personal adjustment: An approach through the study of the healthy personality New York: Macmillan, 1958. Jourard, S. M. Self-disclosure and other-cathexis Journal of Abnormal and Social Psychology 1959, 5_9, 428-31. Jourard, S. M. Healthy personality and self-disclosure. Mental Hygiene 1959, 43_, 499-507. Jourard, S. M. The transparent self Princeton, New Jersey: Van Nostrand, 1964. Jourard, S. M. Disclosing man to himself Princeton, New Jersey: Van Nostrand, 1968. Jourard, S. M. The effects of experimenter's self-disclosure on subjects' behavior. In C. Spielberger (Ed.), Current topics in clinical and community psychology Vol. 1. New York: Academic Press, 1969. Pp. 109-150. Jourard, S. M. & Jaffee, P. E. Influence of an interviewer's disclosure on the self-disclosing behavior of interviewees, Journal of Counseling Psychology 1970, _3' 252-257. Jourard, S. M. & Landsman, M. J. Cognition, cathexis, and the "dyadic effect" in man's self-disclosure behavior. Merrill-Palmer Quarter of Behavior and Development 1960, 178-186.

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107 Jourard, S. M. & Lasakow, P. Some factors in self^ disclosure. Journal of Abnormal and Social Psychology 1958, 56^, 91-98. Jourard, S. M. & Resnick, J. L. Some effects of selfdisclosure among college v.'omen. Journal of Humanistic Psychology 1970, 10, 84-93. Jourard, S. M. & Richman, P. Disclosure output and input in college students. Merrill-Palmer Quarterly of Behavior and Development 19G3, ^, 141-148. Kagan, N. Reaction to Whiteley-Jakubov;ski article. Counselor Education and Supervision 1970, 1_0, 94-95. Kagan, N. Krathwohl, D. R. & Miller, R. Stimulated recall in therapy using videotape: a case study. Journal of Counseling Psychology 19G3, 1£, 237-243. Kagan, N. Krathwohl, D. R. et al. Studies in human inter action; Interpersonal process recall stimulated by video tape. East Lansing, Michigan: Educational Publication Services, Michigan State University, 1967. Kell, B. & Mueller, W. J. Impact and change; A study of counseling relationships New York; Appleton-CenturyCrofts, 1966. Kiesler, D. J. Basic methodological issues implicit in psychotherapy process research. American Journal of Psychotherapy 1966, 20, 135-155. Kiesler, D. J. Klein, M. H. & Mathieu, P. L. Sampling from recorded therapy interview: the problem of segment location. Journal of Consulting Psychology 1965, 2_9, 337-344, Kiesler, D. J., Mathieu, P. L. & Klein, M. H. Sampling from the recorded therapy interview; a comparative study of different segment lengths. Journal of Consulting Psychology 1964, 2^, 349-357. Kirk, R. E. Experimental design: Procedures for the behavioral sciences. Belmont, Calif.: Brooks/Cole, 1968. Landsman, T. Positive experience and the beautiful person. Presidential address presented at the meeting of the Southeastern Psychological Association, September 1966. Landsman, T., & Lane, D. Audio-visual media yes, depersonalization no, Audio-Visual Instruction, 1963, 8, 24-28.

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108 Leitner, L. A. Client self-exploration as a function of reference to significant others. Journal of Clinical Psycholog y, 1969, 2_5, 339-340. Loeffler, D. Counseling and the psychology of communication. Personnel and Guidance Journal 1970, 4J_ 629-636. Mable, P. Plans for the Student Volunteer Program, Division of Housing, as related to student living groups and the university coiiimunity. Unpublished manuscript, University of Florida, 1970. Magoon, T. M. & Golann, S. E. Nontraditionally trained women as mental htalth counselors-psychotherapists. Personnel and Guidance Journal 1966, 44_, 788-793. Markey, M. J., Frederickson, R. H., Johnson, R. W. & Julius, M. H. Influence of playback techniques on counselor performance. Counselor Education and Supervision 1970, 9, 178-182. Matarazzo, J. D. Wiens, A. N. & Saslow, G. Studies in interview speech behaviors. In L. Krasner & L. P. Ullmann (Eds.), Resea rch in behavior modification New York: Holt, Rhinehart & Winston, 1965. Pp. 179-210. McKenzie, D. H. Tv;o kinds of extreme negative human experiences. Unpublished doctoral dissertation, University of Florida, 1967. McNemar, Q. Ps ychological statistics (3rd ed.) New York: Wiley, 1962. Mezzano, J. Group counseling with low-motivated male high school students--comparative effects of two uses of counselor time. Journal of Educational Research 1968, 6J., 222-224. Mitchell, K. M. Stanford, E. R. Bozarth, J. D. & Wyrick, T. J. Effects of short-term training on residence hall assistants. Counselor Education and Supervision 1971, 1^, 310-318. Moore, F. J., Chernell, E., & W^est, M. J. Television as a therapeutic tool. Archives of General Psychiatry 1965, 12, 217-220. Muehlberg, N. Pierce, R. & Drasgow, J. A factor analysis of therapeutically facilitative conditions. Journal of Clinical Psychology, 1969, 25, 93-95.

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109 Patterson, C. H. Subprofessional functions and short-term training. Counselor Education and Supervi sion, 1965, 4, 144-146. Piaget, G. W. Berenson, B. G. & Carkhuff, R. R. Differential effects of the manipulation of therapeutic conditions by highand moderate-functioning therapists upon highand lowfunctioning clients. Journal of Consulting Psychology 1967, 31.' 481-486. Pierce, R. Carkhuff, R. R. & Berenson, B. G. The differential effects of highand low-functioning counselors upon counselors-in-training. Journal of Clinical Psychology 1967, 23^, 212-215. Pierce, R. & Drasgow, J. Teaching facilitative interpersonal functioning to psychiatric inpatients. Journal of Counseling Psycholog y, 1969, 16, 295-298. Pierce, R. & Schauble, P. G. Graduate training of facilitative counselors: the effects of individual supervision. Journal of Counseling Psychology 1970, 17 210-215. Pierce, R. Schauble, P. G. & Wilson, F. R. Employing systematic human relations training for teaching constructive helper and helpee behaviors in a group therapy situation. Journal of Research and Development in Ed ucation 1971, £, 97-109. Poling, E. G. Videotape recordings in counseling practicum: II. Critical considerations. Counselor Education and Supervision 1968, 8_, 33-38. Poser, E. G. The effect of therapists' training on group therapeutic outcome. Journal of Consulting Psychology 1966, 30, 283-289. Resnikoff, A., Kagan, N. & Schauble, P. G. Acceleration of psychotherapy through stimulated videotape recall. American Journal of Psychotherapy 1969, 2A, 102-111. Reiff, R. Mental health manpower and institutional change. American Psychologist 1966, 2_, 540-548. Rioch, M. J. Changing concept of training therapists. Journal of Consulting Psychology 1966, 22.' 290-292. Rogers, C. R. The necessary and sufficient conditions of therapeutic personality change. Journal of Consulting Psychology 1957, 2j^, 95-103.

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110 Rogers, C. R. The interpersonal relationship: the core of guidance. Harvard Review 1962, 3_2, 416-429. Rogers, C. R. & Dymond, R. F. Psychotherapy and personality change Chicago: University of Chicago Press, 1954. Rogers, C. R. Gendlin, E. Kiesler, D. & Truax, C. B. (Eds.) The therapeutic relationship and its impact: A study of psychotherapy with schizophrenics^ Madison, Wisconsin: University of Wisconsin Press, 1967. Rogers, C. R. Walker, A., & Rablen, R. Development of a scale to measure process changes in psychotherapy. Journal of Clinical Psychology 1960, 16, 79-85. Rosenthal, R. Fode K. L, Vikan-Kline, L. & Persinger, G. W, Verbal conditioning: mediator of experimenter expectancy effects. Psychological Reports 1964, 14, 71-74. Ryan, C. W. Video aids in practicum supervision. Counselor Education and Supervision 1969, £, 125-129. Salim, M. & Vogan, H. J. Selection, training, and functions of support personnel in guidance: the counselor assistant project. Counselor Education and Supervision 1968, 1_, 227-236. Scharf, K. R. Training of resident assistants and peer group members in the communication interactional process skills of empathic understanding of student feeling and student depth of self-exploration (Doctoral dissertation, Michigan State University) Ann Arbor, Mich.: University Micro Films, 1971. No. 72-16, 509. Schauble, P. G. The acceleration of client progress in counseling through Interpersonal Process Recall. Unpublished doctoral dissertation, Michigan State University, 1970. (a) Schauble, P. G. Videotape as a tool for training residence staff personnel. Paper presented at the meeting of the American College Personnel Association, St. Louis, Missouri, March 1970. (b) Schiff, S. B., & Reivich, R. Use of television as an aid to psychotherapy supervision. Archives of General Psy chiatry 1964, 10, 84-88. Shapiro, J. G. Agreement between channels of communication in interviews. Journal of Consulting Psychology 1966, 30, 535-538.

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Ill Shapiro, J. G. Relationship between expert and neophyte ratings of therapeutic conditions. Journal of Con sulting and Clinical Psychology 1968, 32^, 87-89. Shapiro, J. G. Krauss, H. H. & Truax C. B. Therapeutic conditions and disclosure beyond the therapeutic encounter. Journal of Counseling Psychology 1969, 16 290-294. Suchman, D. I. A scale for the measure of self-disclosure in spoken behavior. Unpublished master's thesis, Ohio State University, 1965. Suess, J. F. Teaching clinical psychiatry with closedcircuit television and videotape. Journal of Medical Education, 1966, 41, 483-488. Sullivan, H. S. The interpersonal theory of psychiatry New York: Norton, 1953. Truax, C. B. Effective ingredients in psychotherapy: an approach to unraveling the patient-therapist interaction. Journal of Counseling Psychology 1963, 10 256-263. Truax, C. B. Therapist empathy, wajrmth, and genuineness and patient personality change in group psychotherapy: a comparison between interaction unit measures, time sample measures, and patient perception measures. Journal of Clinical Psychology 1966, 22^, 225-229. Truax, C. B. An approach to counselor education. Counselor Education and Supervision 1970, 1^, 4-15. Truax, C. B. & Carkhuff, R. R. Client and therapist transparency in the psychotherapeutic encounter. Journal of Counseling Psychology 1965, 12^, 3-9. (a) Truax, C. B. & Carkhuff, R. R. The experimental manipulation of therapeutic conditions. Journal of Consulting Psy chology 1965, 29, 119-124. (b) Truax, C. B., & Carkhuff, R. R. Toward effective counseling an d psychotherapy: Training and practice Chicago: Aldine, 1967. Truax, C. B. & Lister, J. L. Effectiveness of counselors and counselor aides. Journal of Counseling Psychology 1970, 17, 331-334.

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Truax, C. B., Wittmer, J., & Wargo, D. G, Effects of the therapeiJtic conditions of empathy, non-possessive warmth, and genuineness on hospitalized mental patients during group therapy. Journal of Clinical Psychology 1971, 27 137-142. Vitalo, R. L. Effects of facilitative functioning in a conditioning paradigm. Journal of Counseling Psychology 1970, 17, 141-144. Vriend, T. J. fligh-performing inner-city adolescents assist low-performing peers in counseling groups. Personnel and Guidance Journal 1969, 47_, 897-904. Walz, G. R. & Johnston, J. A. Counselors look at themselves on videotape. Journal of Counseling Psychology 1963, 10, 232-236. Watzlawick, P., Beavin, J., & Jackson, D. Pragmatics of human communication New York: Norton, 19 67. Webster's seventh new collegiate dictionary Springfield, Massachusetts: G. & C. Merriman, 1969. Whiteley, J. M. & Jakubowski, P. A. The coached client as a research and training resource in counseling. Counse lor Education and Supervision 1970, £, 19-29. Winer, B. J. Statistical procedures in experimental design New York: McGraw Hill, 1962. Wittmer, J. The effects of counseling and tutoring on the attitudes and achievement of seventh-grade underachievers. The School Counselor 1969, 16_, 287-290. Wittmer, J., & Lister, J. L. Microcounseling and microcounseling-consultation via videotape. Counselor Ed ucation and Supejrvision 1970, IJ^ 238-240. Wolff, T. Undergraduates as campus mental health workers. Personnel and Guidance Journal 1969, 4_8, 294-304. Yamamoto, K. Healthy students in the college environment. Personnel and Guidance Journal 1970, 4_8, 809-816. Zunker, V. & Brown, W. F. Comparative effectiveness of students and professional counselors. Personnel and Guidance Journal, 1966, 44, 738-743.

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BIOGRAPHICAL SKETCH Jaquelyn Liss Resnick was born in Miami Beach, Florida, on February 23, 1946. On August 20, 1967, she married Michael Bruce Resnick. Their son, Aaron Rene, was born on January 18, 1972. Ms. Resnick graduated from Bryant High School in New York City in June, 1962. She attended Boston University and the University of Florida, during which time she also attended a summer session at the University of Florence, Italy. She graduated v/ith honors from the University of Florida in April, 1966, receiving a Bachelor of Arts degree with a major in Mathematics. She was awarded a three-year NDEA Title IV Fellowship for graduate study in counseling. In August, 1967, she received a Master of Education degree from the Department of Counselor Education at the University of Florida. Ms. Resnick continued her doctoral studies in that department. In June, 1969, she completed her doctoral internship at the University of Florida Psychological and Vocational Counseling Center, where she 113

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114 has since been employed as a counseling psychologist. She has served as a consultant to the University of Florida Division of Housing and Extended Educational Opportunities Program (EEOP), and to the Alachua County Community Psychological Center. She v/as elected to Phi Beta Kappa, Phi Kappa Phi, Mortar Board, and Pi Lambda Theta honorary organizations. She is a member of the American Psychological Association, the Southeastern Psychological Association, the Association for Humanistic Psychology, the American Personnel and Guidance Association, and the American College Personnel Association.

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I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. Wictmer, Chairman /Associate Professor of Education I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. /James L. Lifter Professor of Education I certify that I have read this study and that in my opinion it conforms to acceptable standards of scholarly presentation and is fully adequate, in scope and quality, as a dissertation for the degree of Doctor of Philosophy. Sidney M*; Jours Professor of P^chology

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This dissertation was submitted to the Dean of the College of Education and to the Graduate Council, and was accepted as partial fulfillment of the requirements for the degree of Doctor of Philosophy. December 1972 6l Dean, College of Education J/i'c^d/^ Dean, Graduate School

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^\ IH^I 'Z ci. ^ A^


The effectiveness of a brief communications skills program involving facilitative responding and self-disclosure trainin...
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Title: The effectiveness of a brief communications skills program involving facilitative responding and self-disclosure training for student volunteers in college residence halls
Physical Description: xv, 114 leaves. : ; 28 cm.
Language: English
Creator: Resnick, Jaquelyn Liss
Publication Date: 1972
Copyright Date: 1972
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Subjects / Keywords: Communication   ( lcsh )
Helping behavior   ( lcsh )
Counseling   ( lcsh )
Counselor Education thesis Ph. D
Dissertations, Academic -- Counselor Education -- UF
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Bibliography: Bibliography: leaves 102-112.
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ThE EFFECTIVE.ES OF . PIEP CI:Ni. 1IICATIONS
; 'Ti.LS PI-:ROGP i :i.'.',LI',l iG F.'.CTILIT..TIVE RL P,;UDIiG2
AlJu LLF--blSCLOD LUI. '-' i,.illi FLOP S'LJDL 'T i':j l,,'. :I;3
IlN CO:LLL'GE PESILE.'IECE H-.LL,












Py

7.' -." '..;' / i 3S i ,l,::












A DISSL.P.T;i.TlI FF. _FN TE.' 10 THLU ,.(I U TATE CCOUCl L II' OF
THE UNI'. FSi'J- i OF FLa..f i'... jM -'.'T ii-.L
FULUILLIlL'UT 0-' F HF r:F rlF FIT W7 F,. TilE 'E:GREE OF
D'OCTI F: CF f-iII.'OS,:'fil


UN!I'.';.F ITY OF LOFL.TID:.
1972





















































Copyright by
Jaquelyn Liss Resnick
1972
































To riy pv.ren!t














It takes t'.:o to spcak tihe tcLrtlh--
one to speak, and arnii th-r to ihea!:.

iHnr, Da"ld Thornau















AC FkJOWLEDGRFENTS


I would like to express my deep appreciation to the

following people:

. . Joe Wittmer, who in taking over the chairmanship of

this dissertation, has been so available and

supportive, and in general very helpful.

S. Jim Lister, for his expert editorial assistance.

* .Sid Jourard, for teaching me about research and human

potential, and for offering his friendship.

* . Ted Landsman, who has served as chairman, guide and

friend through most of my graduate career.

* .Art Combs, for introducing me to a humanistic view of

psychology.

* . Harry Grater and the staff at the University Coun-

seling Center, for their warm support and en-

couragement for offering me their trust, and hclp-

ing me to grow.

. Paul Schauble, who shared in developing and carrying

out the training program, and was a special

friend.







. . Bill are, who generously srved as statistical

consultant.

. . Nancy Weler and mernImbIr of Bro:~-.-cd and FRawiings

Residence Halls for their cooperation and

enthusiasm.

S. To the many students v.ho pjcLticipated in this study.

. . Linduood Small and Cindy D-e:.'ey for servin most

ably as judges.

Nancy McDa'.'id for ty[-'inr- tlih manuscript.

S. My son, Aaron, who has brr.Lgqht mw so much joy.

S. 1My husband, Michael, f-rr b inn. all he has been to me.















TABLE OF CONTENTS

Page

AC ~fIOWLEDGMENTS . . . . . . . . . iv

LIST OF TABLES. . . . . . . . . .. i

LIST OF APPENDICES. . . . . . . . .. .i

ABSTRACT. . . . . . . . .... .... :i

CHAPTER

I INTRODUCTION. . . . . . . .. .1
Introduction . . . . . .. 1
Statement of the Problem . . . 3
Purpose. . . . . . . . .5
Model of Comrmunication . . ... 5
Hypotheses . . . . . . . 7

II REVIEW OF 'HE LITERATURE. . . ... .
The Use of Lay Helpers:
Paraprofessionals. . . . . 8
Peer counseling . . . . .. 11
The Conditions Characterizing Facili-
tative Interpersonal Relationships 12
Self Disclosure. . . . . .. 17
Non-verbal communication . 23
Training Programs. . . . . .. 24
Systematic, integrated training
programs .......... . 24
Videotape and interpersonal process
recall. . . . . . . . 27
Microcounselina . . . . . 29
Summary. . . . . . . . 31
Implications for a Training Program. 33







TABLE OF CO:ITEHTS CONTINUEDD)


CHAPTER Page

III DESIGN AUID METHCDOLCOY. . . . . 35
Design . . . . . . . .. 35
Sample . . . . . . ... .37
Experimental subjects . . . 37
Standard clients. . . . .. 37
Trainers. . . . . . . 33
Description of L:.perimental
Procedure. . . . . . . . 39
Experimental Treatment Programs. . 40
Instruments. . . . . . . 42
The Helpee Self-Exploration in
Intrerpersonal Processes Sc.al . 43
The Gross Ratings of Facilitative
Interpersonal Functioning Scale . 43
Rating Process Scales. . . . .. 46
Segment size and location ... . 46
Validity of independent judges'
ratings . . . . . . .. .47
Selection and training of judges. 4
Analysis of the Data ........ .49
Null Hypotheses. . . . . ... 49

IV ANALYSTS OF THE D'AT.. . . . . ... 50
Rater Reliability. . . . . .. 50
Evaluation of the Expeririental Treat-
ment Program .. . . . . .. 52
Discussion . . . . . . . 59
Trainees' Subiecti.'e Evaluation. . 60
Relationship Bet:.'een Facilitative
Responding and Self-Disclosure . . 62
Summary. . . . . . . ... 66

V SUMR-ARY IAND IM'PLIC-TTrIONS. ... . 6S
S uiuTa ry. . . . . . . . ... 68
Implicaticns .. . . . . . .. 71
Limitations. . . . . . .. 71
The Training Program . . . .. 71
Selection of trainees .. ..... 71
Length of the training program. 72
Instruments . . . . . .. .73
The Relationship Eet:.'een Facilitati.ve
Responding and Helpee-Disclosure . 74
Conclusions . . . . ... 75








TABLE OF CONTENTS (CONTINUED)


Page

A.PP Et.DI ; . . . . . . . .. . . 76

RE FEF.F ;C S ................... 102

BIOCGFJ .PHICAL,,. .-IKETCH . . . . . . . 113


viii














LIST OF TABLES


TABLE Page

4.1 AtNLYSIS OF .VAFRIAICE : PATER-RELIAEILITY
ON TIHE GROSS PrATIICS OF INTERPERSONAL
FUNCTIONING SCALE (HELPERS) . . .. 51

4.2 ANALYSIS OF .APIANCE: P.ATER-kELIAILITh
011 TIiE HELPED SELF-EXPLOPRATION IlI IiTER-
PERSOiNAL PROCESSES SCALE (HELPEES). . 53

4.3 ANA-LYSIS OF '.ARIAICE: PATEP-RPLLZBILITY
OI1 THE HELPED SELF-EXPLOPSTION IN INTER-
PERSONAL PROCESSES SCALE (HELPERS). . 54

4.4 M.E;IS ArND STANDAFRD DEVL-TIOilS OF PRE-
TREATILEJIT, POST-TREATMENT, AID DIFFERENCE
SCOPES OF FACILITATI' RESPOliDILG . . 55

4.5 TWO-WAY ANALYSIS OF '.A'IAi.CE WITH REPEATED
MEASURES: FACILITA-TI'.'E RESPONDIIC. 55

4.6 MEAiS ANID STANDARD DEVIATIONS OF PRE-
TREATNMEIT, POST-TREA-TMElIT, AIID DIFFEPIENCE
SCORES OF IIELP.E-DISCLOSUPL . . .. 56

4.7 TWO-WAYI AINLYSIS OF VARIANCE WITI REPEATED
EA.SUFRES: HELPEE-DISCLOSURE . . .. 56

4.8 MLlAIlS IAD STA!IDAPRD DE'.'LATIOriS OF PFPN-
TPREA TMlEIT, POST TF.F-tTI-EIIT, AID DIFFERENCE
SCORES OF SELF-DISCLOSURE . . . .. 57

4.9 TWO-UAY ANALYSIS OF '.'ARIAIICE WITH REPEATED
MEASURES: SELF-DISCLOSURE. . . .. 57

4.10 OilE-WAY A' ;ALYVS OF 'VARI?.iCE WITH REPEATED
ME.ASUFL5S : FACILITATIET RE: POITII 1G,
GROUP I . . . . . . . .. .61








LIST OF TABLES (CONTINUED)


TABLE Pa -J:-

4.11 PEARSOC' PRODUCT-MOMENT CORRELATION
COEFFICIENTS FOR RATINGS OF FACILI-
TATIVT RESPONDING AND HELPEE-DISCLOSURE 64

4.12 PEARSON PRODUCT-MO LET CORRELATION
COEFFICIENTS FOR RATINGS OF FACILITATI'VE
RESPONDING AND HF LPEE-DISCLOSURP WITil
RESPECT TO HIGH AND LO'. DISCLOSURE. .. 65

















LIST O0 APPENDI.CES


APPENDIX


A HELPED SLLF-r.T-''LOCF.TIOi Ill IITERPERSONIAL
PF.OCE SL SC LE . . . . . .

B GROCS RPAT'ING FA CILIT.TI ', INTTER-
PERSONAL ICTIO[:G SCALE . . .

C H1OIEWORK, .ASIcD;IlLuiT FOR GROUP I,
SE SIO 1 . . . . . . .

D HONIEI.OFU: ASSIG-:.;NEtiT FOR r.OUP I,
SESSIO: 2 . . . . . . .

E HOr IEWiOPFH ASSIG!:L-LUT rOF'. CRLOUP II,
SESSION 1 . . . . . . .

F HOf-IEWOR1. .ASFIGi!fIljTT FOR CROUP II,
SESSIO 2 . . . . . . . .

G INSTFU'CTIOU;S Tni HELPEES AVND HLLFEFS

H PROCESS R.TIIic CALLS FOR TFAIIIIIG

Ernpathic indeLcstanding in Inter-
personal Proccc-- . . . . .

Car.inij of Fe-lirni inr Interpersonal
Procec es . . . . . .

I LETTER OF INOTIFICATIOHI FOR TRAIIEES .

J FAW DATA

Facilitati-.- Rcrpondinq . . . .
Helpee-Dis : closure . . . . .
Se-lf-Di clo-sure. . . . . .

xi


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S 80


S 86



S 88



S 92

93





S 95



S 97

98




S 99
S 100
S 101







Abstract of Dissertation Presented to the Graduate Council
of the University of Florida in Partial Fulfill-mnt
of the Requirements for the Degree of Doctor of Philosophy

THE EFFECTIVENESS OF BRI.F COMMUNIICATI')li!S
SKILLS PROGRAM INVOLVING FACILITATI'.E PRFFrOUrDItG
AND SELF-DISCLOSURE TRAINING FOR STUDEI7T VOLiRTTEEPS
IN COLLEGE RESIDENCE HALLS

By

Jaquelyn Liss Resnick

Chairman: Joe Wittmer
Major Department: Counselor Education

The purpose of this study was to develop and in-

vestigate the effects of a brief communication zl:ills pro-

gram on the interpersonal effectiveness of participants

in the Student volunteerr program at the Universit, of

Florida. Student Volunteers are selected undergraduate

students who enroll in a credited course related to stu-

dent development in the university setting, and '..'ho arc

expected to serve as general peer counselors to fello'.-.'

students in the residence halls. Research has demonstrated

the potential effectiveness of training paraprofeasionals

to facilitate their interpersonal functioning with helpees.

An experimental treatment program which irnterated

communication skills with additional self-disclo:ure

training (Group I) w:as compared with a communication skills

training program alone (Group II) and a control group









receiving delayed treatment following the investigation

(Group III). A two-part model of communication was em-

ployed: the generator of the message, the disclose;

and the perceiver who assigns meaning to the communication.

the facilitative respondent.

The training program combined three major trends in

methodology: systematic, integrated didactic and ex-

periential training; the use of videotape and Interpersonal

Process Recall; and the microcounseling paradigm. The

training w.-as led by two experienced counselors from the

University Counseling Center. The three groups ;were com-

posed of 15 female membe-rs each.

The dependent variables were Facilitative Responding

(FR); Helpee-Disclosure (HD); and Self-Disclo-sure (SD).

The null hypotheses were that there would be no systematic

interaction effects between treatment and time of testing

across groups for the three dependent variables.

The Ss acted as helpers and helpees in separate 15-

minute analogue counseling sessions with standard partners

both before and after the e::perimental treatment. E::-

cerpts from these audiotape-recorded interviews were coded,

randomly ordered, and submitted to trained judges for rating.


x:1i i






The instruments used -.'ere two process rating scales: the

Grrss Ratings of Facilitative Interpersonal Functioning

Scr.-ic ((ITF), and the Helpee Self-Exploration in Interpersonal

Proc ess Scale (D ) Measures of FR were obtained from the

GIF -cale: measures of HD and SD were obtained from the D:x

scale. The rater reliability (r) calculated between judges

ranqed from .91 to .98.

According to the split-plot design with repeated

measures, a tw o-way analysis of variance was performed

across the three groups for each dep-endent variable. Sig-

nificant pre- to post-treatment gains were found across

groups for FR and SD. However, the null nypotheses were

accepLed since interaction effects did not rcach statistical

significance. It was not possible to conclude from the

analyEis of the data that any one treatment demonstrated

greater effectiveness as a training program.

It was interesting to note that for Group I, pre- to

post-treatment gains were significant at the .05 le.el with

respect to FR. These differences were not found for the

other two groups. Subjective evaluations made by the

trainees following treatment indicated that they perceived

the training as a valuable experience. This was not con-

firmed by the objective ratings, where the average base level






of functioning was found to be significantly less than

minimally facilitative.

The relationship bet-'ccn FR and IHD was re-examined in

terms of helpee-characteristics. Pearson product-moment

correlations between FR and HD w.'ere calculated for pre-

treatment, post-treatment, and combined data. Tre relation-

ship between FR and HD was found to be statistically sig-

nificant for low disclosers, as expected. For high dis-

closers, however, the correlations between FR and HD did

not reach significance, suggesting that the depth of self-

exploration of high disclosers is independent of the level

of facilitative conditions offered.

The implications of these findings '.were discussed with

respect to the training program and the theoretical and

methodological issues regarding the complex relationship

between F. and RD. Limitations of the current program were

noted and directions for further research were indicated.














CHAPTER I


INTRODUCTION


Introduction

The present shortage of professional mental health

workers has given a new impetus to investigations focusing

on what appears to be the active therapeutic ingredients

of the counselor-client interaction (Poser, 1966). Rogers

(1957) has described several non-academic dimensions as

characteristic of the effective helping relationship. This

view that central interpersonal skills, rather than a par-

ticular theoretical orientation or special knowledge, are the

critical dimensions has received considerable experimental

support (Carkhuff & Berenson, 1967; Trua:-: S Carkhuff, 1967).

These findings also suggest that effecti-ve counseling can

be carried out by personnel without professional traiinng.

Reviews of several research projects (Carkhuff, 1969a,

19G9b; Carkhuff & Berenson, 1967; Rogers, Gendlin, Eiesler, &

Truax, 1967; Truax & Carkhuff, 1967) demonstrate that sys-

tematic training of lay personnel results in their attaining

minimally facilitative levels of interpersonal functioning--

in some cases at levels significantly higher than professional

trainees and practitioners. Studies describing the spontaneous









improvement of clicit control groups (no treatment) in

psychotherapy research also lend credence to the idea that

people other thnn professionals offer helping conditions

which prc.,ote p3sitiv'e change Fergin, 1966).

Landsman (19C6) and his associates (Fuerst, 1965;

McKenzie, 1967) in their studies of positive human experience

and healthy personality, found that it is the human relation-

ship which is the primary source for both positive and

negative e:jperiences. Furthermore, a negative experience

that is shared with another person '.'ho is seen as a helper

increases the probability that the experience will be seen

later as h-ving ha3 beneficial effects on the individual

(McKcnzie, 1967). The availability of a helper (not necessarily

a professional ) at the time of crisis was more frequently

mentioned by persons describing negative-positive e::periences,

differentiating them from those describing negative-negative

experiences.

Carkhuff and Truax (1966) have proposed a developmental

model based on the degree of therapeutic conditions found in

human relationships:

While the evolution of the severely disturbed might
include a series of failing relationships, less
severely disturbed or moderately distressed may be
seen as consequents of some relationships that have
been facilitiative and socm which have been retarding . .
whilc the healthy case results from a succession
of essentially successful relationships [p.727].

Thus, facilitative human interaction has the potential for

providing positive intervention during crisis periods, and

daily supportive and gro.'th-producing contacts.








Statement of the Problem

Facilitative human interaction programs for positive

intervention are especially appropriate at the university

setting. Beginning students arriving on campus are con-

fronted with immensely complex tasks--meeting a new set

of academic standards, social codes, and other environmental

demands--typically without any close familial and familiar

support (Yamamoto, 1970). In this process, students are ex-

pected to pursue their long-range goals, while retaining

their self-confidence and learning effective coping strate-

gies.

It is generally agreed that student peer groups play a

key role in determining the course of events in college ex-

periences. Facing common tasks of adjustment and mastery,

students develop certain shared patterns of beliefs, :alues,

symbols, and actions. Such student cultures serve to facili-

tate both the process of accommodation and assimilation

(Yamamoto, 1970).

Universities have begun to respond to these personal-

social needs of their students by developing programs, often

in conjunction with students' living arrangements, which

recognize the many difficult tasks confronting incoming stu-

dents and attempt to foster personal adjustment and growth.

The aim of such programs is to maximize the therapeutic ef-

fect of the natural agents of the university, such as the

peer group, and to create a m3re efficient network of refer-

rals (Wolff, 1969). Describing the traditional reactive,








curative irlc l: n co'iaisliJlg: -here the fe.. are reached

through one-to-one *-our.s2ling or small groups, Aspy (1970)

notes :

For toa lon'j n3.ve limited ourselves to "sa'.'ing"
tli. victims (_of socIlLe ); noL it's time to initiate
training progr:.-,s to "pre'.ent" them [p.118 .

The Studrent '.oluntceL Frograri at the Uni.versity of

Florida ..as proposl-. in or.Jer to enhance student life and

the quality :f hurim :-e tionships among students in their

residence halls. Ire Studant Volunteers (SV's) are selected

male and fem:i:l uiiJer ir a:uute students w-ho participate in

the program for an a-ademic esear and who are expected to

enroll in a thros-cr.d Lt course related to student develop-

ment in the unit.. rslit setting. The S'.'s ser'.'v- essenitially

as "super good l --i.l.rs and companions" concerned about

the welfare of their peer-, w:ho can give, share, and

coinouunicate their concern t-. others; provide a personal

sense of stability for the living group experience and help

others develop their .win feelings of security and identity;

offer leadership; and hilp students get acquainted with

different aspects of the univ.ersit-y, such as courses,

activities and proi.?cgs, and helping services (Mable, 1970).

- Student Vo'luint::ars differ from counselors Loth in

the nature and duration of their contacts, and in their

responsibiilj.ty for tie students. Clearly, howe'.'er, they

are expected to be able to establish facilitative' inter-

personal relati?.nshii .s; :ith their felio.. students. The need

for a practical training program, In'.-ol'.-ing the acquisition









and refinement of interpersonal skills geared to th-. goals

of the University of Florida Student Volunteer Procr:,r..

became apparent.

Since the communicative process is a (if not the)

basic ingredient in all human relationships (Goyer, 19'0),

a training program in communication skills is mc.st appropr1-

ate. Sullivan (1953) has stressed the importance of the

verbal and non-verbal communication by which irntrpcisonal

relationships develop and regards these relationship- as

having the greatest significance for an individual's ..ehavi'.ir.


Purpose

The purpose of this study '..as to develop anJ invcstigat,-

the effects of a brief communication s-hills progra.c, on the

interpersonal effectiveness of Student Volunteers. ;: treat-

ment program which integrated communication shills with ad-

ditional self-disclosure training was compared with a communi-

cation skills program alone and with a control group recEccivin*

delayed treatment following the investigation.

Model of Communication

Communication is a "process by which meanings are e:-

changed between individuals through a common set of systems

(Webster's Dictionary, 1969)." Watzla:.'ick, Beavin, and

Jackson (1967) describe an item of communication not as a

single entity, such as a response, but rather as a part

of feedback loops (overlapping in a stimulus-response-

reinforcement sequence). An item of comniTunication by person









A, for example, is a respons- and reinforced to B's last

statement, as well as a stimulus to his nc.xt one (Loeffler,

1970). This mutualiti. of effect hc-.' be:n noted in the

counseling interview. ; by EKll a-nd M jeller (1966).

Go.er (1970) has dcscribh-,d a model of corrmiunication

invol'.'ing a sequence of e'.'its: (1) a .ig nerator of a (2)

stimulus which is (3) .ro.jecLd to a (4) perceiver who (5)

responds discriminati.v,.1y. Thus, the two main components

of communication emerge:

1. The generator--tl)e transmitter of the message,

the Disclos.:-r, and

2. The perceiv.er who assigns meaning to the communica-

tion, the Pacilitative. Fcespondent.

If the rec-eption is accurate, corim-unication has taken place;

if not, it remains only a nmrc.ag, sent.

The training program dev,'elr. d for teaching effective

communication skills to the -.','s w'as~ founded on this two-part

model of communication. The S/'" '.'ere tau.aht both the

discrimination and communication of facilitative responding.

In addition, one group of S' 's received spe-cific self-disclosure

training, with the focus on a processss concepticn of self-

disclosure, as e'll as the plro-cs of helpful responding.

Several distinct but interrelating trends in the literature

were integrated to form the basis of the treatment program:

the use of lay help-er; the co:ditons characterizing

facilitati.'e interpersonal relationships; the self-disclosure









process, including verbal and non-verbal communication; and

systematic training programs and current training methodology.

These concepts and related research findings are presented

in the review of the literature in Chapter II.


Hypotheses

The hypotheses are stated in research form, as follows:

HI: The group receiving ccuriunication skills training

with additional self-disclosure training will

increase their levels of Facilitati-.e Pesponding

more than will a group receiving communication

skills alone; both groups will increase their

levels of responding more than a control group

receiving no treatment.

H2: The group receiving communication skills training

with additional self-disclosure training will

elicit higher levels of Helpee-Disclosure than

will a group receiving communication skills alone;

both groups will elicit higher levels of disclosure

than a control group receiving no treatment.

H3: The group receiving corumunication skills training

with additional self-disclosure training will

increase their levels of Self-Disclosure more

than will a group receiving communication skills

alone; both groups will increase their levels of

disclosure more than a control group receiving

no treatment.














CHAPTER II


REVIEW OF THE LITEPATUTRE


Th-' Lse of Lay Helpers: Paraprofessionals

The greatly increased demand for personnel to provide

counseling and psychological services has resulted in the

development of a new group of positions in the helping

professions, referred to as paraprofessionals, lay helpers,

or support personnel. The responsibilities of these workers

vary considerably, converging mainly around two points of

view. One school of thought has been concerned with the

lowering of professional standards, and recorrumends-the use

of support personnel only as aides to professional workers,

freeing the latter from clerical and more menial duties

(Gust, 1968; Patterson, 1965; Salim & Vogan, 1968). The

Aiuerican Fersonnel and Guidance Association statement of

policy (APGA Professional Preparation and Standards Coriiu-ittee,

1967) regarding the roles of support personnel differentiates

the activities of lay helpers from the .'ork of the counselor

in several basic respects, with support personnel having

only restricted functions, and those under the direction

of a counselor.








Another group has emphasized the direct counseling

contributions of paraprofessionals, with considerable interest

in their selection, training, and effectiveness, (Carkhuff,

1968; Magoon & Golann, 1966; Poser, 196C; Reiff, 1966;

Rioch, 1966). Studies reporting the use of lay helpers in

this manner include both male and female helpers, with

diverse educational backgrounds ranging from college graduates

to hospital attendants with minimal schooling. Training

programs vary in length, with some as brief as 10 or 12 hours.

Extensive reviews of the literature assessing the

effects of such programs in terms of process and outcome

variables related to indexes of constructive client outcome

(Carkhuff, 1968; Carkhuff LI Beronscn, 1967; Truax & Carkhuff,

1967) have yielded the following conclusions:

1. Lay persons can be trained to function at minimally
facilitative levels of conditions related to
constructive client change over relatlrely short
periods of time.

2. Comparative studies indicate that following
training, on both identical and converted indexes,
lay trainees function at levels essentially as
high or higher and engage clients in counseling
process movement at levels as high or higher than
professional trainees.

3. Selected lay persons can effect significant
constructive changes in clients whom they see.

4. Selected lay persons with or without t training
and/or supervision can effect client change on
indexes assessed as great or greater than clients
of professional trainees and practitioners.
(Carkhuff, 1969a)

Truax and Lister (1970) compared the effectiveness

of untrained counselor aides and professionals (rehabilitation









counselors) under three case management conditions: counselor

alone; couirnlor assisted ty counselor aide; counselor aide

alone. The findings revealed the greatest client improvement

occurring '.:hen counselor aides handled the cases alone, and

the least client improvement when counselors were assisted

by counselor aidc:, supporting the position of directly

involving paraprofcssionals in the helping process.

Paraprofessionals have also served as helpers outside

of the counseling. rLlationship. Selected black parents

were trained as "'luman relations specialists" assigned to

integrated schools (Carkhuff & Banks, 1970; Carkhuff &

Griffin, 1970). sesesmentcs of their effectiveness sho'.;ed

them to be functioning above minimally faciiitative levels

by independent judges, students and staff. Carkhuff and

Griffin (1971), '.:orkiny with indigenous lay personnel of a

Head Start program, gave advanced training to those trainees

demonstrating the highest levels of communication skills,

and effectively taught them to become trainers themselves.

In the university setting, Wolff (1969) evaluated

the effect of group discussions held in the residence halls

on the intec-personal relations of college students. The

groups ..ere li.d ty undergraduate dormitory advisors and

psychology graduate students, with consultation by the mental

health service. The groups met for 10 sessions. The

criterion measures of interpersonal behavior used encompassed

man' aspects of campus life, with special interest on









sociometric measures of interpersonal relationships with

peers living in the duri ltorius. The findings suggest that

group e:.periences can f3-'oratly affect the interpersonal

relationships of fres!trman students. Participants were

perceived more fa.ora.'l and less unfavorably after the

sessions both by othcr rroup members and non-participants

living in their rcsid-jnce area..

Peer coun;,:in i. A particular use of paraprofessionals

is that of "peer counselors." The la, helper is selected

from the peer qgoup, of the tielpee population. Peer groups

have been cmployc:d to influencee sc-hool achievement, where

students 'wh]o already' L-noi-strrate the desired behaviors can

provide leadership and. role models for the positive develop-

ment of other studcnLt (Broen, 1965; Mezzano, 1968; Vriend,

1969; l:ittner, 1969') They hi-ae also been used in counseling

practicum supcrv.'ision to supplement the supervisor's role

and facilitate the supervisory process IFraleigh & Buchheirner,

1969).

ZunkLr and Bro.;n (1966) compared the effectiveness of

carefully trained student counselors with that of professional

counselors in providing academic guidance to beginning

freshmen. A. 50 hour training program '..as given to four

professionals and eight student counselors. The 160 ad'.isees

were carefully matched for each group. The evaluation

criteria were a pre- and post-treatment study test, a 60-

item questionnaire, and grade-point a-erage. The results










indicated that studcrt counselors '.:ero as effective as pro-

fessional counsolo3rs on -ill criterLa- in fact, student

counselor: achie'.ed. si-'n fic.,.ntll bittcr results on most

outcome variables. It a ilILl-: r.. hat the peer counselors

..,erc better acceptoJ by thr Lre&milr.vn than tie professional

counselors, '..hich l-d to more offi...tive interactions.


The Conrditions Charact.:i in Faci litativ-
Interpersonal Relatior ns a p-

"Helping" can be vit-:'i d .-: .ny' relationship iet:.'een a

"more knowing" pers'-n I--l-1:ri .:hther a counselor, super-

visor, teacher or parent, a-d .. A "lsSF knowing" person

(h,-lpc- ), a client, traine, studentt or child (Carkhuff,

1971). There is an e:-:tensi"e hod o.f ,-.'ideice suqqesting

that interactions bet',e-.-n "norre 1:rnc.'ing" and "less kno, ing"

persons m-ay have faciljtatriv-, or r-tardir.q effects upon the

"less knr-::ing" (Carkhuff, 196'-n, 19695 ; Carkhuff & Berenson,

1967; Trua:-. & Carkhuff, 1'67ji. To a large degree, the fa-

cilitat.'e or retirding efficcs caii bLe accounted for by a

core of dimensions i.hi-i are shared by all interactive human

processes, independent c. thrcoretichl orientation (Carkhuff,

1966; Rogers, 1962; Trua:-:, 1i63; Truax & Carkhuff, 1967;.

Fiedler's (1951) stud: revealing gieater similarities among

expert therapists ,of diffcrcnt rientations than between

experts and n.:n-e:-;perts witlirn a given orientation lends

support to this view. Tiie :-:perts were characterized as

sharing a capacity for understanding and effective conmruni-

cation to a higher degree than non-.:-:perts.









Rogers (1957) conceptualized tile helping relationship

as a heightening of the constructi: qualiti.- which often

e:;ist in part in other relationships. !c- outlined si:

conditions which he considered necessary and sufficient for

constructive personality change:

1. Two persons -rre in psycholo ical contact.

2. The first person (client) is in a state of
incongruence, beina.' vulner3able or an:.:ious.

3. The second person (therapist) is congruent or
integrated in the relationship.

4. The therapist e::pericnces unconditional7 positive
regard for the client.

5. The therapist e:-:periuencs arn emiatlic understanding
of the client's internal frau-ne of r.-ference and
endeavors to communicate this oe:p-cricnce to the
client.

6. The communication to the client of the therapist's
empathic understanding and unconditional positive
regard is to a minimal degree achieved.
(Rogers, 1957, p.96)

Condition 1 is either present or not; the other conditions

are on a continuum--the greater the degree to hnich they

are present, the more marked \:ill be the constructive

personality change in the client.

Rogers (1957) defines the three main therapeutic

dimensions as follows:

Genuineness: the therapist should be, within the
confines of the relationship, a congruent, genuine,
integrated person; he is freely and dee-ply himself,
with his actual experience accurately rcercsented by
his awareness of himself [p.97J.









Unconditional Positive ReP.arJ: the therapist warmly
accepts each aspect of the client's experience as
being a part of the client; there are no conditions of
acceptance. unconditionall positive regard exists
a. a matter of degree in any relationship [p.98].

Elrpathy: the therapist e:.perriences an ac-urate,
eir.'athic understanding of the client's a:.areness of
his own experience [p.99].

Parrett-Lennard (1962) developed the Relationship

TIn .-ntrory derived from Rogers' postulations, to measure

certain -jualities in the therapist's response to the client.

!'-.th the therapist and client answer the questionnaire which

iizisure. the therapist's level of regard for the client,

the degree to -.hich the regard is unconditional or ur-

qualified, the therapist's empathi: understanding, his

corgruence or genuineness, and his willingness to be known

by the client.

Process rating scales operationally defining empathy,

positive regard, and *genuineness have also been developed.

Early scales constructed by Truax (1963), with ranges up

to nine pFints, ha.e been revised and widely used in the

form described 1.by Carkhuff and Ferenson (1967). All the

scales are fiv'.-point, with Level 3 defined as the minimally

facilitative level of interpersonal functioning. For

e:-:xmple, on the Etrpathic understanding Scale, at Le.vel 3 the

verbal and behavioral expressions of the first person

(helper) are interchangeable with those of the second

person (help.re), e:x:pressing essentially the same- affect

and meaning. Pelow Le.el 3, the responses of the helper








detract from those of the helupe; above Level 3, they add

noticeably to the helped, expr-s sini fiw'-lini's at deeper levels

than the helped himself was 2ble to -:-::.ress.

Empathy (E), Unconditional Positi.ce r.gard redefined

as Positive Regard or Respect (,, an-i Genuineness IG)

have been termed the"facilitative CJi.i:-nsions," the "thera-

peutic core," or the "core conditions" of the helping

relationship. Although the sufficie:-c; of these conditions

has been questioned, their relationsh-p to constructive

helpee change or gain on a variety of process and outcome

measures has been empirically cst.blis3!.d (Parrett-Lennard,

1962; Bergin, 1966; Carlhuff, 196'a, 19i6t ; Carkhuff &

Berenson, 1967; Kiesler, 1966; Po.gers, 1962; Roger- et al.,

1967; Truax, 1963; Truax & Car:khuff, 1i6?; Truax, Wittmer,

c Wargo, 1971). These findings hold for both individual

and group contacts, in a wide range of settings, with both

lay and professional helpers. The criteria for assessing

the degree of constructive change include personality

tests such as the Mt.-PI change scores; projective tests

analyzed "blind" by clinicians; changes in Q-sort adjustment

scores; changes in measures of anxiety, therapists' and

judges' ratings of changes in personality and adjustment.

High levels of helper-offered E,R, and G are related to

helped improvement; low levels are related to helped

deterioration.








Vitalo (1970) demonstrated. the efficacy of the

facilitative dimensions for the implementation of a

systematic conditioning program. Thc le..zl of the experi-

menters' functioning ..'ith respect to E, P, and G '.:ere found

to be significant variablesb in the zcnditioning process,

observable in the differential learning lopes of the

trainees. These findings lInd support to the theory that

at tlhe center of all helpful interpersonal learning

experiences is a primary corc of facilitative interpersonal

dimensions (Carkhuff, 1966; Paogrs, 1962).

Carkhuff and Trua:: 1.1966) pre-s-nt a reversible model

for all interpersonal processes based on the presence or

absence of the core dimensions. The model can be used to

predict gain ('.hen high levels a.f the core conditions are

offered), as well as negative movement or deterioration

.-'hen low levels of the conditions e:x:ist).

The "core" conditions have since been modified and the

equation for helping effectiveness e::p:-nded (Cari.huff, 1971).

In the highly international c.-,irrunication process, the

helper not only responds to the helpc, but also initiates

communication and action. The dirensions of helper

Concretenes or Specificity of Ex-pression (Trua:: 5 Carkhuff,

1967), Self-Disclosure (Carl:huff f berenron, 1967; Jourard,

1964), and Confi rotation and Insdiacy (Cari;huf f, 1969a)

have been added as effective ingreJirnts in helpee change.









The expanded model of helping incorporates counselor

(helper)-responsive and counselor (helper)-initiated

dimensions, taking into account the more action-oriented

dimensions in which the helper acts upon his own personal

experience of what is going on within and between the helper

and helpee (Carkhuff & Berenson, 1969). The responsive

dimensions (E, R, G, and Concrcteness) and the action-

oriented dimensions (G, Self-Disclosure, Irmediacy,and

Confrontation) are conceptualized as the feminine and

masculine components, respectively, of the helper.

Carkhuff and Berenson (1969) have also pointed to the need

for both the masculine and feminine response potentials to

be integrated in the fully-functioning counselor.

Research findings support the significance of these

dimensions as important variables in effective interpersonal

processes (Anderson, 1968; Berenson, Mitchell, & Laney,

1968; Berenson, Mitchell, & Moravec, 1968; Carkhuff, 1969a,

1969b; 1969c; Carkhuff & Berenson, 1967). Furthermore,

those helpers who offer the highest levels of facilitative

responding conditions also offer the highest levels of

action-oriented dimensions (Carkhuff & Berenson, 1969).


Self-Disclosure

Self-disclosure refers to the process of making the self

known to other persons, and coming to know one's real self

as a consequence of engaging in this process (Jourard, 1958).










The investigation of self-disclosure !:' Jourard and his

associates (Jourard, 1959, 1964, 196;, 1969) indicates that

it is a function of several v.arib]i l, .juc'i as the disclose's

age, sex, marital status, religion, rac,' na.:1onality, and

personality characteristics; the nature of the information

to be disclosed, and characteristics of the target-person

to whom disclosure is made. Much of the research employed

the self-report rating scale dev.loppcd b; Jourard and

Lasako'.w (1958), or questionnaires deri..,:i from it. The

original instrument consist- of si:; 10i-sti-.tezmerit categories

of "aspects of self". For the E6 iten..., the subject reports

his disclosure in differing degree tLo four target-persons:

mother, father, same-sex friend, and o;..;it.-se: friend

or spouse.

A departure from this re.;arch in self-disclosure is

studies reflecting a process conception of couTILunicatLon,

which consider classes of data in ad-liton to the content and

frequency of disclosure (Fpting, Suchm.an, Barker, 1969).

Variables contributing to the person's style of communication

and paralinguistic characteristics of verbal productions are

treated as additional sources of data. The concept of

self-disclosure as an on-going c:imunication process has

been variously termed "ex:-pericrcinlg" (Gen.Jlin & Tomlinson,

1961), "re-calingness" (Suchnlan, 1965), and "self-exploration"

(Truax & Carkhuff, 1967), within respe.cti.ve rating scales

developed to operationalize the process. These scales











were in part derived from the Process Scale (Rogers, Walker,

& Rablen, 1960), which essentially measures the degree of

self-exploration, rigidity of concepts, and degree of immie-

diate experiencing.

The Helpee Self-Exploration in Interpersonal Process

Scale (Carkhuff & Berenson, 1967) frequently used in research

is a five-point scale. Self-exploration in interpersonal pro-

cess is defined at Level 3 by the voluntary introduction by

the helpee of personally relevant material, although he may

do so in a mechanical manner without th- demonstration of

emotional involvement. Below Level 3, the helpee either does

not voluntarily introduce personally relevant material or re-

sponds only to the introduction of personally relevant mate-

rial by the helper. Above the 3, there is a voluntary intro-

duction of personally relevant material by the helpee with

increasing emotional proximity.

A powerful determiner of self-disclosure is the willing-

ness of the target-person to disclose himself to the indi-

vidual to the same extent that he expects the individual to

reveal his experience. This input-output correlation of

revealingness has been termed the "dyadic-effect" (Jourard,

1959). It asserts the principle that "Disclosure begets dis-

closure" (Jourard, 1964), with disclosure serving both as

reinforcer and model. The dyadic-effect has been demonstrated

in questionnaire research (Jourard & Lasakow, 1958; Jourard &











Landsman, 1960; Jourard & Richman, 1963) and in interview

research (Drag, 1968; Jourard, 1968; Jourard & Jaffee, 1970;

Jourard & Resnick, 1970; Matarazzo, Wiens, & Saslow, 1965).

He-ller, Davis, and flyers (1966) found not only that greater

interviewer activity produced higher proportions of subject

verbalization, but also that interviewer silence was the

most verbally inhibiting, producing the least interviewee

talk time.

Similar trends have been found in small groups.

Himelstein and Kimbrough (1962), in a study of self-intro-

ductions in a classroom situation, observed that the order in

which the speaker appears in relation to the other speakers

is significantly related to the amount of material disclosed.

Chittick and Himelstein (1967) have examined the effects

upon the amount of information self-disclosed by individuals

as a function of the self-disclosing behavior of confederates.

They found that naive subjects conform to standards of dis-

closing behavior presented by confederates in a small group.

The Ss revealed more about themselves when others were re-

vealing more, and conversely, revealed less when others did.

There are some conditions under which an individual will

disclose in a more unilateral manner. The presence of helper-

offered therapeutic conditions facilitates the self-disclosing

behavior of the helpee. Therapists and other helpers offering

high levels of E, R, G (and in some cases accompanied by










concreteness, immediacy, and confrontation) elicit greater

depth of self-exploration in helpees as measured by process

rating scales than do those offering low conditions (Anderson,

1968; Berenson, Mitchell, & 1'oravec, 1968; Carkhuff, 1969a,

1969b; Carkhuff & Berenson, 1967; Hountras & Anderson, 1969;

Leitner, 1969; Truax & Carkhuff, 1967).

The generality of the findings relating the core con-

ditions to depth of self-exploration has been investigated by

Shapiro, Krauss, and Truax (1969). They studied the rela-

tionship in formally non-therapeutic encounters between levels

of perceived E, R, and G received from significant others

arnd the amount and type of disclosure given. The Ss (30

undergraduate students, 39 male police applicants, and 20

day hospital patients) rated the levels of conditions they

perceived themselves receiving from their parents and t.-;o

closest friends on a modified Barrett-Lennard inventory. The

Ss reported their own disclosures of both positive and neg-

ative affect to these target-persons with respect to a 12-

item scale. The findings reveal that Ss disclosed themselves

more deeply to those persons offering the highest perceived

levels of facilitative condLtons.

Several studies (Cannon & Pierce, 1968; Holder, Carkhuff,

S Berenson, 1967; Piaget, Berenson, & Carkhuff, 1967; Truax

& Carkhuff, 1965) demonstrate the differential effects of

manipulating helper-offered conditions of E, P, and G (and

to some extent Concreteness) upon the level of self-exploration











of high-and low-functionin. hl.peF-. 'ioe depth of self-

exploration of lo-.: functiunir.- heipc.s is a direct function

of helper-offered conditi..n, ..hercas for high functioning

helpees, the depth of self-e:Fplor~aion is independent of

helper-offered conditions. In related research (Jourard &

Fesnick, 1970), the disclc-ur- patterns of loa-disclosers

were dependent upon their p.c neis' Ic'.cl of disclosure, where-

as high-.disclosers w..ere inod:-.ndncLrt Cof their partners' lev.el.

Indeed, the helped's :.il111t tb be openly and genuinely

himself in his relation hi-.p .ith the helper is perhaps the

most important of all the actriitie; he can engage in. This

process of self-e:-ploroatory, disclosing behavior has bcern

related to constructivf- hel-..e c-Jrnge or gain in numerous

studies, cited by Carknuff iand Leir-,rnson (1967); Pogers (1962,

1967); and Truax and Carkhuff (1967; Successful cases

show.-ed significantly more self--.:ploation, whereas those

characterized by low le-eis of self-ex.-plc.ratio-n showed less

improvement.

Jourard (1958) has propoied that acc-urate portrayal of

the self to others is an identifying criterion of the healthy

personality. He describes th.e rel tionsrhip between mental

health and self-discl-oure as cor" linear; too much or too

little disclosure is '.*i':..ed as unh-ealthy.. Self-disclosure

is regarded both as a s:-r rpt'-i ocf p%.rs-nality health and at

the same time-, a means of achlie-.ing healthy personality

(Jourard, 1959).











Non-verbal communication. In the communicative process

of interpersonal relationships, the variables are primarily

dealt with by participants through not only verbal, but also

non-verbal communicative means. Formal non-verbal variables

have been found to be quite reliable and valid factors which

strongly affect interview behavior (Ilatarazzo, Wiens, &

Saslow, 1965). Rosenthal, Fode, Vikan-tlinc, and Persinger

(1964) found that verbal conditioning is neither a necessary

condition nor a necessary augmenting factor in the operation

of the Experimenter outcome-bias phenomenon, underlining the

significance of the mode of mediation of the phenomenon.

A study by Davitz and Da'itz (1961) demonstrates that

relatively untrained speakers can communicate feelings

reliably by content-free, non-verbal speech. Ten different

feelings were expressed by reading aloud parts of th. alpha-

bet. Activity levels of feeling were linearly related to

speech characteristics: loudness, pitch, timbre, and rate.

The importance of nonlinguistic (vocal and visual) cues

in the communication of affect is further documented by

Shapiro (1966). He attempted to specify between judgments of

affect in verbal and non-verbal channels. Four groups of

judges observed interviews of 56 Ss in five-minute segments.

The independent variables were the mode of presentation:

audlo-video, video, audio, verbal transcript. Analysis of

correlations between the channels of communication suggests








that verbal (audio and transcript) and non-verbal (video)

cues were used by judges having access tz. audio-video.

There was little overlap in information conrLLunicated from

verbal and ncn-v.erbal sources. The intercorrelation between

video and audio was .11, bet.'een video and transcript .02,

between audio and transcript .64. The audio-video ratings

correlated .38 with transcript, .54 with audio, and .64

with video, indicatin- the importance of nonlinguistics in

the communication of affect.


- Training Programs

Three major trends in current training methodology in

the helping services will be revie,.:ed: systematic, inte-

grated training programs; the use of videotape and Inter-

personal Process Recall; the miicrocounseling paradigm.

Systematic, integrated training programs. Carkhuff

(1971) has developed a "Systematic Human Pelations Training

Model," translating the therapeutic equation into a human

developmental model. A basic assumption is the helping pro-

cesses and their training programs are all instances of

learning. Carkhuff (1971) states:

The theme of systematic human resource training
is skill acquisition. The key to the model is
the systematic expansion of the quantity and
thus quality of an individual trainee's response
repertoire in physical, enlotional, and intellec-
tual sFheres of functioning [p.41.










The model has its roots in the integrated approach to

training helpers conceived by Carkhuff and Trua;: (1965bj.

An attempt was made to translate research findinyr and theo-

retical views into effective practice by focusing upon

experiential and didactic elements concurrently (iTrua:x

Carkhuff, 1967). The training took place in the cont.:-:t of

a relationship where the trainer provides high le.vls of

facilitative conditions. The trainees were taught didacti-

cally with the process rating scales developed for research.

They learned discrimination of the core condition: by rating

tapes, then formulating their own responses to ctinmulated

tape segments and role-playing, which they also rated. Fi-

nally, their interviews with clients were recorded and rated,

providing immediate feedback.

This training paradigm effectively employs P.nc-jger-'

(1962) guidelines for training programs, which suggest empha-

sis upon interpersonal experience as well as intellectual,

and critical assessment of the actual behavioral dynamics of

the helping relationships formed.

A review of several studies ITrua.:: & Carl:huff, 1967J

using the integrated didactic and e:pericntial approach

strongly indicates that trainees, both professional and para-

professional, can be brought to a level of interpersonal

skill that is:











1. nearly coMiriensurate with that of highly
experienced and effectiv- counselors;

2. significantly above that of post-practicum
and post-internship trainees in counseling
and psychology at major universities
involved in doctoral training;

3. effective in producing significant positive
changes in mildly and severely disturbed
clients or, a variety of outcome indexes.

Comparative studies of the systematic, integrated approach

to other training programs support the former as the most

effective method (Eerenson, Carkhuff, & :iyrus, 1966; Pierce

& Drasgow, 1969; Truax & Carkhuff, 1967).

Programs focusing upon discrimination skills alone often

fail to provide their trainees with experiences necessary to

effectively communicate the core conditions they successfully

learned to discriminate. Research has indicated the indepen-

dence of the ability to discriminate and the ability to comrn

municate, especially at lo.;er levels (Carkhuff, 1969a, 1969b;

Carkhuff, Collingwood & Renz, 1969). These results are con-

sisttnt with those evaluating graduate training programs

(Carkhuff, Kratochvil, & Friel, 196S3 where the traditional

focus is upon discrimination training. To effect differences

in communication of conditions, training must emphasize a

behavioral approach x.hich provides practice in coiirmunication.

This applies to training programs on the sensiti-vity to non-

verbal cues as well (Delaney & Heimann, 1966).

There are two significant variables, in addition to the

type of training program being conducted, which help determine









the nffcctivencss of training: the level of interpersonal

functiorfin; of both the trainee and the trainer (Carkhuff,

1971; Trj.,.7 & Carkhuff, 1967). The lower the level of func-

tioning of the trainee, the longer the training by a high

level trainrc is necessary. A trainer functioning below

mininmally facilitative levels can influence growth only in

those fu.itior.ing below him, and not beyond his own level of

functioziini'. Lxceptions are if the trainee is already func-

tioning at Le.'el 3, and self-sustaining, or if the inter-

action i: codified by contextual variables, such as outside

help (CarI:huff, 1969c).

StucLes on both lay and professional trainees (Pierce,

Carkhuff, & ct-ncrson, 1967; Pierce & Schauble, 1970) indi-

catrdthat trai:ieLs of high-level supervisors'change positLvely

and sig:-ificantly on the facilitative core after training,

while trainees of low.-level supervisors did not change, and

in fact declined slightly.

Vide:.tape and interpersonal process recall. In the last

decade, there has been increasing use of videotape equipment

for providing audio-visual feedback beneficial to individual

assessment (Markey, Fredrickson, Johnson, & Julius, 1970).

Landsman and Lane (1963) have described the use of repeated

visual self-confrontation in enhancing the self-concept of

young school children. Changes in self-perception have been

found to accompany the viewing of their videotaped inter-

views for both counselors-in-training (Poling, 1969; Walz &









Johnston, 1963) an. inpatients in a mental ward (Boyd &

Sisnay, 1967; onc.re, Chernell, & West, 1965). In the

supervisor', proc -ss, eviiencc indicates the use of videotape

feedback enu-ilcs t t; trainee and supervisor to pick up

non-verbal cues h.-it clicit or cause reaction from the

client ;.r counselor, clarifyi;iq the dynamics of the communi-

cation process (Pyan, 1969; Schiff 5 Revich, 1964; Suess,

1966). Schauble 197r,:) has noted that to the e:.:tent that

the helping pr:,fes sions are initeicsted in impro'.'ing inter-

personal FroceFsrss, ana to the extent that they in'.'vstigate

the process, t!he *":iJ, ttpe recorder may pro'.e to be the

most valuable teCir Inic.l ad.:ancc made to date.

Eagan, 6atli..c.hl, and Miller (1963) developed a

technique in stinulated recall methodology called Inter-

personal Procer: L.ecali IPRk Videotape playback provides

participants in a recently concluded dyadic encounter

with max:imur. cuas cfr reli.ing the e:-:perience. A third

person, called Interr-_.,oator (or Intervie;wer or Recall

Worker) encoaray:s the participants to recall feelings, and

interprets their L:h':. r.r at significant points, calling

attention to behavioral dynamics.

In the helping relationship, this technique has been

used successfully as a tool for accelerating client insight

and change, w.'hen the coinselo r is actively, involved in the

recall process (iagan et al., 1963; Kagan, Krath'.ohl et al.,

1967; P.esnikoiff, .agcan, Schauble, 1969; Schauble, 1970a).








A variation of the interrogator role, addl.'i the

dimension of training students in consultation: skills,

has been termed "micro-counseling-consultation" (Wittmer &

Lister, 1970). Interviews by pre-practiciumt ouns-eling

trainees are videotape recorded. Recall sessions are.

held with advanced counseling students, enrolled in a

course on consultation procedures, who serve as recall

workers. The recall session is also -.'ideoLap ,d and monitored

along with the initial counseling session to nmirLrs o.f both

- classes in an adjacent room. This second int.racti:n

becomes the focus of further recall and discussion.

The importance of the presence of another person,

such as a recall worker or supervisor, haz be.rn indicated

by Markey et al. (1970), in their study of the training

impact of different electronic playback techniques i.cudio-

video, video, audio, or no playback) on the performance

of student counselors. Two 20-minute counseling sessions

were interrupted by the treatment. The results, sho..'inc

no judged differences among the playback treatment groups,

suggest that without supervision, the trainee may hv'e

missed behaviors requiring modification, thus limiting

the value of feedback without supervision.

Micrccounselinq. "Microcounseling" is a video method

of training counselors in basic skills within a short

period of time (Ivey, iiormington, Miller, Morrill, &










Haase, 1963), by breaking counseling into mnall unics

and making possible immediate direct feedback to the trainee.

It has been used as an effective training pr:.cedure for

teaching attending behavior listening to the helped both

verbally and non-.'erbally), reflection of feeling, arid

surumarization of feeling to three groups of beginning

counselors (Ivey et al., 1963). Microcounseling nas

also been used successfully with paraprofessionals i.ii e

DiMattia, 1970).

The training paradigm includes the follo:'inrg st:eps,

taking approximately one to two hours: a 5-minute b.sc

line session, followed by instruction and feedbiack; a

second 5-minute session followed by instruction and feed-

back; and a final 5-minute session. Instruction includes

both written manual and video models, :ith discussion by

a supervisor. Feedback is provided by critical viewing of

the microcounseling interview and of role-playing, introduced

after the first video replay.

The training process is designed to model behavior

and reinforce it once it occurs by supervision. A.n advantage

of the technique is the interactive quality, requiring the

active participation by the trainee. Ivey et al. (196S)

suggest the microcounseling framewrirk as a vehicle b which

the developmental skills of interpersonal functioning may

be taught.









Higgins, Ivey, and Uhlemann (1970) applied the microcouirseling

paradigm to the counseling process itself, terming it

"media therapy." Couples were taught skills of diLcctn ,s

in communication in three groups of 10 Cyad; .:irh. Uicdia

therapy was compared to a group receiving proiriamr.:-d te::t

and video models alone, with no supervisors prc.-cit and

no video feedback, and a group receiving onl,; prir. cr

material. The group receiving media therapy consist.-ntly

improved with respect to judges' ratings over tie three'

trials, demonstrating it to be the most effective i..,-.-ns

of training for direct, mutual communication.


Summary

Research has demonstrated the potential of training

paraprofessionals in facilitation interpersonal relatiun-

ships. The lay helper who is a member of the helped's

peer group has been shown to have particular ad 'aitaqcs

in establishing helping relationships because of his

status. More specifically, in the university setting,

university students ha'.e been trained to help their peers

in both academic and personal-social areas.

There is eviden-e that all significant human encounters

may have construct ie or deteriorative conse.:qLu.21tics. The

effective interpersonal processes share a corr non set of

conditions that are conducive to facilitative interpersonal

relationships. They are characterized by the :ore of









therapeutic conditions (Empathy, Regard, and GenuirLnene...n),

as well as action-oriented dimensions such as Self-[1i-

closure, Irrnediacy, Confrontation, and Concreteness of

expression. These dimensions have been operatior.ali ._'d

on process rating scales and related to indexes of positive

helpee change and gain.

Self-disclosure is the process of making the self

known to others and coming to know one's self as a corns'iu_;ience

of engaging in this process. Individuals disclose themsel-.es

through both verbal and non-verbal means; the amount of

disclosure is dependent upon several factors. Self-

disclosure has been operationally defined on process rating

scales and related to indexes of posi tive heleFee change

and gain. It increases as the levels of the facilitative

conditions offered in a relationship increase.

The most effective brief training programers for training

prospective lay and professional helpers in skills of

facilitative interpersonal functioning are systematic,

integrated training programs. They combine didactic anr

experiential elements, focusing upon discrimination and

communication of facilitative conditions. A basic aspect

of the training is the structured feedback, which is

enhanced by the use of i.'deotape equipment. "Interpersonal

Process Recall" and "microcounseling" are two techniques

which have been developed to provide immediate, structured









audio-video feedback and to provide insight into the

behavioral dynamics of highly interactive r-elaitionhips.


Implications for a Training Program

The most effective brief training program for teaching

communication skills to Student Volunteers (i V's) is one

which combines didactic and e:-periential elements in an

integrated program. A structured approach which permits

systematic feedback enables the trainee to learn skills most

directly. Carkhuff i1969a) has stated that the best training

program is one which trains on dimensions w'.hict have been

related to outcome which we wish to influ-nce. in a

communication skills program, these dimensions include

the two-parts of communication: Self-Disclosure and

Facilitative Respondinq. The interactive' nature of commuini-

cation must also be underlined; it is a process with

two-w-ay influence. The behavioral dynamics of inter-

personal functioning need to be clarified for both the

discloser and the facilitative responder, in order to

teach effective communication skills.

Most training has emphasized the facilitative responder

or helper role in corummunication. There have been sore.

studies which use the systematic training paradigm as

treatment iCarkhuff, 1969a, 1969b, 1971; Pierce & Drasgow,

1968), where helpees are themselves directly taught

facilitative responding. In a study using university









counseling center clients, Pierce, Schaublc, and Wilson

(1971) applied systematic training in a group setting to

teach helpees both helper empathyy) and five dimensions

of helped behavior. ,Comparisons with a traditional therapy

group show both groups improving on indexes of helpee gain,

with the training-treatment group accelerating helped

growth on both helper and hclpee dimensions.

The relationship bet-.'een helped and helper behaviors

has been demonstrated in research (Holder et al., 1967;

Piaget et al., 1967). There is a direct relationship between

the level of facilitative conditions offered by Ss when

cast as helpers and the level of self-exploration they

attain as clients. Those persons functioning at higher

levels of conditions also e:xploLe themselves at higher levels.

Furthermore, with respect to -aspects 3f nmn-verbal, emn-

tional comuTkunication, three variables are positively and

significantly related:

1. ability to identify others' expressions of feelings

2. ability to express feelings to others

3. ability to identify one's o,,n expressions of feelings.
(Davit- & Davitz, 1961)

That is, discrimination, and both aspects of communication

(disclosing and facilitativ'. responding) are interrelated.

The proposed program goes beyond earlier training programs by

attempting to train S'.'s in discrimination and coirimunication

of both aspects of interpersonal relating Idisclosing and

facilitati.ve responding).














CHAPTER III


DESIGN AND METHODOLOGY


Design

The communication skills program developed in this

study goes beyond the traditional systematic, integrated

training paradigm (Carkhuff, 1969a, 1969b, 1971; Truax &

Carkhuff, 1967) reviewed in Chapter II. Videotape was in-

troduced, along with microcounseling and interpersonal

process recall methodology, to provide immediate feedback

with respect to verbal and nonverbal communication. The

stimulus value of both the disclose and the facilitative

responder was explored with the goal of teaching more

direct and effective communication. A treatment group

teaching communication skills with additional self-disclosure

training was compared to a group receiving communication

skills training alone, and to a group receiving no training.

The research paradigm employed a pre-post test control

group design (Campbell & Stanley, 1967). The initial inter-

views provided measures of baseline functioning for as-

certaining the degree of behavior change resulting from

different treatments. A schematic representation of the

design is presented in Figure 3.1.

35





















Figure 3.1: resign


The importance of the control group lie in the ade-

quate accounting for variables prs'Lirn:d to be relevant. In

order to control for the moti.vtional factors implicit in Ss

who are volunteers, the Control gr-.upl proper ';as in fact a

delayed treatment group, made up of Ss 'ho expected to par-

ticipate in the training program, but wh.zse treatment was

delayed until after post-test measures were obtained. The

use of the delayed treatment group to control for motiva-

tional factors has been described by Rogers and Dymond

(1954).

In addition to the type of treatment implemented, the

level of interpersonal functioning of the trainer and trainee

are two variables which affect the constructive or destruc-

tive effects of a training program. The variance due to the

trainers was controlled by using the sane trainers across

treatments. The effect of the trainees' level of functioning

was controlled by randomizing assignment to treatment groups.








Sample

Experimental subjects. The 45 female undergraduate

students selected as experimental SL were participants in the

Student Volunteer program at the University of Florida. The

training program was offered to the volunteers s in two resi-

dence halls through the University Counseling Center. The

Ss were randomly assigned to two treatment groups or to the

delayed treatment control group. Tney were notified of their

group assignment by letter (sce Appendi: I). There were 15

members in each of the three groups.

Standard clients. Early studies of training and treat-

ment used actual clients for pest-testing results (Carkhuff

& Truax, 1965a, 1965b). But the potential dangers for cli-

ents in the pre-testing interviews led to the use of standard

clients or helpees. Standard helpets are often trained

graduate or undergraduate students, instructed to explore

problems that are meaningful for th-m, while the prospective

helper is cast in the helping role, given the set to be as

helpful as possible with the problem presented.

The use of the coached client has been advocated by

some researchers (Whiteley & Jakubo.:sli, 1970). The client

is asked to play a specific role consistently, over many

interviews with different helpers. Sometimes he is asked to

make a certain number of definitive statements or to display

certain affect, regardless of its appropriateness to the

counseling situation. Structuring the interview. : and using









carefully trained clients rc.ps to control variables, but

at the possible expeie or "reality." Kagan (1970) suggests

that coached clients offer one set of conditions, while e real

(or standard) clients offer anothncr, each with their o:'n

merits. He indicates; the us-. of coached clients if nearly

identical client behaviors are needed to measure small

differences. Since this '-.as not the case for the purposes

of this study, standard cl:,nts ;ere used.

The precedent for crplo4!i'ng standard clients has been

established in research assessing the effects of training

and treatment (Berenso.n, Carl:huff, Myrus, 1966; Carkhuff,

Kratochivil, & Friel, 19Es; P.Frce, Carkhuff, & Berenson,

1967). Carkhuff (1969a) has stated "if the conditions zre

available, casting prospective helpers in the helping role

appears to be the preferred e;,thod of assessing communica-

tion [p.105]." Underqraduate students enrolled in beginning

psychology and education classes at the University of

Florida were selected as "interview partners" for the SV's,

for pre- and post-testing purposes. They were similar to the

SV's in characteristics such as se::, age, year in school.

Trainers. The training in the comrrunication skills pro-

grams was conducted by t..o counseling center staff members.

The male trainer recently completed his Dh.D. degree in

counseling psychology': tht female trainer (and investigator)

had completed all the requirements but dissertation for the

Ph.D. degree in counselor education. Both trainers had been

found to be functioninlg bey-ond the minimal level of facilita-

tive interpersonal functioning in previous research.








The trainers were aware of the research hypotheses and

which Ss were assigned to which treatment group, due to the

obvious differences in procedure. However, random assign-

ment to groups and reliance of their professional attitudes

should have diminished any biased effects. Furthermore,

using the same trainers for both treatment groups had the

advantage of assuring equality of trainer skill and back-

ground across treatments. Neither trainer was used as a

judge for pre- or post-test rating.


Description of Experimental Procedure

For pre-test purposes, all 45 5s were randomly assigned

to dyads, where their partners were selected from a pool

of same-sexed standard clients. In a counterbalanced design,

half of the experimental Ss played the role of Helpers in the

first 15-minute interview, and after changing partners,

played the role of Helpee in the second 15-minute interview.

The order for role-playing was reversed for the other half.

The Ss were instructed to be as helpful as possible (Helper)

or to explore meaningful problem areas as deeply as they

wished (Helpee), depending on the role played (see Appendix

G).

The interviews were audiotape recorded. Pre-test

measures were obtained the week prior to the experimental

treatment. Post-test measures were obtained in a similar

manner the week following the experimental treatment. The

Ss were randomly assigned to one of three girups:








Group I: Communication Skills .'ith Additional Self-
Disclosure Training

Group II: Conmunication Shills Training Alone

Group III: Delayed Treatnent Control Group (Ho Training).


Expcrimetnt l Treatment Piograsr

The training was di.ided into three sessions, over a

four-.eek period. Each session lastcd approximately four

hours.

Group I: Communication Sk ill. '..Ith Additional Self-
Disclosure Training

Session 1. The th.re of the first session \,aS an
Introduction to Effecti"- Conmiiunication
Skills. The to-part model of communica-
tion .,as discu-ssed, emphasizing the roles
of the Discios.r and the Facilitative
Responder. The follo-.ing schedule ..as
follow.'ed in the de'.'elopment of the theme:

1. Introduction and brief didactic discus-
sion of tUio-,part model of coriuimmunication,
with audio and li'.e models demonstrating
effective and ineffective communication.

2. Introduction of simplified rating scales
(see Appendix H) '.-ith three levels:
interchangcablc, additive and detractive
responses; using the scale' to rate
audiotape se.imcnts of disclosures and
facilitative responding; group discus-
sion of ratings.

3. Individuals responding to stimulated
audiotape segments, with ratings, group
discussion, and feedback.

4. Ereak into dyads for practicing comrmuni-
cation skills.

5. Return to group for general discussion
and summary.

6. Homework ass-ignment I se- Appendix C).









Session 2.


The theme of the second session was the
Introduction to Videotape and Non-Verbal
Communication. The following schedule was
followed in the development of the theme:

1. Re-cap Session 1; introduction and brief
didactic discussion of videotape and
non-verbal communication, with live
models.

2. Exposure to videotape w:ith affective
exercises.

3. Exercises in non-verbal communication,
feedback, and discussion.

4. Introduction to IPR, with li.'e models,
and group participation in recall.

5. General discussion and summary.

6. Homework assignment (see Appendix D).


The theme of the third session was the
continued use of IPR and microcounseling
techniques. M:crocounseling focused upon
situations relevant to the S' in the resi-
dence halls. The following schedule was
followed in the development of the theme:

1. Re-cap of Session 2; discussion of
themes.

2. Introduction to microcounseling, with
IPR, break into small groups for role-
playing and recall. Use of videotape
rotated for all groups.

3. Large group discussion.

4. Relating skills learned to issues
facing SV's, role-playing.

5. Summary.


Section 3.









Group II: Communication Skills Training Alone

The treatment was essentially the same as for

Group I, with two exceptions:

(1) Although the communication model presented

was two-part, focus was upon Facilitative

Responding in all sessions. For example,

recall focused on the helper rather than on

both helper and helpee; there was no specific

training in Self-Disclosure alone.


(2) The homework assignments were different from

those of Group I, but taking the same amount

of time (for homework assignment for Group

II, Session 1, see Appendix E; for homework

assignment for Group II, Session 2, see

Appendix F).


Group III: to Treatment

Participants in Group III participated in pre- and

post-testing only; they received no treatment. At the

conclusion of the experiment, they received corrmnunica-

ticn skills training.


Instruments

Two measures were used as criteria in this stud',: 1)

the Helpee Self-E:
Scale (Carkhuff, 1969b) and 2) the Gross Ratings of Facili-

tative Interpersonal Functioning Scale (Carkhuff, 1969d).








The H-lpee Self-Exploration in Interpersonal Processes

Scale. The Helpee Self-Exploration in Interpersonal Processes

Scale (DX) is a five-level process rating scale, ranging

from the lowest possible score of one to the highest possible

score of five (see Appendix A). The scale is derived in part

from the fleasurement of Depth of Intrapersonal Exploration

(Trua:: Carkhuff, 1967), which has been validated in exten-

sive process and outcome research on counseling and psycho-

therapy (Carl:huff & Berenson, 1967; Truax & Carkhuff, 1965a,

1965b, 1967). The present scale represents a systematic

attempt to reduce ambiguity and increase reliability (Cark-

huff, 19C9b).

The Gross Patings of Facilitative Interpersonal Func-

tioning Scale. The initial core of therapeutic conditions

has been expanded, with additional dimensions also found to

be significant variables in the helping relationship (see

Chapter II). Five-level process rating scales have been

developed for each of these dimensions (E, P., G, Concrete-

ness, Self-Disclosure, Immediacy and Confrontation) by

Carkhuff (1969b). However, the large number of ratings

resulting has been found unwieldy. There has been a trend

toward rep-rting the modal or average ratings on the various

scales as a score described as "overall" level of facilita-

tive functioning (Carkhuff, 1969a, 1969b; Collingwood,

1969).








P.erearch findings indicate that the level of functioning

across all the facilitative interpersonal dimensions is very

similar for both high and lo;. functioning helpers and helpees.

For e.:;mp]., if a helper is functioning at moderate levels on

E, h- tends to function at the same level on all the other

Process dirienions (Pierce & Schauble, 1970; Rogers, 1962).

Th-se findings are supported by a factor analytic study

involving all of the interacting conditions of E, R, G,

Self-Disclosure, and Concreteness taken together, performed

to find out if they share any. significant common variance

which h nia- underlie the total therapeutic effort (Muehlberg,

Pierce,& Drasga.i:, 1969). The rated facilitative conditions

arc intercorrelated both positivel- and substantially, as

indicated in Table 3.1 A single, major factor accounts for

practically all of the observed correlations among the obtained

facilitati.ve- conditions. Therapists high on one facilitative

dimension are high on all facilitative. dimennsions, and vice

versa.

Th,: Gross Ratings of Facilitative Interpersonal Func-

tioning Scale (GIF) is a fivc-level process rating scale,

ranging from the lo',est possible score of one to the highest

possible score of five (see Appendix B). A description of

facilitati,:e interpersonal functioning is provided, which

includes both the facilitative responding and action-

oriented dimensions of the helping relationship. Ratings

are made on a Likert-t.pe scale, where Level 3 is defined as














TABLE 3.1:


IN'ERCO'rTF.L.'-.TIO.j A!'..;G E[IPATHY (E), REGARD (P),
GE!['lijIiLE.L.S (,C.) COI:CRFTENiESS (CJ AND SELF-
DISCLOSUL'RE (S-'J


E P G C SD



E 91 .85 .78 .85

R .90 .82 .85

G .88 .85

C "-- .88

SD


(Muchlberg, Pierce, & Dra-. ', 1i'.9








communicating all conditions at a .iinimallyl facilitative

level. Ratings below Level 3 reflect the degree to which some

or all of the conditions are absent; ratings above Level 3

reflect the degree to which they are present.

Rate-rerate reliabilities of the GIC have been re-

ported as high as .95, with inter-rater reliability .89

(Carkhuff, 1969d). Validity of the individual scales from

which the GIF is derived has been established in several

studies relating the scales to various measures of positive

helped change or gain (Carkhuff, 1909a,, 1969b; Carkhuff &

Berenson, 1967; Truax & Carkhuff, 1967). The GIF has also

been related to positive helped ch-ange or gain, as well as

the successful prediction of degrc'E of change and final

level of functioning of trainees (Carl.huff, 1969a, 1969b,

1969d).


Rating Process Scales

Segment size and location. Since the therapeutic con-

ditions should be operative and manifest at every point in

therapy, major sampling concern is to sample at points that

would be representative of the entire interaction (Kiesler,

1966). Carkhuff (1969b) suggests either random sampling or

stratified time sampling for obtaining segment location,

although evidence has been presented against the validity

of random sampling (Kiesler, Klein, ;'athie'u, 1965).

E esler, Mathieu, and Klein (1964) compared the effect

of varying segment lengths, ranging from 2 to 16 minutes on








ratings of a dimension of client process. They found inter-

rater and rate-rerate reliability on ratings not affected

by segment length. Furthermore, the discriminating power of

the ratings were independent of segment length, and with no

significant difference in the range of ratings.

Although Therapist-Patient-Therapist samples have

not been found more accurate than Patient-Therapist-Patient in

predicting outcome (Truax, 1966), PTP excerpts are considered

preferable because they allow assessment of both the helper's

degree of responsiveness and its effect upon the helpee

(Carkhuff, 1969b).

In keeping with the research findings, t.:o 3-minute

segments were taken from each 15-minute interview, around the

first-third and second-third points in time. Each sample

included a PTP interaction. The segments were then coded

and randomly ordered and submitted for judges' ratings.

Validity of independent judges' ratings. The validity of

independent judges' ratings has received support from several

studies. Hansen. Moore, and Carkhuff (1968) found no

significant correlation between client ratings and independent

judges' ratings of levels of facilitative conditions offered

by the counselor. Client ratings were unrelated (r=.19)

to change in self-concept measures, whereas judges' ratings

were significantly related (r=.86). The findings support a

study by Truax (1966) that patient perceptions of therapist-

offered conditions tend to be less predictive of outcome than









objective tape ratingr;. Piosler (1966) found that therapists'

ratings of the conditions they offered diverged from those of

both clients arid idr-i-p.cnjd.rnt judges; however, the latter's

ratings of the 1.-:.1 of therapeutic conditions offered cor-

related wiLh process i' asures.

Selection and training of judges. Research on the

selection of rat.rs .suggestS that both rater level of func-

tioning and e:-:p"iience are significant sources of effect for

discrimination scores fCannon & Carkhuff, 1969). However,

the naive-c:-perience continuum of the raters is not as criti-

cal as the le'.t-l of functioning on relevant dimensions of

the prospective rati.r (Shapiro, 1968). Indeed, Carkhuff

(19G9b) state that persons functioning below Lev.el 3 would

not be capable cf ar.-urate ratings.

-wo juig-. ,.,'ere selected as raters from a pool of gradu-

ate students in couns.-=ling and psychology for the DX and

GIF scales respecti-.cly. They were themselves functioning at

minimal le'.els of facilitati''e interpersonal functioning,

ascertained froma independent ratings of their own tapes as

helpers. The training of the raters was conducted by a Uni-

versity Counsreling Center staff member who is e::perienced in

using the process scales, and who is him-elf functioning at

high levels onD these instruments. The training tapes included

helping situations .-imilar to those which were encountered in

the actual study. Inter-rater reliability was calculated by

the analysis of variance method estimating reliability of

measurements ('.iner, 1962).







Analysis of the Data

The three dependent variables in the study were Facili-

tative Responding, Helpee-Disclosure, and Self-Disclosure.

The Facilitative Responding measures were obtained from the

GIF scale ratings. The Helpee-Disclosure measures were

obtained from the D: scale ratings in the interview '..,here the

Ss acted as Helpers: the measures of Self-Disclosure were

obtained from the DX scale ratings in the interview where the

Ss acted as Helpees. According to the split-plot design with

repeated measures described by Kirk (1968, p. 245) a t'.o-i.ay

analysis of variance was performed across the three groups

for each dependent variable.


Null Hypotheses

Hol: There will be no systematic interaction effects

between treatment and time of testing among the

three groups with respect to Facilitative

Responding.

Ho2: There will be no systematic interaction effects

between treatment and time of testing among the

three groups '.'ith respect to Helpec-Disclosure.

Ho : There will be no systematic interaction effects

between treatment and time of testing among

the three groups ..ith respect to Self-Disclosure.















CHAPTER IV


ANALYSIS OF THE DATA


In this chapter an analysis of the data is presented

bas'd on the methodology and statistical procedures described

in Chapter III. Tape-recordings of interviews in which

F? role-played both Helper and Helpee were obtained before

and after the three experimental treatment programs.

Trained judges rated t'.o 3-minute excerpts from each role-

playing interview using the Gross Patings of Facilitative

Interpe-rsonal Functioninq Scale (GIF) and the

Helpee Self-Exploration in Interpersonal Processes Ecale

(D.-:) .


Pater Reliability

The procedure used to determine rater reliability

hct'.:een the judges was the analysis of variance method

estimating reliability of measurements described by Winer

(1962, p.124). The analysis was carried out separately

for each instrument used, employing the ratings taken from

pre-treatment interviews.

'he rater reliability of the average rating obtained for

the two judges using the GIF scale was r=.91 LTable 4.1)

50

















TABLE 4.1:


ANALYSIS OF VARIANCE: RATER-RELIABILITY ON THE
GROSS PATINGS OF INTERPERSONAL FUNCTIONING SCALL
(HELPERS)


Source of Variation SS df iMS



Between People 10.831 44 .246

Within People 1.000 45 .022

Between Judges .011 1

Residual .989 44


Total 11.831 89


r=.91









In interviews where the Ss acted as iielrerE.. The rater

reliability obtained for the t..o jul.>s us i.- th- DX:

scale was r=.9S (Table 4.2) in inter. le'.. h'.err the S-

acted as Helpers, and r=.9' (Teble 4. 3) n inte-r'.ie,..s

.;here Ss were Helpees.


Evaluation of the E:xperimental
Treatment Programs

The three dependent variables in this. ztu:i. ':-re

Facilitative- Responding (FR) Heipee-Di-:cL*. sur (Hul) and

Self-Disclosure (SED). The measures rf I P and MLD '.--re

obtained in the intervie'.-. \here the SE acted i n elpers

from ratings on the GIF and [.':- scales resp --ctxv. .ly. The

measures of SD were obtained in the intri.: .ie's' ilLr the

Ss acted as Helpees from ratings on the D:: .-cale. For each

dependent variable, a tw'o-way analyi-i- of .:arijLnc,: with

repeated measures was performe-d across th: th're: gLrou.ps to

e.'aluate the effective enes- of the trcatm ent prograris.

The means and standard deviations of pre--treatment,

pcst-treaJTmernt, and difference scorer for the three groups

with respect to FR, HD and SD are prerented in Tables

4.4, 4.6 and 4.8. The results of the anal:es .ire presented

in Tables 4.5, 4.7 and 4.9. With 2 arid 44 deuraces of

freedom, an F value of 3.22 was necessary; to. reject the

null hypotheses of no differences among triatm--nt groups

at the .05 level of confid,-nce.




















TABLE 4.2: ANALYSIS OF '.'APIANCE: PATER-RELIABILITY OIJ THE
HELPEE SELF-EXPLORATION IN INJTERPERSONAL PRO-
CESSES SCALE (HELPEES)



Source of Variation SS df MS


Between People 50.600 44 1.15

Within People 1.000 45 .022

Between Judges .003 1

Residual .997 44



Total 51.600 89


r=. 98























TABLE. 4.3: ArIALYSIS OF VARIANCE: RA.TER-RELIABILITY Ol THE
HELPED SELF-EX PLOPATION INI ITERPEPSONAL PRO-
CESSES SCALE (HELPERS)



Source of Variation SS dEf S


Between People 37.247 44 .847

Within People 1.500 45 .033

Between Judges .011 1

Residual 1.489 44



Total 38.747 89


r=.96










TABLE 4.4:


MEANS AUD STANDARD DEVIATIONS OF PRE-TREATMENT,
POST-TREATMENT, AND DIFFERENCE SCORES OF
FACILITATIVF RESPONDING


GROUP I GROUP II GROUP III


Pre-treatment Mean 1.68 1.72 1.63

S.D. .35 .38 .34


Post-treatment Mean 2.13 1.89 1.73

S.D. .79 .48 .41


Difference Mean .45 .17 .10

S.D. .79 .57 .38





TABLE 4.5: TWO-WAY ANALYSIS OF VARIANCE WITH REPEATED
MEASURES: FACILITATIVE RESPONDING


Source of Variation SS df MS F


Between Subjects 44
A (treatments) 76.05 2 38.03 1.33
Subj. w. groups 1205.17 42 28.69

Within Subjects 45
B (pre-post) 128.63 1 128.63 7.00*
AE 51.46 2 25.73 1.40
BxSub3. w. groups 772.24 42 18.39



*p<.05









MEAIS AND STANDARD DEVIATIONS OF PPE-TREATI-1iL]T,


POST-TREATMENT, AND DIFFERENCE SCORES OF HELPEE-
DISCLOSURE


GROUP I GROUP II GROUP III


Pre-treatment Mean 2.47 2.56 2.24

S.D. .73 .79 .73


Post-treatment Mean 2.78 2.79 2.31

S.D. .60 .83 .61


Difference Mean .31 .23 .07

S.D. 1.01 1.02 .84










TABLE 4.7: TWO-WAY ANALYSIS OF VARIANCE WITH REPEATED
MEASURES: HELPEE-DISCLOSURE


Source of Variation SS df MS F


Between Subjects 44
A (treatments) 281.62 2 140.81 2.44
Subj. w. groups 2424.36 42 57.72

Within Sub]ects 45
B (pre-post) 90.36 1 90.36 1.95
AB 22.01 2 11.01 0.24
ExSub3.w. groups 1941.72 42 46.23


TABLE 4.6:







TABLE 4.8:


MEANS AND STANDARD DEVIATIONS OF PF.E-TREATItEfIT,
POST-TREATMCtET, A1ND DIFFERENCE SCORES OF SELF-
DISCLOSURE


GROUP I GROUP II GROUP III


Pre-treatment Mean 2.56 2.27 2.15

S.D. .72 .60 .58


Post-treatment Mean 2.86 2.39 2.52

S.D. .65 .62 .72


Difference Mean .30 .12 .37

S.D. .76 .80 .78









TABLE 4.9: TWO-WAY AlNALYSIS OF VARIANCE WITH REPEATED
TREASURES: SELF-DISCLOSURE


Source of Variation SS df MS F


Between Subjects 44
A (treatments) 280.63 2 140.32 2.59
Sub. .'. groups 2274.98 42 54.17

Within Subjects 45
e (pre-post) 159.70 1 159.70 5.25*
AB 24.72 2 12.36 0.41
BxSub3. '.. groups 1276.42 42 30.39


*p<.05










The null hypotheses tested and the results of the

analyses were as follo.;s:

Hol: There will be no systematic interaction effects

between treatment and time of testing among

the thre.-.. groups with respect to Facilitative

Responding.

Inspection of Table 4.5 indicates an F value exceeding

3.22 for pre- to post-treatment differences within subjects

for FR. lHow;'.ver, since the interaction did not reach

statistical significance, it was not possible to determine

which treatment groups contributed most to this effect.

Therefore inll hypothesis 1 was accepted.

Null hypothesis 2 :as as follows:

Ho2: There will be no systematic interaction effect

between treatment and time of testing among

the three groups with respect to Helpee-

Disclosure.

Inspection of Table 4.7 indicates that all values of

F are less than 3.22 for HD. Therefore null hypothesis

2 was accepted.

Null hypothesis 3 was as follows:

Ho3: There will be no systematic interaction effects

between treatment and time of testing among the

three groups -with respect to Self-Disclosure.

Inspection of Table 4.9 indicates an F v-alue e..ceeding

3.22 for pre- to post-treatment differences within subhjcts









for SD. Ho.-'-.'er, since the interaction did not reach

statistical significance, it was not possible to determine

which treatment .roup contributed most to this effect.

Therefore null hypothesis 3 was accepted.


Discussion

It is not possible to conclude from the analysis of

the data that any one treatment group demonstrated greater

effectiveness as a training program in communication skills,

despite the fact that there were significant pre- to post-

treatment gains across groups for FR and SD. .irk (1968)

notes that a limitation of the split-plot design is that

its "estimates of B and AB (within-block) effects are

usually more accurate than estimates of A (between-block)

effects. . the increased precision on B and AB is obtained

by sacrificing precision on A [p,317)."

The data confirm Carkhuff's (1969a, 1969b) findings that

the average base le.el of functioning is significantly less

than minimally facilitative for inexperienced trainees.

The pre-treatment means for the three groups with respect

to FF were 1.68, 1.72, and 1.63 (Table 4.4). Examination

of the raw data (Appendix J) reveals that one-third of

Group I made pre- to post-treatment gains in FR ranging

from 1 to 1.75 points. In contrast, all the members of the

other two groups made gains in FR of less than 1 point.










A one-way analysis of variance with repeated measures

(Mctlcmar, 1962, p.267) was performed for each group with

respect to FR. It is interesting to note that for Group

I the F ratio calculated a.is significant at the .05 level

(Table 4.10). There was a statistically significant gain

in the level of FR from pre- to post-treatment. These

differences were not found for the other two groups.


Trainees' Subjective Evaluation

It is interesting to note that a post-treatment,

subjective evaluation of the training experience revealed

that the Ss felt that they had gained valuable insights

into themselves and the corununication process. Statements

made by the trainees following the final sessions

included:

This (experience) really meant alot to me. I realize
how much of the time I spend saying things without
really meaning Lhemn and ho'.: often people respond
without having really listened.

This training has helped me not just as an SV but in
my relationship :ith my boyfriend. How ve try to
corrmrunicate what :we are feeling to each other and
it works!

When I go home this summer, I hope I can use what I
learned with my parents. I haven't been able to talk
with them lately and I'd like to put some of these
ideas into practice.

I enjoyed this... I think that I'll be able to be a
better listener t. the girls on the floor not just
hear the words but the feelings too.

As in the Ftudy by Berenson, Carkhuff, and Myrus

(1966) involving undergraduate resident assistant trainees,















TALE 4.10: CONE-WAY ANALYSIS OF VARIANCE WITH REPEATED
MEASURES: FACILITATIVE RESPONDING, GROUP I


Source of Variation SS df MS F


Between Subjects 618.28 14

Within Subjects 588.88 15

Treatment 151.42 1 151.42 4.85*

Pesidual 437.46 14 31.25


Total 1207.16 29



*p<.05











these self-perceived changes were not confirmed by inde-

pendent raters of prc- to post-training tape recordings

of simulated counseling interviews.


Relationshio Between Facilitative
Responding and Self-Disclosure

Truax: and Carlhuff (1965b, 1967) and other re-

searchers (see review in Chapter II) have presented

extensive evidence demonstrating that levels of helper-

offered facilitative conditions are related to helpee's

level of depth of self-exploration. However, studies

on the differential effects of manipulating helper-

offered conditions reveal that these earlier findings need

to be qualified. A more complex relationship between

these two variables is becoming apparent.

The depth of self-exploration of helpees who are them-

selves functioning at low levels of E, P, G, and Concrete-

ness is dependent upon levels of helper-offered conditions,

whereas high functioning helpees maintain their initial

level of self-exploration independent of helper-offered

conditions in the presence of high functioning helpers

(Holder et al., 1967). Looking at high and moderate func-

tioning helpers together, the depth of helpee's disclosure

is dependent upon both helper and helped level of functioning

and the interaction bet'..een them (Piaget at al., 1967).









The reinstatement of hiuhcr conditions, once lowered, for

moderate functioning helpers does not re-establish high le'.els

of self-e:-ploration for helpees functioning at high or low

levels of E, R, G, and Concreteness.

These studies Ji.ide helpers into high and low levels

of functioning :.'ith regard to helper variables. Howe'.'er,

the research in self-disclosure by Jourard (1964, 1968)

points toward classifying helpees in terms of helpee .ari-

ables. In othe-r vords, \hat are the disclosure patterns

of helpees furcttornine at high and low levels of self-explora-

tion in relationship to helper's facilitative responding?

At first glanc-, the data in this study confirm the

simple positive relationship between FR and HD. The Pearson

product-moment correlation coefficients (r) between helper-

offered level of conditions (FR) and helped's depth of self-

exploration (HD) are statistically significant (p<.01) for

pre-treatment, post-treatmsnt, and combined data (Table

4.11). Statistical significance was ascertained from Fergu-

son's (1971) table of critical values of the correlation

coefficient.

A quite different relationship appears when the Ss in

this study were divided across groups into high (HDN2.5) and

low (HD<2.5) disclosure groups for pre-treatment, post-

treatment, and combined data. The Pearson product-moment

correlation coefficient (r) remains significant between FR

and HD only for the lovh disclosure group (Table 4.12).
















TABLE 4.11:


PEARSONI PRODUCT-lMOfENT COCPRRLAT IOIl COEFFICIENTS
FOR RATINGS OF FACILI'TATI'.E RESPONDING AND
HELPEE-DISCLOSURE


r !J


Pre-treatment .53** 45

Post-treatment .65w* 45

Combined Pre-
Post Treatment .68** 90


*lp<.01














TABLE 4.12: PEARSON PRODUCT-M-O;10LEiT COPRELATIOIl COEFFICIENjTS FOR
RATINGS OF FACILITATIVE RESPONJDIIG ANID HELPEE-
DISCLOSURE WITH RESPECT TO HIGH AI!D LOW DISCLOSUP.E


HD<2.5 HD>2.5
r N r N

Pre-treatment .53** 27 .26 18

Post-treatment .43* 19 .26 26

Combined Pre-
Post Treatment .48** 46 .21 44


*p<.10
**p<.01









The correlation cocffic-ients for the high disclosure group

for pre-treatmcnt, post-tre-atmennt, and combined data are

not significant. 'lius, the relationship between FR and HD

may be considered depen:1cnt for low disclosers but independent

for high disclosers.

Therefore, personality characteristics of the helped

(in this case, high or lc: disclose) are also seen as

qualifying the originally postulated simple relationship

between FP and HD. This finding supports related research

by Jourard and Resnick (1970), where the disclosure patterns

of female discloscrs ':as found to be independent of partner's

disclosure level, but those of low disclosers were dependent

upon partner's lc.cl of self-e::ploration.


S Tumaa ry

The rater reliabilit- calculated between judges ranged

from .91 to .9S on the process scales used to obtain the

dependent measures. ihe three dependent variables were

Facilitative Responding (FR) Hclpec-Disclosure (HD) and

Self-Disclosure (SD). The. hypotheses regarding systematic

interaction effects between treatment and time of testing for

the three experimental groups were tested using a two-way

analysis of variance with repeated measures for each dependent

variable. Significant pre- to post-treatment gains were

found across groups for FR and SD. However, interaction

effects did not reach statistical significance, and the null

hypotheses were accepted. It was not possible to conclude








that any one treatment demonstrated greater effectiveness

as a training program.

It was noted that for Group I, pre- to post-treatment

gains with respect to FR were significant at the .05 level;

these differences were not found for the other two groups.

For all groups, subjective evaluations of the trainees

indicated the training was perceived as a valuable experi-

ence, although this was not confirmed by the objective

ratings.

The relationship between FR and HD was re-examined in

terms of helpee characteristics. Pearson product-moment

correlations between PR and HD were calculated for pre-

treatment, post-treatment, and combined data. The relation-

ship between FR and HD was found to be statistically sig-

nificant for low disclosers, as expected, but correlations

did not reach statistical significance for high disclosers.

The finding indicates that the depth of self-exploration of

high disclosers is independent of the level of facilitative

conditions offered by helpers.














CHAPTER V


SUMMARY AND IMPLICATIONS


Summary

The purpose of this study was to develop and investi-

gate the effects of a brief cormunication skills program on

the interpersonal effectiveness of participants in the Stu-

dent Volunteer program at the University of Florida. Student

Volunteers are selected undergraduate students who enroll in

a credited course related to student development in the

university setting, and who are expected to serve as general

peer counselors to fellow students in the residence halls.

Research (see the Review in Chapter II) has demonstrated

the potential effectiveness of training paraprofessionals

to facilitate their interpersonal functioning with helpees.

An experimental treatment program which integrated

communication skills with additional self-disclosure train-

ing (Group I) was compared with a communication skills

training program alone (Group II) and a control group re-

ceiving delayed treatment following the investatgation (Group

III). A two-part model of coTmmunication was employed: the

generator of the message, the discloser; and the perceiver who

assigns meaning to the communication, the facilitative

respondent.









The training program combined three major trends in

methodology: systematic, integrated didactic and experi-

ential training; the use of videotape and Interpersonal

Process Recall; and the microcounseling paradigm. The

training was led by two experienced counselors from the

Uni.'ersity Counseling Center. The three groups were com-

posed of 15 female members each.

The dependent variables were Facilitative Pesponding

(FP), lielpee-Disclosure (HD), and Self-Disclosure (SD).

'The null hypotheses were that there would be no systematic

interaction effects between treatment and time of testing

cross groups for the three dependent variables.

The Ss acted as helpers and helpees in separate 15-

minute analogue counseling sessions with standard partners

both before and after the experimental treatment. Excerpts

from these audiotape-recorded interviews were coded, randomly

ordered, and submitted to trained judges for rating. The

instruments used were two process rating scales: the

Gross Ratings of Facilitative Interpersonal Functioning

Scale (GIF), and the Helpee Self-Exploration in Inter-

personal Process Scale (D::). Measures of FR were obtained

from the GIF scale; measures of HD and SD were obtained

from the D': scale. The rater reliability' (r) calculated

betLieen judges ranged from .91 to .98.

According to the split-plot design with repeated

measures, a two-way analysis of variance was performed








across the three grcups for cacn' dependent variable.

Significant pre- to post-tre atnent gains were found across

groups for FP and SD. Hiro..cv -r, the null hypotheses were

accepted since interaction effects did not reach statistical

significance. It was riot pos :ible to conclude from the

analysis of the data that any cne treatment demonstrated

greater effectiveness as a traiiinng program.

It was interesting to note that for Group I, pre- to

post-treatment gains were significant at the .05 level with

respect to FR. These differences ;:ere not found for the

other two groups. Subjective evaluations made by the

trainees following treatment indicated that they perceived

the training as a valuable e..:xericnce, although this was

not confirmed by the objective ratings.

The relationship b-etween FF, and HD .-:as re-examined in

terms of helpee-characteri-tics. Pearson product-moment

correlations betc.cen FF: and HD were calculated for pre-

treatment, post-treatiLent, and combined data. The relation-

ship between FR and HD vas found to be statistically sig-

nificant for low disclosers, as e::pected. For high dis-

closers, however, the correlations between FR and HD did not

reach significance, suggesting that the depth of self-

e:ploration of high disziosers is independent of the level

of facilitative conditions offered.









Implications

Limitatiorns

There ar'. t.'o major limitations inherent in the design

of this stud, which need to be considered when discussing

the implications:

1) The Ss in the study were all females. They

represent student volunteers in this particular residence

hall program at the University of Florida. Therefore, cau-

tion must be used in generalizing these findings to other

populations.

2) The outcome criteria were obtained within two weeks

of the final training sessions. The question arises as to

whether these results would remain the same if the outcome

criteria were obtained at a later date (a few weeks or

months follo-:ing training). Possibly, any gains made in

interpersonal skills would diminish. Alternatively, there

is the possibility that additional time would enable the

ideas presented in training to be integrated more fully into

trainees behavior, with further gains being made. Research

is needed to determine the more long-range effects of

training.


The Training Program

Selection of t-ainees. The problem of selecting those

persons who are most capable of making maximum use of

training programs has been underscored (Carkhuff, 1969a;

Carkhuff & erenson, 1967). In the presence of high-level








trainees, those individuals functioning at the highest

interpersonal levels themselves are the most effective

trainees, while those at the lowest levels are most difficult

to train (Carkhuff, 1969a).

The Ss in this study, at the outset of training, were

at levels well below minimal levels of facilitative inter-

personal functioning. With a group mean of 1.61, they could

be considered in the "difficult to train" category.

Furthermore, the Ss were required by their supervisors

to attend the training sessions, in addition to their other

commitments as Student Volunteers. While some of the Ss

regarded this as a unique opportunity to improve their in-

terpersonal skills, others viewed the training with resentment

and/or as an encroachment on their already bus; schedules.

It was assumed that this motivational factor would be evenly

distributed among the groups. However, no pre- or post-

treatment measures -were taken, and it is possible that it

contributed to the variability within groups.

Both these factors (level of interpersonal functioning

and motivation) are issues in training a group which was

pre-selected, such as residence hall staff. Perhaps more

attention need be paid to "who" is being trained before

training programs are initiated and evaluated.

Length of the training program. An important considera-

tion in developing training programs for residence hall

workers is the length of the program. Because of the limited









time available to most trainees in this setting, it is

desirable to determine the least amount of time in which

individuals can be effectively trained to function at

minimally ficilitative levels (Mitchell, Stanford, Bozarth,

& Wyrick, 1971). While research verifies the effectiveness

of some brief programs, there is evidence which suggests

that longer programs are perhaps more effective in leading

to changed behavior (Dendy, 1971; Scharf, 1971). Many of

the trainees in this study expressed the need or desire for

extended training, despite the fact that they also felt

pressed for time. Additional research needs to be performed

to ascertain the differential effects of length of training

on outcome criteria.

Instruments. A limitation of the process rating scales

currently used in the evaluation of this and other training

programs needs to be noted. These scales were designed witn

the knowledge that very few individuals can be found func-

tioning at the higher (Levels 4 and 5) levels of facilita-

tive interpersonal functioning (Carkhuff, 1969a). There-

fore, the five-level scales may be more accurately described

as having a more restricted range (Level 1 to 3 of 3.5).

This lowered range may render these scales relatively in-

sensitive to smaller changes which may result from communi-

cation skills training. It is suggested that new instru-

ments be developed which expand the range at the lower end

of the scale. Although progress at these lower levels of









functioning miay not be meaningful in terms of counseling

practice, it may give us additional useful information in the

evaluation of training programs.


The Relationship Eetween Facilitative
Responding and helpee-Disclosure

The data reveal a complex relationship between FR and

HD, dependent upon whether the helpee can be considered a

high or low discloscr. For loI disclosers (D:*:<2.5) the

helpee depth of self-exploration appears to be related to

level of helper-offered FR; whereas for high disclosers

(DX'2.5), the depth of self-exploration is not significantly

related to helper-offered conditions.

The relationship between FR and HD in the numerous

research studies using these variables has been obscured

to some extent by grouping high and low disclosers together.

This data needs to be re-evaluated, parceling out the high

disclosers from low. This new analysis could clarify not

only the relationship between FR and HD, but also the

complex and somewhat inconclusive findings regarding the

manipulation of helper-offered conditions on level of

helpee depth of self-exploration.

There is a further methodological note stemming from

the complex relationship between FR and HD. If as a vari-

able, RD is not consistently correlated with FR, serious

questions arise as to its use as an outcome criterion in

research.








The issue of standard vs. coached clients has been

discussed (see Chapter III). Based on the existing theory,

it 'as felt that for the purposes of this study, uncoached

clients could serve as partners in pre- and post-treaument

interviews, where HD was a dependent variable. However, if

HD is not always dependent upon levels of FR offered, its

use as a dependent variable is not appropriate, and

possibly confounding, in the evaluation of trainees. (It

would be necessary in such cases to first obtain baseline

daLa on HD.) Another unknown is the differential effect

of helpee depth of self-exploration on levels of helper-

offered FR.


Conclusions

Before the training programs developed can be fully

assessed, this study needs to be replicated, with attention

paid to the methodological difficulties noted both with

respect to selection of trainees and the outcome criteria.

Additional research also should compare a longer term com-

munications skills program, with the briefer programs to

ascertain the effect of length of training on the effective-

ness of the training.

The current data indicates that at the end of training,

the average base level of functioning of the S'."s was found

to be significantly less than minimally facilitative.



























APPENlDICES








APPENDIX A


HELPEE SELF-EXPLOPRATION IN. INTERPERSONAL
PRCCESSES SCALE



Level 1

The second person does not discuss personally relevant
material, either because he has had no opportunity to do
such or because he is acti'.ely evading the discussion even
when it is introduced by the first person.

EXAMPLE: The second person avoids any self-descriptions or
self-exploration or direct expression of feelings
that would lead hinm to reveal himself to the first
person.

In summary, for a variety of possible reasons the second
person does not give any evidence of self-exploration.

Level 2

The second person responds with discussion to the intro-
duction of personally rele'.ant material by the first person
but does so in a mechanical manner and without the demonstra-
tion of emotional feelings.

EXAMPLE: The second person simply discusses the material
without exploring the significance or the meaning
of the material or attempting further exploration
of that feeling in an effort to unco''er related
feelings or material.

In summary, the second person responds mechanically and
remotely to the introduction of personally relevant material
by the first person.

Level 3

The second person voluntarily introduces discussions of
personally relevant material but does so in a mechanical
manner and without the demonstration of emotional feeling.

EXAMPLE: The emotional remoteness and mechanical manner of
the discussion give the discussion a quality of
being rehearsed.

In summary, the second person introduces personally rele-
vant material but does so without spontaneity or emotional









proximity and ..ithout an inward probing to discover new
feelings and e-.periences.

Level 4

The second person volunt-rily introduces discussions of
personally relevant material with both spontaneity and
emotional proximity.

EXAMPLE: The voice quality and other characteristics of the
second person are very much "';ith" the feelings and
other personal materials that are being verbalized.

In summary, the second person introduces personally rele-
vant discussions with spontaneity and emotional proximity
but without a distinct tendency to'..ard inward probing to
discover new feelings and experiences.

Level 5

The second person actively and spontaneously engages in
an inward probing to discover new feelings and experiences
about himself and his world.

EXAMPLE: The second person is searching to discover new
feelings concerning himself and his world even
though at the moment he may perhaps be doing so
fearfully and tentatively.

In summT ary, the second person is fully and actively focus-
ing upon himself and exploring himself and his world.





















1)


O ..Z4 .j
0 A- Z H m w
44- *-A 14.4 ji -H %.--i




. il M 4 0 4- *_I "
> E- ) 4 0 U "3 -- 4

>r r 1 -H ) 0
-4 m r C n 3C 1


41- L, -1 C: -A 4J >J


ou gu ^ o cr
- Uc 02 n- c r '






U4 0 U r 4- C U) 0,i
' 0a J W *- "
---0 CaC UV *It -4




- n d4 .M w C 4C -
U- U, 0 'm 1' -C 41

> U Dl 4-4 C ) 4J 0 C


C 4J 0 4J ) 0
r-I M aC -H 4J-1
r 3 o 1 0 'li ..



0n C U) i C c el l-
L) 0 C M j1) U
0--I C J di *I C 0 '4, 1) C l r


3 a' 4. ,- 4 C)
j 00 U 0 ->
C 4-1 4a *t 1) OC)



UI) O ) C '1) J
OA') 0 V U 0 U4
E! 0 cta n- 4

.' 2' U*s --O x 3 >
Ln Z to CA c nij -4
.-I u a ) -1)0 O. C i


di-idi C i iCuCo
0 a 0 .C V fci l
4j --3 J r 1 :0 E
4-) V Cll -4 TCC U d







D Ui cn e e ) .-4
-m: c c) u) 11 0 0.

E '-7 U 0 M
C0 C O C C) Ca C) 0 '4 -

E' O C .t 0 0 U


In



a-
rl
. 0


rn







o
*






c,
0..






















a--
x 0









0 i
C D



















4J

a U
w fl




4i
a -



















:. ry
l0



*U ** -It
n 3

o a

10 -3
.1 c2






0, 0
1 1

-CC






>CU


-I w C -

0 0
iU c' Q-.
.U C 4-i
'1) 4- uM C
S3 4-) 0
n: 0--I U

" C E '-J
-4 j .I
r-4 a E









0 0
Sctot r




,-- C 1 3 2 C




0 0E

uC u
O-l *c u --






MM l







0 0 0
U-4 M. .. )






I c0 0



C a
S0 0E









0 0
S ,l)l C



S11- 4J 4









I CID





*-0 'A






---0 o -
j U C 0
4-> I; l







o i.T a i
2u TI U .11Cl











APPENDIX: C


HOMIEWORI: :.SSIGnrrlENT FOR GROUP I, SESSION 1


WHO KNOWS YOU?

Introduction

People differ in the extent to which they let other
people know them. We are seeking to investigate what people
tell others about themselves.

Naturally, the things that are true about your per-
sonality, your feelings, your problems, hopes and actions
will change as you get on with living. Therefore, the idea
that other people have about you will be out of date from
time to time. What .'as true about you last week or last
year may no longer be true. When you see people after a
lapse of time, and you want them to know you as you now are,
you tell them about yourself so that they will have a more
up-to-date picture of you. If you don't want them to know,
you don't tell them, even if they ask you personal questions.

Some of the things about yourself you will regard as
more personal and private than others: people differ widely
in what they consider appropriate to let others know, and
what they consider is nobody's business but their own.

Instructions

On the next page there is a list of topics that pertain
to ,you. You have also been given a special answer-sheet.
What we w-.ant you to do is indicate on the answer-sheet the
degree to which you have let each of several people in your
life know this information about you.

You have a reasonably good idea of how much about your-
self you have let each of the people know about you in the
past, and how current and up-to-date their knowledge about
you is at the present.

Therefore, will you indicate on the answer-sheet the
extent to which each of the other persons now knows the
pertinent facts about you. In other words, how complete,
up-to-date, and accurate is their picture of you as you are
now. Use the following scale to indicate your answers:

0: The other person doesn't kno,.. me in this respect
right now, because I haven't told him, or let him




81



know in any other ways.

1: The other person has a general idea of how I am now,
of what is true in this respect, but his idea of me
is not cDmplete, or up-to-date.

2: The other person fully knows me as I now am in this
respect, because I have talked about this topic to
him fully in the recent past, and things have not
changed. I have kept him fully informed about this
aspect of me.

X: Write ir, an X instead of an 0 for those items which
you would not confide to the person even if that
person asked you to reveal the information.









1. What you dislike about your overall appearance.
2. Things about your appearance that you like most, or
are proudest of.
3. Your chief health concern, worry or problem, at the pre-
sent time.
4. Your favorite spare time hobbies or interests.
5. Your food dislikes at present.

6. Your religious activity at present--whether or not you
go to church; which one; how often.
7. Your personal religious views.
8. Your favorite reading materials--kinds of magazines,
books, or papers you usually read.
9. What particularly annoys you most about your closet friend
of the opposite sex or (if married) your spouse.
10. Whether or not you have sex problems, and the nature of
these problems, if any.

11. An accurate knowledge of your sex life up to the pre-
sent--e.g., the names of your sex partners in the past
and present, if any--your ways of getting sexual gratifi-
cation.
12. Things about your own personality that worry you or
annoy you.
13. The chief pressures and strains in your daily work.
14. Things about the future that you worry about at present.
15. Things you are most sensitive about.

16. What you feel the guiltiest about, or most ashamed of in
your past.
17. Your views about what is acceptable sex morality for
people to follow.
18. The kinds of music you en]oy listening to the most.
19. The subjects you did not like, or do not like at
school.
20. Whether or not you do anything special to maintain or
improve your appearance, e.g., diet, exercise, etc.

21. The kind of behavior in others that annoys you the most
or makes you furious.
22. The characteristics of your father that you do not like,
or did not like.
23. Characteristics of your mother that you do not like, or
did not like.
24. Your most frequent day-dreams--what you day dream about
most.
25. The feelings you have the most trouble controlling, e.g.,
worry, depression, anger, jealousy, etc.

26. The biggest disappointment that you have had in your life.
27. How you feel about your choice of life-work.
28. What you regard as your chief handicaps to doing a
better job in your work or studies.








29. Your views on the segregation of whites and ric-groes.
30. Your thoughts and feelings about other religious
groups than your own.

31. Your strongest ambition at the present tim:.
32. Whether or not you have planned some major J-cision in
the near future, e.g., a new job, break encagemrrent, let
married, divorce, buy something big.
33. Your favorite jokes--the kind of jokes you like to hear.
34. Whether or not you have any savings; if so the amount.
35. The possessions you are proudest of, and take the
greatest care of, e.g., your car or musical instrument,
or furniture, etc.

36. How you usually sleep at night, e.g., well or poorly,
or with help of drugs.
37. Ycur favorite television programs.
38. Your favorite comics.
39. The clubs or groups or organizations you belong to,
e.g., fraternity, lodge, bridge club, YM.CA, pro-
fessional organizations, etc.
40. The beverages you do not like to drink, e.g., c-ffee,
tea, coke, beer, liquor, etc. and your prcferr.d
beverages.








ANSWER SHEET

E
4a I
" C I


Z
L- W
< K


1 21

2 22

3 23

4 24

5 25

6 26

7 27

8 28

9 _29

10 30

11 _31

12 __32

13 33

14 34

15 35

16 36

17 37

18 38

19 39

20 40


PLEASE, DO NOT TURN TO PAGE 4
QUESTIOUUAIRPE


UNTIL YOU HALVE COMPLETED THE









Scoring Instructions

When you have compi-ted the questionnaire, we would
like you to rcore yourself. For each numbered item, add
across target-p!r.-.ons and put the total score under the
column marked "T". Count 2, 1, or 0, depending upon your
ratings; count :; as 0.

low, consider the items for which you have received
a score of 5 or abo'e.. Do they have anything in common?
How do you feel about disclosing these items?











Now look at the items for which you have received a
score of 4 or less. What are the characteristics of these
items? Do they have anything in common? Does anyone know
how you feel about these items?









Please formulate disclosures with respect to the items
you scored with a total of 4 or less. If you have difficulty
responding, or if ycu prefer not to disclose yourself,
describe these feelings in the space below. Use the back
side of the paper, too, if necessary.