The Blackwell dictionary of modern social thought

THE BLACKWELL DICTIONARY OF MODERN SOCIAL THOUGHT

THE BLACKWELL DICTIONARY OF

MODERN SOCIAL THOUGHT Second Edition

EDITED BY WILLIAM

OUTHW AITE

Advisory editor Alain Touraine

•A

'-�

Blackwell Publishing

© 1993,1994,2003,2006 by Blackwell Publishing Ltd Editorial organization of the first edition© 1993, 1994 by William Outhwaite and Tom Bottomore Editorial organization of the second edition© 2003,2006 by William Outhwaite BLACKWELL PUBLISHING

350 Main Street,Maiden,MA 02148-5020,USA 9600 Garsington Road,Oxford OX4 2DQ UK 550 Swanston Street,Carlton,Victoria 3053,Australia The right of William Outhwaite to be identified as the Author of the Editorial Material in this Work has been asserted in accordance with the UK Copyright,Designs,and Patents Act 1988. All rights reserved. No part of this publication may be reproduced,stored in a retrieval system,or transmitted,in any form or by any means,electronic,mechanical,photocopying,recording or otherwise,except as permitted by the UK Copyright,Designs,and Patents Act 1988,without the prior permission of the publisher. First published 1993 Second edition published 2003 by Blackwell Publishing Ltd First published in paperback 2006 by Blackwell Publishing Ltd 1 2006 Library of Congress Cataloging-in-Publication Data has been applied for ISBN-13: 978-0-631-22164-7 (hardback) ISBN-10: 0-631-22164-6 (hardback) ISBN-13: 978-1-4051-3456-9 (paperback) ISBN-10: 1-4051-3456-9 (paperback) A catalogue record for this title is available from the British Library. Set in 9/11 pt Ehrardt by Kolam Information Services Ltd,Pondicherry,India Printed and bound in the United Kingdom by TJ International Ltd,Padstow,Cornwall The publisher's policy is to use permanent paper from mills that operate a sustainable forestry policy, and which has been manufactured from pulp processed using acid-free and elementary chlorine-free practices. Furthermore,the publisher ensures that the text paper and cover board used have met acceptable environmental accreditation standards. For further information on Blackwell Publishing, visit our website: www.blackwellpublishing.com

Contents

Preface Note

Vl

Vll

Contributors

Vlll

Introduction

XV

Dictionary Entries A-Z Bibliography

751

Preface

This dictionary first appeared in 1993, as The Blackwell Dictionary of Twentieth-Century Social Thought. It was one of Tom Bottomore's last projects; he died in December 1992, at the early age of 72, just as the Dictionary was printing. Tom's many books and articles have served and still serve as a uniquely lucid and reliable guide for generations of students of sociology and the other social sciences, and his contributions to this Dictionary, as well as its overall conception, display his characteristic sense of the range and diversity of social concerns. Social thought, as we both conceived it, is empirical as well as normative or speculative, cultural as well as economic and political. In revising the dictionary for the present edition, I have retained this broad focus, rather than reorienting it towards the individual social sciences on the one hand, or a more delimited conception of social theory on the other. Many contributors accepted the invitation to revise their entries, though as many replied that they had nothing to change, or only minor bibliographic details. This is in part, of course, because the original dictionary went to press when what]. H. Hexter, in his entry on history, called the 'short' twentieth century, running from 1914 to 1989, was already over. The dust of state socialism, symbolized in microcosm by that of the Berlin Wall, had already settled. The Cold War, which had threatened the globe with a nuclear winter was over, though it was already clear, as the world was again reminded in the autumn of 2001, that the post­ Cold War 'order' is also dangerous and unpredictable. I would like to thank Alain Touraine, Peter Dickens, Simon Mohun and other colleagues who gave valuable advice and help with this edition. I dedicate it to the memory of Tom Bottomore and of our former Advisory Editors, Ernest Gellner and Robert Nisbet. WILLIAM 0UTHWAITE

Note

A dictionary of modern social thought must necessarily range very widely, from the social sciences to philosophy, political theories and doctrines, cultural ideas and movements, and to the influence of the natural sciences. In compiling the present work we have tried to encompass this vast field by commissioning entries on three themes: first, the major concepts which figure in social thought; second, the principal schools and movements of thought; and third, those institutions and organizations which have either been important objects of social analysis, or have themselves engendered significant doctrines and ideas. Much of the dictionary is devoted to particular bodies of thought that have been influential in the past century: individual social sciences, philosophical schools, political doctrines, distinctive styles of art and literature. In each of these cases a long general entry is supplemented by other entries which elaborate specific aspects of the ideas and theories involved; thus, for example, the entry on economics is further developed in entries on the diverse schools and concepts which have emerged in economic thought, and similarly the entry on Marxism is complemented by entries on various forms that this body of theory and doctrine has assumed. Indeed, all the major spheres of social thought have developed and proliferated historically, and we have aimed to incorporate this historical aspect, reaching back in many cases to the ideas of earlier centuries. Each entry is followed by a short list of further reading, and there is also a general bibliography at the end of the dictionary which lists other books and articles referred to in the text. The author-date citations in the text generally refer to first editions or first appearances of the works; dates of subsequent editions are given in brackets where applicable. While each entry is intended to be complete within itself, cross-references to other entries which would illuminate or extend the subject under discussion are signalled by the use of small capitals in the text. WILLIAM 0UTHWAITE ToM BoTTOMORE

Contributors

Philip Abbott

MicheleBarrett

1Vayne State Unic,ersity

and

College,

'\Jicholas Abercrombie

Lancaster 'mwermi!

D. J.Bartholomew

London School!{(Economics

Hugh G.]. Aitken

Amherst

Kaushik Basu

Martin AI brow

Delhi School of Economics

London

PatrickBateson Uni versi �y ofCtzmbridge

David E. Apter Yale University

A.Beckford

Anthony Arblaster

University ofTVarwi•·k

Universi�y of Sheffield

LeonardBeeghley

David Armstrong

University of Florida

Guy's Hospiml, Unic>ersi�y of London

ReinhardBendix t

Giovanni Arrighi

State Unit>ersit y

GeoffreyBennington

York at BinghamtMl

Universi�

MichaelBacharach

TedBenton

Christ Church, Oxford

University of Essex

PeterBaehr

Lingnan University,

Kong

HenryBernstein

Institute

PatrickBaert 1'"""b¥"'"

Christopher]. Berry

PaulBailey

unwersttv of Glasgow

Ui1iversity 11fEdinburgh

DavidBerry

E. DigbyBaltzell

;mcnt'r""'

Un·ivenit:v ofPennsylvania

Tuhnology Institute,

Salford

ofWarn�ick

RodneyBarker

London School of Etonomics Alan Bamard 1Mr71rr·"'"

University

of

Centre forCritital Reali>m, London NlichaelBillig

CliveBarker u•rrm"""·

of Sussex

RoyBhaskar

Lorraine F.Baric

biformation

Dec>elopment Policy and }vftmagement,

University o{it1auchester

ofCambridge

ofEdinburgh

Loughborough Universi�y KenBinmore m1nnm11

oflvfichigan

MildredBlaxter

School ofEconomic and Social Studies, [Jniversity of

CONTRIBUTORS J osef Bleicher

Elwood Carlson

Associate Member of the Theory Culture � Society

University of South Carolina

Centre ]. Blonde! European University Institute, Florence Stephan Boehm University ofGraz Peter]. Boettke New York University Tom Bottomore t Gerhard Botz Institut fur Geschichte, Universitiit Salzburg Raymond Boudon Groupe d'Etude des Mithodes de !'Analyse Socio­ logique, Universite de Paris-Sorbonne Margaret M. Braungart State University of New York Richard G. Braungart Syracuse University E. A. Brett London School of Economics Asa Briggs Sussex George W. Brown Royal Holloway and Bedford New College Rogers Brubaker University of California, Los Angeles Hauke Brunkhorst Institut furGrundlagen der Politik, Freie Universitiit Berlin W. Brus

IX

Terrell Carver University of Bristol Alan Cawson Sussex Gerard Chaliand Paris Simon Clarke University of Warwick IraJ. Cohen Rutgers University Selma Jeanne Cohen New York David E. Cooper University of Durham Lewis A. Coser t Bernard Crick Birkbeck College, University of London Roger Crisp St Anne's College, Oxford Ian Crowther Literary Editor, The Salisbury Review Fred D'Agostino University of New England R. W. Davies Centre for Russian and East European Studies, University of Birmingham MeghnadJ. Desai London School of Economics

Wolfion College, Oxford

Torcuato S. Di Tella

Alan Bryman

Buenos Aires

Loughborough University

Marco Diani

Tom Burden

Centre d'Analyse et d'Intervention Sociologiques,

Leeds Polytechnic

Paris

Colin Campbell

Peter Dickens

University of York Tom D. Campbell Australian National University Julius Carlebach t Allan C. Carlson Rockford Institute, Illinois

Social and Political Sciences, University of Cam­ bridge J ames Donald University of New South Wales, Sydney Fran<;ois Dubet Ecole des Hautes Etudes en Sciences Sociales, Paris

x

CONTRIBUTORS

Bohdan Dziemidok

Margaret Gilbert

University of Gdansk

University of Connecticut, Storrs

Andrew Edgar

Hannes H. Gissurarson

University of Wales, College of Cardiff

University of Reykjavik

S. Eilon

Peter E. Glasner

Imperial College of Science and Technology, London

University of the West of England

Peter P. Ekeh

Frank Gloversmith

University of Buffalo Pascal Engel

Centre de Recherche en Epistemologie, Paris Helen Fein

Cambridge, Massachusetts Joseph V. Femia

School of Politics and Communication Studies, University of Liverpool Zsuzsa Ferge

Institute of Sociology and Social Policy, Eiitvos Lorand University, Budapest Rubem Cesar Fernandes

Instituto de Estudos da Religiao, Rio de Janeiro Robert A. Foley

University of Cambridge Tom Forester t Murray F. Foss

American Enterprise Institute for Public Policy Research, Washington DC Lawrence Freedman

King's College, London Christopher Freeman

Science Policy Research Unit, University of Sussex R. G. Frey

Bowling Green State University Diego Gambetta

University of Oxford David Garland

University of Edinburgh

University of Sussex Jack A. Goldstone

Centre for Comparative Research in History, Society and Culture, University of California, Davis Stanislaw Gomulka

London School of Economics Peter Goodrich

Cardoso School of Law, New York Robert Grant

University of Glasgow S. J. D. Green

School of History, University of Leeds Roger Griffin

Oxford Brookes University David B. Grusky

Stanford University Anne-Marie Guillemard

Universite de Paris IV (Pantheon-Sorbonne) Peter Gurney

University of Glamorgan Peter Halfpenny

University ofManchester John A. Hall

McGill University, Montreal Charles Hallisey

Committee on the Study of Religion, Harvard University Norman Hampson

Emeritus Professor, University of York Shaun P. Hargreaves Heap

Ernest Gellner t

University of East Anglia

Norman Geras

Gwyn Harries-]enkins

University ofManchester

University of Hull

Naomi R. Gerstel

Laurence Harris

Department of Sociology, and Social and Demographic Research Unit, University ofAmherst

School of Oriental and African Studies, University of London

CONTRIBUTORS David M. Heer

V. G. Kiernan

University ofSouthern California

Professor Emeritus, University of Edinburgh

Arnold Heertje

Richard Kilminster

Universiteit van Amsterdam

University of Leeds

XI

Andnis Hegedi.is

Alden S. Klovdahl

Budapest

Australian National University

Adrian Henri

I. S. Kon

Liverpool

Institute of Ethnography and Anthropology, Academy of Russia, Moscow

John Heritage

University ofCalifornia, Los Angeles

Krishan Kumar

]. H. Hexter

University of Virginia

t

Susan Himmelweit

Jorge Larrain

Open University

Universidad A. Hurtado, Santiago, Chile

Barry Hindess

Gerhard Lenski

Australian National University

University ofNorth Carolina

Paul Quentin Hirst

t

Charles T. Lindholm

Boston University Barry Holden

University of Reading Martin Hollis

t

Alain Lipietz

Centre d'Etudes Prospectives d'Economie Mathema­ tique Appliquees d la Planijication, Paris

Axel Honneth

Peter Lloyd

Universitiit Frankfitrt am Main

University ofSussex

Leo Howe

Eero Loone

University ofCambridge

University ofTartu, Estonia

T. W. Hutchison

Alfred Louch

Professor Emeritus, University of Birmingham

Claremont Graduate School, California

Richard Hyman

Terry Lovell

Industrial Relations Research Unit, University of Warwick

University of Warwick

MarieJahoda

New York University

t

Steven Lukes

HansJoas

Francis P. McHugh

John F. Kennedy Institut, Freie Universitiit Berlin

St Edmund's College, University of Cambridge

TerryJohnson

John Spencer Madden

University of Leicester

The Countess ofChester Hospital, Chester

Kay Junge

Michel Maffesoli

Institute of Sociology, Justus-Liebig-Universitiit Giessen

Universite de Paris V (Rene Descartes)

Mary Kaldor

Peter T. Manicas

University of Hawaii at Manoa

London School of Economics Patrice Mann Haider Ali Khan

University of Bordeaux

Graduate School of International Studies, University ofDenver

Peter Marsh

MCM Research

xn

CONTRIBUTORS

David A.Martin

John E. Owens

London School ofEconomics

School of Social and Policy Sciences, University of Westminster

AliA.Mazrui

State University ofNew York at Binghamton UlrikeMeinhof

University ofSouthampton VolkerMeja

Memorial University ofNewfoundland ]. G.Merquior t lanMiles

Programme ofPolicy Research in Engineering, Science and Technology, University ofManchester DavidMiller

Nuffield College, Oxford EnzoMingione

University ofBiocca, Milan Kenneth R.Minogue

London School ofEconomics SimonMohun

Queen Mary and Westjield College, University of London MaxineMolyneux

University ofLondon RaymondA.Morrow

University ofAlberta MichaelMulkay

University of York EleanorM. Nesbitt

Religious Education and Community Projut, Univer­ sity of Warwick Robert Nisbet t Peter Nolan

School of Business and Economic Studies, University ofLeeds Roderick C. Ogley

Emeritus Reader, University ofSussex John O'Neill

University ofLancaster Sarah Norgate

The Open University Geoffrey Ostergaard William Outhwaite

Sociology, University of Sussex

TrevorPateman

Sussex GeoffPayne

University ofPlymouth DonaldPeterson

Cognitive Science, University ofBirmingham TonyPinkney

University ofLancaster Jennifer Platt

University ofSussex KenPlummer

University ofEssex JonathanPowis

Balliol College, Oxford VernonPratt

School of Independent Studies, Lancaster University AllanPred

University of California David L.Prychitko

State University ofNew York, Oswego DerekPugh

Business School, Open University Terence H. Qualter

University of Waterloo, Ontario Ali Rattansi

City University, London L.J. Ray

University ofKent at Canterbury Gavin C. Reid

University ofSt Andrews Karin Renon

Centre d'Analyse et d'Intervention Sociologiques, Paris John Rex

Professor Emeritus, University of Warwick Ken Richardson

The Open University Adrian D. Rifkin

Middlesex University

CONTRIBUTORS Paul Rock

Rudi Supek

London School of Economics

Zagreb

C. A. Rootes

Gyiirgy Sze!l

University of Kent at Canterbury

Fachbereich Sozialwissenschafien, Universitdt Osnabruck

Steven P. R. Rose

The Open University

Steve Taylor

W. D. Rubinstein

London School of Economics

School of Social Sciences, Deakin University Anne Showstack Sassoon

School of Social Science, Kingston University Werner Sauer

Institute of Philosophy, Karl-Franzens-Universitdt Graz Johann F. Schneider

Universitdt des Saarlandes

John B. Thompson

Jesus College, Cambridge ]. K. ]. Thornson

University of Sussex Alan Tomlinson

University of Brighton Alain Touraine

Centre d'Analyse et d'Intervention Sociologiques, Paris

John Scott

Peter Townsend

University of Essex

University of Bristol

Teodor Shanin

Keith Tribe

University of Manchester

University of Worcestershire

A. M. Sharakiya

Sylvaine Trinh

State University of New York at Binghamton

Centre d' Analyse et d'Intervention Sociologiques, Paris

Andrew Sherratt

Ashmolean Museum, University of Oxford Cris Shore

Goldsmiths' College, University of London Kazimierz M. Slomczynski

Institute of Sociology, University of Warsaw Peter Sluglett

University of Durham Andrew Spencer

Bryan S. Turner

University of Singapore Jonathan H. Turner

University of California, Riverside Ernest Tuveson

University of California, Berkeley John Urry

Lancaster University Ivan Varga

Kingston, Ontario

University of Essex

Loic]. D. Wacquant

Patricia M. Springborg

University of California, Berkeley

University of Sydney Nico Stehr

University of Alberta

Sylvia Walby

University of Leeds

Herbert Stein

Nigel Walker

American Enterprise Institute for Public Policy Research, Washington DC

Professor Emeritus, Institute of Criminology, University of Cambridge

xm

XIV

CONTRIBUTORS

Immanuel Wallerstein

Robin M. Williams Jr.

State University ofNew York at

Cornett University

Binghamton, and Maison des Sciences de l'Homme, Paris ]. W. N. Watkins

Christopher Wilson

London School ofEconomics

t

Carolyn Webber

Survey Research Centre, University of California, Berkeley Wlodzimierz Wesolowski

Institute ofPhilosophy and Sociology, Polish Academy of Sciences, Warsaw

Charles R. M. Wilson

Portsmouth Polytechnic H. T. Wilson

York University, Toronto Peter Worsley

London

Michel Wievorka

Dennis H. Wrong

Centre d'Analyse et d'Intervention

New York University

Sociologiques, Paris Aaron Wildavsky

Survey Research Centre, University of California, Berkeley R. A. Wilford

The Queen's University ofBelfast

Lucia Zedner

London School ofEconomics Sami Zubaida

Birkbeck College, University of London

Introduction

At the end of the nineteenth century the term 'social' was still a relatively new one, as was for the most part the concept of distinct 'social sciences'. The first professional associations and journals were just beginning to be established and some new social sciences, such as sociology, were gaining recognition, while economics as an older discipline was developing rapidly in the neoclassical form given to it by Car! Menger, Lean Walras, Alfred Marshall and others, or with quite a different emphasis in the work of the German historical school. All the social sciences could look back on distinguished precursors in the eighteenth and nineteenth centuries, or earlier still in the case of political science and history, and the ideas of some of these precursors have remained influential. But in the twentieth century the social sciences became more distinctly consti­ tuted and differentiated, and they have had a stronger impact on social thought as a whole. Political doctrines generally, and social criticism in particular, became more dependent on theories of society, and many nineteenth-century ideas came to find an institutional embodiment. Positivism established itself in a rather different form from its original Comtean one, as a philosophy of science particularly influential among social scientists. Evolutionism survived all kinds of attacks and retained its place in social thought, assuming new forms after World War II in conceptions of modernization, underdevelopment and development, and more recently in theories of the development of moral reasoning and human thought as a whole. The influence of Marxism, as a critique of political economy, a theory of society and a political doctrine, grew steadily during most of the century, though in increasingly diversified ways that were reflected, after the Russian Revolution and still more after 1945, in the sharp division between Marxism-Leninism and what came to be called Western Marxism, the latter being itself extremely diverse. The dramatic events of 1989 put an end to the communist dictatorships in Eastern Europe and to the world influence of Leninism, but although Marxism and to some extent socialism are at present in eclipse in post-communist Europe this is not so evidently the case elsewhere. Everywhere, however, there is much rethinking of the social and political doctrines which had their origins in the eighteenth and nineteenth centuries, and flowered in the present century against the background of massive and rapid changes in the structure and culture of human societies. The Industrial Revolution and the political revolutions in France and America had initiated this transformation, giving birth to the democratic movement and later to socialism, as well as to the counter-doctrines of conservatism and liberalism, but the new industrial capitalist societies were also characterized by nationalism and imperialist expansion. As a result the twentieth century, contrary to the expectations of Auguste Comte and Herbert Spencer, came to be one of the most violent in human history, with two immensely destructive and savage world was and innumerable, equally savage, lesser conflicts, as well as persecution and genocide on a large scale. New forms of aggressive expansionism emerged with the fascist regimes in Europe, which also established totalitarian dictatorships of a new kind (though these had a parallel, or even precursor, in Stalinist Russia), and in a different, more militaristic style in Japan. Underlying the destructiveness of modern warfare has been the unprecedented advance during the past century of natural science and technology, which has transformed the conditions and modes of social life. Incessant technological innovation in the industrial countries has been a major factor in economic growth, and an important factor in the emergence of giant corporations, among them, notably in the past four decades, multinational corporations, which increasingly dominate the world economy. At the same time innovation and growth have a disruptive effect, not proceeding steadily and smoothly, but in a cycle of boom and depression, marked by periods of large-scale unemployment, as in the 1930s and again in the 1980s. Hence there has been much debate about ways of regulating the economy for social ends, a debate which until 1989 often involved contrasting (relatively) free market capitalist economies with the centrally planned

XVI

INTRODUCTION

economies, and still raises questions about the role of partial, indicative planning in the management of the economic system. Economic growth itself has raised new issues for social thinkers; first, the contrast between the growing wealth of the industrial countries, within which there remain however substantial impoverished sectors, and the widespread poverty- in some cases increasing, as in large parts of Africa- of much of the Third World, and secondly, the environmental impact of growth itself. In relation to the first issue there have been many attempts to formulate models of development for the poorer countries, and to work out practical policies for overcoming this North/South divide, but the policies actually implemented have not so far been notably successful and by the end of the 1980s the transfer of resources from rich to poor countries, through aid programmes and other means, had turned, as a result of accumulated debt, into a reverse flow from the poor to the wealthy. In consequence a critical debate about what is to be understood by development in a world context, or by the idea of a 'new international economic order', which so far remains largely a catch phrase, has engaged an increasing number of social thinkers, and the debate has expanded into an additional area of concern with the human environment. Indeed it is with this issue, and with the burgeoning ecology movements, that much social thought has been engaged in recent decades. The pollution and destruction of the human habitat through industrial production and the apparently insatiable demand for raw materials, has affected not only the industrial societies themselves but also the countries of the Third World, where it is often even more devastating, sometimes compounded by the effects of rapid population growth. It is against the background of the upheavals, conflicts, discontinuities and new problems of the twentieth century that social thought, whether produced by social and political activists themselves or by the growing army of professional scholars, must be understood. Yet many of its central themes remain much as they were in the 1900s: the nature of work, the role of the nation-state, the relation between individual and society, the effect of money on social relations, the contrast between

Gemeinschafi (community) and Gesellschafi (societyI

association), stratification and equality, the tension between partisanship and value-freedom in the social sciences, even such labels as fin

de siecle itself.

The latest diagnoses of postmodernity or postindustrialism

look remarkably like early accounts of modernity and industrialism, and modern futurology, despite the availability of computer models, not unlike the predictions of nineteenth- and early twentieth-century social thinkers. These earlier themes, however, have in many cases acquired a new content. The nature and meaning of work has now to be examined in the context of a radically changing occupational structure, the reduction of working hours, and the expansion of time available for freely chosen activities. The state has become more obviously the provider of vital social services and of the essential economic infrastructure, but the experience of fascism and Stalinism has shown that its power can be used in some circumstances to establish a totalitarian system. Democracy, which at the beginning of the twentieth century was a relatively new and limited growth, in only a small minority of countries, and was subsequently destroyed again in some of them, has become (in theory at least) an almost universal political value, though its eventual scope is still vigorously debated between advocates of liberal or participatory democracy, and in the context of recent discussions of the meaning of citizenship. Stratification and equality, which had a central place in the political conflicts between left and right throughout the twentieth century, have become more complex issues in recent decades as other kinds of inequality- of gender, race and nationality- have been more strongly emphasized by new social movements, and as the claims of communist societies to have eliminated class inequalities were more vigorously disputed by internal and external critics of their strongly hierarchical structures. This dictionary aims to provide a reliable and comprehensive overview of the main themes of social thought, broadly conceived, and of its development from the beginning of the twentieth century (or earlier) to its end, against the background of the vast and shifting panorama of social life in this turbulent era. It will prove, we hope, a valuable source of reference for all those who, in different ways, are concerned with the prospects for the future development of human society as we enter a new century and a new millennium. WILLIAM 0UTHWAITE ToM BoTTOMORE

The Blackwell Dictionary of Modern Social Thought, Second Edition Edited by William Outhwaite Copyright © 1993, 1994, 2003, 2006 by Blackwell Publishing Ltd

A action and agency

Someone performs an action

when what he or she does can be described as

1977).

union of many (at least two and at most all) actors concerned with a common purpose or problem. If

Actions are prac­

this union is not brought about through force,

tical conclusions drawn from intentions and beliefs;

threat or propaganda, it must be through the free

intentional (see Davidson,

'action' and 'rationality' are interrelated. Socio­

compulsion of argumentative inference, that is

logical action theories from the time of Max

through convincing reasons (cf. Habermas,

Weber build on this relation in analysing action

Ape!,

1973, 1979).

1971;

Practical discourses are not con­

into components and types. Social actions are

cerned with the extension of intentions from ends

always part of larger systems and of processes of

to means, explaining to the actor why it is rational

intersubjective understanding, and this raises the

for

question of the role of the acting subject ('human

with whether it is possible to generalize the ends

him or her

to take certain decisions, but rather

they should follow par­ NoRMS). In what Hegel (Logic)

agency') in the processes by which actions are co­

and make clear to all why

ordinated.

ticular norms (see

called the 'conclusion of the good', in which means

Rationality of action Aristotle, in his

Nichomachean Ethics,

and end are identical and the act is good in itself, it saw the ra­

tionality of an action as lying in the conclusion which leads from intentions or norms and from

is a question of what is legitimate and justifiable in the light of shared and freely accepted principles (Wellmer,

1979,

pp.

25ff.).

assessments of the situation and of the available means to immediate consequences in terms of action. Action is rational in so far as it follows premises which ground and justify its performance. A minimal rationality must therefore be presup­ posed in any action, in any bodily movement falling under this definition. Aristotle emphasized that even undisciplined actions which escape rational control, such as the excessive consumption of sweet things, can be formally at least fitted into the model of rational justification (cf. Davidson,

1980; Wright, 1971).

Consequences of actions The conclusion of a practical inference is an action. From the observer's perspective, the choice of available means to given ends

explains

the action.

Such an explanation also has prognostic relevance, since institutional and normative contexts ensure that intentions and beliefs remain stable and are regularly reproduced (cf. Wright,

1971).

But since

one can never exclude the possibility of actors changing their intentions, forgetting the best way to do things or unexpectedly finding new ways to solve a problem, the link between intentions and

Will formation

beliefs and future behaviour is a contingent one.

as

a

A simple example of purposive-rational will forma­

But we can only identify a given behaviour

tion is provided by Kant's technical imperative, the

specific action if we succeed in interpreting it, in

'imperative of capability', in which intentions are

the perspective of a participant, as the consequence

1971).

of rationally understandable intentions and beliefs.

Someone who wants something and knows how it is

'To interpret behaviour as intentional action is to

extended from ends to means (cf. Wright,

to be obtained must want to obtain it by these

understand it in the light of an intention' (Wellmer,

means. Even the complex process of social will

1979,

formation, coming to a decision as a consequence

p.

13).

The participant's perspective, and only that per­

of collective deliberation, can be described as a

spective, opens up a similar logical-semantic rela­

process of practical inference. This involves a

tion between intentions and actions. For the actor,

2

ACTION AND AGENCY

means an obligation to per­

tionally meaningful background of everyday action

form a future action. It is not empirically guaran­

suddenly collapses and confronts the actor with

teed that someone who promises to come on time

unfamiliar and exceptional demands, problems

the practical conclusion

will in fact do so, but someone who has given that

and conflicts. This is the other limit case of social

undertaking will need to offer an apology if he or

action. To speak of

she is not punctual. The expectation that in normal

'present affects and emotions' means that, even in

circumstances someone who has promised to be on

uninhibited reaction to an exceptional stimulus, the

action which is governed by

time very probably will be is not only inductively

actor retains scope to decide how to react, or

supported by observed behavioural regularities;

whether not to react at all and to swallow his or

this expectation is based even more on the fact

her rage. But Weber reserves the description 'ra­

that we can usually rely on one another. The

tionally intelligible' for social behaviour which is

Other will probably be on time because the agree­

fully conscious and based only on reasons which the

1979). This is

actor considers to be valid and conclusive; this

not an empirical and contingent relation between

corresponds to the ideal types of purposive-rational

ment has reciprocal validity (cf. Ape!,

intentions and activities but a logical-pragmatic

and value-rational action. With this distinction

one. We recognize the seriousness of the intention

Weber looks back, via

by its consequences for action; we call someone who

istotelian theory of action. Whereas value-rational

NEO-KANTIANISM, to the Ar­

does not do what he or she wants to do and can do,

action follows what Hegel called the 'conclusion of

inconsistent. This is not unlike the case of someone

the good' and identifies means and ends in 'the

who asserts that snow is all white and all black. Just

unconditioned value in itself of a specific behav­

as we suspect weakness of will as the cause of

iour', in purposive-rational action all that counts is

inconsistent action, we may infer that someone

the effectiveness of means to a given end. In

who unintentionally utters contradictions is weak

Weber's conception, only this type of action can

in the head. Like evidently contradictory state­

be fully rationalized; it is therefore the true ideal

ments, evidently inconsistent action has 'something

type of meaningfully oriented behaviour that

essentially irrational' about it, so that such actors

expresses Hegel's 'conclusion of action'. Only

might find it hard to recognize themselves in their

here can one say 'that if someone were to act in a

actions (cf. Davidson,

only 1921-2). For Weber, the rational understanding (see VER­ STEHEN) of action advances methodically from this

1980).

strictly purposive-rational manner, they could do it this way and no other way' (Weber,

Types ofaction Disturbances of action through such massive in­

universal and counterfactual rationality assump­

consistencies that we cannot understand our own

tion. This makes it possible to explain actual actions

action ('I don't know how I could have done it')

as a deviation from an ideal standard. Freud's inter­

bring us up against the internal connection between

est in explaining irrational action is therefore com­

action and self-understanding. Max Weber and

plementary to Weber's interest in understanding

Sigmund Freud drew opposite conclusions from

the rationality of consistent action. In a world

this relation. Whereas Freud is interested in the

shaped by causal reasoning, rational action of this

unconscious causes of self-deception, Weber bases

kind is only possible when the actor's reasons for a

his sociology on an

IDEAL TYPE of meaningfully

as intentions, cause the action (cf. Davidson, 1980). If a real

particular action are causally effective

oriented action intelligible to the actor; his well­

and

known typology of action is founded on this relation

action is to be understood as the consequence of a

of self-evidence.

rational inference (for example, rational argumen­

Social action is 'behaviour which is meaningfully

tation), the reasons must have a causal, that is,

1921-

rationally motivating, force as causes of the action­

oriented to the behaviour of others' (Weber,

2). One limiting case of social action is the com­

event. The causal force which a grounded will,

pletely self-evident, conventional, habitual and

transforming reasons into intentions, gives to our

almost mechanical course of traditional action

actions is of course, as Davidson

based on 'internalized habit'. This 'dully habitual

(1980) and Ape! (1979, p. 189) have shown in their criticisms of C.

everyday action', quietly adapted to the normative

G. Hempel, a causality without causal laws. What

background of the life-world, is pushed into an

Kant called the 'causality of freedom', in which the

affectual or emotional reaction when the conven-

will or the intention which causes the action counts

AESTHETICS

3

as a valid justification for it, involves not causal

duction of this monstrous and in principle un­

laws, but normative-universal principles of ration­

graspable complexity of meaningfully oriented

ality (Ape!, 1979). The case of unconscious self­

action, mechanisms which functionally integrate

deception with which Freud is concerned is one in

the individual actions independently of the will

which an action or speech-act is caused as an event

and consciousness of the subjects, social order

without being justified by its causes (cf. Liiw-Beer,

seems impossible (cf. Luhmann, 1970-90, vol. 2,

1990). In this case the action or speech-act is not

pp. 204ff.; 1981, pp. 195ff.). The question is then

rationally motivated, by a valid sequence of sym­

whether social order can be envisaged entirely

bols, but only empirically, by way of'split-off sym­

without collective will formation and whether

bols' (cf. Habermas, 1968, pp. 246ff.; 1981, pp. 8ff.).

actions can be separated from a notion of agency

But because this explanation in terms of merely

produced by subjects themselves by means of ac­

empirically effective motives presupposes the pos­

ceptable reasons.

sibility of rational action, Freud can combine his methodological interest with a therapeutic interest

Reading

in emancipation and the critique of action which is

Brubaker, R.1984: The Limits of Rationality: an Essay on

not brought about by reasons. This interest does not of course come near to satisfying Weber's criterion of ideal purposive ra­

the Social and Moral Thought ofMax Weber. Davidson, D. 1980: Essays on Actions and Events. Parsons, T. 1937: The Structure ofSocial Action. HAUKE BRUNKHORST

tionality. The irrational action with which Freud is concerned is caused by the latent force of distorted,

In its modern meaning aesthetics is

compulsively integrated communication. To ex­

aesthetics

plain it as action which is no longer intelligible to

most frequently understood as a philosophical dis­

the actor it is not enough to postulate an ideal type

cipline which is either a philosophy of aesthetic

of purposive-rational action and to measure its di­

phenomena (objects, qualities, experiences and

vergence. What must be presupposed is rather an

values), or a philosophy of art (of creativity, of

ideal criterion of undistorted communication (cf.

artwork, and its perception) or a philosophy of art

Habermas, 1968; Ape!, 1979). What the actor who

criticism taken broadly (metacriticism), or, finally,

needs the help of a therapist finds unintelligible

a discipline which is concerned philosophically

about his or her own action is the breaks in the

with all three realms jointly.

system of reasons which would appear acceptable

Aesthetic reflection is much older than the term

to a community of autonomous subjects. The mo­

itself. The history of Western aesthetics begins

tives which cause the action and speech of the

usually with Plato, whose writings contain a sys­

neurotic, without justifying and grounding it, are

tematic reflection on art and a speculative theory of

causes which cannot count as reasons because a free

beauty. Neither Plato nor his great disciple Aris­

communication community could not accept them

totle, however, treated these two great themes of

as reasons.

aesthetics in conjunction. The term 'aesthetics' was introduced to philoso­

Action, system and subject

phy as late as the mid-eighteenth century by a German philosopher, Alexander Gottlieb Baum­

Weber's theory of action appears inadequate in

garten (1714-1762). Baumgarten, a disciple of

another quite different respect. It underestimates

Leibniz's follower Christian Wolff (1679-1754),

from the start the complexity of the double contin­

concluded that the system of philosophical dis­

gency (cf. Parsons and Shils, 1951, pp. 14ff.) in the

ciplines was incomplete and required a science

meaningfully oriented reciprocal perspectives of

parallel to logic which was a science of clear and

ego and alter, as well as the hypercomplexity of

distinct cognition achieved by the intellect. The

any meaningful orientation. The improbability of a

new science should be aesthetics, a science of

meaningfully guided act, related to an unlimited

clear and confused cognition realized

and inconceivable multiplicity of alternative pos­

senses. This view was expressed for the first time

by

the

sibilities which might have been realized, is further

by Baumgarten in his dissertation Meditationes

increased by the improbability in social action

philosophicae de nonnullis ad poema pertinentibus (of

that everyone knows that everyone can act or not

1735) and in a completed form 15 years later in

act as expected. Without mechanisms for the re-

his Aesthetic a.

4

AESTHETICS Contrary to the expectations which the etymol­

In the course of years, however, the idea of

ogy of the word aesthetica might suggest (Greek

aesthetics as philosophy of art appeared to be

aistheticos

perceptive), this work did not concern

more popular. In the nineteenth century there was

itself with the theory of sensory cognition but dealt

the first attempt to go beyond philosophy in aes­

with the theory of poetry (and indirectly of all the

thetic considerations and to create a scientific

=

arts) as a form of sensory cognition for which the

aesthetics. In his Vorschule der Aesthetik of 1876,

main object of perception is beauty. The combin­

the German psychologist Gustav Theodor Fechner

ation of the two - the reflection on art and the

attempted to create an experimental aesthetics on

reflection on beauty - defined the subsequent de­

the basis of psychology, and the twentieth century

velopment of the newly emerged branch of philoso­

also witnessed attempts to create a psychological

phy, but this has become the source of both its

aesthetics by the representatives of gestalt psych­

theoretical

ology (Rudolf Arnheim and Leonard Meyer) and of

and methodological difficulties. Without doubt it

depth psychology (Ernst Kris and Simon Lesser).

was an event of historical significance, marking the

Other developments have included mathematical

accomplishments

and

never-ending

beginning of a new period in the development of the

aesthetics (George Birkhoff and Max Bense), in­

philosophy of art, particularly in that it coincided

formatics aesthetics (Abraham Moles), semiotic

with a summing up of the longlasting search for the

and

common denominator of all the arts which was

Umberto Eco, Yuri Lotman), and sociological aes­

semiological

aesthetics

(Charles

Morris,

achieved by a French theorist of art Charles Batteux

thetics 0- M. Guyau, P. Francastel, Pierre Bour­

in his Traite des beaux arts reduit d un meme principe

dieu, Janet Wolff). In the philosophical domain the

(in 1746). Batteux recognized that the common

project of creating a scientific aesthetics was at­

feature of the fine arts is the beauty proper to

tempted by Etienne Souriau and Thomas Munro.

them all, and therefore they may be termed beaux

Aesthetics, however, has not ceased to be a branch

arts.

of philosophy.

The name aesthetics took some time to be

Since the turn of the century there has been a

accepted. Immanuel Kant (1724-1804) began with

growing interest in the methodological difficulties

a criticism of Baumgarten for his lack of consist­

of aesthetics, which began to take into account

ency, and in his Critique ofPure Reason (of 1781 and

doubts and arguments directed against the scien­

1787) used the term transcendental aesthetics to

tific status of aesthetics and the very sense of creat­

mean a philosophical science of sensory perception.

ing aesthetics theories. Of particular relevance here

However, in his Critique ofJudgement (of 1790) he

are the still popular ideas of Max Dessoir (1906)

used the term aesthetics to define the reflection on

and Emil Utitz (1914-20). These thinkers intro­

beauty and judgements of taste. The traditional

duced a distinction between aesthetics and a general

meaning of aesthetics became popular in the nine­

science of art and emphasized that the two discip­

teenth century through the influence of Hegel

lines cross but do not overlap: the functions of art

(1770-1831), whose lectures on the philosophy of

cannot be reduced to aesthetic functions only,

the fine arts in 1820-9 were posthumously pub­

whereas aesthetic merits are to be found in objects

lished as Vorlesungen uber die Asthetik (in 1835).

which are not works of art at all, such as natural

Kant, Schelling and Hegel were the first prom­

phenomena and extra-artistic man made products.

inent philosophers for whom aesthetics constituted

They also claimed that the general science of art

an inherent part of their philosophical systems. For

differs methodologically from aesthetics and should

Kant aesthetics was first and foremost the theory of

evolve into an independent branch outside philoso­

beauty, of the sublime and of aesthetic judgements.

phy. Aesthetics, too, should go beyond the borders

For Hegel aesthetics was mainly the philosophy of

of philosophy and make much greater use of the

the fine arts. The two models of moulding aesthet­

results produced by other sciences, in particular

ics either as a philosophy of beauty (and later of

psychology and sociology (see also ART;

aesthetic values) and of aesthetic experience, or as a

OF .

SOCIOLOGY

)

philosophy of art become dominant in the aesthet­

The first aesthetician who not only systemized

ics of nineteenth century and at the beginning of the

the objections against aesthetics but also attempted

twentieth century. Most frequently, the two vari­

to overcome them was Edward Bullough, in his

ants were joined together and the results were

lectures of 1907 on 'the m odern conception ofaesthet­

varied.

ics' (in Bullough, 1957). He ordered the objections

AESTHETICS

5

raised against aesthetics into two groups: popular

claimed, is an incessantly mutable phenomenon,

and theoretical, both kinds being reducible to as­

lacking any universal essence, and the notions 'art', 'work of art', 'aesthetic experience', and so

sertions that:

on are therefore open concepts (Weitz, 1959) and Attempts to create a theory of such specific,

2

3

cannot be defined. Secondly, the representatives of

relative, subjective and mutable phenomena as

traditional aesthetics missed another basic truth

beauty, aesthetic effects and the pleasure and

that every work of art is valued for its uniqueness

displeasure connected with them are futile.

and unrepeatable originality, and therefore there is

These phenomena cannot be rationalized and

no place for any general rules of creation and evalu­

verbalized, they can be only experienced.

ation of such work. The aestheticians, however,

The definitions of beauty and other aesthetic

were persistent in their attempts to discover or

phenomena are too abstract and general and

make such general rules, even though any general­

thus are completely useless and practically un­

izations about art are unjustified and dubious. The

necessary. They do not help anyone to enjoy

aestheticians' arguments were analogical to those in

beauty and art.

ethics, but any analogies appeared to be misleading.

Both the artists and the enthusiasts of art are

Generalizations in ethics are possible and neces­

worried and annoyed by the fact that the rules

sary, whereas in aesthetics the situation is quite

of creation and reception are defined and im­

different. 'When in aesthetics one moves from the

posed on artists and the public, and presented

particular to the general, one is travelling in the

moreover with absurd and insolent pedantry.

wrong direction' (S. Hampshire in Elton, 1954). Thirdly, aesthetics followed philosophy in its mis­

Bullough's work was the first self-examination

taken assumption that facts can be disclosed and

which summed up the actual internal methodo­

interpreted, whereas in fact its proper task is not

logical difficulties of aesthetics, and the objections

disclosing facts but clarifying the meanings of

raised from outside, which, if not always fully jus­

words. Words, concepts and expressions are used

tified, were not without reason.

in a number of ways which are not always proper. A

According to Stefan Morawski (1987), Bul­

solution of philosophical problems consists in rec­

lough's work began the third period in the history

ognizing how given words are properly used. The

of aesthetics, the period of critical self-knowledge

basic problem of aesthetics is not answering the

of its research status, and of the development of its

question 'What is art?' but 'What kind of concept

methodological

is "art"?' (Weitz).

self-reflection.

This

process

reached its peak in 1954 with the publication of

The criticism of aesthetics by analytical philoso­

W. Elton's famous anthology Aesthetics and Lan­

phy, however, did not result either in the death of

guage, and the equally famous papers by M. Weitz

aesthetics or in a lasting victory of cognitive min­

'The role of theory in aesthetics' (1956) and W. E.

imalism, and the abandonment of new attempts to

Kennick 'Does traditional aesthetics rest on a mis­

create a theory of art. One might even defend the

take?' (1958), which continued and developed the

view that anti-essentialist criticism of aesthetics

ideas set out in Elton's collection. These three

resulted in its recovery and revival in the 1970s

works were inspired by the ideas in Wittgenstein's

and the 1980s. At the same time, however, aesthet­

Philosophical Investigations (1953), and they criti­

ics continued to be criticized from outside and the

cized traditional philosophical aesthetics sharply

aestheticians continued their methodological self­

and thoroughly for its lack of linguistic precision,

reflection which in part answered the external criti­

conceptual vagueness and mistaken theoretical and

cism and in part resulted from aesthetics' inherent

methodological assumptions which were most ap­

needs. Nonetheless, the aestheticians rejected all

parent in the unsuccessful attempts to create a

the basic objections articulated by the analytical

philosophical theory of art. Wrong assumptions

philosophers. Aesthetics should and indeed can be

led naturally to the failure of the hitherto proposed

practised with a greater logical and linguistic preci­

philosophical theories of art.

sion, but at the same time it cannot be reduced to

The first mistaken assumption identified was the

the analysis of concepts and the ways they are used.

essentialist claim that art possesses a universal

In this respect the situation of aesthetics does not

nature, or an absolute essence, which it is the task

differ substantially from the other branches of the

of aesthetics to dig out and define. Art, it was now

humanities. It is a misunderstanding if one applies

6

AESTHETICS

to aesthetics the requirements applied to science or

the status of aesthetics as a field of research. The

mathematics. Moreover, even in natural sciences

critics assert that aesthetics is cognitively futile,

there is no single and universal paradigm of scien­

anachronistic and inadequate, its methods oldfash­

tific exactness.

ioned and based on mistaken methodological prin­

One has to realize that any generalizations con­

ciples. Consequently, even if it did make some

cerning such diverse and mutable phenomena as art

sense in the past, it appears to be completely help­

and the aesthetic experience are very risky but there

less when faced with the latest avant-garde in art

is no need to abandon such generalizations al­

and the most significant phenomena of mass cul­

together. A voiding essentialist and anti-historical

ture. So it ignores them (a disqualifying attitude) or

definitions of traditional aesthetics does not mean

tries to describe them, interpret them and evaluate

abandoning attempts to create a theory of art and of

them using its traditional methods and traditional,

aesthetic phenomena. Normative considerations

quite irrelevant categories, which leads to its failure

which jeopardize the freedom of creation and

and humiliation.

which are notoriously ascribed to aesthetics are by no means characteristic of aesthetics and occur much more frequently in art criticism. It is true,

This mode of criticism is to be found in the papers by T. Binkley, in Michael Kirby's

The Art of Time (1969), and in the latest works by Stefan

however, that the majority of aesthetic theories do

Morawski. Kirby holds that traditional philosoph­

contain elements of evaluation. But then again,

ical aesthetics should be rejected in favour of his­

axiological aspects are typical of any discipline and

torical or situational aesthetics. Binkley claims that

form an organic part of cognition, they cannot be,

aesthetics could survive if it reduced the scope of its

and do not have to be, eliminated from science. At

interest to a reflection on aesthetic phenomena and

the same time it is possible to create purely descrip­

abandoned creating theories of art, since aesthetics

tive theories of art (Dickie,

1971).

cannot explain avant-garde art, which as such

Rejecting far-reaching criticism of aesthetics by

rejects the aesthetic paradigm of art, if it keeps

analytical philosophers, aestheticians themselves

assuming that the nature of art is aesthetic. Mor­

periodically take note of criticisms and reservations

awski claims that aesthetics is declining not only

directed against their discipline, and express their

because of avant-garde art but also because art 'has

own doubts as to its research status. In most cases,

lost part of its significance and its further existence

however, they defend its value, though some would

is jeopardized'. Aesthetics, then, should give the

like to pursue it in a fully or partly modified form.

floor either to 'poietics' as the theory of creativity

At least three attempts to balance the arguments

or to anti-aesthetics understood in terms of 'a crit­

pro and contra made by aestheticians themselves in

ical reflection on the crisis of the culture and art of

the last three decades are worth noting. The first was made in 1960 by Jerome Stolnitz in

Aesthetics and Philosophy ofArt Criticism (pp. 7-19).

our times'

(1987, p. 77). It is not the methodology

that is responsible for the decline of aesthetics; it is the disintegration of its main object: art.

The second was made by Stefan Morawski in two

Aesthetics however, is criticized not only for its

works published in Polish (1973, 1987). Morawski's

helplessness in the face of avant-garde art, but also

conclusions differ in the two works, however; in the

because of its ahistorical attitudes, 'aspirations for

first he defends the significance of aesthetics, while

totality' (Werckmeister,

in the other he abandons this defence and argues

making abstract rules irrespective of the fact that

1971), essentialism and

that it is now in decline. The third author who

'art is a dynamic syndrome' (Adorno,

listed the objections raised, and defended aesthetics

that art itself and its reception are produced by a

against them, is Giiran Hermeren, who devoted the

historical process (Bourdieu,

final chapter of his

wishes to survive it has to transform itself and

Aspects ofAesthetics (1983, pp.

224-60) to this question. A considerable number of the doubts and reser­

1984), and

1979). If aesthetics

become a dialectical aesthetics (Adorno) or a socio­ logical aesthetics (Bourdieu).

vations about aesthetics repeat themselves. There

The other kind of argument against aesthetics

are also new criticisms which have arisen in the

consists in suggesting that no-one really needs it.

course of development of modern culture and in

Aesthetics does not help ordinary recipients of

particular of avant-garde art, mass media and mass

modern art to find their way about in the chaos of

culture. Recent criticism has two main aspects. In

the latest artistic phenomena. Someone with a ser­

the first place, the main reservations still concern

ious interest in aesthetics would do better to refer to

AFFLUENT SOCIETY

7

works on the history and theory of particular realms

pattern of resource allocation then prevailing in the

of art, or on the psychology of art, sociology of art,

United States (and, by extension, in some individ­

philosophy of CULTURE, the theory of mass com­

ual national economies of Western Europe) and

munication, semiotics, and so on.

involves three main claims. First, that increases in

It is hard to foresee the future of aesthetics. The

productive capacity and efficiency have resulted in

theses about its death or decline, however, are just as

an economy capable of providing a great and un­

weak as the theses about the death or decline of art.

precedented affluence for the majority of people. As

But aesthetics has to change, taking account of the

Galbraith observes, in the contemporary United

transformations of its subject and the achievements

States many goods are 'comparatively abundant', a

of other disciplines concerned with art and aesthet­

point which he illustrates by pointing to the fact

ics phenomena. Perhaps one should come back

that more people die each year from eating too

to the idea of two disciplines, in the vein of Dessoir

much food than from eating too little (p. 102).

and Utitz: the philosophy of art and the philosophy

Secondly, he argues that conventional economic

of aesthetic values and experiences. There is no

wisdom has failed to take this development into

doubt, however, that the development of psych­

account, continuing to embody the earlier and ana­

ology, sociology, semiotics and other disciplines

chronistic assumption that further annual increases

concerned with art does not eradicate strictly philo­

in production are necessarily to be desired. What,

sophical (axiological, methodological, cognitive and

in particular, is outdated is the priority accorded to

ontological) problems of art and of aesthetic phe­

the ever-increasing production of goods in the pri­

nomena. This is the unquestionable raison d'etre of

vate sector, which leads to a situation where 'private

aesthetics.

affluence' is matched by 'public squalor'. The 'great

See also ART , SOCIOLOGY OF; LINGUISTIC PHIL­

and comprehensive contrast between the care and

OSOPHY; MODERNISM AND POSTMODERNISM.

encouragement which is lavished on the production

Reading

imposes on those that must emerge from the public

Adorno, T. 1984: Aesthetic Theory, trans. C. Lenhardt.

sector' is for Galbraith 'the most singular feature of

of private goods and the severe restraint which it

Barrett, C. ed. 1965: Collected Papers on Aesthetics. Beards1ey, M. 1958: Aesthetics: Problems in the Philosophy of Criticism. Caygill, H. 1989: The Art ofJudgement.

sive provision of credit is required in order to maintain a high level of demand, now that there

lngarden, R. 1985: Selected Papers in Aesthetics.

are no longer any urgent needs to be satisfied.

Margo1is, J. ed. 1987: Philosophy Looks at the Arts.

The term Galbraith introduced is still widely

Shusterman, R. ed. 1989: Analytic Aesthetics. Sparshott, F. 1963: The Structure ofAesthetics. W.

1970-4:

History

Thirdly and lastly, the stimulation of artificial wants through advertising coupled with an exces­

Elton, W. ed. 1954: Aesthetics and Language.

Tatarkiewicz,

the affluent society' (p. 155).

of Aesthetics,

encountered, having entered into popular use. 3

vols. Werckmeister, 0. 197 1: Ende der Asthetik. Wo1ff, J. 1983: Aesthetics and the Sociology ofArt. BOHDAN DZIEMIDOK

The critique of conventional economic thought is usually missing from this usage, however, as too is the implied contrast between private affluence and public squalor, while the harsher economic climate of the 1980s also resulted in the phrase being used in a more ironic manner than Galbraith ever

affluent society

A society in which there is suffi­

intended. The kernel of meaning which therefore

cient wealth to ensure the continued satisfaction of

remains is the suggestion that citizens of such

the privately serviced basic needs of the majority

a society experience a state of widespread and

of the population (such as food and clothing)

unprecedented abundance with the consequence

with the result that individuals employ their dis­

that

posable incomes to gratify ephemeral and insatiable

employed in the wasteful gratification of trivial

wants, while insufficient funds may be directed

wants rather than in the necessary satisfaction of

to the satisfaction of publicly serviced needs (such

fundamental needs.

as health care and education). The term was made famous by Kenneth Gal­

economic

resources

are

predominantly

Galbraith's claims have been extensively criti­ cized. His third thesis in particular has been fiercely

braith in his book The Aifluent Society, first pub­

attacked on the grounds that he denigrates con­

lished in 1958. This is a powerful critique of the

sumer choice, fails to distinguish between the

8

AGGRESSION

general cultural conditioning of wants and the spe­

in the very different field of ethology by Konrad

cific influence exerted by producers, and ignores

Lorenz (1966) and the neo-Darwinists.

the empirical evidence concerning the effects of

Such approaches, focusing on rather simplistic

advertising (Hayek, 1967; Riesman, 1980). His

assumptions of instinctual mechanisms, while still

famous contrast between private affluence and

reviewed extensively in the major text books, are

public squalor has also been criticized, largely on

now seen as largely excluded from current accounts

the grounds that his approach involves a misunder­

of aggression. The aspect of Freud's work which

standing of the declining marginal utility of goods

focuses on aggression is viewed, with the benefit of

while understimating the natural profligacy of gov­

hindsight, as a rather hurried attempt to patch up

ernments (Rothbard, 1970). Despite this, even his

apparent weaknesses in his theoretical approach,

fiercest critics tend to accept that it is accurate to

which relied heavily on the pleasure principle to

describe modern North American and Western

explain psychological processes and human behav­

European countries as affluent societies (Friedman,

iour. The bloody catastrophe of World War I re­

1977, p. 13). Hence Galbraith's central thesis can be

quired some quite different model, and so thanatos,

said to have found widespread acceptance and to

or the death instinct, appeared: 'As a result of a little

have exerted a major influence on modern social

speculation, we have come to suppose that this

and economic thought. In this respect it is particu­

instinct is at work within every living creature and

larly important to note that his exposure of the

is striving to bring it to ruin and reduce life to its

taken-for-granted nature of the wisdom of striving

original condition of inanimate matter.'

for ever-increasing levels of production and his

A particular difficulty with these early instinct

attack on the conventional view that supremacy

theories was the central notion of'spontaneity'. Not

should be accorded to market values has undoubt­

only was aggression genetically preprogrammed,

edly assisted the subsequent emergence of environ­

and therefore ineradicable, it took the form of a

mental

modern

drive which must be consummated, channelled or

See also CONSUMER SOCIETY; ECONOMIC GROWTH.

the form of interpersonal VIOLENCE or in some

and

anti-growth

critiques

of

displaced. Expressions of aggression, whether in

society.

less direct form, were thus inevitable. Emphasis Reading

was placed on the need to direct this hydraulic

Beckerman, W. 1974: In Defence ofEconomic Growth.

force, rather than on ways of reducing it. Energetic

Hessian, C. H. 1972: John Kenneth Galbraith and his

sports and physical competition were seen as essen­ tial ingredients in the control of 'natural' male

Critics. Riesman, D. 1980: Galbraith and Market Capitalism.

aggression, providing much of the rationale of the

Sharpe, M. E. 1973:John Kenneth Galbraith and the Lower

British public school system.

Economics.

COLIN CAMPBELL

While such views, like aspects of many early psychological theories,

have been incorporated

into lay 'social representations' of aggression and age

See OLD AGE

violence, modern accounts of aggression in the social sciences eschew virtually all notions of gen­

agency

See AcTION AND AGENCY

etic factors and biological substrates. The vast ma­ jority of published works since the 1950s lay

While almost all current theories of

emphasis on the role of learning, social conditions

aggression have been developed in the twentieth

and deprivation. The essential assumption is that

aggression

century, the underlying conceptual issues and

aggression is a form of behaviour, rather than a

major debates have much earlier roots. Recent ar­

primary psychological force, and that, like any

guments concerning the extent to which aggression

other behaviour, it can be modified, controlled

is biologically rooted in human nature revive

and even eradicated. This is equally evident in the

themes from Thomas Hobbes's Leviathan and the

laboratory-based work of psychologists such as

liberal philosophies of Jean-Jacques Rousseau.

Bandura (1973) and in the sociological approaches

Freud (1920), for example, recasts many of Hob­

of writers as varied as Wolfgang and Weiner (1982)

bes's original ideas on the inherent brutality of man

and Downes and Rock (1979). We find a similar

towards his fellows in a psychoanalytical frame­

emphasis on 'liberal' understandings of aggression

work, providing a model subsequently emulated

in post-war social anthropology with much effort

AI

9

being devoted to finding totally peaceful societies in

In everyday discourse, however, it is clear that

which aggression does not, or did not, exist - thus

aggression is seen as having positive as well as

firmly nailing the false assumption of a genetic

pejorative connotations. In the world of sports we

determinant. Such attempts were, by and large,

regularly praise the athlete for running an aggres­

unconvincing. Indeed, as Fox

sive race, or hold in esteem the gutsy and aggressive

(1968)

has pointed

out, naive views of the Kalahari Bushmen as a

quarter-back. In these arenas aggression is not only

people free from aggression were a little wide of

permissible, it is an essential ingredient of excel­

the mark since evidence existed to show that they

lence. Similarly, aggression in the business world is

had a homicide rate higher than that in Chicago.

the hallmark of the valued entrepreneur, without

To some extent the rejection of biological theor­

whom both post-Thatcherite Britain and the twen­

ies of aggression is due not only to the manifest

tieth-century American Way would wither and die.

inadequacies of those theories but also to the grad­

It is no wonder that writers such as Bandura

ual introduction of 'political correctness' into aca­

(1973) have called the field of aggression a 'semantic

demic debates in the social sciences. People cannot

jungle'. With several hundred definitions of aggres­

be said to be naturally aggressive because that

sion extant in the social sciences, it is inevitable that

would mean that violence and destruction could

confusions reign and unnecessary arguments dom­

never be eradicated, and that, unlike in the early

inate the debate. The more promising approaches

decades of the century, does not fit at all with the

are those which have left the nature-nurture debate behind and focus on the understanding of specific

contemporary intellectual Zeitgeist. This new polarization, and the heated nature­

forms of aggressive behaviour and the factors which

nurture debate which has occupied most of the

influence them. Analysis of social frameworks

century, has probably detracted more than anything

which encourage or inhibit displays of aggression

else from a 'sensible' understanding of aggression.

has also proved fruitful in explaining social phe­

Marsh ( 1978,

1982) has argued that whether aggres­

nomena

such

as football

hooliganism

female violence (Campbell,

(Marsh, extreme

sion has a biological root or whether it is learned is a

1978),

largely irrelevant argument since (a) it is undoubt­

political violence (Billig,

edly both, and (b) the prognoses for the modification

cerned with the role of specific physiological mech­

1978),

1982),

etc. Work con­

of behaviour are not much different in either case.

anisms (such as Brain,

An analogy can be made here with sexual behaviour.

a more rational debate in which there are fewer

1986) has also contributed to

It would be foolish to assume that human sexuality

obstacles to examining the complex interplay be­

does not have genetic, biological and hormonal

tween biological and social factors. Whether we

bases. But sexual behaviour is largely controlled

view aggression as an avoidable pathology or as an

through cultural and social rule frameworks. People

inevitable component of the human condition, our

do not, in the main, consummate their sexual drives

understanding of the phenomena will only increase

in random and spontaneous fashion - they are ob­

if the focus is on why certain individuals in certain

liged to follow social conventions and observe ritual

social contexts display extreme antipathy towards

requirements.

each other in order to achieve specific goals,

All

cultures

develop

'solutions'

which maximize the advantages of sexuality and

whether these goals be the injury of others or the

inhibit its potentially negative consequences.

development of social prestige and status.

It has become increasingly unfashionable in the social sciences to suggest that aggression has any

Reading

positive value. Indeed, many current definitions of

Berkowitz, L. 1962: Aggression: a Social Psychological

aggression exclude such a possibility. In psychology the most dominant definition is 'Intentional behav­ iour intended to harm another person who is mo­ tivated to avoid it.' In other social science fields it is most frequently viewed as 'maladaptive' behaviour or an unfortunate response to pathological social conditions (see also CRIME AND DEVIANCE) . Only in

Analysis.

Fromm, E. 1973: The Anatomy of Human Destructive­ ness.

Geen, R. G. and Donnerstein, E. I. eds 1983: Aggression: Theoretical and Empirical Reviews, vol. 2: Issues in re­ search.

Sian, G. 1985: Accounting for Aggression. PETER MARSH

fields such as Marxist sociology do we find the view that aggression is a rational and justified form of conduct.

AI

See ARTIFICIAL INTELLIGENCE

10

ALIENATION In the writings of Marx, this is the

In Marx, the historical process of alienation has

historical process whereby human beings have

transformed human beings increasingly from cre­

alienation

become successively estranged from Nature and

ative

from the products of their activity (commodities

processes. Hegel had already described, in a meta­

subjects

into

passive

objects

of

social

and capital, social institutions and culture) which

physical framework, such a process, but Marx

then come to confront subsequent generations as an

insisted that the end of alienation had to be achieved

independent, objectified force, that is, as an alien­

in practice by real people and not apparently solely

ated reality. He focused in particular on the dele­

in the realm of consciousness or self-awareness, as in

terious effects of alienated labour in capitalist

Hegel (see PRAXIS). Marx's secular humanism relied

industrial production (see LABOUR PROCESS). Sec­

heavily on Ludwig Feuerbach's materialist theory

ondly, it refers to a sense of estrangement from

of religion in which he claimed that human beings

society, group, culture or the individual self that

have projected their own essence and potentialities

people commonly experience living in complex in­

into God, who then confronts them in an alienated

dustrial societies, particularly in large cities. Alien­

form. In the Manuscripts Marx claimed that reli­

ation evokes experiences such as depersonalization

gious alienation was only one aspect of the propen­

in the face of bureaucracy; feelings of powerlessness

sity of human beings to alienate themselves in their

to affect social events and processes; and a sense of

own products, which could all be explained as

lack of cohesion in people's lives. That alienation in

aspects of economic alienation.

this general sense constitutes a recurring problem

This analysis was then fused with the politics of

in contemporary societies such as our own is a

communism, into which future society Marx pro­

prominent theme in the sociology of the modern

jected the 'complete return of man himself as a

urban experience (see MASS SociETY; URBANISM;

social (i.e. human) being - a return become con­ scious, and accomplished within the entire wealth

ANOMIE).

In Europe between the wars the predicament of

of previous development' (Marx, 1844). History is

humankind in modern secular societies was widely

thus the simultaneous loss of human beings in their

discussed by existentialist philosophers, psycho­

own products and their subsequent recovery of

analysts, theologians and Marxists as the problem

themselves, a real process that Hegel had simply

of alienation. The debate was further fuelled by the

perceived in a mystified manner. In Marx's theory

publication in 1932 of Marx's analysis of alienation

of history the developing forces of production (con­

in his Economic and Philosophic (Paris) Manuscripts

tent) progressively outgrow their relations (forms)

(1844). The term is often linked with REIFICATION,

in a series of historical modes of production as the

which was not used by Marx but by the Marxist

realization of this process. With the social forma­

writer Gyiirgy Lukacs in his influential History and

tion of capitalism 'the pre-history of human society

Class Consciousness (1923), which anticipated the

accordingly closes' (Marx, 1859). Marx's social­

theme of human 'objectification' discussed in the

scientific theory of the historical genesis of alien­

Manuscripts. For Lukacs, reification is the extrem­

ation and its overcoming in practice was thus

ity of the alienation of humans from their products

burdened with the same teleology as that of the

which arises from COMMODITY FETISHISM in de­

metaphysical theory it was trying to supplant.

veloped capitalist societies.

In common with Feuerbach and with echoes of

In Britain, the concept of alienation came into

Jean-Jacques Rousseau, Marx assumes that the es­

currency in sociology and adjacent fields in the

sence or 'species being' of humankind is - unlike

1960s and 1970s via Marxism. A controversy sub­

that of animals - inherently sociable and coopera­

sequently raged about the significance of Marx's

tive. Also, that labour too should have a communal

early writings on this subject for our understanding

character as the productive and creative life of the

of his work as a whole. Some Marxists, for example

species as a whole in their necessary appropriation

Louis Althusser (1965), argued that Marx aban­

of Nature. Labour not only creates wealth, but is

doned the humanistic concept of alienation in his

also its own reward and the means by which human­

early writings in favour of a scientific analysis of

kind has raised itself above the animal world and

modes of production, while others, such as Istvan

created human history. For Marx, therefore, the

(1980)

organization of large-scale commodity production

argued that the concept was integral to all his

and the individualistic wage labour contract of the

works, both early and late.

early capitalist factories of his time constituted a

Meszaros

(1970) and

David

McLellan

ALIENATION

11

travesty of the species character that labour should

and the former Soviet Union, where private prop­

have if it were to be organized in a way truly con­

erty was effectively abolished, would seem to bear

gruent with the assumed nature of man. Alienation

this out. Also, eliminating alienation at the point of

is thus a 'critical' concept, used as a measuring rod

production by workers' self-management (as in the

calibrating the human costs of capitalist civilization.

former Yugoslavia) leaves the spheres of distribu­

Alienated labour alienated workers from (a) their

tion and exchange untouched as further sources of

product, which did not belong to them; (b) work

alienation.

itself, because it was only a means of survival,

The issue of the extent to which alienation can be

something forced on them in order to live; (c) from

eliminated ultimately turns on whether it is feasible

themselves because their activity was not their own,

to abolish the DIVISION OF LABOUR in a complex

resulting in feelings of self-estrangement; (d) from

society. In the

other people in the factory because each was there

its utopian abolition under communism, which also

German Ideology

Marx anticipates

individually selling their labour power as a com­

dissolves the distinction between mental and phys­

modity. For Marx, human egoism was a product of

ical labour. Thus would arise the universal human

alienated labour, as was private property, which was

being who is able to 'hunt in the morning, fish in the

not founded on a collective relation of humans to

afternoon, rear cattle in the evening, criticise after

Nature. Hence neither represented enduring char­

dinner ...without ever becoming hunter, fisher­

acteristics of human beings and their lives together,

man, shepherd or critic' (Marx and Engels,

but were a product only of class societies in the

6).

capitalist phase. The abolition of alienated labour

he more cautiously says that in any society, even a

would mean that labour would acquire its true

socialist one, nature as a 'realm of necessity' cannot

Grundrisse

and in

1845Capital,

be eliminated nor can the superintendence, coord­

species character. Two problem areas have dominated discussions of alienation. Firstly, the status of the model of human beings at the heart of the theory. In today's terminology, Marx's analysis is an example of

ination and regulation of work, in short some kind of division of labour and, hence, alienation. For Emile Durkheim

of Labour

(1858-1917) in the Division

and other writings, the negative, alienat­

a

ing aspects of the division of labour are counter­

a timeless picture of HUMAN NATURE. His

balanced to some degree by the increased opportun­

philosophical anthropology because he posits,

priori,

Whereas later, in the

homo laborans takes labour from the dom­

ities for individual self-realization made possible

inant experience of factory work of his time and

by its extension. He advocated developing occupa­

instates it as the universal defining human charac­

tional associations to promote solidarity and a

model of

teristic. Around this idea are then hung a number of

new morality that acknowledges people's increasing

further assumptions about human sociability, free­

dependence on each other that also accompanies

dom and control, self-realization and collective

it. Robert Blauner

labour as its own reward. Like all models of its

alienation down into the four testable dimensions

kind, it is open to the charge of arbitrariness.

of powerlessness, meaninglessness, isolation and

(1964)

broke the concept of

Secondly, controversy has continued about the

self-estrangement in the workplace. In a study of

feasibility of de-alienation. Existentialists have sug­

various industrial settings in the USA he found that

gested that while alienation may be exacerbated

alienation and freedom were unevenly distributed

under capitalist production, it is basically symp­

in the modern productive process. Alienation was

tomatic of something perennial in the human

at its greatest in mass production and at its least

social-natural condition. Marx thought that eco­

in craft production. Some have argued that this

nomic alienation was the basis of all other aspects,

kind of empirical approach misses the critical­

so the supersession of private property would mark

philosophical intention of Marx's concept, whereas

the end of expropriation by the capitalists and hence

others have said that it is the only way to give any

all alienations. But, as Axelos says, 'Marx was

kind of precision to a concept which is quasi-meta­

unable to recognize the will to power'

physical and inherently indeterminate.

305),

(1976,

p.

so did not foresee the emergence of new

forms of expropriation and the exploitation of

Reading

people by each other and, hence, further alienation.

Althusser, L. 1965

The existence of powerful communist establish­

Axelos, K. 1976:

ments in the socialist societies of Eastern Europe

(1969): For Marx. Alienation, Praxis and Techne in the Thought ofKarl Marx.

12

ANARCHISM

Blauner, R. 1964: Alienation and Freedom.

the sense in which 'politics' occurs in all organized

Durkheim, E. 1893 (1984): The Division of Labour in

groups when unanimity is lacking, they may recog­

Society. Luk:ics, G. 1923 (1971): History and Class Conscious­ ness. McLellan, D. 1980: The Thought of Karl Marx, 2nd edn. Mesz:iros, I. 1970: Marx 's Theory ofAlienation. Schacht, R. 1994 The Future ofAlienation.

RICHARD KILMINSTER

nize even political (but not state) authority. Thus, decisions taken participatorily by members of a commune or workers' cooperative may be deemed morally binding. But they reject authority backed by coercive power- the kind institutionalized, pre­ eminently but not exclusively, in the S TATE. Anarchists reject the modern state because, within its territory, it divides people into rulers

analytical philosophy

See

LINGUISTIC PHIL­

and the ruled, monopolizes the major means of physical coercion, claims sovereignty over all per­

OSOPHY; PHILOSOPHY

sons and property, promulgates laws held to over­ anarchism

Repudiation of rulers is at the core of

ride all other laws and customs, punishes those who

anarchism. In developing this negative notion,

break its laws, and forcibly appropriates through

modern anarchists, broadly classifiable as either

taxation and in other ways the property of its sub­

individualist or socialist, reject the state, hold that

jects. Further, with other states, it divides human

social order is possible in its absence and advocate

society against itself into national societies, and

moving directly towards 'society without a state'.

periodically wages war, thereby authorizing mass

The first to elaborate a theory of anarchism was

murder. For anarchists, even a democratic state

Godwin

lacks legitimacy since it is not based on consent in

(1793) but Proudhon (1840) was the first

to call himself, defiantly, an anarchist. As a social

any strict sense and the ruler-ruled relationship is

movement, anarchism, in a revolutionary form,

merely masked. Anarchists may admit that some­

crystallized in opposition to Marxism in the period

times the state performs useful functions, such as

of the First International

1864-72, partly over the

protecting- as well as also violating- human rights,

issue of whether socialists should seek the immedi­

but argue these could and should be carried out by

ate 'abolition of the state'. In the twentieth century,

voluntary organizations.

as socialism became increasingly statist, the anarch­

In rejecting the state, anarchists deny the widely

ist movement has declined but its ideas have

held view, classically expressed by Thomas Hobbes

influenced other movements and contributed to

(1651 ), that in its absence there is no society and life

the critique of statist theories and practices. An­

is solitary, poor, nasty, brutish and short. Humans,

archism also remains of interest because it raises

they believe, are naturally social, not asocial; and

issues fundamental to social and political theory.

until the first states developed some five thousand

One such relates to authority. 'Philosophical an­

years ago all humans lived in stateless societies.

archism', a component especially of the individual­

Anarchists take John Locke's view that 'the natural

ist variety, rejects the idea of legitimate authority in

condition of mankind', in which all are free and

the sense of the right of anyone (state official or not)

equal, no-one having the right to command obedi­

to command the obedience of another. Individual

ence of others, does constitute a society. They do

autonomy, conceived morally, as by God win and by

not accept Locke's justification in terms of consent

Wolff (1970), requires individuals to act according

of the limited state, an agency for protecting natural

to their own judgements. Conceived egoistically, as

rights, especially the right to property - the night­

by Stirner

watchman view of the state associated with laissez­ faire liberalism, which reappears in the libertarian work of Nozick (1974). But they endorse Locke's view, later vividly expressed by Paine (1791-2, pt 2, eh. 1) and recently restated by Hayek (1973, eh. 2),

(1845), it implies that 'the unique one'

who truly 'owns himself recognizes no duties to others; within the limit of his might, he does what is rightfor him. Since 'philosophical anarchism' makes cooper­ ation and formal organization problematical, an­

that social order exists independently of the state -

archists are often less radical. Although generally

an order spontaneously generated, a product of

suspicious of authority, they may recognize the

human sociability. What distinguishes anarchists

rational authority of experts within their fields of

from such liberals is their belief that this natural

competence and the moral authority of basic social

order does not need supplementing by order im­

norms, such as 'contracts should be kept'. And in

posed from above. In the language of rational choice

theory, although social order is a 'public good', a

Socialist

anarchism

was

ANARCHISM

13

largely

by

shaped

non­

Proudhon's ideas: liberty is the mother, not the

excludability, people- under conditions envisaged

daughter, of order; all political parties are varieties

by anarchists-will cooperate voluntarily to provide

of despotism; the power of the state and of capital

good

characterized

by indivisibility and

For anarchists, unlike

are synonymous; the proletariat, therefore, cannot

classical liberals, the state is not a 'necessary' but a

emancipate itself by the use of state power but only

'positive' evil - a major source, as in war, of dis­

by (peaceful) direct action; and society should be

order in human society. They champion, therefore,

organized as autonomous local communities and

it themselves (Taylor,

1982).

the idea of 'natural society', a self-regulated, plur­

producer

alistic society in which power and authority are

principle'. However, his successors, Michael A.

associations,

linked

by

'the

federal

radically decentralized.

Bakunin and Peter A. Kropotkin in Russia, substi­

In distinguishing sharply between society and

tuted for his 'mutualism' first 'collectivism' and

state, both individualist and socialist anarchism

then 'communism' - the latter implying 'every­

build on liberal foundations. The former may be

thing

seen as liberalism taken to an extreme, or logical,

according to needs.

belongs

to

everyone'

and

distribution

conclusion. The individual is the basic unit, 'soci­

Also, under Bakunin's inspiration, anarchists

ety' is a collective term for aggregations of individ­

adopted the strategy of encouraging popular insur­

uals, FREEDOM is defined negatively as absence of

rections in the course of which, it was envisaged,

coercion, and the aim is to maximize individual

capitalist and landed property would be expropri­

liberty in ways compatible with the equal liberty

ated and collectivized, and the state abolished. In its

of others. Against the state's claim to sovereignty is

place would emerge autonomous, but federally

pitted the principle of 'the sovereignty of the indi­

linked, communes: a socialist society organized

vidual'. On the economic side, individualists have

from below upwards, not from above downwards.

usually insisted on the importance of private prop­

To foster the spirit of revolt among the oppressed,

erty or possession, favoured individual production,

anarchists adopted the tactic of 'propaganda by the

condemned all monopolies, and praised the free

deed' in the form of, first, exemplary local insurrec­

market. In the belief that their proposals would

tions and, then, acts of assassination and terrorism.

secure to persons the fruits of their own labour

Faced with the consequent repression of their

of possessions

movement, other anarchists adopted an alternative

through the exploitation of the labour of others,

strategy associated with SYNDICALISM. The idea was

nineteenth-century individualists sometimes thou­

to turn trade unions into revolutionary instruments

and

not

lead

to

accumulation

ght of themselves as socialists. But their successors

of class struggle and to make them, rather than

today, such as Murray Rothbard

having

communes, the basic units of a new society. It was

abandoned the labour theory of value, describe

through syndicalism that anarchists exercised their

themselves as

(1973),

'anarcho-capitalists'.

Their

pro­

greatest influence on socialist movements in the

gramme amounts to complete privatization. They

period

argue that the free market can supply all goods and

Spain where, during the civil war of

services, including protection of persons and prop­

cho-syndicalists, with some shortlived success, at­

erty, now allegedly provided by the political mon­

tempted to carry through their conception of

opoly called the state.

revolution.

1895-1920.

The influence lasted longer in

1936-9,

anar­

Socialist anarchism may be seen as a fusion of

In Spain, as earlier in revolutionary Russia, an­

liberalism with socialism. High value is placed on

archism continued its quarrel with Marxism, even

individual liberty but freedom is defined not only

though anarchists often accepted much of Marx's

negatively but also as the capacity to satisfy needs.

economic analysis, while Marxists agreed that the

Insisting on social and economic equality as a ne­

coming classless, communist society would be

cessary condition for the maximum liberty of all, it

stateless. The differences were

rejects capitalist private property along with the

means to this end. Anarchists opposed the Marxist

state. Social solidarity, expressed in acts of mutual

idea that workers should organize themselves into a

in

part about

aid, is emphasized. Society is thought of as a

distinct political party to win concessions from the

network of voluntary associations but, more im­

bourgeois state as a prelude to its overthrow. And

portantly, as composed of local communities. Com­

they opposed the idea of a workers' state - 'the

munal individuality is the ideal.

dictatorship of the proletariat'-which, supposedly,

14

ANARCHO-SYNDICALISM

would 'wither away' as capitalist property relations

sical anarchist alternative to conventional political

were abolished. Anarchists argued that the first

action, has also become popular. At the other end of

would lead to the degeneration of the workers'

the political spectrum, individualist anarchism,

movement and its cooption by the bourgeois

reborn as anarcho-capitalism, is a significant ten­

state, and that, even if it did not, the second

dency in the libertarian New Right.

would lead to a dictatorship over the proletariat

The anarchism that survives and fertilizes other

and hence to a new form of class rule. But under­

movements does not call, as Bakunin did, for the

lying these differences, there are others, notably

immediate abolition of the state. It calls, rather,

about the nature of the state. While anarchists

for 'anarchy in action' here and now and for

agree that dominant economic classes use the state

changes that promote the 'anarchization', not the

to maintain their dominance, they see the state as

'statization' of human society. Beyond that, it sur­

embodying political power which cannot be re­

vives as a permanent protest against all coercive

duced, even 'in the last analysis', to economic

power relationships, however disguised, and all

power. Because political power has independent

theories that deny the fundamental insight of lib­

roots, the state is an organization with its own

eralism:

dynamics and 'logic'. Unless resisted, that logic

equal.

leads to the complete domination of society by the

human beings are naturally free and

See also LIBERTARIANISM.

state: TOTALITARIANISM. Sharply contrasting with revolutionary anarch­

Reading

ism in its methods but not in its vision of a new

Apter, D. E. andJoll,J. eds 1971: Anarchism Today.

socialist society is anarchism that derives from the

Bookchin, M. 1982: The Ecology of Freedom.

pacifist tradition (see PACIFISM). 'The law of love', expressed in the Sermon on the Mount, led Leo Tolstoy, the Russian novelist, to denounce the state as 'organized violence' and to call on people to disobey its immoral demands. The call influenced

Crowder, George 1991: Classical Anarchism. Guerin, D. 1970: Anarchism. Guerin, D. ed. 1998: No Gods, No Masters, 2 vols. Miller, D. 1984: Anarchism. Pennock, J. R. and Chapman,J. W. eds 1978: Anarchism. Ritter, A. 1980: Anarchism.

Gandhi in developing his philosophy of non-vio­

Ward, C. 1982: Anarchy in Action.

lence in India. He popularized the technique of

Woodcock, G. 1963 (1986): Anarchism, 2nd edn.

GEOFFREY OSTERGAARD

mass non-violent resistance and originated the key notion of anarcho-pacifism: 'non-violent revolu­

As the prefix suggests,

tion', described as a progamme not for the seizure

anarcho-syndicalism

of power but the transformation of relationships.

this is the anarchist variety of syndicalism - revolu­

For him, national independence was only the first

tionary trade unionism. The core idea of the latter is

step in such a revolution which Vinoba Bhave,

that the organizations developed by workers to

campaigning for voluntary villagization of land,

defend their interests vis-a-vis employers should

continued in an effort to realize Gandhi's dream

become the instruments to overthrow capitalism

of an India of self-sufficient, self-governing village

and then constitute the basic units of socialist soci­

republics (Ostergaard, 1982).

ety. Through 'direct action' in the form, princi­

In a century that has witnessed everywhere a vast

pally, of strikes culminating in the social general

increase in the power of the state, its further mili­

strike, the unions would take control of the means

tarization and its general acceptance as the normal

of production and all other necessary social func­

political organization of national societies, anarch­

tions, dispossess capitalist owners and displace all

ism has clearly been 'against the current'. But it

bourgeois institutions, thereby establishing genu­

survives and shows a notable ability to outlive spe­

ine 'working-class socialism'. In the French labour

cific anarchist movements. A generation after the

movement, where these ideas gained wide currency

eclipse of ANARCHO-SYNDICALISM, anarchist ideas

in

reemerged, sometimes spectacularly, in the context

Fernand Pelloutier (1867-1901), pioneered their

the

period

1895-1914,

anarchists,

notably

of the New Left movements of the 1960s. Their

propagation. But in France, as in other countries

influence is still discernible today, notably in move­

such as Italy, Russia, the USA, the UK, Sweden

ments for peace, feminism, lesbian and gay liber­

and Argentina, where syndicalism became a lively

ation, radical social ecology, animal liberation and

tendency in labour movements, not all syndicalists

workers' self-management. Direct action, the clas-

accepted anarchist ideas - the abolition of the state

ANNALES SCHOOL and radically decentralized organization based on 'the federal principle'. 'Pure' syndicalists regarded their m ovement as sufficien t unto itself, saw an­

Richards, V. 1983:

15

Lessons of the Spanish Revolution, 3rd

edn. Rocker, R. 1989: Anarcho-Syndicalism. GEOFFREY OSTERGAARD

archism as one of several competing political ideologies and left open the question of whether a syndicalist society would be organized as a political

Annales school

entity. On the other hand, anarchists adopted one

if school it may be called, may justly lay claim to

of three attitudes towards syndicalism.

Some

being the most distinctive twentieth-century con­

regarded its ideas as too limited or mistaken, and

tribution to historical writing. Its origins are usually

This 'school' of historiography,

therefore remained aloof. Others, seeing syndical­

traced to the founding of the Revue de synthese

ism as essentially a means to achieve an anarchist

historique by Henri Berr in 1900. It arose out of

society, encouraged participation in the movement

discomfort with, indeed protest against, the idio­

but warned against identifying anarchism with it.

graphic thrust that had come to dominate European

Yet others - the anarcho-syndicalists - took the

historiography since the Rankean 'revolution' - the

view that syndicalism was essentially the expression

call

of mature anarchism in contemporary capitalist

happened', based on primary sources. Idiographic

to

write history empirically

'as it really

society. It was in Spain with its strong anarchist

history had become institutionalized in France at

tradition that anarcho-syndicalism became a sign­

the Sorbonne and in the Revue historique (founded

ificant force in the shape of the CNT (Confeder­

in the 1870s). Much later, in 1953, Lucien Febvre

ation

Nacional

embracing

de

Trabajo),

an

by 1936 one million

organization

would suggest that this French historiography, as

members, in

exemplified by such figures as Gabriel Monad and

which militants of the FAI (Federaci6n Anarquista

Emile Bourgeois, was 'history as written by those

Iberica) exercised a preponderant influence. It was

defeated in 1870'. He argued that their emphasis on

in Spain, too, in the region of Catalonia, that anar­

diplomatic history was sustained by a kind of sub­

cho-syndicalists during the early months of the civil

text that read: 'Ah, if we had studied it more care­

war, 1936-9, attempted with some initial but short­

fully, we should not be where we are today'

lived success to establish a system of 'workers'

(Febvre, 1953, p. vii). It was not that there was objection to the search

control' of industry. Except in Spain, syndicalist tendencies in West­

for empirical data in so-called primary sources. It

ern labour movements were weakened by the na­

was the sense that there was no history worth

tionalist fervour unleashed at the outbreak of war in

writing that was not 'synthetic' - hence the title of

weakened

Berr's journal. Or as Febvre formulated the issue

following the success of the Bolsheviks in Russia

later, one should practice a histoire pensie organized

1914.

They

were

further

seriously

in 1917 which led many syndicalists to abandon

around histoire-problemes as opposed to engaging in

their conception of revolution centred on the

histoire historisante.

unions in favour of the Leninist model with its

Henri Berr sought to break the narrow confines

emphasis on the 'vanguard' role of communist

of a presumed 'discipline' by opening his journal to

groups

other 'disciplines', especially the new social sci­

which refused to follow the communist path then

ences. This tradition was renewed, reemphasized

formed in 1922 the International Working Men's

and deepened when, in 1929, Lucien Febvre and

Association, in which the Spanish CNT until l 939

Marc Bloch joined together in founding the journal

was the largest national section. Later retitled the

which gave this group its name. There are two main

parties.

Those

syndicalist

unions and

International Workers' Association, its 14 national

things to be noted about the journal. First of all,

sections (including a revived but weak and divided

there is its name. It was called Annates d'histoire

CNT) remained into the 1990s the vehicles for

economique et sociale, which was a direct (and delib­

promoting anarcho-syndicalist ideas - but voiced

erate) translation of the title of the German review

now only in the margins of labour movements that

which incarnated the Schmoller school of 'institu­

are over-whelmingly reformist.

tional' history, the Vierteljahrschriflfur Sozial- und

See also ANARCHISM and SYNDICALISM.

Wirtschafisgeschichte. (See also METHODENSTREIT. ) The title was not merely a means of identification with a parallel anti-idiographic current in German;

Reading Brenan, G. 1950:

The Spanish Labyrinth, 2nd

edn.

it was also a programme. It said that the journal

16

ANNALES SCHOOL

would emphasize the economic and the social, im­

movement on the social construction of time and

plicitly because they were more enduring, more

temporalities. He divided his book on the Mediter­

important and more fundamental than the political

ranean into three parts corresponding with what he

and the diplomatic, the normal focus of the most

considered the three social times of structure, con­

historical writing.

joncture and evenement. In the revised edition of The

The second thing to notice about the review is its

Mediterranean, he cast the challenge of his famous

locus, and that of its authors and readers. The

boutade, 'Events are dust' (Braudel, 1982 (1966),

journal was located not in Paris, but in Strasbourg

vol. 2, p. 223). In 1958, he published what is prob­

where Febvre and Bloch were then teaching. This

ably the theoretical centrepiece of the Annates

was symbolic of their institutional marginality,

movement, 'History and the social sciences'. It

which continued even when Febvre was appointed

was in this article that the case is made for the

to the College de France and Bloch to the Sor­

third great theme which has distinguished the

bonne. The number of subscribers was small, only

Annates movement. In addition to 'synthesis' and

several hundred. But the authors and readers were

to 'economic and social history', there is the em­

international from the beginning, as were the

phasis on the tongue duree, the time of the slow­

themes of the journal. In particular, there were

moving structures of social life. Braudel is however

strong links with Italy and Spain. After World War II, the influence of the Annates

careful to spell out in this essay that the tongue duree is not the eternal and unchanging universal. He

movement grew dramatically, with an important

calls this latter time the 'very tongue duree' and

institutional expansion. Bloch had been killed by

says of it: 'if it exists, [it] can only be the time of

the Nazis, but Febvre continued to lead the move­

the wise men ...' (Braudel, 1958).

ment until his death in 1956. Febvre chose as his

Suddenly, that is, between 1945 and 1970, the

associate a younger historian, Fernand Braudel,

epoch of the second generation, the Annates move­

who would come to symbolize the so-called 'second

ment moved from the wings to centrestage, and not

generation' of the Annates movement. Febvre

only in France. By the time the VIe Section was

would lavish praise on Braudel's great work, pub­

rechristened the Ecole des Hautes Etudes en Sci­

lished in 1949, La Mediterranee et le monde mediter­

ences Sociales in 1975, it had become more presti­

raneen a l'epoque de Philippe If. He proclaimed it the

gious to have an appointment there than in the now

'image of history' as Annates had been calling for it

multiple Paris universities. Annates E. S. C. had

to be written, marking 'the dawn of a new era'

become one of the world's major scholarly journals.

(Febvre, 1950, p. 224).

It seemed that almost everyone, or at least very

Although Braudel was refused an appointment at the Sorbonne, he received one at the College de

many scholars, were considering themselves Annal­ istes.

France, as had Febvre, which in the politics of the

For theAnnales movement, as for so many other

French university system was to be given an honor­

currents of thought, 1968 was a breakpoint. It was

ific but to lack institutional power. Febvre and

only after 1968 that the influence of the Annates

Braudel were determined to create an alternative

movement moved beyond what might be called the

power base and, with the aid of a senior civil ser­

'extended' French cultural zone - Latin Europe,

vant, Gaston Berger, were able to implement an

Quebec, Poland, Hungary and Turkey. (For an

idea from the 1870s, the creation in 1947 of a VIe

analysis of this phenomenon see the special issue

Section (for economic and social sciences) of the

of Review, 1978, which also includes articles ex­

Ecole Pratique des Hautes Etudes. The Ecole was a

plaining why Great Britain showed a certain early

peculiar institution, invented in the nineteenth cen­

receptivity as well.) It began to have an important

tury to offer 'adult education' outside the university

influence in zones that had been hitherto resistant­

system. But, very quickly, Febvre and Braudel were

the United States, Germany and finally the USSR.

able to transform the VIe Section into a vibrant

(For many years, the official Soviet position was one

locus of graduate studies and scholarly research in

condemning the Annates movement. There were

history and the social sciences. The journal too was

nonetheless many closet Annalistes in the USSR.

revitalized in 1946 under a new name, Annates:

It was only in 1989, with glasnost, that the Institute

E conomies, Societes, Civilisations.

of Universal History of Academy of Sciences could

It was Braudel who developed most explicitly and most theoretically the position of the Annates

sponsor

an

international

colloquium

Annates- hier et aujourd'hui'.)

on

'Les

ANOMIE

17

In 1972, Braudel retired both as editor of Annates

have inevitably begun to lose the sense of being a

E. S. C., and as president of the VIe Section, to be

movement. Most Annatistes refuse today outright

replaced by the so-called 'third generation'. The

the expression, 'the Annates school'.

year 1970 marked the official launching of the last

Is there then a spirit of Annates which remains? It

great institutional construction of the Annates

seems so, in the sense that the extremes of idio­

movement, the Maison des Sciences de l'Homme,

graphic narrative and ahistorical generalizing are

of which Braudel would remain the administrator

still rejected. What might be said is that whereas,

until his death in 1985. The Maison has as its raison

for the first and second generations, the via media

d 'etre the intellectual collaboration of French

was a very narrow passageway between two highly

scholars with everywhere else in the world, pursu­

menacing and very large schools of Scylla and Cha­

ing the same hope of synthesis that had inspired

rybdis, for the third generation, the via media

Henri Berr in 1900.

became a wide highway between two highly dimin­

The events of 1968 opened up new intellectual

ished extremist positions. It is the difference be­

horizons everywhere. In some parts of the world, it

tween having a self-image ofDavid versus Goliath

made scholars (and students) receptive for the first

and having the sense that what one does is not

time to the via media of Annates, struggling simul­

merely normal and respectable, but thought of as

taneously against IDIOGRAPHIC history and univer­

such.

salizing social science. On the other hand, it was

In 1989, the journal changed its name again,

precisely in those parts of the world where Annates

becoming Annates: Histoire, Sciences Sociates. The

influence had already been strong that the scholarly

name change marked the assumption of the heritage

community was entering into a 'post-Marxist'

by the so-called fourth generation. They seem to

mood, and was hence somewhat suspicious of the

wish to restore the place of economic history in the

great emphasis on economic history of the 'second

journal, which had been largely evicted by the third generation, without however dispensing with the

generation'. The 'third generation' shifted the emphasis no­

new paths opened up the third generation. Some

ticeably from the economic to the social (even in­

see this as a compromise path. They have also

This

opened the journal to contributions by the new

translated itself into a renewed concern with men­

microhistory of Italian origin. Whether this is a

tatites, an extraordinary expansion of empirical re­

new distinctive approach and whether these new

cluding

in

the

latter

political

culture).

search on a wide range of sociocultural phenomena,

thrusts will enable the Annates to continue to play

and an important blending of interest with those

the central, innovative role it has played in the past

anthropologists who were themselves putting new

is yet to be seen.

emphasis on the symbolic sphere. The Annates movement in its 'third generation' has pursued the spirit of'inclusiveness', of studying any and all aspects of social reality, that was a central part of the Annates ethos from the begin­ ning. The third generation has used the social to expand the economic in the same way as the previ­ ous generations had used the economic to expand the political. But while it is clear that they have been more 'inclusive', it is less sure that they have been holistic, as 'synthetic'. The third generation has tried to bring back the

Reading Braudel, F. 1958

(1972):

History and the social sciences.

In Economy and Society in Early Modern Europe, ed. Peter Burke.

-- 1966 (1982): La Mtditerranee et le monde mtditerran­ een a l'epoque de Philippe II, nouv. ed. revue et augmen­ tee. Burke, P. 1990: The French Historical Revolution.

Review 1978: the Annales school and the social sciences. Special issue, 1.3-4 (Winter-Spring). Wallerstein, I. 1991: Beyond Annales? Radical History

Review 49,7-15.

IMMANUEL WALLERSTEIN

importance of the political arena by seeing it as a central part of the mentatites. In doing so, they have The

term

derives

from

the

Greek

had to come closer to a consideration of 'events',

anomte

even if under the guise of symbolic occurrences.

anomia, meaning: without law and connoting ini­

As the 'third generation' came to occupy more

quity, impiety, injustice and disorder (Orru, 1987).

and more place in the world of knowledge - in the

It reappeared in English in the sixteenth century

double sense of being more numerous and concern­

and was used in the seventeenth to mean disregard

ing themselves with more empirical issues - they

of divine law. It reappeared in French in the

18

ANOMIE

writings of Jean-Marie Guyau (1854-1888) who

unaware 'of where the operations required of him

gave it a positive connotation. An anti-Kantian,

are leading' (Durkheim, 1893, pp. 305-6).

Guyau looked forward to an ideal future of moral

In Suicide anomie constitutes one of the social

anomie - that is, the absence of absolute, fixed and

causes of suicide, a state of the social environment

universal rules - and religious anomie, freeing indi­

as a function of which suicide rates rise. It is a state

vidual judgement from all dogmatic faith.

of deregulation leaving 'individual passions ...

Anomie's sociological career began with Emile

without a curb to regulate them'. He distinguished

Durkheim, who criticized Guyau's ideas but appro­

two kinds of anomie, economic and conjugal. The

priated the term, giving it once more a negative

former consisted in the breakdown of an accepted

connotation, first in The Division ofLabour in Soci­

normative framework that stabilized expectations;

ety (1893) and then in Suicide (1897). It was subse­

it was manifested in economic crises, whether

quently taken up by Robert Merton in the 1930s,

booms or slumps. But he also thought such anomie

after which it achieved its greatest diffusion in the

was chronic in contemporary societies in the indus­

1950s and 1960s among American sociologists

trial and commercial world, resulting from the de­

studying SuiCIDE, delinquency and deviance (see

cline

CRIME AND DEVIANCE) . Thereafter anomie came to

controls, and the growth of the market and of

signify a personality trait or set of attitudes (in­

ideologies celebrating acquisitiveness, a malady

creasingly indistinguishable from ALIENATION) for

of infinite aspiration, 'daily preached as a mark of

of

religious,

political

and

occupational

the measurement of which various scales were de­

moral distinction', elevating 'to a rule the lack

vised. Subsequently its meaning became increas­

of rule from which [its victimsJ suffer' (Durkheim,

ingly indeterminate as its use spread more widely

1897, pp. 258, 256, 257). Conjugal anomie, he

among sociologists and extended to psychologists.

thought,

In this process, anomie became 'psychologized' and

'weakening

detached from any wider theory of society. The

accepted normative framework that reined in desire

story of its transmutation from Durkheim's initial

and controlled passions, of which divorce was both

was of

also

chronic,

matrimonial

cons1stmg regulation'

in of

a an

usage to those of Merton and his successors is

an expression and a powerful contributory cause

interesting. As Besnard observes, anomie which,

(ibid, p. 271).

with Durkheim, 'characterized a state of the social

Robert Merton's anomie shares neither Dur­

system was later applied to the situation of the

kheim's view of human nature nor his project of

individual actor, or even to his attitudes or state of

diagnosing the social and hence personal ills of a

mind'. Furthermore, Durkheim's 'concept critical

rapidly industrializing capitalism. For him anomie

of industrial society was transformed into a conser­

was conceived 'as a breakdown in the cultural struc­

vative notion designating maladaption to the social

ture, occurring particularly when there is an acute

order' (Besnard, 1987, p. 13).

disjunction between the cultural norms and goals

In Durkheim's Division of Labour the 'anomic

and the socially structured capacities of members of

form' of the division of labour is 'abnormal'. This

the group to act in accord with them' (1949, p.162).

consisted in the absence of a body of rules

Merton

governing the relations between social functions;

(mainly though not wholly in material terms) were

thought

that

aspirations

to

'succeed'

it was to be seen in industrial and commercial crises

universally prescribed in contemporary US society.

and the conflict between labour and capital; and its

Socially structured strain, or anomie, resulted

chief cause lay in the rapidity with which INDUSTRI­

where institutionally permitted means to succeed

ALIZATION occurred, such that 'the conflicting inter­

were unavailable. There were four ways of adapting

ests have not had time to strike an equilibrium.' As

to this strain, apart from conformity to both goals

the

market

extends

and

large-scale

industry

appears, the effect is to 'transform the relationship

and institutionalized means - all of them forms of deviance:

between employers and workers'. Urbanization caused 'the needs of workers to increase'. With mechanization and the replacement of small work­ shops by manufacturing, 'the worker is regimented' and removed both from his family and his em­

Innovators (e.g. professional thieves, white-collar criminals, cheaters in examinations) adhere to the goals but reject the normatively prescribed means. Ritualists (e.g. bureaucrats who slavishly follow

ployer. Finally, work is made less meaningful, re­

the rules without regard for the ends for which

ducing the worker to 'the role of a machine'

they were designed) make a virtue of over-

ANTHROPOLOGY

conformity to the institutionalised norms at the price of underconformity to the culturally pre­ scribed goals. Retreatists (e.g. tramps, chronic drunkards, and drug addicts) withdraw from 'the rat race' by abandoning both goals and means. Rebels (e.g. members of revolutionary movements) withdraw allegiance to a cultural and social system they deem unjust and seek to reconstitute the soci­ ety anew, with a new set of goals and prescriptions for attaining them. (Cohen, 1966, p. 77)

19

designate the human species as a whole. Although it is possible to see the term 'man' as an all-embracing reference to the species as a whole, it is at least a reminder that much of the reconstruction of human evolution and diversity has historically been seen largely from a male perspective. Given this fragmentation into social and bio­ logical elements, not to mention yet further subdiv­ isions, it is questionable whether there remains any coherence to the term anthropology at all, and

This focus on shared cultural norms and goals and on blocked possibilities of legitimately realizing them set an agenda for deviance research which lasted several decades. Yet, as Besnard has ob­ served, it was, in effect, an inversion of the Durk­ heimian notion, for 'where Durkheim described individuals uncertain of what they must do as the horizon of possibilities expands, Merton proposes actors sure of the objectives to be attained, but whose aspirations are blocked by a situation of closure with respect to the possibilities of success' (1987, p. 262).

furthermore, whether the growth of a whole range of life, human and social sciences, not to mention more humanistic approaches, has not led to a re­ dundancy in which there is no clear niche for anthropology nor a distinctive character to an an­ thropological approach. A positive answer can be provided by considering what is unique or predom­ inant in anthropological investigations. More than any other part of the human or social sciences, anthropology is characterized by an emphasis on comparative approaches, on variation rather than norms in behaviour and societies, and a rejection of Western societies or populations as a model for humanity. This comparative framework is of para­

Reading

mount importance. Traditionally social anthro­

Besnard, P. 1987: L'Anomie: ses usages et sesfonctions duns la discipline sociologique depuis Durkheim. Durkheim, E. 1897 (19SI): Suicide, trans. J. A. Spaulding and G. Simpson. Merton, R. K. 1949 (1968): Social Theory and Social Structure, revised edn, chs 4 and 5.

always been the case is that the human social experi­

STEVEN LUKES

ence is best viewed as a range of variations, each

pologists have focused on non-Western societies, and although there has been an increasing interest in applying similar methods and concepts to soci­ eties that lie within the European sphere, what has

with their own cultural logic, and in particular that Broadly considered to be the

Western society does not provide a yardstick

scientific study of man, this orthodox definition

against which these other cultures should be

anthropology

highlights a number of problems that help to illus­

assessed. The range of cultural variations provides

trate both the diversity of anthropology today and

this distinctly comparative framework for social

its unifying features. First among these is that while

anthropologists.

the origins of anthropology as a coherent discipline

Equally, biological anthropologists, or physical

lie in the Darwinian revolution of the middle of

anthropologists

the nineteenth century, and hence were part of the

known, use biological principles and methods to

as

they

have

previously

been

general interest in EvoLUTION, much of its subse­

provide

quent development has been a reaction against evo­

may be an explicitly evolutionary one, comparing

another comparative

framework.

This

lutionary and in particular progressionist notions of

humans with other primates, or it may be the

human society and behaviour. The fragmentation

examination of the extent and nature of human

of anthropology into distinctly social and biological

biological variation today. If, following American

branches reflects not only different responses to the

usage of the term anthropology, archaeology is in­

development of evolutionary ideas, but also a rejec­

cluded, then the comparative framework is pro­

tion by much of social anthropology in particular of

vided by time - the way in which human societies

the feasibility of a purely scientific approach to the

have varied through prehistory and history. Under­

problems of the study of humans. Secondly, the rise

pinning all the branches of anthropology is this

of feminist critiques has led to caution about, if not

concern with mapping human variation - bio­

an outright rejection of, the use of the term 'man' to

logical, behavioural and cultural - and attempting

20

ANTHROPOLOGY

to explain, interpret and understand the patterns in

led to a rejection of notions of progress in human

ways that do not make any unwarranted assump­

societies. Experience of the detailed workings of

tions about directions of development or human

non-European societies showed first that they

uniqueness. The anthropological project is ultim­

were far from simple and could not be neatly clas­

ately characterized by these global perspectives.

sified in evolutionary terms. For example, although

This comparative framework has provided the

economically simple, Australian aboriginal societies

basis for anthropology's impact on twentieth­

possessed among the most complex kinship systems

century thought.

and cosmologies known among humans. Further­ more, by replacing evolutionary concepts with

Primitive societies The discovery by Europeans of the enormous vari­ ation in human societies occurred primarily during the period 1500 to 1900, and brought with it the need to understand how and why this diversity occurred. The adoption of evolutionary (although not necessarily Darwinian) perspectives during the late nineteenth century provided the first coherent basis for such a perspective. Evolution was viewed by many thinkers who were influenced by Darwin, such as Herbert Spencer, as a progressive ladder of change, from primitive organisms through to humans (see SociAL DARWINISM) . Other species represented cases of arrested development in a scala naturae. In similar vein, human societies could be ranked on a ladder of progress, from the primitive to the advanced. European, and particu­ larly industrial, society stood on the top rung. Primitive societies could therefore be seen as both the stages through which humans and their societies had passed, and examples of a lack of evolutionary progress. The first anthropological syntheses, such as those developed by E. B. Tylor and L. H. Morgan, provided such a model, with various stages of development identified- primeval hordes, barbarism, civilization, for example, or matrilineal and patrilineal, or through economic concepts such as hunting and farming. Although this evolutionary paradigm provided the basis for modern anthropology, the primary contribution of anthropologists to the ideas of the

functional ones, it became clear that non-European societies were not primitive attempts at economic organization and social structure, but instead func­ tioned well as integrated systems in particular social and environmental settings.

For example, the

acephalous society of the Nuer of the Southern Sudan studied by Evans-Pritchard, far from being a primitive and anarchic system, was a multilayered society where the institutions of kinship lineages, marriage patterns and livestock herding dovetailed neatly together. Although many of the tenets of FUNCTIONALISM have since been abandoned, the notion that the variety of human social and economic organization should be seen in terms of specific ecological cir­ cumstances, cultural traditions and alternative re­ sponses to unique conditions has remained of central importance, and beyond anthropology has led to the abandonment of a sense of evolutionary hierarchy among human societies. In its place has come a greater sense of independent cultural trad­ itions and alternative social strategies. This has had practical consequences for attitudes towards devel­ opment, with less willingness to impose change for change's sake and an awareness of the dangers of economic change independent of cultural consider­ ations. It has also revolutionized attitudes towards aesthetics and art, apparent in the interchange of icons between Western and other art forms. Culture

twentieth century have paradoxically derived from

The central anthropological concept that under­

the rejection of this view. For a number of reasons

pinned these changes was that of CULTURE. This

ranging from the pursuit of exotica to the need to

term is multilayered and has itself changed meaning

administer empires, anthropology paved the way

over the years. At one level it refers to those char­

for direct observation and interaction between

acteristics of behaviour that are unique to humans,

European observers and the societies involved. It

relative to other species. It also carries with it the

was direct and intimate contact, leading to the

notion of behaviour that is learned and taught,

development of the methods of participant obser­

rather than instinctive. Developments in ETHOL­

vation, by anthropologists such as B. Malinowski,

OGY have somewhat undermined this aspect as it

A. R. Radcliffe-Brown and E. E. Evans-Pritchard

has become clear that the learned/instinctive di­

that overturned the evolutionary perspective and

chotomy in animal behaviour is invalid and that

ANTHROPOLOGY

21

other species share characteristics that were for­

consequences for the way in which racial and ethnic

merly thought to be uniquely human (such as tool­

problems have been considered, and has led also to

making). Another level is that of the human capacity

a much deeper understanding of values, k nowledge

to generate behaviour. Although specific behaviours

systems and cosmologies around the world. More

may not be unique to humans, nonetheless the

negative effects have been the abandonment of the

human mind's ability to generate an almost infinite

comparative approaches that underpin anthropol­

flexibility of response through its symbolic and lin­

ogy, a tendency towards historical particularism,

guistic potential sets humans apart. Recent inter­

and an ambiguity about the universality of human

pretations of culture stress the cognitive source of

rights.

human behaviour. At another level is the view that such behaviour is deeply imbedded in social rela­ tions and other social characteristics. And finally, the outcome of these processes is the empirically observable phenomenon of human cultures - the separate identities of distinct human societies, char­ acterized by specific cultural traditions. The recognition of the diversity of human cul­ tures and subcultures is a major conceptual step that has arisen out of the practice of social anthro­ pology - the detailed study of specific societies (ethnography). Principal among the implications of studies of peoples in cultural units and contexts is the recognition that they are bound together not by genetic or biological identity but by social trad­ itions, and that ETHNICITY is a major factor in relationships between people and societies. Furthermore, culture is not just the accretion of social traditions, but is deeply enmeshed with the entire cognitive system such that a person's view of the world is constructed and constrained by cultural experience. Given the independence of cultural traditions this has enormous implications for the intercommunicability of

concepts and

values between societies.

Cultural relativism

Unity ofthe human species While social anthropology has rejected evolution­ ary approaches that are based on a progressive view of human society, a rather different trend can be found in biological anthropology. Recent work on the history of Darwinism have shown that while many of Darwin's followers were keen to see a progressive element, he himself was aware that this was not the case and that his strongly selec­ tionist arguments (see NATURAL SELECTION) pre­ dicted adaptational diversity rather than unilinear change. Indeed, it was for that reason that most evolutionists in the late nineteenth and early twen­ tieth century abandoned selection theory while maintaining an evolutionary perspective. However, Darwin's key evolutionary concept - descent with modification - did provide a simple solution to a major problem, that of monogenesis or polygenesis. The discovery of diverse peoples in the Americas and other parts of the world raised the question for pre-Darwinian scientists of whether these peoples all had a single origin or creation, or whether they were the product of several different acts of cre­ ation. Monogenesis implied a unity of all humans, polygenesis opened up the possibility that some human forms were not really part of the specifically

The problem of translation across cultures has led

human creation of biblical history. The establish­

in one direction to cultural relativism. In one sense

ment of the fact of evolution, regardless of the

this is an extreme reaction to the progressive

mechanism of change, meant that anthropologists

notions of evolutionary approaches, which held

were able to show that all humans are descended

that societies and cultures could be ranked from

from a single common ancestor, and that all humans

primitive to advanced. Cultural relativism has de­

belong to a single species. Subsequent biological

veloped within social anthropology as a means of

work showed the inter-fertility of all humans.

emphasizing both the difficulty of making compari­

Thus biological approaches to anthropology paved

sons between cultures and the absence of any inde­

the way to the predominant view of this century

pendent criteria for making judgements about the

that humankind is unified, united by a biological

relative merits of different social traditions. At its

heritage that is far greater than any of the differ­

most extreme, cultural relativism espouses the view

ences. The acceptance of the unity of the human

that a culture can only be considered within the

species is now a fundamental consensus that forms

context of its own cultural traditions and logic. At a

the basis for many ideas that go beyond the strictly

practical level this has had important and positive

biological.

22

ANTHROPOLOGY

Human diversity In the same way that social anthropologists have focused on the diversity of human cultural forms, so too have biological anthropologists looked at biological diversity. An implication of the tree-like structure of the evolutionary process when looking at humans was that human populations could be

for distinguishing races. As a result recent work in biological anthropology has shown that race is not a useful biological concept. Biological anthropolo­ gists turned instead to elucidating the functional and adaptive basis (disease, climate, ecology) of human variation.

divided up into discrete units, representing either

Human evolution

geographical isolates or evolutionary stages. The

The development of modern genetics has shown

apparent diversity of humans, particularly in fea­ tures such as skin colour and face shape, lent cre­ dence to this view, and became the basis for the analysis of human variation in terms of RAcE. For most of the late nineteenth and early twentieth century race was the central concept in the study of human biological diversity. Most anthropolo­ gists took the view that human races represented ancient divisions within mankind, that they could be viewed also as stages of development, and that

above all that the human species is an extremely young one, that all modern humans share a recent common ancestor, and therefore that any geograph­ ical patterns that can be seen do not signify deep divisions among humans but the recent and super­ ficial product of migration and local adaptation. The contribution of anthropology to the ideas of this century thus do return to its original concerns with evolution, but with a rather different em­ phasis. Evolution does not show a ladder of pro­

biological race was linked to the other social and

gress but a source of diversity, and instead of

cultural characteristics. Races provided both a hori­

tracing humans further and further back in time it

zontal (i.e. geographical) and a vertical (i.e. through time) categorization of humans. A principal aim was therefore to document this process historically through the study of archaeological and fossil

emphasizes how young our species is, and thus the unity of human populations. Against this back­ ground, though, specialists in human evolution have also documented the antiquity (more than

samples. Furthermore race was also used as an

five million years) and complexity of the diverse

explanation for the differences in patterns of devel­

lineages that have led to modern humans appearing

opment. In the early part of this century physical anthropology lent a biological foundation to more widespread ideas about race and an underpinning to theories of EUGENICS and NATIONAL SOCIALISM.

in the last 100,000 years.

Modern anthropology

Until World War II race was the central concept in

With the growth of anthropology during the twen­

the study of human biology from an anthropo­

tieth century and the shift away from a programme

logical and evolutionary perspective.

of documenting historical patterns, anthropologists

This situation was completely transformed after

have turned to questions that range far more widely

the war, and even before, biologists such as A. C.

and

Haddon and Julian Huxley were highly critical. In

Among social anthropologists there has been a

recent anthropology, race has been completely

greater focus on the links between cultural pro­

rejected as a useful biological and analytical con­

cesses and economic, political and sociological

cept. Part of the reason for this was no doubt a

ones, leading to an increasing emphasis on cultural

reaction against the way in which biology had

aspects of cognition. Furthermore, the marked

have

increasingly

practical

applications.

been used to justify political action. Equally im­

changes in the traditional societies that anthropolo­

portant was the development of NEO-DARWINISM

gists have studied has led them to become deeply

which showed that there was no biological basis

involved in the problems of their development and

for treating variation within a species either as

survival, and anthropology has contributed to a

evolutionary stages or as discrete categories. More­

much greater awareness of the indivisible links

over, the increasingly direct study of genetic rather

between culture and other aspects of development.

than physical variation showed that the geograph­

Equally, biological anthropologists have worked

ical variation was continuous and extremely com­

increasingly with the problems of disease and nu­

plex, thus demonstrating that selective features

trition in the Third World, providing especially a

such as pigmentation did not provide the criteria

greater understanding of the populational aspects

ANTI-SEMITISM of the ecological probems that face vast portions of the human population. Reading Bowler, P. J. 1987: Theories ofHumanEvolution: a Century ofDebate. Harris, M. 1968: The Rise of Anthropological Theory: a History of Theories of Culture. Harrison, G. A., Tanner,]. M., Pilbeam, D. R. and Baker, P. T. 1988: Human Biology: an Introduction to Human Evolution, Variation, Growth and Adaptability. Kuper, A. 1982: Anthropology and Anthropologists. Leach, E. 1982: Social Anthropology. Spencer, F. ed. 1982: A History of American Physical Anthropology.

ROBERT A. FOLEY

anti-Semitism Originally a term popularized by political movements in Germany in the 1870s and 1880s which were campaigning for the reversal of the newly achieved social and political emanci­ pation of the Jews, the term is, strictly speaking, inaccurate because it does not concern itself with opposition to 'Semites' but is confined to all forms of hostility to Jews. As such it has a long history going back to the pre-Christian era when Jewish monotheism and exclusiveness led to suspicion and mistrust. With the advent of Christianity, the Jews became a 'problem' in that their continued exist­ ence seemed to belie Christian concepts of a 'new covenant' and the rejection of the Jews by God. Throughout the history of Europe, as Christianity spread, Jews were segregated, forcibly converted or expelled. In the course of time they were also in­ creasingly restricted to commercial and money­ lending activities, which added the fear of the usurer to the already well-established images of deicide and other offences against Christianity. As the power of the 'Christian state' declined, the economic hostility to Jews became the greater con­ cern and was, with the rise of German idealist philosophy, linked to the 'essence' (Wesen) ofJuda­ ism which was said to be inimical to the interests of Eur� pean states. It was but a short step from the concept of an 'essence' to the notion of the Jews as a 'race'. While Christian Wilhelm Dohm opened the debate (in 1781) on the emancipation of the Jews by arguing that their 'bad' characteristics were the result of persecution, his contemporaries took the view that it was more likely to be the other way round, that Jewish characteristics were the 'cause' of their persecution. Neither Dohm nor the phi!-

23

osophers approved of the persecution of Jews, but their conceptualizations laid the foundations for a debate on, and for the most part against, the Jews, which focused on the reasons for hostility to Jews, thus elevating it into a rational issue. This led to the identification of different forms of anti­ Semitism - social, economic, religious and racial, according to the perceptions of the initiators. All are united, however, on the basic foundations of anti-Semitism which propounds 'theories' of a Jewish quest for world domination and the collect­ ive guilt of the Jews. The unrestrained expressions of hostility to­ wards the Jews which marked the early decades of this century led to a deliberate or apathetic accept­ ance of the racial doctrines of NATIONAL SOCIALISM in Germany and culminated in the systematic de­ struction of six million Jews during World War Il. The 'holocaust' was followed by a considerable reduction in 'Jew-baiting' but has been itself drawn into the debate about Jews by those who wish to minimize the extent of the crime or those who deny that it ever took place. The strongest issue of the post-war period, however, has been the emergence of the state of Israel and with it the 'anti-Zionist' lobby, which insists on a sharp div­ ision between anti-Semitism and anti-Zionism. Nevertheless, the real divide in the anti-Zionist camp, like that in the anti-Semitic camp, is between those who oppose the Jews and the state of Israel per se and those who object to specific acts and policies of some Jews and some Israeli politicians. The literature on anti-Semitism is extensive and con­ tinues to grow, with the holocaust and the state of Israel developing their own very substantial litera­ tures. A useful starting point would be the bibli­ ography in the Encyclopedia Judaica (1971, col. 160). For a detailed historical survey see Lean Poliakov (1965-85). A conceptual history is offered by Jacob Katz (1980) and a political analysis by Paul W. Massing (1967). See also JuDAISM. Reading Curtis, M. ed. 1986: Antisemitism in the Contemporary World. Encyclopedia Judaica, 1971. Katz, J. 1980: From Prejudice to Destruction: Antisemitism

1700-1933. Massing, P. W. 1967: Rehearsal for Destruction. Poliakov, L. 1965-85: History ofAntisemitism, 4 vols. Pulzer, P. 1988: The Rise of Political Anti-Semitism in Germany and Austria, 2nd edn.

24

ARCHAEOLOGY AND PREHISTORY

Weinberg, M. 1986: Because They Were Jews: a History of

Antisemitism. Wistrich, R. 1991: Antisemitism: the Longest Hatred.

JULIUS CARLEBACH

(Neolithic or New Stone Age). Comparative eth­ nography could now be related to the material record, and the new subject was called (somewhat unhappily) 'prehistory',

with equivalent terms

in other European languages (prl:histoire; Archaeology and prehistory

Both these dis­

Vor­

geschichte). Its methods were potentially global in

ciplines -the study of the human past through its

application, but the subject was dominated by

material remains, and the part of the subject con­

European evidence.

cerned with the period before written records -are

The liberal scientific and evolutionary interpret­

relatively recent. The term 'archaeology' came into

ation of early human history, however, gave way in

use in the eighteenth century to describe the study

the earlier twentieth century to a renewed national­

of the material culture of the ancient world, espe­

istic emphasis which was accompanied by a divorce

cially that of Greece and Rome. It denoted a form of

of archaeological from anthropological thought.

art-historical scholarship which was closely associ­

Prehistory (in Germany often termed Urgeschichte,

with connoisseurship and collecting, and

to stress its continuity with historical peoples) was

largely dependent on the existence of textual evi­

ated

interpreted either in terms of the migrations of

dence for explanation. The timescale of biblical

particular peoples, or the diffusion of culture from

chronology allowed little scope for an extended

centres such as Egypt. Anthropology turned from

period before written records. Although Enlighten­

historical reconstruction to firsthand observation

ment philosophers discussed broader questions

and description, with an interest in functionalist

about the remote past, such as the origins of

interpretations. Although the archaeological ex­

farming and civilization, they did so largely on the

ploration of other continents produced a wealth of

basis of comparative ethnography and without ref­

new evidence, the study of each individual area

erence to archaeology. It was only with the Roman­

tended to develop as an introverted specialism.

tic movement that the remains of preliterate

One of the few archaeologists to maintain a broader

cultures came to be of interest in their own right,

view was the prehistorian V. Gordon Childe ( 1892-

often in the context of nationalistic concerns for the

1957), whose studies of European and Near Eastern

origins of the northern European nations. The ac­

prehistory were motivated by a desire to escape

cumulation of material evidence allowed Scandi­

from the nationalistic emphasis of much contem­

navian antiquarians to postulate a succession of

porary German scholarship through the explor­

technological stages characterized by the use of

ation

tools of stone, bronze and iron; although these

nineteenth-century (and, indeed, Enlightenment)

'three ages' were believed to be largely contempor­

interest in the origins of farming and civilization,

of

Marxist

models.

He

revived

the

ary with the literate civilizations of the Mediterra­

which he saw as economic revolutions comparable

nean.

in importance with the Industrial Revolution, and

The scope of archaeology became evident in the

termed the Neolithic and the Urban Revolution

later nineteenth century with the development of

respectively. These ideas were expounded in two

geology and the rejection of a biblical chronology,

classic works, Man Makes Himself (in 1936) and

and the respectability of evolutionary ideas in biol­

What Happened in History? (in 1941), which were

ogy (see EvoLUTION). The idea of prehistory is thus

among the few books which succeeded in bringing

a relatively recent development, closely related to

archaeological evidence to the attention of social

the growth of ANTHROPOLOGY. Classical archae­

theorists outside the subject at this time.

ology continued as a largely separate discipline,

Despite Childe's political espousal of Marxism

although excavations in Greece and Turkey (at

and his emphasis on historical materialism, his the­

sites such as Mycenae and Tray, famous in ancient

ories differed from those of contemporary British

mythology) revealed the existence of Bronze Age

Marxist historians in their consensual rather than

predecessors to the classical civilizations there. The

conflictual interpretation of these events. Childe

Stone Age was recognized to be a period of consid­

saw a managerial role for early secular elites, with

erable length, corresponding to the earlier phases of

religion as a major force impeding technological

human evolution during which humanity had been

progress. He combined a Hegelian vision of the

dependent on hunting (the Palaeolithic or Old

successive roles of Oriental, classical and Western

Stone Age), and to the early stages of farming

civilization with a diffusionist view of the history of

ARCHAEOLOGY AND PREHISTORY

25

technology, to produce a sophisticated social model

The new archaeology was characterized by an

in which the innovations that produced early urban

opening up of the subject to a broader range of

societies were stifled by political centralization

interests from neighbouring disciplines, and an

there, but nevertheless provided the basis for fur­

eagerness to participate in their debates. While it

ther development in societies which acquired these

was associated with some important methodo­

techniques without paying the social cost. This

logical advances (often from areas of new technol­

model (which was influenced by more recent

ogy quite outside the subject, as with radiocarbon

examples such as the industrialization of Japan)

dating from nuclear physics), it tended to absorb

explained for him the unique characteristics of

and reproduce theories rather than generate its

West European societies, and set the divergence of

own; and it shared many of its enthusiasms with

'Western' from 'Oriental' culture back into the

contemporary movements in history and economics

Bronze Age. Although many aspects of these ideas

-for instance its concern with EcoLOGY and DEM­

have a rather nineteenth-century flavour, they

OGRAPHY. Computers and SYSTEM THEORY pro­

nevertheless marked a great advance on the inher­

vided its

ently metaphysical explanations of national or racial

(see ANNALES SCHOOL), it concentrated on process

lingua franca.

Like Braudelian history

genius which abounded in contemporary archaeo­

rather than event - hence its alternative name of

logical discourse; and they were a remarkable

processual archaeology. Avoiding the unique and

achievement by the subject's lone intellectual.

the particular (and especially the production of

One factor inhibiting archaeology from exploit­

'pseudo-history'), it claimed that more rigorous -

ing the potential of its evidence to contribute to

and especially quantitative -methods could recon­

wider bodies of social theory was its marginal pos­

struct social as well as simply technological or styl­

ition in the universities. Most practitioners of the

istic information about prehistory.

subject in the first half of the century were either

methodological and conceptual innovations were

attached to museums and bodies concerned with

the ideas of numerical taxonomy for the classifica­

ancient monuments, or freelance excavators raising

tion of artefacts, spatial sampling to reconstruct

money for their expeditions. The expansion in

settlement patterns from field survey of surface

higher education since World War II therefore

scatters of material, the reconstruction of environ­

Among its

had a major effect on the nature of archaeological

ment and diet from animal and plant remains, trade

discourse, which for the first time included a sub­

patterns from the identification of raw materials,

stantial methodological and theoretical component

and social structures from the different kinds of

as well as excavation reports and discussions of

artefacts deposited in graves.

primary material. Since the archaeology of those

While each of these endeavours produced copi­

areas and periods where textual evidence was avail­

ous new information, its interpretation was often

able was largely conducted from departments of

naive, and strongly constrained by the prevailing

history and classical or Oriental studies, the major

paradigms of neo-evolutionary anthropology which

impetus to comparative analysis came initially from

owed much to Herbert Spencer ( 1820-1903). Ex­

prehistory, which was often (and in the United

planations typically stressed population pressure

States almost entirely) conducted under the aegis

and agriculture intensification

of anthropology. The movement in the later 1960s

Boserup's ideas in development economics), settle­

(echoing

Esther

which came to be known as the 'new archaeology'

ment colonization and expansion, economic spe­

was thus largely a North American and British

cialization and the formation of social hierarchies,

phenomenon, echoed in other parts of the Eng­

and the emergence of central places (echoing

lish-speaking world and northern Europe, though

themes in the 'new geography' - see also HUMAN

conspicuously absent in Germany (and Japan)

GEOGRAPHY ). These common themes were found to

where intellectual adventurism was inhibited by

underlie the emergence of farming and cities, and

wartime experience; and it was scarcely reflected

the general development of human societies world­

for at least a decade in classical archaeology. Some

wide - an evolutionary succession from bands to

similar innovations occurred in the USSR, al­

tribes, chiefdoms and states.

though constrained by the changing needs of polit­

Despite their high technology, novel statistical

ical orthodoxy; and comparable new thinking in

sophistication and wealth of new information, these

France took a rather different form which was ini­

interpretations show a great similarity to the views

tially less sympathetic to the wider movement.

of Enlightenment writers such as Adam Smith

26

ARISTOCRACY

(who knew no archaeology at all). In espousing a

each social 'structure' is unique, both in its rela­

comparative model, based on the idea of evolution,

tionships, symbols and materials? If interpretations

such work produced a series of case studies which

are so volatile and contextually dependent, what

assumed an autonomy of local development and

certainty is possible? Do archaeological theories

were insensitive to larger structures of the kind

say more about the present than the past? In this

postulated by Gordon Childe. Diffusionism was

way archaeology has tracked the cycle of the social

effectively outlawed by this framework, since it

sciences, from the confident comparativism and

was both hard to quantify and had no place in the

determinism of the 1960s to the relativism and

paradigm. In this respect new archaeology resem­

deconstructed postmodernist introversion of the

bled much of 1960s development economics; and

later 1980s (see MODERNISM AND P OSTMODERNISM) .

during the 1970s such work was criticized in a way

Such angst is by no means universal. All across

similar to that in which modernization theory was

the

challenged by Marxist theories of underdevelop­

recording stratigraphies and recovering artifacts

ment

and environmental evidence for laboratory examin­

and

world-systems,

associated with

the

world,

men

refining

and

women

datings,

sit

noticing

in

trenches

names of Andre Gunder Frank and Immanuel

ation,

Wallerstein (see DEVELOPMENT AND UNDERDEVEL­

having ideas that help to make sense of what they

correlations,

OPMENT ) . Although the concept of underdevelop­

find. Some of these ideas are new, some of them are

ment proved inapplicable to earlier contexts, the

old: classical archaeologists have now discovered

idea of core and periphery gave new life to the study

central place theory, and are playing the games

of relationships between urban populations and

that prehistorians played in the 1960s. If there can

their illiterate hinterlands, and especially to the

be no final understanding of the present, there

asymmetrical trading relationships between them

can certainly be none about the past; but we have

- for instance the Roman wine trade with their

yet to know less in one decade than we knew in the

Celtic neighbours. The very concept of'prehistory'

one before.

was seen as misleading for the later metal ages, since 'civilized' and 'barbarian' societies formed parts of

Reading

the same economic system. Chiefdoms, even tribes,

Binford, L. R. 1983:

might be contact phenomena rather than evolution­

Daniel, G. and Renfrew, A. C. 1988:

ary stages. More fundamentally, material culture itself came to be seen during the 1980s as important in its own right, rather than simply reflecting underlying eco­ logical differences and abstract social structures. The desire to possess goods can be as powerful a

In Pursuit ofthe Past. The Idea ofPrehis­

tory. Hodder, I. 1990:

Reading the Past. Past Worlds: the Times Atlas of World

Scarre, C. ed. 1988:

Archaeology. Sherratt, A. G. ed. 1980:

The Cambridge Encyclopedia of

Archaeology. Wenke, R. 1989:

motivation of change as population pressure or soil

Pattern ofthe Past. ANDREW G. SHERRATT

deterioration. The 'prestige goods' of European In its oldest sense, aristocracy de­

origin which circulated in sub-Saharan Africa

aristocracy

were an active component of the power of native

noted a political system. The ancient Greeks took

chiefs who monopolized their supply and used

the term to mean a regime where power and merit

them to legitimate their authority. So, too, perhaps

went together; this usage predominated in the West

the intensification of agrarian production in later

during two millennia. But at the time of the French

prehistoric Europe might have been stimulated by

revolution, aristocracy, and the new coining 'aris­

the availability of Mediterranean trade goods. Far

tocrat', moved into the realm of social analysis (and

from being benevolent providers or economic man­

polemic). Now the focus was on aristocracy as an

agers, chiefs could be seen as exploiters and mon­

elite within the community: an elite in which accu­

opolizers; and not just in contact situations, but in

mulations of wealth and political authority were

the genesis of crafts such as metallurgy which in­

concentrated, marked out by privilege, and passed

volve the supply of rare and costly materials. But if

on by hereditary transmission. These are the terms

social structures are not abstract hierarchies, and

in which 'aristocracy' is now most likely to be

instead consist in various kinds of illusions which

invoked by social scientists or historians.

minorities succeed in persuading their followers to

Study of a wide range of contexts and problems

accept, how is comparative study possible? Surely

has led essentially to a more precise understanding

ART, SOCIOLOGY OF

27

of these characteristic features of aristocracy. The

Reading

hereditary transmission of aristocratic rank has rarely

Bottomore, T. 1964 (1993): Elites and Society, 2nd edn.

meant anything approaching the total exclusion of

Bush, M. 1983: Noble Privilege.

newcomers: not least because of the hazards of natural extinction. The scale and character of re­

--1988: Rich Noble, Poor Noble. Powis, J. 1984: Aristocracy. JONATHAN POWIS

cruitment into aristocratic status may themselves provide insights into the values and material condi­ tions of a society. In traditional societies, aristo­

art, sociology of

cratic wealth was likely to be based on a dominant

the production and consumption of art as the effect,

share of landed resources, and Marxist analysts in

reflection or representation of a general social pro­

This attempts to understand

particular have linked the transition from an agrar­

cess. Without being a clearly defined discipline or

ian economy to concomitant weakening of aristo­

having a unitary methodology, the sociology of art

cratic power. But the source of wealth may have

is best seen as either dispersed among or as the tool

been less important than the leisure it afforded for

of a number of disciplines and areas of enquiry.

the exercise of general pre-eminence in the commu­

These may include historical writing as well as art

nity. There may indeed be circumstances where

history, social anthropology or the study of subcul­

new forms of wealth creation proliferate so rapidly

tures, the historical and sociological study of social

that a hereditary elite loses its capacity for decisive

classes and groups, the SOCIOLOGY OF KNOWLEDGE,

economic influence. Students of Europe's commer­

linguistics and art criticism. Although such a link­

cial or industrial development have nevertheless

age may be considered contentious (Wolff, 1981),

provided striking evidence for aristocratic adapt­

the sociology and the history of art practised as a

ability alongside emerging business or manufactur­

form of social history will here be grouped together.

ing classes: an adaptability often eased by financial

Indeed one of the undisputed pioneers of both,

(and family) links between new wealth and old. In

Pierre Francastel, did this in the 1940s. He also

traditional societies, again, the political role of aris­

argued (Francastel, 1965, p. 16) that the subject in

tocracy made it more or less co-extensive with the

itself is characteristic of the modern period of self­

ruling class, or at any rate the class from which civil

conscious historicist thinking, and pleaded for it

and military leaders were more or less exclusively

not to be developed as little more than a 'function

drawn. More complex and impersonal systems did

of exhausted values'.

something to displace this relationship between

The expression 'sociology of art' articulates two

public authority and a hereditary ruling elite, with

terms with completely separate histories. If the

power increasingly exercised in the name of king,

word 'sociology' emerged in the last century as the

state or people. But here again aristocratic adapta­

name for various methods of enquiry into human

tion proved striking, and strikingly longlasting:

society, 'art', on the contrary, has been in use since

whether as royal ministers, or parliamentary man­

antiquity. Over this period it has denoted or qua­

agers, or local bosses.

lified a range of phenomena from practical, concep­

Some social scientists have seen elites in the

tual or erotic skills to easel painting, from 'gallery

contemporary world as displaying yet further stages

art' to lifestyle. The modern, commonsense defini­

in the evolution of these aristocratic characteristics:

tion of 'art' as being painting, sculpture, print, etc.

the nomenklatura of Eastern Europe, for instance,

accepts art as being a non-artisanal form of produc­

or the Bostonian notables of New England. Here

tion combining manual work with ethical and aes­

power and family interests are certainly to be found

thetic value, and performed by a specially endowed

in concentrated and revealing fashion: privilege

kind of person (Wittkower and Wittkower, 1963).

flourishes. But the privilege of traditional aristocra­

This category 'art', as it is consolidated and re­

cies was defined and proclaimed in terms of a dis­

produced through the practices of connoisseurship,

tinctive, often formally 'noble', status; and those

curating and art history among others, functions

claims were in some sense accorded recognition by

retrodictively. It groups together for sale, display or

the community at large. Where we can translate

formal criticism materials from origins that are both

'privilege' merely as 'advantage', there we might

temporally, geographically or socially disparate and

say aristocracy no longer exists.

discontinuous. Major national galleries or collec­

See also ELITE THEORY;

tions of the type configured in the last century or

ATION.

SOCIAL DIFFERENTI­

since, such as the Louvre in Paris, include under

ART, SOCIOLOGY OF

28

the rubric of art many objects which were not

rived many of its basic principles. Thus an art

recognized as such either at the time or in the

historian like T.J. Clark

place of their production. By implication, then,

tial work on Manet and Courbet, has put critical

(1973) who, in his influen­

the sociology of art is liable to be dealing with an

theory at the top of the art-historical agenda, draws

object of knowledge that needs constantly to be

on a theoretical field in which the visual arts have

problematized in the light of a complex series of

been largely marginal.

historical specificities. Such a sociology tends to be

The conception of 'art' is also stratified by such

in principle opposed to accepting a Kantian ideal of

notions as 'popular art', 'art for the people', 'trad­

art as the object of any disinterested and categorical

itional art' or 'ethnic art', not to mention 'political

aesthetic judgement, just as it is committed to ex­

art' or 'women's art'. Understanding all or any of

plain rather than to agree the idea of artistic creativ­

these and the relations between them may call for a

ity

variety of methods of enquiry that might combine

and

personality

as

transcending

social

conditions. Both must be seen as specific manifest­

ethnology,

ations of the social, which is why, as Pierre Bour­

different aspects of sociological method. 'Art' as a

dieu

(1980, p. 207) has put it, 'Sociology and art

psychology

or

psychoanalysis with

ritual element in peasant labour, or of tongue duree religious practices, in the work of social historians is

make a bad household.' It is useful, then, to think in terms of a line of

a different object of analysis from the 'art' that

development that leads from Marx and Engels's

forms the point of accession to or exclusion from

(1845-6) reflections on the political economy of

social values in the group sociology of Bourdieu

culture to Bourdieu's systematic critique of Kant­

(1979) and Moulin (1967). Indeed it is difficult

ian judgement, the feminist deconstruction of cre­

enough to conceive of a traditional art form such

ativity as a historically gendered category, or the

as the ex-voto (an image offered in gratitude) of the

post-colonial rejection of 'Western' artistic values

eighteenth century in France (Cousin,

(Bourdieu,

1979; Nochlin, 1989; Pollock, 1988; Said, 1978; Tickner, 1988). An important aspect

belonging to the same cultural formation as its

1980) as

of the sociology of art has been its appositional

the same terms as modern, avant-garde painting.

contemporary salon art let alone to think of it in

relationship to what it sees as conservative AEs­

Significantly, however, we must assume that the

THETICS, whether they be articulated through philo­

sociological study of any of these will treat aesthetic

sophical rationalism or the demands of the art

value as part of the system of beliefs that frame the

market. Working from a complex and highly differ­

individual work.

entiated political terrain, sociology of art is com­

In the work of the social art historians Antal

mitted to showing that 'art' as a category is always

(1948) and Klingender (1968) understanding art

and in many ways overdetermined. At the same

has required a radical and subtle differentiation of

time it has continued to be concerned with or

public, patronage and conditions of production for

reserve the problem of the specificity of art and

different works or types of art. Antal's Florentine

the questions that this presents for any totalizing

Painting and Klingender's Art and the Industrial

explanation of art's meanings (Wolff,

1981; Fran­ 1967; Raphael, 1968).

Revolution suggest as much a new form of social

The fractured character of the subject is further

a role as a signifier rather than as an illustration.

castel, 1965; Duvignaud,

history as a history of art- one in which art is to play

emphasized if art is taken to include Music and

The practices of art in fourteenth-century Florence

LITERATURE. Now the paradigmatic basis for the

or nineteenth-century Britain become primary evi­

sociology of art is seen to be inseparable from

dence of processes of social formation and repre­

the more general problematic of how to theorize

sentation.

the ensemble of modern cultural forms. Commen­

With Baxandall

(1980), in his work on fifteenth­

taries on and theories of modern cultural formation

century German sculpture, even the author func­

from the poet Charles Baudelaire in the nineteenth

tion comes to be seen as an effect of the complex and

century to the writings of Kracauer

uneven conditions of production and the conten­

(1937), Bloch

(1985) and Adorno (1963) have focused on musical

tion of interests between artist and patron to which

form as a model of artistic discourse. The work of

they give rise. The sculptor signs the work to estab­

Lukacs

lish his position in an unequal relationship with a

(1970) and Goldmann (1967) has provided

methods for the contextual framing and analysis of

patron who owns the means of production. The

literature from which the sociology of art has de-

signature signifies an attempted appropriation of

ART, SOCIOLOGY OF

29

power rather than the locus of creativity. Baxan­

However it should be emphasized that many

dall's work thus suggests ways in which the theor­

texts which explain art in broadly sociological

etical propositions of Foucault (1969) can be

terms do not have the elaboration of a sociology of

rethought through a long-term historical process.

art as a primary or even as a conscious objective.

Yet it also suggests that historical and sociological

Thus the work of Champfleury (1869) on French

critique of the idea of the 'artist' requires a variety

folk art or ofWagner (1849) on the origins of artistic

of carefully inflected techniques of enquiry. A

feeling and expression are focused around the prob­

fifteenth-century sculptor cannot be framed in the

lem of defining a national CULTURE. A preoccupa­

same terms as a late ninteenth-century 'mad genius'

tion with art as part of the formation of national

such as Vincent van Gogh. Even if both come to be

consciousness emerges once again on both sides of

framed within a modern system of beliefs about art,

the political camp in the 1920s and 1930s. In Italy

the specificities of their history, as of this system

Gramsci (1985) understood the popular consump­ tion of detective comics and opera as indicating a

itself, need to be carefully differentiated. It may also be argued that a broadly sociological

weakness in proletarian class formation, while in

concern with art precedes the emergence of the

Germany the idea of modern art as a symptom of

word sociology and the modern idea of the artist.

decadence was elaborated. At any point in its de­

This prehistory can be exemplified in the discus­

velopment the sociology of art is overdetermined by

sions of the French Royal Academy where, in the

a variety of discourses on the sociability of art.

eighteenth century, it was common to explain the

A potentially systematic sociology of art is gen­

supremacy of ancient Greek art by the representa­

erally understood to emerge in the writing of Marx

tion of Athens as a healthy and successful society.

and Engels and with Hyppolite Taine's histories of

Academic arguments that had recourse to extra­

art and literature. While Taine became notorious

aesthetic categories, such as climate, the coherence

for his deterministic formula 'environment, race

of social order and the wisdom of patronage, to

and moment' (Taine, 1853), with its echoes of the

explain and define artistic quality flourished along­

previous century, its influence in professional soci­

side cultural relativism and materialism in Montes­

ology or in social history has been less significant

quieu or Diderot. At the end of the century the

than that of Marxism. In the German Ideology Marx

theocratic apologist Louis de Bonald was also able

and Engels attempt to explain the power and sign­

to suggest an explanation of artistic change that was

ificance of a Renaissance artist such as Raphael in

in its turn appropriate to the justification of a need

terms of a complex historical process which alone

for social continuity (Reedy, 1986).

made his painting possible:

In the 1840s, when the idea of the individual, expressive artist was on its way to becoming cur­

Raphael as much as any other artist was deter­

rent, single works of art came to be read as socially

mined by the technical advances in art made

symptomatic,

critical.

before him, by the organisation of society and the

Proudhon, with his Du Principe de l'art et de sa

division of labour in his locality, and, finally, by

whether

redemptive

or

destination sociale (1865), was pre-eminent in con­

the division of labour in all the countries with

structing a history of modern art in which his

which his locality had intercourse.

interpretation of the work of artists such as J ac­ ques-Louis David and Gustave Courbet articulated

Marx and Engels were here arguing against the idea

a general political and social theory. By the mid­

of a 'unique' individual as propounded by Max

century in both France and England one can com­

Stirner, but in so doing they begin to map out a

monly read histories of art, art criticism or essays on

frame of reference made up of social and economic

folk art, as well as discussions about industrial

relations that form part of the conceptual structures

progress or Universal Exhibitions, that deploy

of the sociology of art up to our own time.

some system of social reference in understanding

They also attempt to define art as specific to its

art as a sign of its times. It is arguable that a concept

mode of production, pointing to the sales pitch of

of art as inherently social was, in effect, thoroughly

the capitalist press of the 1830s and 1840s as the

diffused by the 1850s. As Thore-Burger put it in his

condition for the emergence of the serial novel. In

review of the Parisian Salon of 1855, 'Do not the

Theories of Surplus Value, where this discussion is

arts themselves represent the historical traditions,

developed, they laid out two further lasting param­

the real life of the peoples?'

eters. One of these is the concern with the artist as a

30

ART, SOCIOLOGY OF

particular type of worker who is essentially an 'un­

(Wind, 1958), for example, calls for a knowledge

productive labourer'. The other is the preoccupa­

of the sociability of different levels of culture from

tion with the 'commodification' of art itself and its

banal and everyday phenomena to humanist com­

conversion by capitalism from its previous histor­

mentaries on classical texts. The exceptional art­

ical statuses into no more than an item of exchange

work becomes one point at which disparate forms of

value, whether this notion is construed as monetary

knowledge and cultural practice find a relatively

or ideological (Marx and Engels,

total articulation.

1976). Here again

is a starting point for discussions on the relation of

But despite the value of approaches that either

art and society as distinct as those of Gyiirgy

deduce the meaning of a work of art from social data

Lukacs, Theodor Adorno, Waiter Benjamin or

or induce the fabric of the social from the reading of

Pierre Bourdieu. The sociology of art may turn

the artwork, the notion of cultural objects as ex­

out to be at the centre of twentieth-century Marx­

pressive of totality or as 'total social facts' has fallen

ism. But the concept of alienation will fuel both

into disrepute. The work of art may belong to any

Benjamin's willingness to accept the popular and

one or more than one of a series of knowledges.

Adorno's definition of art as necessarily the neg­

Thus the construction of the public for a painting

ation of the social forces that produce it.

may be as one of the psychoanalytic category of

Recently, in the writing of Jacques Ranciere,

voyeur, implicated in the modes of scopophilia,

Adorno's negativity has been used to revalue the

without a primary regard for social stratification.

Kantian aesthetic. If the transcendent and the nega­

Or it may be as a social group with access to the art

tive can be read through each other, then the desire

market and an eye to figuring its own prestige

for art must be understood in terms of the negation

through purchase. Two contemporaneous paint­

of the social structure (Ranciere, 1983). From this

ings may share a position in a commonly accepted,

point of view, Bourdieu's elaboration of the pro­

historical language of visual signs and yet belong to

duction and consumption of art as the confirmation

quite different sites in the development of art edu­

and reproduction of social status turns out to be a

cation and the systems of production and distribu­

wholly inadequate framing of the complexities of

tion. Art criticism may as well be read in terms of its

social identity, the sociology of art a hollow enter­

relation to literary and political discourse as in

prise. Analogously both feminist and post-colonial

terms of its declared object of attention. The future

discourses frame the social in such a way as to

development and configuration of the social history

suggest that much of what has been taken as ad­

and sociology of art alike will necessarily depend on

equate sociology, and by implication, sociology

the recognition of this diversity as of the problems

of art, needs to be radically rethought. The con­

that it presents. To be truly fruitful, interdisciplin­

struction of art as either a form of domination or

ary work may well have to accept that difference is

as a means of accession to social value is poly­

more structuring than totality.

morphous and inexhaustible, ever constrained and continuously reworked in historically specific con­ ditions. In his essay of 1923, 'On the interpretation of Weltanschauung', Karl Mannheim presciently out­

lined these problematics in a sociology of culture

Reading Adorno, T. 1963: Q}tasi una Fantasia. Bourdieu, P. 1979 (1984): Distinction: a Social Critique of the Judgement of Taste. Clark, T. J. 1973: The Absolute Bourgeois: Artists and Politics in France 1848-18Sl.

(in Mannheim, 1952). Rejecting a reductive pro­

Duvignaud,J. 1967 (1972): The Sociology ofArt.

cedure of cultural analysis derived from the model

Francastel, P. 1965: Oeuvres 11, La Realite figurative,

of natural science, he tried to demonstrate how an understanding of the 'objective', 'expressive' and 'documentary' meanings of a cultural object would lead to a complex mapping of the parallel, but not necessarily causal, relations of a sociocul­

elements structurels de sociologie de l'art. Hauser, A. 1959: The Philosophy ofArt History. Mannheim, K. 1952: Essays on the Sociology ofKnowledge, ed. P. Kecskemeti. Marx, K. and Engels, F. 1845-{) (1970): The German Ideology.

tural totality. Arguably the flow and interweaving

Mou1in, R. 1967: Le Marc he de la peinture en France.

of methods in Mannheim 's disclosure of a cultural

Proudhon, P.-J. 1865: Du Principe de l'art et de sa destin­

whole requires the same kinds of skill as do the iconological analyses of the Warburg school of Art History. The study of a painting by Botticelli

ation sociale. Wo1ff, J. 1981: The Social Production ofArt. ADRIAN D. RIFKIN

ARTIFICIAL INTELLIGENCE

31

The term describes what

was the pattern the different configurations all fall

is shown by a machine when it emulates cognitively

under. This particular project has since come to

sophisticated human performances.

fruition (in optical character-recognition devices of

artificial intelligence

Mechanical

calculators (beginning with the 'calculating clocks'

great human significance), but the problem of pat­

of the seventeenth century) and even mechanical

tern recogmtlon in a variety of other domains

robots of the eighteenth and nineteenth centuries

remains

could be seen as early vehicles, but it is in the

Firscheim, 1987).

significant

and

taxing

(Fischler

and

programming of computers in the twentieth cen­

The project of teaching the computer English

tury that artificial intelligence began to be identified

(that is, natural language) similarly began its long

as a field of study (Pratt, 1987).

and as yet uncrowned career as an attempt to make

The term came into currency following its use

the machine more user friendly to the programmer.

in the title of a conference convened in 1956 at

It is one that has gained in perceived significance

Dartmouth College, New Hampshire, by John

even as its difficulty has been borne in upon those

to

who have worked at it (Alien, 1987; Gazdar and

define a collection of projects which attempted to

Mellish, 1989). There is a view that visual percep­

exploit the potential of the electronic computer,

tion is mediated through the concepts of natural

which had been born in World War II and, in the

language, and it is also quite possible that know­

McCarthy

(MacCorduck,

1979).

It

served

early 1950s, was emerging into the civilian world. Leading projects at that time included attempts

ledge is articulated and memorized using linguistic structures (Winograd, 1983).

to get the machines to play draughts and chess, to

To a striking degree most of these foundation

solve geometry and logic problems, to recognize

projects have continued to absorb interest and defy

patterns and to 'understand' ordinary English (Fei­

complete solution. New ones have also been em­

genbaum and Feldman, 1963). These reflected two

braced. During the second decade of AI's existence

types of interest which came together in the forma­

great attention was focused on robots, with the

tion of the new field, and which have persisted to

attempt to equip mechanical devices with refined

the present day. One is an interest in human psy­

motor controls and with the ability to use visual

chological processes, the other in getting the ma­

data obtained from the surroundings to enable

chine to do ever more sophisticated (and therefore

them to move about or manipulate objects or

to human users, more convenient) things. Some of

both. This work issued in the automated assembly

the earliest Artificial Intelligence (AI) programs, for

lines that have now become commonplace (Engel­

example ones that generated proofs in logic, were

berger, 1980).

devised as a way of studying human decision­ making.

Others,

programs

playing

chess

and

Latterly, the great preoccupation of AI has been with understanding how human knowledge might

draughts particularly, were conceived as studies in

be stored in the machine, in such a form as to make

learning. Latterly, the perspective that looks on the

that knowledge, and any implications it might have

brain as an 'information processor' has created cog­

for the solution of everyday problems, easily access­

nitive psychology (not so much a new branch of an

ible. This is the effort to construct 'expert systems'

old subject as a proposal to replace it), and from this

which would take the place of or at least assist

point of view trying to achieve emulation of human

human experts of various kinds (teachers, solicitors,

behaviour or performance by programming the

financial consultants).

machine is a powerful research technique (Ander­ son, 1980). Pattern recognition studies began with the other

The future will probably see a developing revival of interest in the learning potential of 'nerve nets', a plurality of processors linked multiply together

motivation - with programmers wanting to equip

(Hinton and Anderson, 1981). Breaking with the

their machine with the capacity to read typescript,

structure that has become the norm for a computer,

so that programs could be fed into it using that

which funnels all the action through a single pro­

medium. They discovered that, for example, a

cessor, the 'nerve-net' alternative attempts to get

letter of the alphabet is not to be defined by a

closer to the structure of organic nervous tissue (an

coordinate-definable configuration of dots, but

idea pursued without success by a forerunner of AI,

that an indefinite number of such configurations

cybernetics, in the 1950s). The present hope is that

can be identified by the human eye as the same

the new structures may be got to provide guidance

letter; what the computer had to be got to pick out

as to the future behaviour of complex systems, not

32

ARTIFICIAL INTELLIGENCE

by working out the various laws which together

and propositions are to be treated as lists of sym­

govern it but by getting the net to pick up the

bols, the members of which could be got at and

pattern of past behaviour and project it into the

manipulated. A computer language, LISP (LISt

future. 'Connection science' is sometimes used as

Processor) was invented to facilitate the carrying

a label for this perspective (Rumelhart et al., 1986;

out of such processes on the machine, and has

Zeidenberg, 1989).

turned out to be so generally useful for the projects

The notion of a 'heuristic', originally applied in

pursued by the AI community that the use of it

the realm of seeking mathematical proofs, is one

almost serves to define the field (McCarthy, 1963).

important idea that has been developed in the

From the earliest days AI workers have seen the

course of a number of AI projects. Solutions to

relevance of LOGIC to their concerns. Being able to

certain problems can be discovered in principle by

reason seems to be an aspect of possessing intelli­

going through a finite list of possibilities. For

gence, and one way of thinking of logic is as the

example, in a game like chess there are at any

attempt to articulate the rules of valid reasoning,

point a finite number of moves open to a player,

the rules which allow us to conclude, from a list of

and moreover each possible sequence of moves will

things we know to be established, that certain other

issue at some point in one of three endings: a win for

things must also be true. If the machine could be

one or other of the two players, or a draw. One

got to manipulate propositions according to these

approach theoretically therefore would be to work

rules (supposing we knew what they were) it would

through a complete set of 'what if conjectures.

not only eliminate the role of the human logician

Unfortunately (or fortunately - chess is a nice

and mathematician (for their occupation is showing

game), even a machine taking no more than a mil­

that such and such a proposition can be proved) but

lionth of a second to calculate each possible position 95 in a 40-move game, would require 10 years to

represent a considerable aid in all kinds of human

work out a first move (Shannon, 1954).

ledge plays a part.

endeavour where reasoning from established know­

Needed for a practical chess-playing program are

For a certain type of reasoning, as a result of the

ways of improving on the systematic but blind

labours of logicians down the centuries, the rules

generation of candidate moves, ways of ruling out

have been worked out (Prior, 1962). They are

without consideration unlikely possibilities if not of

straightforward to represent on the computer, and

positively picking out likely ones. One might, for

so representing them was one of AI's earliest pro­

example, ignore all moves to unprotected squares.

jects. Applied to the particular domain of medical

The merit of generating all possibilities systematic­

expertise, for example, the computer implementa­

ally is that if you carry on long enough, you cover

tion of this part of logic yielded a program which

them all. It is this merit that such short-cuts, or

offered a diagnosis of medical conditions. Medical

'heuristics', sacrifice: in place of certainty in the

knowledge is incorporated into the program in the

long run you have something less than certainty

form of rules which express the known links be­

within a more acceptable timespan.

tween symptoms and possible illnesses. The patient

Even with the help of heuristics, AI problem­

is prompted to add in the symptoms they are actu­

solving frequently involves checking through large

ally suffering from and the program then uses the

numbers of possibilities, and has thus highlighted

rules of logic it has been given to work out what

the need to store information in such a way as to

diagnosis is implied (Shortliffe, 1976).

maximize the efficiency of searching through it. A

Systems of this kind are not without practical

branching 'tree' structure has been one influential

value, though the fact that they can emulate only a

outcome here. Another technique, not exactly new

restricted type of reasoning is a severe limitation. It

with AI, but receiving in AI work the precise ar­

is the type formulated in what is known as the

ticulation that programming demands, is to resolve

propositional calculus, and the limitation is that it

the problem that has to be solved into component

cannot represent reasoning that hangs on the in­

simpler problems, and those problems into even

ternal structure of propositions. For example, the

simpler ones - and so on until a level is reached

propositional calculus treats the doctor's reasoning

where solutions can be found (Newell and Simon,

'If Tom has a high temperature, he must be ill' as

1972).

having the form 'If p then q', where p stands for the

AI has also given, particularly in its early years,

proposition 'Tom has a high temperature' and q for

substantial sponsorship to the idea that concepts

'he must be ill'. But a great deal of reasoning does

ASIAN VALUES hang on the internal structure of propositions (for

Simon, H. A. 1970:

example: 'If every number has a successor, then

Turing, A. M. 1954: Can a machine think? In

there is no number such that it is larger than every

33

The Sciences ofthe Artificial. The World of

Mathematics, vol. 3, ed. J. R. Newman. VERNON PRATT

other number'). Logicians have, however, been successful with these other types of reasoning too, inspired by the

Asian values

work of Gottlob Frege towards the end of the

straddles two meanings. On the one hand, it de­

'Asian values' is an expression that

nineteenth century, developing what is known as

notes a subset of human values in general, purport­

the predicate calculus (Kneale and Kneale, 1962).

edly discerned by anthropologists during close

For reasons uncovered in famous mathematical

ethnographic encounters or identified by sociolo­

work by Kurt Giidel and others (Davis, 1965),

gists and economists investigating the Asian path to

there can be no certainty in advance that a mechan­

modernization. In this context, 'Asian values' as­

ical representation of the predicate calculus will

pires to be a scientific concept seeking to explain

issue in a determination of every legitimate enquiry

Asian cultural and economic exceptionalism. Typ­

put to it. In completing, the machine is giving the

ically, debate turns on how Asian values are espe­

answer 'Yes' to the enquiry put (essentially, does

cially conducive to consistently high rates of

such and such a proposition of the predicate calcu­

economic growth, an argument that inverts earlier

lus follow from the information available?). But

claims that, for instance, Confucianism was a stub­

before it has completed the user doesn't know

born cultural obstacle to modern capitalism. On

whether this is because the answer is 'No', or be­

the other hand, and in recent times most promin­

cause the answer will never be determined. This

ently,

creates an unwelcome degree of uncertainty, but

highly charged, polemical set of assertions of some

ways of coping with the limitation have been de­

Asian leaders designed to deflect criticisms of

vised which leave predicate calculus machines

their human rights record and to affirm, with

nevertheless with a good deal of utilitarian potential

various

(Shepherdson, 1983).

societies are better - more ethical, cohesive and

One fruit of this work has been the construction of a computer language called PROLOG (from

'Asian

values'

degrees

of

is inseparable from

triumphalism,

that

the

Asian

disciplined - than their decadent counterparts in the West.

'programming in logic') which applies the rules of

The term 'Asian values' gained particular sali­

the predicate calculus to work out what propos­

ence in the 1980s and 1990s to highlight the success

itions follow from the facts put into the system,

of the Asian 'Tiger' economies (Singapore, Malay­

considered in conjunction with the 'knowledge

sia, Taiwan, Hong Kong and South Korea) in pro­

base'

moting

it

has

previously

been

provided

with

high

rates

of

economic

growth

and

development. In good measure, however, the term

(Kowalski, 1979). Another has been the construction of a new gen­

was defensive. Spearheaded by two very different

eration of expert system programs, the promise of

personalities - Lee Kuan Yew, Singapore's elder

which at the present time still however outstrips

statesman, and Mahathir bin Mohamad, the prime

accomplishment.

minister of Malaysia- 'Asian values' was a way of

See also COGNITIVE SCIENCE.

turning the tables on critics of authoritarian Asian regimes. For Lee and Mahathir, espousing a kind of

Reading

Orientalism in reverse, Asian values do not simply

Beardon, C. 1989:

explain the Tigers' post-war economic success but

Artificial Intelligence Terminology. Boden, M. A. 1986: Artificial Intelligence and Natural Man, 2nd edn. Michie, D. 1974: On Machine Intelligence. Minsky, M. 1967: Computation: Finite and Infinite Ma­ chines. O'Shea, T. and Eisenstadt, M. eds 1984: Artificial Intelli­ gence. Shapiro, S., Eckroth, D. and Vallasi, G. 1987: Encyclo­ paedia ofArtificial Intelligence. Sharp1es, M., Hogg, D., Hutchison, C., Torrance, S. and Young, D. 1989:

Computers and Thought.

are also evidence of a superior mode of society (Mallet, 1999). The Asian cultural valorization of hard work, discipline and thrift; the commitment to family and community; the willingness to defer to authority and to prioritize duties over rights; all of these 'values' are contrasted invidiously with the high levels of crime, divorce, one-parent families, drug abuse and- the source- rampant individual­ ism typical of Western societies (of which the United States is the archetype).

34

AUSTRIAN ECONOMICS Since the Asian financial meltdown of 1997, and

the continuing, if mitigated, travails of south-east Asian and Pacific Rim economies, 'Asian values' are

Mallet, V. 1999: Trouble with Tigers: the Rise and Fall of South East Asia.

Patten, C. 1998: East and West. PETER BAEHR

flaunted less confidently than hitherto. But the concept was always problematic and not only for the obvious reason that it excluded the Indian sub­

Austrian economics

continent from its purview. A key objection to it is

distinct mode of economic reasoning and a research

that it caricatures a region notable for its rich reli­

agenda. During the 1970s and 1980s Austrian eco­

The label connotes both a

gious (Buddhist, Taoist, Hindu, Shint6, Christian)

nomics came to the fore as one among several con­

diversity; its heterogeneous political systems -

tending streams of economic thought suspicious of

democratic

(Hong

mainstream economics (see PosT-KEYNESIANISM). It

Kong), state socialist (e.g. PRC), junta centred

is called 'Austrian' because it traces its pedigree to

(Burma)

(Taiwan),

etc;

varying

semi-democratic stages

of

development

the original triumvirate of Car! Menger (1840-

(Schwenkter, 1998); and interethnic rivalries: for

1921), Eugen Biihm von Bawerk (1851-1914) and

instance, between Chinese, phenomenally success­

Friedrich von Wieser (1851-1926), who taught in

ful in business, and ethnic Malayans and Indones­

the University of Vienna during the twilight of the

ians (Landes, 1999, pp. 475-80). Other objections

Habsburg Empire.

centre on the argument that East and West have

The Austrian, or Viennese, school constituted

been far more porous entities, historically, than is

one important strand - along with the English

often imagined (Goody, 1996); that Asian societies

(Marshallian) and Lausanne (Walrasian) traditions

have strong traditions of tolerance and religious

- of what became subsequently known as NEOCLAS­

scepticism (Sen, 1999); and that there is something

SICAL (as opposed to classical political economy) or

racist in the implication that a 'real' Asian could not

MARGINALIST ECONOMICS. While in broad agree­

be a supporter of individual freedom and demo­

ment with these other streams of thought with

cratic governance.

respect to general outlook, theorists in the Austrian

Is the concept of 'Asian values', then, a simple

tradition distinguished themselves from the outset

fraud, code for institutionalized cronyism, lack of

by a more relentless elaboration of the subjectivist

transparency,

authoritarian govern­

turn in economics. The Austrian theory of value is a

ment and rubber bullets? The real situation is

case in point: in contrast to classical notions, value

more

internationalization

was not deemed to be measurable in an intersubjec­

( 'GLOBALIZATION' ) increasingly breaks down cul­

tively valid way on the analogy of the length of a

tural boundaries, the societies of Asia are still very

table; it did not turn on some material property

distinctive from Western societies and from each

intrinsic to goods, rather it was seen to be at the

other. The nuclear family, for instance, is more

heart of a relationship obtaining between appraising

stable in Korea and Japan than it is in America;

decision makers and the objects of their appraisal.

corruption,

complex.

Although

crime rates are also much lower (Fukuyama, 1999,

Conceiving of value as a subjectivist concept paved

pp. 130-9). Few peoples in the world, Asian

the way for a redirection in the focus of economics.

peoples included, work harder than the Chinese of

In line with a general shift away from problems of

the diaspora. In short, cultural distinctiveness, pe­

production and technology, i. e. wealth creation, to

culiar habits and mores remain strong in Asia. The

issues of consumption and demand, the choosing,

point is to recognize and explain these factors while

economizing agent began to occupy centre stage in

avoiding

for

economic analysis. The move entailed a concern

whom, in Warren Christopher's bracing phrase,

the

simplifications

of

politicians

with (a) individual decision processes enveloped

cultural relativism is the last bastion of repression

in the vagaries of time and ignorance; and (b)

(Patten, 1998, p. 150.)

linking those decisions up with an explanation of the emergence of the complex web of intercon­

Reading Fukuyama, F. 1999: The Great Disruption. Human Nature and the Reconstitution of Social Order.

nected exchange relationships constituting the market order. The identity of the Austrian contribution came

Goody, J. 1996: The East in the West.

into sharper focus as a result of several fierce con­

Landes, D. S. 1999: The Wealth and Poverty ofNations.

troversies: with the German historical school in the

AUSTRIAN ECONOMICS

35

so-called METHODENSTREIT; with the theorists of

that cannot be spatialized) and structural, ineradic­

AUSTRO-MARXISM; in the debate with the cham­

able ('utter') ignorance (i.e. ignorance that cannot

pions of market socialism over the possibility or

be removed by buying oneself out of it). While

calculation

agents are not seen as being mesmerized by - in

under socialism (see SociALIST CALCULATION); and

]. M. Keynes's memorable locution - 'the dark

impossibility

of

efficient

economic

with the adherents of the new KEYNESIANISM. By the late 1940s the intellectual and political

forces of time and ignorance', there is no reason to assume that the problems posed by time and ignor­

ascendancy of the Keynesian revolution, in particu­

ance will somehow go away or that they can suc­

lar, had discredited Austrian economics to such an

cessfully be evaded. Thus Austrian economics

extent that it seemed as if it had become a closed

occupies a middle ground, giving due weight to

chapter in the history of economic thought. Apart

the knowledgeability and competence of agents in

from Ludwig von Mises (1881-1973) and his stu­

their daily dealings and goings-about, while at the

dents Israel Kirzner (born 1930) and Murray Roth­

same time insisting on the inherent limits to their

bard (1926-95) in the United States, and Ludwig

knowledgeability. And it is this middle-range pre­

M. Lachmann (1906-90) in South Africa there was

dicament which provides the background for entre­

hardly anyone during the 1950s and 1960s - F. A.

preneurial processes and market institutions to

Hayek (1899-1992) had by then abandoned eco­

unfold. The focus of Austrian investigations is on

nomic theory for social and legal philosophy -

the nature of entrepreneurially driven, rivalrous

who espoused an explicitly Austrian position. The

market processes rather than on the contemplation

situation changed drastically, however, when the

and comparison of equilibrium states. It is in this

widely felt dissatisfaction with the drift of post­

sense that 'Austrian' has rightly become synonym­

war economics which had begun to assert itself in

ous with 'market-process' economics and with an

the late 1960s and early 1970s encouraged a lot of

emphasis on the discovery aspects of markets (see

soul-searching among economists and the resur­

COMPETITION and ENTREPRENEURSHIP). Writers in

gence of once discredited ideas, tendencies and

the Austrian tradition set great store by a theory of

traditions. The revival of Austrian economics,

the emergence of social institutions as spontan­

spurred by the joint award to F. A. Hayek of the

eously evolved, undesigned outcomes of individual

Nobel Memorial Prize in Economic Science in

pursuits guided by general, abstract rules, and not

1974, began gradually as a diminutive genre in the

by 'the common good'.

United States (with the Austrian Economics Pro­

Given the humble base from which Austrian

gramme under Israel Kirzner's aegis at New York

economics started in the early 1970s, its success -

University playing a pivotal role); it then spread to

epitomized by the number of students attracted,

Britain (with think-tanks such as the Institute of

study programmes and publications, seminars and

Economic Affairs acting as a catalyst) and parts

conferences - has been nothing short of phenom­

of the Continent, and even to South America.

enal. While it would be a gross exaggeration to

During the 1990s it was in the intellectual vanguard

claim that it has taken mainstream economics by

of the Czech and Polish economic reform move­

storm, there is a growing sense that it occupies a

ments.

precious ecological niche. The samizdat years are

There is an overriding research agenda that

definitely over for Austrian economics. Nagging

informs Austrian contributions to economics and

questions of self-identity can be put behind: Aus­

that can be phrased in two questions: first, what are

trian economics at the turn of the millennium pre­

the institutions most conducive to the dissemin­

sents itself as a

ation of dispersed knowledge in a disequilibrium

academy. It has entered a new stage in its evolution,

economy? And, second, what are the conditions

an age of probation, as it were, and the question is

most hospitable to the generation of new know­

no longer 'Where do we come from?', but rather

self-confident

subset in

the

ledge? Such issues of economy-wide coordination

'Where do we go from here?'. Again, history comes

can be traced back to classical roots.

as a reliable ally. Given its historic research agenda,

At the level of the individual agent, Austrian

Austrian

economics

seems

exceptionally

well

economics may be viewed (see O'Driscoll and

placed to respond to the intellectual challenge

Rizzo, 1996) as a way of coping with the problems

posed by the ubiquitous touting of the 'knowledge

posed by historical, novelty-bearing time (i.e. time

society'.

AUSTRO-MARXISM

36

Reading

between causality and teleology, emphasizing that

Boettke, P. J. ed. 1994: The Elgar Companion to Austrian

there are diverse forms of causality and that the

Economics.

causal relation in social life is not a mechanical

Kirzner, I. M. 1973: Competition and Entrepreneurship. Kirzner, I. M. ed. 1994: Classics in Austrian Economics:

A Sampling in the History ofa Tradition, 3 vols. Lachmann, L. M. 1986: The Market as an Economic

Process. Lavoie, D. 1985: Rivalry and Central Planning: the Social­

ist Calculation Debate Reconsidered.

one, but is mediated by consciousness; this was a view which he later expressed by saying that even 'economic phenomena themselves are never "ma­ terial" in the materialist sense, but have precisely a "mental" character'

(1930, p. 118). Adler regarded

as the basic concept in Marx's theory of society,

Littlechild, S. C. ed. 1990: Austrian Economics, 3 vols.

'socialized humanity' or 'social association', and

O'Driscoll, G. P. Jr and Rizzo, M. J. 1996: The Economics

treated this in neo-Kantian fashion as being 'tran­

of Time and Ignorance. Vaughn, K. I. 1994: Austrian Economics in America: the

Migration ofa Tradition.

STEPHAN SOEHM

scendentally given as a category of knowledge'

(1925), that is, as a concept furnished by reason, not derived from experience, which is a precondi­ tion of an empirical science. This conception of Marxism as a sociological

Austro-Marxism

One of the earliest distinct

schools of Marxist thought, which

developed

system provided the framework of ideas which directed the studies of the whole Austro-Marxist

from the work of a group of thinkers in Vienna

school, as is particularly clear in Hilferding's eco­

at the end of the nineteenth century, the most

nomic analyses. In his criticism of marginalist

prominent among them being Max Adler, Otto

economic theory

Bauer,

Renner.

individualist 'psychological school of political econ­

This new form of MARXISM, according to Bauer

omy' Marx's theory of value, which is based on a

Rudolf

Hilferding

and

Karl

(1904) Hilferding opposed to the

(1927), was a response to new philosophical doc­

conception of 'society' and 'social relations', while

trines

to

the Marxist theory as a whole 'aims to disclose the

developments in economic theory (Austrian mar­

social determinism of economic phenomena', its

(neo-Kantianism

and

positivism),

ginalism) and to the issues raised by the problem

starting point being 'society and not the individual'.

of nationalities in the multinational Habsburg

Elsewhere, in the preface to Finance

Empire; but it was also influenced by the revisionist

he referred directly to Adler in asserting that 'the

Capital (1910),

controversy in Germany (see REVISIONISM) and

sole aim of any [Marxist] enquiry - even into

by the remarkable flowering of Viennese cultural

matters of policy - is the discovery of causal rela­

and intellectual life at the turn of the century, as a

tionships', and went on to investigate the major

result of which it was innovative in many different

causal factors in the most recent stage of capitalist

fields.

development, concluding with an analysis of im­

The first public manifestation of a new school of thought was the creation in

1904 of the Marx­

perialism which was the basis of later studies by Bukharin and Lenin.

Studien, a collection of monographs edited by

Another major field for sociological investigation

Adler and Hilferding and published irregularly

was that of nationality and nationalism. Bauer's

1923, and this was followed by the publica­

classic study (1907) set out to provide a comprehen­

tion, from 1907, of a theoretical journal, Der Kampf,

sive theoretical and historical analysis, from which

which soon came to rival Kautsky's

he concluded:

until

Die Neue Zeit

as the leading European Marxist review. The Austro-Marxists were all active in the leadership of the growing Social Democratic Party (SPO), and they devoted themselves particularly to the promotion of workers' education. The philosophical and theoretical foundations of Austro-Marxism were developed mainly by Adler, who conceived Marxism as 'a system of sociological

For me, history no longer reflects the struggles of nations; instead the nation itself appears as the reflection of historical struggles. For the nation is only manifested in the national character, in the nationality of the individual ...[which] ... is only one aspect of his determination by the history of society, by the development of the conditions and techniques of labour.

knowledge ... the science of the laws of social life and its causal development'

From a different perspective, concentrating on the

first major work

legal and constitutional problems of the different

(1925, p. 136). In his (1904) he analysed the relation

AUSTRO-MARXISM nationalities in the Habsburg Empire, Renner

37

THE ECONOMY). From this situation two lines of

also contributed important studies, in

development were possible: towards socialism if

the course of which he advanced the idea- original

the working class were to gain state power, or

in its time and not without relevance to the present

towards a corporate state if the capitalist monop­

(1899, 1902)

development of Europe- of a transformation of the

olies maintained their political dominance. In Italy

empire into a 'state of nationalities' which might

and Germany the latter possibility was realized in

become a model for the socialist organization of a

the form of FASCISM, and Bauer

future world community.

one of the most systematic Marxist accounts of the

Renner is best known, however, for his pioneer­

(1936)

provided

economic and social conditions in which the fascist

ing contribution to a Marxist sociology of law. In

movements were able to emerge and triumph. Sub­

his study

sequently, Hilferding

(1904) of the social functions of law he set

(1941)

began a radical revi­

out to show how the existing legal norms change

sion of the Marxist theory of history, in which he

their functions in response to changes in society and

attributed to the modern nation state a more inde­

more particularly to changes in its economic struc­

pendent role in the formation of society, arguing

ture, and then raised as major problems for a soci­

that in the twentieth century there had been a

ology of law questions about how the legal norms

profound 'change in the relation of the state to

themselves change and the fundamental causes of

society, brought about by the subordination of the

such changes. In this

as in other

economy to the coercive power of the state', and

writings, it is clear that Renner attributes an active

that 'the state becomes a totalitarian state to the

role to law in maintaining or modifying social rela­

extent that this subordination takes place' (see To­

tions and by no means treats it simply as an ideology

TALITARIANISM).

discussion,

reflecting economic conditions, citing as consonant

The changing class structure, and its political

with this view Marx's comments on law in the

consequences, were other subjects to which the

introduction to the Grundrisse. Another important

Austro-Marxists devoted much attention. Bauer

contribution to formulating the principles of a

made an important contribution in his comparative

Marxist sociology of law was made by Adler

account of the situation of workers and peasants in

(1922)

who, in the course of his critique of Hans

the Russian and German revolutions, in his detailed

Kelsen's 'pure theory of law', which excludes any

analysis

enquiry into either the ethical basis of law or its

his critical writings on the emergence of a new

(1923)

of the Austrian revolution, and in

social context, examined in detail the differences

dominant class in the USSR as the dictatorship of

between a formal and a sociological theory of law.

the proletariat was transformed into the dictator­

The Austro-Marxists also undertook major stud­

ship of an all-powerful party apparatus (see espe­

ies in other fields. They were among the first Marx­

cially Bauer,

ists

context of

to

examine

systematically

the

increasing

1936).

the

Adler

(1933),

defeat and

writing in the

destruction of

the

involvement in the economy of the 'interventionist

working-class movement in Germany, analysed

state'. Renner

the changes in the composition of the working class

(1916),

writing on the effects of pre­

war capitalist development and the 'war economy',

in capitalist society; while noting that 'already in

noted 'the penetration of the private economy down

Marx's work the concept of the proletariat displays

to its elementary cells by the state: not the national­

a certain differentiation', he argued that more recent

ization of a few factories, but the control of the

changes had been so extensive as to produce a 'new

whole private sector of the economy by willed and

phenomenon', so that 'it is doubtful whether we can

conscious regulation', and he continued: 'state

speak of a single class'. In this new proletariat there

power and the economy begin to merge ...the na­

were several distinct strata which had given rise to

tional economy is perceived as a means of state

three basic, often conflicting, political orientations:

power, state power as a means to strengthen the

that of the labour aristocracy, comprising skilled

national economy ...It is the epoch of imperial­

workers and office employees; that of the organized

1915

workers in town and country; and that of the per­

Hilferding developed, on the basis of his

manent or long-term unemployed. But even among

analysis in Finance Capital, a theory of 'organized

the main body of workers, he argued (in a manner

ism.' Similarly, in essays published between and

1924,

capitalism' in which the action of the state begins to

reminiscent of Roberto Michels's account of OLI­

assume the character of a conscious, rational struc­

GARCHY), the development of party and trade union

turing of society as a whole (see SociALIZATION OF

organizations had created a fatal division between

38

AUTHORITY

the growing stratum of salaried officials and repre­

Reading

sentatives, and the largely passive membership. The

Bottomore, T. 1989: Austro-Marxist conceptions of the

weakness of the working class in the face of fascist movements was largely due, he concluded, to this differentiation of socioeconomic conditions and pol­ itical attitudes (see W oRKING

CLASS).

After World

War II, as the class structure continued to change even more rapidly, Renner (1953) focused his atten­ tion on the growth of new social strata - public officials and private employees - which he referred to collectively as a 'service class' of salaried employ­

transition from capitalism to socialism.

T.

Bottomore,

and

Goode,

Kolakowski, L. 1978:

Austro­

!VIain Currents of !VIarxism, vol. 2,

Leser, N. 1966: Austro-Marxism: a reappraisal. Journal of

Contemporary History I. 2. (1985): Zwischen Reformismus und Bolschewis­ mus. Der Austromarxismus als Theorie und Praxis, 2nd

--1968

abridged edn. Mozetic, G. 1987:

Die Gesellschafistheorie des Austro­

marxismus. TOM BOTTOMORE

'the real study of class formation in society, and above all the continuous restructuring of the that 'the working class as it appears (and scientifi­

eds 1978:

eh. 12.

relationship of wage labour'. Many Marxists, he

classes'. In particular, they had failed to recognize

P.

Marxism.

ees whose contracts of employment did not create 'a considered, had adopted a superficial approach to

International

Journal of Comparative Sociology 30. 1-2.

authority

Although authority can conveniently

be defined as the right, most often by mutual rec­

no

ognition, to require and receive submission, there is

The 'golden age' of Austro-Marxism was the

its nature. This is not surprising, since different

cally was bound to appear) in Marx's

Capital

longer exists'. period from the end of the nineteenth century to 1914, when the seminal writings of these thinkers were published and the work of the school as a whole had a wide influence in the European social­ ist movement. After the Russian revolution, how­ ever, it was overshadowed first by Leninist and then by Stalinist versions of Marxism; the course it followed, 'between reformism and Bolshevism', in expounding an undogmatic Marxism open to revi­ sion and development in response to new historical experience and to critical questions posed by other approaches to social analysis had little international influence. But in Vienna, where the SPO was con­ tinuously in power from 1918 to 1934, Austro­ Marxism still provided a coherent framework of ideas for an ambitious and effective policy of social reform, until it was finally overwhelmed by the rise of Austrian fascism and the incorporation of Aus­ tria into the Third Reich. Since the late 1960s there has been a notable renewal of interest in the Austro-Marxists, not only in Austria where their ideas still have a significant influence on the devel­ opment of socialism, but in other European coun­ tries. In the conditions created by the disintegration of 'official Marxism' throughout Eastern Europe, it may be that these ideas, and further elaborations of them, will have an even greater impact on the organization of the economy, the construction of democratic institutions, and attitudes to the persist­ ing problem of nationalities, in system.

a

new European

endemic disagreement among social theorists about conceptions of authority tend to reflect different social and political theories and worldviews. How­ ever, the various conceptions of authority seem to have two components in common. One is the non­ exercise of private judgement; the other is the identification of the authorities to be recognized. This leads to some useful distinctions. If some­ body submits to the judgement of authorities by reference to a set of rules prevalent in a society, we speak of a

de jure authority.

However, if somebody

submits to the judgement of others because he or she accepts their claims to be the rightful author­ ities, it is an instance of a typically have both

de facto authority. Parents de jure and de focto authority

over their children. It is conceivable, however, that they have the former kind of authority without having the latter, and vice versa. If authority is identified and recognized over belief, we speak of

an authority (such as a doctor advising a patient). If it is, on the other hand, identified and recognized over conduct, then it is a case of somebody being in authority (such as a policeman directing traffic). Perhaps the best way to elucidate the concept of authority is to describe different solutions to three problems about it. In the first place, why is there a need for the concept? While Hannah Arendt and Bertrand de Jouvenel give different accounts of authority, they agree (with most other social theorists) that the cohesion and continuity of social life cannot be adequately explained in terms of coercion, LEADER-

AUTHORITY SHIP or rational discussion. Arendt (1960) believes

39

existing tradition and his actions are unintelligible

that authority implies an obedience in which people

apart from it: indeed Jesus said that he had not

retain their freedom. She distinguishes it from

come to break the law, but to fulfil it. It should

PoWER, force and violence, and also from persua­

also be pointed out that the difference between legal

sion, because in persuasion people are equal. The

and traditional authority on the one hand and cha­

rise of totalitarianism in the twentieth century was

rismatic authority on the other, in Weber's theory,

preceded by the loss of authority, she believes: the

is somewhat similar to the difference between Jou­

lonely crowd seeks comfort in political mass move­

venel's arbitrator of existing and conflicting claims

ments and feels a need for leaders.

and aims, rex, and his leader or originator of new

According to Jouvenel (1957), authority is the

policies, dux.

ability of somebody to get his or her proposals

The third question is why people should defer to

accepted. It is different from power, because it is

authority. Radical political thinkers, notably an­

exercised only over those who voluntarily accept it.

archists and Marxists, believe that they should

However, the people in authority, or the rulers,

not.Marxists contend that authority is asymmetric,

may have authority only over a part of their sub­

masking the class nature of the capitalist state and

jects, but over a sufficient number that they may

the imposition of a legitimating ideology. Ji.irgen

coerce the rest; this would be power over all by

Habermas (1973) believes, for example, that the

means of authority over a part, or an authoritarian

state in 'late capitalism' faces a legitimation crisis.

state. It is a mistake, J ouvenel believes, to oppose

Modern anarchists, like Robert Paul Wolff (1970),

authority to liberty, because authority ends where

fasten their eyes on the alleged conflict of individual

voluntary assent ends: the dissolution of human

autonomy and authority. According to them au­

aggregates is the worst of all evils, he says, and

thority necessarily implies the private surrender of

police regimes come in when prestiges go out.

judgement.

Secondly, how do people in authority come to

Conservatives and liberals reply that an extensive

have it? Max Weber (1921-2) distinguished be­

intellectual division of labour is necessary in today's

tween three types of authority, or 'legitimate dom­

complex social order. They also point out that a

ination'. Legal authority rested on a belief in the

certain kind of law structures rather than restricts

legality of enacted rules and the right of those

individual liberty, and that it therefore serves as a

elevated to authority under such rules to issue

condition, not a constraint, of autonomy.

commands. Police officers are obeyed because the

Modern liberals typically distinguish between

authority conferred upon them by the legal and

the authority of the law, which they regard as ne­

political order is accepted. Traditional authority

cessary for facilitating social cooperation, and the

rested on an established belief in the sanctity of

power of individuals, which they tend to distrust.

immemorial traditions and the legitimacy of those

They differ, however, on how they derive the au­

exercising authority under them. This kind of au­

thority of the law.ForJohn Rawls (1971) andJames

thority is also defined in terms of a set of rules, but

M. Buchanan (1975), it derives from a SociAL CON­

the rules are mostly expressed in traditions and

TRACT. People defer to authority, because it is in

customs. Finally, charismatic authority rested on

their interest; they would choose (a certain kind of)

devotion to the exceptional sanctity, heroism or

authority if provided with the relevant information

exemplary character of an individual person, and

or if placed in the appropriate setting.For Friedrich

of the normative patterns or order revealed or

A. Hayek (1979), authority emerges from a long

ordained by him (see CHARISMA) . The best example

historical process of the mutual adaptation of indi­

is Jesus, who spoke 'with authority' in the Temple,

viduals, as expressed in statutes, traditions, conven­

though only 12 years of age, and whose utterances

tions and customs: except where the political unit is

were of the form, 'It is written, ...but I say unto

created by conquest, he argues, people submit to

you.'

authority not to enable it to do what it likes, but

According to Weber, these three types of author­

because they trust somebody to act in conformity

ity are 'ideal types'. They almost always exist in a

with certain common conceptions of what is just.

mixed form. Peter Winch (1967) has pointed out

For Robert Nozick (1974) the authority of the state

that, in the final analysis, all three rest on tradition.

rests on its non-violation of individual rights.

Even charismatic authority presupposes tradition,

On the other hand, some modern thinkers,

since the charismatic leader always reforms an

Michael Oakeshott (1962), Hannah Arendt and

40

AUTOMATION

others, taking their lead from Aristotle, Rousseau and Hegel, do not refer to interests or rights, but to social identities. They replace the unencumbered (and to them enervated) selves of liberal theory by situated selves, partly constituted by their social roles, practices, places and times. The reason we accept authority, these 'communitarian' theorists contend, is that it expresses our common will or that it reflects our common identity, our shared values and beliefs. While some communitarian ar­ guments against liberalism are similar to those put forward by conservatives (especially British Tories) in the early nineteenth century, they usually lead to more egalitarian policies. But when the selves are situated in an individualist culture, communitar­ ians can become quite libertarian, Oakeshott being one example. Finally, political 'realists' believe that authority does not come into existence by shared beliefs or by convention, but by imposition. Vilfredo Pareto de­ scribed politics as the competition among elites trying to pursue their own aims by the manipula­ tion of mass support: 'All governments use force and all assert that they are founded on reason' (Pareto, 1916-19, sect. 2183). According to Gae­ tano Mosca (1896), the governing class dominated the unorganized majority, legitimating its power by a 'political formula'. Marxists and anarchists agree to some extent with the political realists about the nature of authority, although the two groups, unlike the realists, find it unacceptable and want to replace it by something else about whose nature, however, they do not agree. But most political philosophers and political sociologists alike believe that authority is an inevitable and ineradicable fea­ ture of social life. Reading Arendt, H. 1960: What is authority? In Between Past and Future: Eight Exercises in Political Thought. Jouvenel, B. de 1957: Sovereignty: an Inquiry into the Political Good, trans. J. F. Huntington. Lukes, S. 1978: Power and authority. In A History of Sociological Analysis, ed. T. Bottomore and R. Nis­ bet. Peters, R. 1967: Authority. In Political Philosophy, ed. A. Quintan. Weber, Max 1921-2 1978: Economy and Society: an Out­ line of Interpretative Sociology, ed. Gi.inther Roth and C1aus Wittich. Winch, P. 1967: Authority. In Political Philosophy, ed. A. Quintan. HANNES H. GISSURARSON

In describing a system in which machines are used to control processes and perform sequences of tasks that previously required human attention, activity and intervention, the term does not refer merely to using machines to carry out single tasks (mechanization), a capability humans have long possessed, but to the method of harness­ ing electronic sensing and control devices in order to model, replace and, increasingly, outperform human senses, minds and bodies in repeated oper­ ations. Automated systems have distinguishable aspects: automation

2 3

4

5 6 7

8

A source of power to carry out the task; Action, for instance, drilling, heating, spraying, treating with chemicals; Positioning, which may involve movmg, turning, aligning, transferring, conveying from one place to another; Control, referring to the means of carrying out decisions, e.g. a valve that can be made to open and close; A computer program, with instructions for carrying out a process, as in (2) to (4) above; A computer program in command of the whole operation, that is, of the sequence of processes; A means of sensing (identifying and measuring) and reporting the qualities of what is being processed, such as size, optical properties, weight and heat; and Decision-making elements, which compare reported information with a required state and make appropriate corrections of deviations.

These aspects working together form a feedback system capable of operating with minimal human intervention. Automation made its initial impact on manufac­ turing (especially automobile) industries in the 1950s. It was intended to increase production, productivity and reliability, improve efficiency, re­ lieve humans of unpleasant or hazardous tasks, reduce operating costs and carry out procedures that were beyond human capabilities. Industrial robots, in the form of reprogrammable, jointed manipulators designed to carry out a variety of tasks, made possible greater flexibility in manufac­ turing. As computing power, both in software and hardware, rapidly expanded, the field of robotics emerged, specializing in the creation of sophisti­ cated machines with some human-like functions.

AUTOMATION

41

At the same time, automated controls became wide­

been an increase in new types of nonrepetitive,

spread, invisible and taken for granted by the

skilled jobs. Whether trends in unemployment

public, in many environments and applications,

were ever due to automation as such, or whether

such as housing, domestic appliances, information,

they reflected the dislocation of traditional labour

communication, entertainment and transport.

markets in a changing world economy, is open to

Since automation is now so firmly embedded in

question.

the fabric of every technologically advanced coun­

The impact of automation on the shift from

try, there can be no easy conclusions about the

manufacturing to service industries has also not

outcome of the complex relationships involved. In

been clear-cut. Even in countries with an apparent

the early years, speculation about the likely eco­

decline, the fortunes of manufacturing industry

nomic, social and cultural consequences for soci­

fluctuate, reflecting changes in domestic and export

eties and individuals tended to draw on what was

demand as well as government policy, so that a link

known about the precursor of automation in indus­

between the manufacturing-to-services shift and

trial production- the mechanization of production

automation is not directly demonstrable. In any

lines. This split production into subprocesses, each

case, the shift was established before automation

aided by a machine. Since workers were treated as

took its modern form. Furthermore, although auto­

adjuncts of the machine, the effect was to degrade

mation first affected manufacturing industries, it is

and limit workers' skills. At the level of the individ­

having widespread impacts on all activities, includ­

ual production worker, deskilling, involving a re­

ing office management, communications, transport,

duction of craft knowledge and a loss of freedom,

distribution,

was foreseen as a major direct consequence of

banks and financial services, retail trade, printing

clerical

and

administrative

work,

automation. Deskilling as a concept depended on

and publishing, health and public services, design

the idea that individuals have specific fixed skills, in

and the information technology industry itself. As

a stable industrial environment. It did not ant­

the use of 'intelligent' knowledge-based systems

icipate the emergence of completely new manufac­

spreads in professional activity, automation affects

turing jobs, requiring more skills and training, not

work and decision making in almost every occupa­

less, in such areas as CIM (computer-integrated

tion. Consequently, successful knowledge manage­

manufacturing),

(com­

ment has become crucial to effective organizations.

puter-aided design and computer-aided manufac­

Once it is accepted that knowledge is a primary

including

CAD/CAM

turing). At the level of the organization, greater size and

commodity in the economy, the distinction be­ tween manufacturing and service industry

no

complexity would evidently require new manage­

longer seems as fundamental as it was taken to be

ment skills, stressing information and control. At

in the last half of the twentieth century.

the level of society and economy, inequality and

The impact of robotics raises new questions

unemployment were expected to grow, and overall

about automation, the individual and society.

a shift was predicted, away from industrial produc­

Some see 'intelligent', mobile, autonomous robots

tion and towards service industries. Nevertheless,

as desirable and achievable. Others deny the possi­

the fundamental changes now being brought about

bility of emulating or exceeding human capabilities,

by the growth of the knowledge-based economy

as cognitive science reveals the complexity of

and by the expansion of information and communi­

human intelligence. Still others predict the evolu­

cation networks were hard to imagine, even at the

tion of ever more powerful robots, but fear the

end of the twentieth century.

emergence of unexpected, threatening properties.

The supposed causal relationship between auto­

Nevertheless, the need for policy decisions about

mation and unemployment has proved not to be a

the applications of robotics still lies some decades

simple one. Common-sense arguments which saw

into the future.

the obvious effects of replacing workers by indus­ trial robots, for example, led to simple conclusions about the disappearance of jobs and the growth of a so-called 'leisure society', which failed to material­

Reading Adler, F. et al. eds 1989: Automation and Industrial Workers: a Fifteen Nation Study, vol. 2.

ize. Despite the destruction of traditional jobs,

Giddens, A. 2001: Sociology, 4th edn.

devastating to old industrial communities (such as

Handy, C. 1995: Beyond Certainty: the Changing Worlds of

those based on coal, dock labour or steel) there has

Organisations.

42

AVANT-GARDE

Kelly, K. 1994: Out of Control: The New Biology of Ma­ chines. Moravec, H. 1998: Robot: Mere Machine to Transcendent Mind.

LORRAINE

avant-garde

F.

BARIC

This French term literally means

the vanguard or foremost part of an army. Its meta­ phorical uses date roughly from the last quarter of the nineteenth century, though the idea, that of political or cultural LEADERSHIP by an enlightened, self-appointed elite, is in one sense at least a century older and in another as old as the human race. In

�

Angl phone usage the English term 'vanguard' is generally reserved for political leadership (as in Lenin's idea of a 'vanguard party'), and its French equivalent for cultural and artistic leadership (our present concern). The expression 'avant-garde' presupposes or im­ plies the following:

to

be

initiated,

articulated

or

directed by an 'advanced' minority, usually in accordance with some allegedly immanent his­ torical process (cf. PROGRESS);

2

Reluctance on the part of the 'led' (variously the proletarian 'masses' or the bourgeois 'phil­ istines') to be so 'led' (see MASS CULTURE);

3

A non-mandated right on the part of the avant­ garde to 'lead' them, or at least to goad, insult or irritate them by offering to do so;

4

Though they have both ENLIGHTENMENT and Romantic roots, avant-gardes are essentially a mod­ ernist

and

proto-modernist

phenomenon,

one

which to a great extent overlaps with another, that ofiNTELLECTUALS. Even when culturally and polit­ ically conservative (as in the case ofT. S. Eliot and many other modernists), avant-gardes are radical in their expressive techniques, which will be self­ consciously obscure, mannered, ironic, erudite, al­ lusive, or even (as in the Dadaist movement of Tristan Tzara and others in the early twentieth century) deliberately meaningless. Like modernism generally, avant-gardes are in part a reaction to bourgeois democracy, an aristo­ cratism of the declasse. Hence they have often depended on the traditional aristocracy for their support. However, their chief clienteles nowadays are precisely (a) democratic governments anxious,

A condition of permanent cultural or aesthetic revolution,

relation of simultaneous dependency and ALIEN­ ATION.

This right to be justified, if at all, by the avant­ garde's claims willy-nilly to represent the inner, unacknowledged aspirations of those excluded from it (cf. the Marxist doctrine of 'false con­ sciousness', to the effect that under imperfect social arrangements the unenlightened are kept

when commissioning public buildings, appointing curators and funding arts organizations, to parade their 'progressive' credentials; and (b) the seriously rich but still culturally status-hungry bourgeoisie. This has led to the so-called 'institutionalization of the avant-garde', and has done much to damage the credibility (though not the profitability) of avant-gardes. It seemed lately that a revived trad­ itionalism (especially in architecture) might even­ tually dominate the cultural scene, but this has not so far happened. Of all the arts, literature, which more than the others depends on a flourish­ ing popular market, has for some decades been the least avant-garde, yet, unlike the wilder var­ ieties of contemporary visual art, has certainly not ceased to develop in interesting and unpredictable ways. ROBERT GRANT

ignorant of their 'real' needs and desires, which only the 'vanguard' can perceive). An avant-garde is constituted not by conven­ tional status determinants such as wealth, birth or administrative function, but solely by personal

Reading Butler, C. 1980: After the Wake: the Contemporary Avant­ Garde. Ortega y Gasset, J. 1972: The Dehumanization ofArt and Other Writings on Art and Culture.

merit or aesthetic talent (as assessed by itself). It

Poggio1i, R. 1968: The Theory ofthe Avant-Garde.

stands to the surrounding culture in the ambivalent

Wi1son, E. 1931 (1984): Axel's Castle.

B base and superstructure

These are Marxist

The idea is implicit in the writings of Marx and

metaphors to describe the relations between the

explicit in those of Engels. Feedback explains the

economy (production relations) and government,

appearance of the functionality of a superstructure

politics and ideology. Marx and Engels never de­

towards its base. Statements about the functions of

veloped their ideas about the base and superstruc­

government or ideas can be translated into condi­

ture in a specific treatise and in a systematic

tional sentences acceptable within the scientific

manner, but it is possible to discern at least three

mode of explanation. The feedback thesis is com­

basic characteristics of their thought on the subject:

patible with both the strong and the weak interpret­

compatibility, feedback, and non-reductionism.

ation of the compatibility thesis. 3 All properties of the superstructure are not

I A society can exist if there is a compatibility

dependent on some properties of the base. There

between its government (politics, laws), its ideas

are entities in, and properties of government and

and its economic structures. Everything is not pos­

thought that cannot be explained by recourse to

sible: if the economy changes, the government and

statements about the base (or their descriptions

the ideas will have to change. Marx probably

cannot be reduced to the descriptions of the base).

thought that there could be one and only one type

A superstructure develops from a preceding one,

of superstructure compatible with a given base.

and results from a free choice or chance actions

G. V. Plekhanov, Lenin and Stalin certainly as­

within the structural restraints imposed by the com­

sumed this view. Compatibility has also been inter­

patibility and feedback conditions. Superstructure

the

is deemed a necessary component part of any human

superstructure following the change of the base.

preted

as

the

inevitability

of

change

in

society; it is not purely a servant or slave of the base.

This is the strong interpretation of compatibility. According to the weak interpretation, the number

Feedback and non-reductionism are covered by

of compatible superstructures has to be smaller

the composite label 'relative autonomy of the super­

than the number of all (possible) superstructures;

structure'. The concept of base and superstructure

the correspondence is one-to-many. Thus state­

thus becomes a concept of restraints and enabling

ments about the superstructure can still be ex­

conditions of human actions and activities. No gen­

plained by recourse to statements about the base

eral method of stating

but the description of the superstructure cannot be

and entities within some superstructural institu­

inferred from the description of the base. The in­

tions are dependent on the base, and which are

ante factum which properties

evitability thesis can also be weakened into a com­

not, is available in Marxist writings. Thus we do

pound thesis that (a) if a base changes then either

not have a general sociological theory, although we

the superstructure changes to restore compatibility,

do have a useful theory-sketch pointing to some

or the base returns to the former type, or the society

important relationships within a society that can

is destroyed by an internal conflict; and (b) if a

be used as the core of a research programme in

superstructure

history, sociology, social anthropology, law and

changes

then

either

the

base

changes to restore compatibility or the superstruc­ ture returns to the former type or the society is destroyed.

political science. The expression 'base and superstructure' is widely applied to the relationships between societal

2 There is a feedback relationship between base

institutions. It is also applicable to the relations

and superstructure. The term 'feedback' was first

between levels within the compound institutions

systematically used in this context by an East

(families, hunter-gatherer bands, ethnic units, and

German philosopher, Georg Klaus, after 1960.

so forth).

44

BEHAVIOURISM The words 'base and superstructure' were intro­

whole corpus of Marx's and Engels's wntmgs.

duced by Marx (1859). He claimed that state, polit­

J. Plamenatz has argued that Marx interpreted

ics and ideological forms made up a superstructure

production relations as legal ownership relations.

built on the base of production relations, the latter

This view has been rejected by G. A. Cohen, who

being compatible with a definite level of the means

has also provided analyses of the microfoundations

of production. Thus the superstructure was not

of the base-superstructure relations. Cohen's views

described by Marx as directly dependent on tech­

are based on good textual evidence (Marx, 1859).

nology. The dependence was mediated by the eco­

There is a tendency in modern Western writings

nomic structures. As early as 1844, Marx wrote in

about MARXISM to treat the ideas about the base and

his Paris manuscripts that some human values were

superstructure as explanatory principles. G. A.

dependent on economic conditions (in particular,

Cohen insists that relations between superstructure

alienated attitudes towards work and freedom were

and base are functional and that functional explan­

described as being dependent on the presence of

ation is a valid form of explanation. This has led to a

alienation in the economy). The claim that thought

controversy in analytical studies of Marxism over

and government are based on the MoDE OF PRODUC­

the nature of functional relations and the role of

TION is pervasive in the German Ideology (Marx and

functional

Engels, 1845-6). Engels discussed the relations be­

social science, ExPLANATION had not yet become a

explanations.

In

nineteenth-century

tween the base and superstructure in a number of

fashionable word. Marx and Engels were essentially

letters written between 1890 and 1895. He intro­

interested in finding out what they thought were

duced the feedback description of the relationships

real relationships between real entities. Although

between the base and superstructure, pointing out

they developed concepts and terminology for the

that the institutions belonging to the superstructure

purposes of understanding and explanation, their

have some characteristics not determined by their

interest was not centred on the concepts but on

base. Sometimes he used the term base rather

social reality and revolutionizing that reality.

loosely, to include the natural environment and the whole mode of production (Engels, 1894). In the 1920s some Soviet writers began making

The simplistic non-metaphorical use of the con­ cepts 'base and superstructure' by some Marxists and anti-Marxists is essentially a twentieth-century

distinctions between the technological base (part of

development. Marxism was made into a closed, all­

the means of production) and the economic base.

embracing and non-falsifiable theoretical system by

The latter consisted of the relations of production,

some Second International thinkers, by Lenin, and

exchange and

by the Stalinist interpreters of Marx.

distribution.

Western economic

writings since 1870 were practically unknown to Soviet philosophers and economists; thus there

Reading

are no detailed investigations of production rela­

Cohen, G. A. 1978: Karl Marx's Theory ofHistory.

tions by the majority of Marxists. Nevertheless, the

Collins, H. 1982: Marxism and Law.

expression 'base' (or 'economic base') is not used by

Elster, J. 1985: Making Sense ofMarx.

Soviet authors to denote the whole mode of pro­ duction. They also treat superstructure as being outside the mode of production and based on the mode. Their majority view came to be that although production relations are the major determining factor for the superstructure, there can also exist

Newman, K. S. 1983: Law and Economic Organization: a Comparative Study ofPreindustrial Societies. Plamenatz, J. 1954: German Marxism and Russian Com­ muntsm. Plekhanov, G. V. 1895 (1975): The development of the monist view of history. In Selected Philosophical Works in Five Volumes, vol. I.

direct determining relations from the means of

Therborn, G. 1980: What Does the Ruling Class Do When

production towards the superstructure. A socio­

It Rules? State Apparatuses and State Power under Feu­

economic formation is said to combine a mode of

dalism, Capitalism and Socialism.

EERO LOONE

production and a superstructure. This Soviet (and East European) use differs from that of some West­

This has been the

dominant

ern writers influenced by a French Marxist tradition

behaviourism

according to which the word 'base' is used to denote

school of thought in academic PsYCHOLOGY since

both the means and relations of production. The

the publication of]. B. Watson's classic work Be­

standard Soviet usage agreed well with Marx

haviourism in 1924. Few psychologists since his

(1859) and seemed exegetically to be closer to the

time would accept his theory without reservations.

BEHAVIOURISM

45

Most, however, would subscribe to the general

shaped by favoured ends of action. It requires the

features of his position. He claims:

language of successful and failed performance, not merely the neutral description of bodily move­

2

3

Mental events cannot constitute the data of a

ments, which is normally thought to be the scien­

reputable science, the proper object of psycho­

tific bedrock of psychological theory. Defining

logical study being behaviour, not thought or

behaviour to meet the data requirement is a

feeling;

problem for behaviourism generally. The classic

All behaviour is the effect of reinforcement, that

maze experiment is constructed on the assumption

is the response to a stimulus is the consequence

that the subject will be gratified to come upon the

of the repeated coincidence of the response with

reward, and will then solve the maze more quickly

a reward (or punishment); and

on

Experimental techniques in psychology allow

not described more exactly by analysing it into its

further

trials.

The

strategy

behaviour

already

is

us to manipulate behaviour towards socially

units.

approved ends. Since all behaviour is condi­

the subject is seeking the reward. But it is then

tioned anyway, the objection to conditioning

not clear why we can't say straightaway that

as opposed to rational persuasion fails.

Experimental

subject's

assumes

the subject wants the reward and knows how to find it.

The school of behaviourism first arose in protest

Much of the energy devoted to maze experi­

against the unsatisfactory state of psychology at the

ments has had the less ambitious objective of arriv­

turn of the century. Wilhelm Wundt, Edward

ing at numbers recording, for example, the rate of

Titchener and WilliamJames supposed that psych­

learning. Whether these results have important im­

ology studied mental events by means of introspec­

plications for our understanding of the behaviour

tion.

and the structure of organisms may itself be ques­

This process was notoriously

unreliable,

lacking any way of replicating reported findings. It

tioned. Rate of learning experiments neither entail

was anathema to a generation guided by a concep­

nor exclude inner events. Neither do they require

tion of science drawn from Ernst Mach and envious

description in terms of bodily movements. Learn­

of scientists widely celebrated for their successes in

ing is an achievement; it is experimental data. Be­

predicting events in the physical world. Bodily

haviour in that context is what organisms do, not

movements, in contrast, seemed to satisfy the scien­

merely how they move. Skinner's large claims to

tific demand for reliable data. The assumption that

efficacy

behaviour is always a response to reinforced stimuli

methods sanitized of mental content appear at

in

changing

behaviour

by

employing

provided the conditions for controlled experiment.

odds with his equally large claim that, given suffi­

So far then, behaviourism is the point of view of

cient control over an organism, we can get it to do

experimental psychology itself.

pretty much anything we want. Dogs walking on

Watson, however, went further. At Chicago he

their hind legs, dolphins leaping through hoops of

had been a student of Jacques Loeb, who was

fire, soldiers marching into battle testify to the

celebrated for his claim to have created life in a

possibility of control. But a description of the

test-tube, and who thought of science as a means

methods of conditioning appears to entail some

to control and change nature. Watson shared this

reference to ends, intentions and motives, at least

(1938; 1959;

of the experimenter. If so they entail as well a

1971), made popular an image of behaviourism as a

description of organisms as acting, not merely ex­

recipe for solving individual anxieties and the

hibiting physical movements.

view, and with his pupil B. F. Skinner

world's ills. Where psychologists like Clark L.

Many of Skinner's critics have objected to his

Hull and E. C. Tolman thought of stimulus­

views on moral and political grounds. He reduces

response (S-R) as a technique to refine our concep­

human motivation, they say, to the most simplistic

tion of the mental or physiological apparatus which

form of hedonism. He advocates positive reinforce­

they supposed must mediate between a stimulus

ment (rewards rather than punishments), not be­

and a response, Skinner looks upon reinforcement

cause it is better to be kind but because, in his view,

as a device used by the experimenter to induce

it is a more efficacious method of manipulation. His

behaviour.

claims to efficacy are moreover overstated. Re­

This view might be called ideological behav­

sponses fade over time (extinction), and thus re­

iourism, since it entails a conception of behaviour

quire frequent bouts of retraining. Fading habits

46

BEHAVIOURISM

may of course be explained theoretically, but as a

It is no longer as clear as it may have seemed

1950

method of social policy, conditioning would burden

around

society with staggering costs.

contributed much to our understanding of the be­

Criticisms of this kind are important, though

that psychological behaviourism has

haviour of organisms. Some of the grounds for

they focus, perhaps too exclusively, on Skinner's

scepticism have been noted. The most far-reaching

polemical work. Nonetheless they bring out the

criticism is based on the work of Wittgenstein

ends-oriented aim of much of experimental psych­

(1953)

ology, which vitiates the claim to have described

described as behaviourists, because they agree that

behaviour without recourse to the language of

introspection is not the appropriate means of access

motive, purpose and action.

to the mind. Wittgenstein argues that we cannot be

and Ryle

(1949),

who have themselves been

Purging psychological language of purposive and

sure we correctly apply a term to private experi­

mentalistic language was as we have seen a reaction

ences. Thus our talk about thoughts and feelings

to the unverifiable claims of introspectionists. This

cannot logically be reports of private data. Ryle

reaction took two forms. Radical behaviourists like

attacks the conception of the mind as a place

Watson and Skinner denied the existence, or at

where mental events take place. We do not observe

least the significance, of events discovered through

our thoughts and report them; our thoughts are our

introspection. Assuming that any use of purposive

speech. We do not describe our feelings so much as

or mental talk implicated the speaker in the dis­

we express them. Mental activity, or much of it, is

credited process of introspection, they were led to

what we do.

deny that anything intervenes between the stimulus

But in Wittgenstein and Ryle the externalization

and response. All references to drives, motives or

of the mind is not motivated by the attempt to

awareness are reducible to the S-R language. Skin­

define behaviour in scientific terms. Their inquiry

ner is thus led to exclude physiological explanation

leads instead back to ordinary life and the everyday

(1927), provided an

language we use to facilitate it. In this setting, it is

important impetus to the development of behav­

inappropriate to speak of the movements of organ­

which, since the time of Pavlov

iouristic methods. The work of Hebb

(1949)

is an

isms as the basis for inferences about thoughts,

instructive example. Physiologists require refined

intentions, feelings and goals. Our ground-floor

ways of describing bodily movement in order to

descriptions of behaviour consist of talk about suc­

draw inferences about the structure and function

cessful and failed action, not movements. The implications of philosophical 'behaviour­

of the nervous system. Other psychologists, like Hull

(1958),

(1943)

and Tal­

ism' for empirical psychology are momentous.

supposed the precise identification of

If its arguments are sound, the bloated mental

stimulus and response was necessary to get at the

universe of the introspectionist is purged without

man

interior processes which introspectionists imper­

leaving a vacuum to be filled by scientific research.

fectly observed. Their views received encourage­

We have seen how far experimental design in

ment from the prevailing view that in science one

psychology is implicated in the point of view of

posits 'hypothetical constructs' or 'intervening

daily life. The maze is built with a view to discover­

variables',

ing how quickly the subject solves it. The food pellet

from

which

experimental

evidence

reward

follows logically and by which further events can

is called a

be predicted. For some the models do not refer to

stimulus or drive-excitation, language which is

and hours of food deprivation a

real events or structures, but are merely heuristic

hard to distinguish conceptually from remarks

devices for making predictions; for others exact

about the subject's hunger, its preferences, its strat­

description of the learning process was warranted

egies and discoveries. This is language in which an

on the grounds that it can give us more accurate

understanding of behaviour is implicit. 'In psych­

maps of the mind (for instance, Tolman). The

ology', Wittgenstein says, 'there is experimental

concept of drive plays a central role in all theories

method and

conceptual confusion' (Philosophical In­

of this type. Drive strength is alleged to facilitate

vestigations,

II, p. xiv). The behaviourist's reduc­

prediction. (Skinner, of course, would argue that

tion of action to movement is successful if it focuses

there is no difference between the drive and the

attention on psychological problems; otherwise

summary of responses.) It also supports claims

it seeks its justification not in the puzzles about

about interior processes, whose nature nonetheless

what we do, but in positivist recipes for doing

remains problematical.

science.

BLOOMSBURY GROUP There has been a marked falling off in recent years in behaviourist theory, though this has been accompanied by new defences of the S-R model by

47

Watson, J. B. 1924: Behaviourism. Wilson, E. 0. 1975: Sociobiology. Wittgenstein, L. 1953 (1967): Philosophical Investigations.

ALFRED LOUCH

epistemologists and philosophers of LANGUAGE. Quine's Word and Object (1960) is a good example.

This expressiOn has long

But in psychology, conceived as an autonomous

Bloomsbury group

scientific discipline, little has been done since

been used to denote an informal nexus of aesthetes

Spence's (1956) attempts to carry forward the

and INTELLECTUALS influential, or at least conspicu­

work of Hull. During the past 15 years the idea

ous, in the first half of this century, and still, on

that the experimental study of the responses of

account of their unconventional opinions and (es­

organisms under controlled conditions could lead

pecially) sex lives, of apparently inexhaustible

to a science of behaviour has come increasingly

interest to popular biographers. The name derives

under attack from those who believe that no legit­

from the removal, on the death of the Victorian man

imate account of behaviour is possible except in the

of letters and first editor of the Dictionary of Na­

context of a biological and evolutionary under­

tional Biography Sir Leslie Stephen (1832-1904), of

standing of organisms. Classical behaviourists look

his four children, who included the painter Vanessa

at what organisms do strictly within the perspective

(Bell) and the novelist Virginia (Woolf), from Hyde

provided by explicit rewards or aversive stimuli.

Park Gate to 46, Gordon Square, in the then highly

They are thus incapable of recognizing the sign­

unfashionable

ificance of altruistic be ha viour. This is a response,

London. Here they and their friends met for regu­

sociobiologists say, only explainable on the assump­

lar soirees and discussions, and a nucleus of like­

Bloomsbury

district

of

central

tion that altruism maximizes the chance of genetic

minded people evolved which long survived the

material passing on to the next generation. The

break-up of the original household.

development of SociOBIOLOGY has marked similar­

The group never had any official identity, though

ities to psychological behaviourism, and has been

many of its members had belonged to Cambridge

criticized in much the same way. It is of interest

University's elite Society of Apostles. The Blooms­

here because it draws attention to what is funda­

bury group, in fact, was almost exclusively earn­

mental to behaviourist strategy, and its deficiencies.

bridge-educated and (later) Cambridge-based: it

Behaviourism is best seen as an attempt to mark off

included the philosophers G. E. Moore and (per­

psychology as a science from other disciplines.

ipherally) Bertrand Russell (both Trinity College), the historian G. Lowes Dickinson, the art critic

Reading

Roger Fry, the biographer and literary critic Lytton

Austin, J. 1961 (1970): A plea for excuses. In Philosophical

Strachey, the novelist E. M. Forster, and the econo­

Papers. Chomsky, N. 1959: Review of B. F. Skinner's Verbal

Behaviour. Language 35. Hebb, D. 0. 1949: The Organization ofBehaviour. Hull, C. L. 1943: Principles ofBehaviour. MacCorquodale, K. and Meehl, P. E. 1948: On a distinction between hypothetical constructs and intervening variables. Psychological Review 85,95-107.

mist ]. M. Keynes (all graduates or Fellows of King's College). Lesser lights were the critic Clive Bell (husband of Vanessa), the painter Duncan Grant, and the colonial administrator and Fabian thinker Leonard Woolf (husband of Virginia, and also founder, with her, of the Hogarth Press). The group's influence persisted well into the 1950s and

Melden, A. I. 1961: Free Action.

beyond, in part through their children but also

Pavlov, I. 1927: Conditioned Reflexes.

through such younger recruits as the Sunday news­

Peters, R. S. 1958: The Concept ofMotivation.

paper critic Raymond Mortimer (said to be the

Ryle, G. 1949 (1963): Concept ofMind.

model for the depraved Prince Daniyal in the most

Scriven, M. 1958: A study of radical behaviourism. In Minnesota Studies in the Philosophy of Science, ed. H. Feigl and M. Scriven. Skinner, B. F. 1938: The Behaviour of Organisms.

--1959: Verbal Behaviour.

Man.

E.

C.

1958:

Behaviour

and

novel The Root and the Flower (1935) ). Bloomsbury

was

essentially

the

bohemian

offspring of enlightened, upper-middle-class, late Victorian Cambridge. From Cambridge it took its

--1971: Beyond Freedom and Dignity. Spence, K. 1956: Behaviour Theory and Conditioning. Tolman,

powerful of all satires on Bloomsbury, L. H. Myers' s

Psychological

rationalism, scepticism and religious agnosticism, but rejected its elders' UTILITARIANISM, puritanism and public spirit (typified by the Stephen and

48

BLOOMSBURY GROUP

Strachey clans, which boasted, as well as early

or preferences for which no apology was thought

Evangelical connections, a number of distinguished

necessary beyond the traditional liberal appeal to

legal, military and administrative figures among

the sovereignty of the individual (see LIBERALISM;

their number). The Bloomsbury outlook was Epi­

INDIVIDUALISM).

curean, hedonistic, pacifist, subjectivist and (except

Accordingly most critics of the Bloomsbury

where art and 'personal relations' were concerned)

group (including one of the fiercest, the writer

somewhat

'Nothing

D. H. Lawrence, himself notably eccentric) have

Memoir

accused them of an amoral trivial-mindedness,

monotonously

irreverent.

mattered,' Keynes noted in a famous

(1949), 'except states of mind, our own and other

made possible only by the financial independence

people's, of course, but chiefly our own . . . We re­

to which most of them were born, and which

pudiated entirely customary morals, convention,

enabled them to insulate themselves from the quotidian pressures which work and ordinary un­

and traditional wisdom.' Bloomsbury's sole

debt

to

Oxford

was

in

sought social life impose on the less fortunate.

AESTHETICS. Here it took its cue from Fry, who

There is some truth in these strictures. In

had been influenced by the FoRMALISM and aver­

most Bloomsbury thinking there is indeed a perva­

sion to NATURALISM of the Aesthetic movement

sive 'thinness', even a certain self-congratulatory,

as typified by Waiter Pater and Oscar Wilde. For

clique-ish complacency. But it is surely extrava­

Fry, as for]. A. McNeill Whistler, the value of a

gant, and a darkening of counsel, to lay (as has

painting was located in the abstract, disinterested

been done) the inflationary crises of the economic­

'aesthetic states' supposedly induced in the sensi­

allyKeynesian 1970s at the door ofKeynes's homo­

mores generally. The

tive spectator by its form, texture and colour

sexuality and Bloomsbury

alone, irrespective of representational content. He

supposed link is that Keynesian economics (as

found these qualities of Significant Form (as Bell

exemplified by demand management and deficit

called it) pre-eminently exemplified in the work

finance), homosexuality and the pursuit of mere

of Paul Cezanne, whom he introduced to the

aesthetic 'sensation' alike look only to the 'short

Anglo-Saxon world through two 'post-impression­

run'; but it is now known that (by his own account)

ist' exhibitions he organized in London in 1910

Keynes was prescribing mainly for the peculiar

and 1912.

conditions of the 1930s, even if he also said, incon­

This idea - in itself far from novel - that value was essentially

sui generis was substantially echoed,

trovertibly enough, that 'in the long run we are all dead'.

if not actually prompted, by G. E. Moore's view of

Doubtless second- or third-raters such as Stra­

Principia Ethica

chey and Bell have survived only because the

(1903), which has been called 'the Bloomsbury

Bloomsbury group as a whole has caught the public

bible'. For the Good, too, was irreducible, except thetic stimuli on the one hand and friendship (or

imagination (though Strachey's early Landmarks in French Literature and his posthumous Books and Characters are still worth any educated person's

'personal relations') on the other.

attention, unlike Bell's snobbish and pretentious

the moral life as set forth in his

to the subjective 'states of mind' provoked by aes­

Moore's metaphysics, as he himself said, were

Civilization). But people such as Keynes, Russell

those of 'common sense'. Things had a real exist­

and even Moore would surely have been outstand­

ence independent of our perception of them, a view

ing in any period or milieu, while writers such as

contemptuously dismissed by the earlier generation

Forster and (above all) Virginia Woolf display not

of Idealists against whom Moore had reacted.

only a technical inventiveness, but a fragile, pre­

Nevertheless, the Bloomsbury outlook made few

cious and genuine spirituality that no age could or

concessions to any objective or external world in

can afford to dispense with.

the vulgar sense. It was essentially 'ivory tower'. Values might theoretically be 'objective', but in practice the individual was free to make up his own, since, being embodied only in ineffable pri­ vate sensations, they were opaque to public inspec­ tion or criticism. (In this, oddly enough, they resembled

the

despised

Puritan

'conscience'.)

They amounted in the end to little more than tastes

Reading Bell, Q 1972: Virginia Woo/f.· a Biography, 2 vols. Forster, E. M. 1947: Howards End. Fry, R. 1920: Vision and Design. Harrod, R. F. 1951: The Life ofJohn Maynard Keynes. Johnstone,J. K. 1954: The Bloomsbury Group. Keynes,J. M. 1949: Two Memoirs. Moore, G. E. 1903: Principia Ethica.

BOLSHEVISM Myers, L. H. 1935 (1984): The Root and the Flower. Strachey, G. L. 1948: Eminent Victorians.

49

At the heart of this approach to the topic lies a banal fact which it is still important not to lose

Woolf, V. 1966: Collected Essays, 4 vols.

sight of, namely that 'the psycho-physical unity'

--1927 (1977): To the Lighthouse.

ROBERT GRANT

which forms our individuality is also a body. It is like an envelope which in turn is enveloped within the external world. Many philosophical, psycho­

body, sociology of the

In a short article on jeans

logical and sociological analyses insist quite rightly

Umberto Eco demonstrates the dialectic between

on the profound epistemological consequences of

depth and surface which essentially dictates the

this platitude. It amounts to saying that the body

lifestyle of a given moment in history. Summariz­

cannot be identified unless it has been delimited

ing his argument: worn as a type of armour, clothes

and situated. One thing is certain: this situational

have influenced the behaviour, hence the external

approach and, to coin a term, the 'envelopmental­

Moreover the

ism' which is its correlative, allow us to evaluate the

examples he quotes show that morality per se, in

profusion of body-centred practices observed by

other words customs, are determined by how the

today's

body covers itself.

dietetics, cosmetics, theatricality ...). In particular,

morality, of civilization (Eco,

1983).

sociologists

(body-building,

body-care,

Let us dwell on two major points of Eco's analy­

'corporealism' allows us to understand that all

sis. 'Epidermic self-consciousness' on the one hand

the various types of appearance belong to a vast

(see also IDENTITY) , and the concept of the body as a

symbolic system where social effects are far from

'communication machine' on the other. This is not

negligible. One is even tempted to suggest that

the place to go into the crucial role Eco attributes to

the increasingly dominant role played by CoMMU­

the aggregation factor, that is, the way diverse types

NICATION in contemporary society is nothing but

of uniforms come to be adopted by people living in

today's version of that symbolic system. This in­

an urban civilization. What is certain is that the

sight could cast a new light on all those periods in

anthropological structure constituted by the body

history generally thought of as naive but which

is both cause and effect of the intensification of

lived out intensely the symbolic-communicational charge of the 'envelopmentalism' specific to the

social activity. The concern with body image which is expressed

body itself or to the social body. One could add

in fashion, body-building and so on is not simply a

that the concern and the care for the body which

gratuitous or superficial display, but is part of a vast

are so conspicuous today, the masks and dress fash­

symbolic game and expresses the ways in which we

ions which form an anthropological constant can

can touch one another, form relationships and 'so­

be analysed as yet another way human beings situ­

cialize', that is, create society. This is the lesson

ate themselves in relation to others. Seen in this

which the sociology of the body draws from dress

context, the body becomes both cause and effect

fashion and from the various ways of endowing the

of communication, in other words,

body with value and significance. Together they

itself.

create the 'social body' and constitute, in the sim­

of society

See also EVERYDAY LIFE.

plest sense of the term, its specific economy. They show how figure, form and image, despite their

Reading

static connotations, also play an important role in

Berthelot, J. M. 1985: Les Sociologies et le corps. Current Sociology 33.2.

social evolution. Thus the 'frivolous'

(fashion,

design,

style,

everything which expresses the ambient 'corporeal­ ity') proves on closer inspection to have unsus­ pected depths, for in the act of display the body is

Eco, U. 1983 (1986): Faith in Fakes. Featherstone, M. ed. 1991: The Body, Social Process and Cultural Theory. Guyau, M. 1911: Les Problemes de l'esthetique contempor­ atne.

always both cause and effect of dynamic sociality.

Maffesoli, M. 1982 (1985): L'Ombre de Dionysos, 2nd edn.

At the same time it is clearly a pre-eminent mani­

Mauss, M. 1935 (1973): Les Techniques du corps. Trans.

festation of aesthetics in the etymological sense of the word: that of sharing the same emotions,

in Economy and Society 2.1, pp. 70-88. Turner, B. S. 1984 (1996): The Body and Society.

MICHEL MAFFESOLI

the same environment, the same values, so that individuals can finally lose themselves in an all­ embracing theatricality.

Bolshevism

See LENINISM

50

BONAPARTISM

Bonapartism

A type of rule, epitomized by

ists proved less cautious. Accordingly Bonapartism

the regimes of Napoleon I and Ill, in which

was alleged to be evident in Kerensky's Provisional

CIVIL SOCIETY and representative political institu­

Government (Lenin, 'The beginning of Bonapart­

tions are subordinated to military-police power.

ism' and 'They do not see the wood for the trees',

The Bonapartist regime is installed through coup

in Collected Works, vol. 25; Trotsky, 1932, pp. 663-

d'l:tat, a consequence of the prior disintegration

8), 'the Stalin regime' (Trotsky, 1937, pp. 277-9);

of republican institutions and of social turmoil.

and

The leader at its head claims to express directly

and

the

pre-Nazi

administrations

of

Hindenburg-Papen-Schleicher

Bri.ining (Trotsky,

the indivisible will of the sovereign People, and

1932; see also Kitchen (1974) on Thalheimer). In

attempts, but is unable, to establish a dynasty.

these cases, Bonapartism takes on varying shades

Exceptional measures are legitimated by mass pleb­

of meaning, but the idea of relative state autonomy,

iscite. This bald definition, however, fails to convey

arising from social class equilibrium or stalemate,

the term's range of inflections, and also the concep­

remains fundamental, as does the opprobrium that

tual sophistication it has on occasion received, par­

accompanies the term. More recent Marxist discus­

ticularly in Marxist thought.

sions of Bonapartism have re-emphasized its mili­

The term Bonapartism was already in use by 1815-16

(OED, 1971, p. 245; Robert, 1966,

tary character (Hobsbawm, 1977, pp. 177-91), its similarities to, and differences from,

FASCISM

p. 510), but its familiarity in educated European

(Kitchen, 1976, pp. 71-82), its existence as one

circles was largely a phenomenon of the 1850s and

form of regime (others include Bismarckism, fas­

1860s. In this period the word described, criticized

cism, military juntas) which the 'exceptional capit­

or praised the rule of Louis Bonaparte. His govern­

alist state' is capable of assuming (Poulantzas, 1974,

ance, first as President, then as Emperor (1852-70)

pp. 313-30; cf. Engels, 1884).

of France, was felt to enshrine a novel political mutation: simultaneously populist (see

The second usage of the concept locates it

PoPULISM),

squarely in its own time: 'Bonapartism' becomes a

authoritarian, patriotic and militarily adventurist.

means of interpreting and reconstructing elements

The word was often used as a synonym for

CAESAR­

of nineteenth-century European history. Often this

ISM, though some writers polemicized against

itself has proceeded within a Marxist-influenced

that equation, accusing it of anachronism (Marx,

framework: for instance, depicting the 'Bonapart­

1852; Mommsen, 1901, p. 325) or even irreverence

ism' of the French Second Empire as a 'moderniz­

(Mommsen, pp. 326-7).

ing dictatorship' (Magraw, 1983, pp. 159-205), or

Twentieth-century usage can be roughly divided

as an 'authoritarian bureaucratic' regime (Perez­

into two overlapping categories. The first offers a

Diaz, 1978), or expanding the concept to embrace

sociopolitical, Marxist account of Bonapartism and

Bismarck's 'revolution from above' in nineteeth­

seeks to apply the term to 'modern' conditions.

century Prussia (Wehler, 1970, and 1985, pp.

According to Marx and Engels's many-sided ana­

55-62; but see also Mitchell, 1977, and Eley,

lyses (not always consistent: see Rubel, 1960; Wip­

1984, pp. 149-53). Yet non-Marxist writers have

permann, 1983), Napoleon Ill's regime was made

also found work for the concept. Some have

possible both by the pervasive bureaucratization of

employed it to indicate the parallels and contrasts

French society and by a specific conjuncture: the

between the regimes of Napoleon

balance of class forces which lent the executive arm

(for instance, Fisher, 1928). Others have used the

substantial room for political manoeuvre. Bonapar­

term to map the historical complexity of the phe­

I

and

Ill

tism's historical significance lay in its ability to

nomena it denotes: for instance the evolutionary

promote vigorous capitalist development in condi­

quality of Napoleon Ill's rule, the uneven geo­

tions where the bourgeoisie required massive state

graphical distribution of its mass base, its links to

intervention on their behalf (Marx, 1852 and 1871;

Orleanism - the political movement which sup­

Engels, 1871).

ported the idea and institution of constitutional

Marx himself rarely employed the term Bona­

monarchy - and republicanism, its relation to the

partism, probably because he was reluctant to ele­

rural and urban populace, the origins and varieties

vate the Napoleonic experience into a general

of its right-wing support - say, from notables

political category - something which the 'ism'

and clerics (Zeldin, 1979, pp. 140-205; Remand,

suffix, from the Greek ismos, evolved to convey

1966, pp. 125-65, 366-84, who also compares

(Koebner and Schmidt, 1965, p. xiv). Later Marx-

Gaullism in twentieth-century France to Bonapart-

BOURGEOISIE ism;

Bluche,

prompted

Finally,

1980).

interest

as

a

has

Marx's conception (and that of later Marxists)

nineteenth­

had several distinctive features. It formed part of a

Bonapartism

term

in

51

century political discourse, and has been studied

general theory of history as the succession of modes

as one of a family of concepts - which includes

of production and forms of society, each character­

despotism, tyranny, usurpation, DICATATORSHIP

ized by a determinate level of development of the

and CAESARISM - denoting changing forms of 'il­

forces of production (primarily technology) and a

legitimate domination' (Richter,

1982

and

1988).

particular class structure (or relations of produc­ tion) within which there is endemic conflict. In

Reading

capitalist society, which emerged, according to the

Draper, H. 1977: Karl Marx's Theory ofRevolution, 2 vols.

Marxist view, from the growth of new productive

Vol. I, State and Bureaucracy. Groh, D. 1972: Cisarismus, Napoleonismus, Bonapartis­ mus, Fi.ihrer, Chef, lmperialismus. In Geschichtliche

Grundbegrif{e, 7 vols. Vol. I, ed. 0. Brunner, W. Conze, and R. Koselleck, pp. 726-71. Hammer, K., and Hartmann, P.C. 1977: Der Bonapartis-

mus: Historisches Phanomen und politischer Mythos.

powers and the class struggle of the bourgeoisie against the feudal system, historical change is more rapid than ever before: 'The bourgeoisie, during its rule of scarce one hundred years, has created more massive and more colossal productive forces than all preceding generations together'

Wehler, H.-U. 1985: The German Empire 1871-1918.

(Marx and Engels,

Zeldin, T. 1958: The Political System ofNapoleon Ill.

brought into existence a new class, the proletariat,

--1979: France 1848-1945: Politics and Anger.

which engages in ever more widespread and intense

PETER BAEHR

1848);

but at the same time it

conflict with it. Two distinct processes, therefore, go on in cap­

bourgeoisie

A term dating from the thirteenth

italist society. The bourgeoisie continues to revolu­

century which (like such equivalents as burghers,

tionize the system of production, one effect of

Bi.irgertum) originally denoted a category of town

which is an increasing centralization of capital in

dwellers in medieval Europe, particularly mer­

large corporations, facilitated by the expansion of

chants and artisans, who enjoyed a special status

credit money provided by the banks (Hilferding,

and rights within feudal society. But with the

1910),

development of capitalism, and especially from

massive internationalization of capital (Mandel,

the eighteenth century, the meaning of the term

197 5). But bourgeois dominance is also increasingly

and, in the twentieth century particularly, a

gradually changed and it came to refer more spe­

challenged

cifically to wealthy employers who were active in

WoRKING CLASS), whose struggle, according to

by

the

industrial

proletariat

(see

manufacture, commerce and finance - a usage

Marx, would eventually give rise to a new, socia­

which is partly reflected in Hegel's conception of

list and classless, society.

(civil society) as the sphere

burgerliehe Gesellschafi

of private economic interests.

Marx, who was

Marx's expectations

depended in part on his view that society would be increasingly polarized between the two major

mainly responsible for giving the term its wide

classes, a small bourgeoisie formed as a result of

currency in later social thought, started out from

the 'expropriation of many capitalists by few', and a

Hegel's distinction between the bourgeois and the

large proletariat constituting the 'immense major­

citizen but soon developed, from his critical study

ity' of the population; though he also recognized

of Hegel's philosophy and still more from his vor­

that there were significant intermediate strata, in­

acious reading of political economy, an entirely

cluding the petty bourgeoisie made up of small

different conception of the bourgeoisie as the dom­

independent producers, traders and professional

inant class in a specific (capitalist) mode of produc­

people, and even expected the middle class as a

tion. As Engels

(1847)

summarized this view, the

whole to increase in size (to judge from two pas­

bourgeoisie 'is the class of the great capitalists who,

sages in the manuscripts of

in all developed countries, are now almost exclu­

Value).

Theories of Surplus

sively in possession of all the means of consump­

Later Marxists, in the twentieth century, have

tion, and of the raw materials and instruments

had to deal with more complex problems arising

(machines, factories) necessary for their produc­

from the rapid growth of the 'new middle class' of

tion'; and later

'the class of modern capital­

clerical workers, technical and professional em­

ists, owners of the means of social production and

ployees and service personnel of all kinds (see

employers of wage labour'.

MIDDLE CLASS), higher living standards and more

(1888)

BUDDHISM

52

extensive social welfare, which have almost every­ where diminished the intensity of class conflict in recent times. The bourgeoisie of the present day, still

immensely

wealthy

and

controlling

giant

corporations, is nevertheless more constrained in

Riedel, M. 1975: Burger, Staatsbi.irger, Bi.irgertum. In Geschichtliche Grundbegrif{e, ed. 0. Brunner et al., vol. I. Sombart, W. 1913 (1967): Der Bourgeois, trans. as The Q}tintessence of Capitalism. TOM BOTTOMORE

various respects than its nineteenth-century prede­ cessor, by varying degrees of public ownership and economic planning and by a limited redistribution of wealth and income, so that its lifestyle and social prestige is no longer perhaps in quite such blatant contrast with that of a substantial part of the rest of society. Many social thinkers had always emphasized other aspects of the social role of the bourgeoisie, and these features have become more prominent in recent debates. Max Weber

(1904-5) associated the

capitalist spirit with the Protestant ethic, and saw the bourgeoisie as being animated by ideas of ra­ tionality and enterprise, individual liberty and re­ sponsibility,

which

equipped

them

for

the

leadership required to maintain a dynamic and democratic society.]. A. Schumpeter

(1942)

simi­

larly emphasized the importance of enterpreneur­ ship and connected the development of mod�rn democracy with the rise of capitalism, but unhke Weber he saw in socialism a continuation of the bourgeois outlook: 'The ideology of classical social­ ism is the offspring of bourgeois ideology. In par­ ticular it shares the latter's rationalist and utilitarian background and many of the ideas and ideals that entered the classical doctrine of democracy' (pp.

298-9).

A historian, Henri Pirenne, also saw the

bourgeoisie (or middle class as he sometimes calls it) in medieval towns as 'spreading the idea of liberty far and wide'

(1925,

p.

154),

though many

late medieval towns were in fact dominated by a small number of patrician families (Holton,

1986,

pp. 79-83). Most recently, in the writings of Hayek

(1973-9)

and some thinkers of the NEW RIGHT, the

existence of a free and democratic society is rigor­ ously connected with private ownership of pro­ ductive

resources

(though

the

concept

of

a

bourgeoisie is not generally used) and with free markets, which together are also considered to achieve a high level of efficiency in the economy. Reading

Bottomore, T., and Brym, R. J. eds 1989: The Capitalist Class: An International Study. Holton, R. J. 1986: Cities, Capitalism and Civilization. Lamont, M. 1992: Money, Morals and Manners. Pirenne, H. 1925: Medieval Cities.

Buddhism

Over the course of

25

centuries,

Buddhism has developed into a distinctive pan­ Asian religious tradition and civilization, but at the same time it has always readily accommodated local variation. This has been especially the case with the forms of social life accepted by Buddhists; Buddhist social life in China has had more in common with Confucian values (see CoNFUCIAN­ ISM) than with those affirmed by South Asian Bud­ dhists who shared many of their social values with Hindus (see HINDUISM AND HINDU SOCIAL THEORY). As a result, the social configurations and practices of the Buddhist tradition have historically been extra­ ordinarily diverse, so much so that the first Western observers of Buddhism found it difficult to recog­ nize that the religion they encountered in Japan was related to that found in Thailand. At the same time, Buddhist thinkers generally expended little effort in attempts to make sense of this diversity by defining the nature of the ideal society, especially in com­ parison to intellectuals in other religious traditions, _ such as Islam and Hinduism. This has changed m the twentieth century, and an interest in articulating social knowledge and values that are distinctively Buddhist is a striking feature of contemporary Bud­ dhism around the world. Traditionally, normative Buddhist thought was quite ambivalent about social life. For example. �he ' Aggaiiiia Sutta, a canonical myth about the ongt�s of community, portrays the emergence of the baste elements of social life, such as the family, as a response to immorality and greed. Moreover, in�ti­ tutionalized social structures were portrayed as m­ herently compromised and morally suspect because they often accommodated and sometimes abetted the propensities towards evil found among humans. Other authoritative accounts portray social life as an inevitable source of suffering because of the natural impermanence and commonplace duplicity of relations among humans. Actual social life pro­ vided abundant confirmation of this dark vision. In contrast, the ideal Buddhist life was meant to root out the inclination to evil and to end suffering. It was often portrayed as highly individualized, free of social

responsibilities,

with

social

interaction

BUDDHISM

53

limited to consensual relations among beings differ­

In the twentieth century, cosmology, rebirth and

entiated only by spiritual attainment. This ideal

karma are generally no longer at the centre of Bud­

was institutionalized in the Buddhist monastic

dhist thought, largely because such ideas often

order

(sangha), in which the patterns of dependence

appear suspect in the light of modern scientific

and hierarchy typical of all human communities

knowledge. Other aspects of Buddhist thought

were rejected. In short, Buddhist thinkers com­

have consequently received more emphasis than

monly saw life in society as irredeemable, and con­

has traditionally been the case, although this re­

cluded that the best that an individual might do is to

thinking has generally been in the guise of a return

cease to participate in its concerns and expectations.

to the original teachings of the Buddha, the fifth­

This negative attitude towards social life was a

century

source of criticism and scorn directed against Bud­

Buddhism. In this rethinking, the individual, rather

dhism by thinkers in rival communities in India and

than the community, still occupies centre-stage,

China.

but in place of the traditional account of karma,

Although traditional Buddhist thought saw little

BCE

Indian teacher who was the founder of

special emphasis is given to the human capacity

possibility of truly reforming human society, cer­

for critical thought, for mental and moral self­

tain social virtues were recommended as ways of

discipline, for change in the light of better under­

minimizing the commonplace cruelties of social

standing of human nature and the natural world.

life. These included filial piety, generosity, grati­

This rethinking also suggested the possibility of

tude, patience, and a sense of proportion. The exact

reforming, if not changing, the structures of society

definition of such virtues and the specification of

in the light of improved knowledge, instead of

other social virtues varied from society to society

accepting them as a cosmological given.

in the Buddhist world. Similarly, traditional Bud­

The possibility of social change has inspired

dhist teaching recommended kingship as an accept­

Buddhists to reconsider the resources of their trad­

able political structure; in traditional Buddhist

ition in search of new models for better societies.

political theory, it was a king's responsibility to

Some Buddhists have seen the idealized portrayal

enforce law and to promote general wellbeing, but

of the monastic order in Buddhist scriptures as an

again there was no agreement across the Buddhist

inspirational model for a perfect society. This vol­

world about what constitutes law or the good soci­

untary society is based in spirit on the rejection of basic evils such as self-gratification and greed, as

ety which a king should promote. Some aspects of Buddhist thought were fre­

indicated by the prohibition on the use of money by

quently used for legitimizing existing social struc­

monks and the affirmation of such virtues as humil­

tures. A central feature of Buddhist thought is the

ity and discipline, which check the dangers of indi­

doctrine of karma, which provides an explanation

vidualism. Its governing structures give preference

of how certain aspects of one's present existence are

to consensus, which is seen by contemporary Bud­

the result of previous acts, especially actions in

dhists as a perfect form of democracy, while its

a previous life. In traditional Buddhist thought,

economic orientation would be socialist, with re­

the effects of karma were correlated with the exist­

sources shared in common according to an ethic

ential hierarchy found in Buddhist cosmology,

of sufficiency. It is organized around a common

which included a range of heavens and hells as

interest

well as humans, animals and ghosts; one's future

according to the schema of Buddhist soteriology,

in

promoting

spiritual

advancement,

birth in one of these realms would be determined

and all members of the society benefit from part­

by the good or evil that one did now, just as one's

icipation.

current circumstances were the result of previous

steps towards actually implementing this model,

There

have

been

some

preliminary

among

such as U Nu's programme for Buddhist Socialism

humans in a given community was located within

in Burma, but these attempts have hardly proved

this cosmic hierarchy and social inequalities were

prom1smg.

actions.

The

existing

social

hierarchy

thus justified as the fair consequences of moral

Another important trend in contemporary Bud­

or immoral action. The basic thrust of this religious

dhism has been the emergence of a new emphasis on

worldview was conservative; individuals might be

social activism. When it first appeared earlier in this

able to change their own position within the social

century, this new orientation was generally not mo­

and cosmic hierarchy, but the hierarchy itself was

tivated directly by the social or ethical values found

fixed.

in the Buddhist tradition, but rather was an attempt

54

BUREAUCRACY

to ensure that Buddhism would not become irrele­

into distinct societies, with particular structures,

vant in the modern world and thus disappear. The

or even of thinking about human community

emphasis on social activism did inspire a reconsid­

in

eration of the ethical resources of the Buddhist

world.

tradition in a search for distinctively Buddhist war­ rants for such behaviour. These activities are thus now encouraged as effective ways of cultivating and expressing traditional Buddhist virtues such as compassion and generosity. Monks are now com­

isolation

from

the

Dharmasiri, G. 1989: Dumoulin, H.

Fundamentals ofBuddhist Ethics. Buddhism in the Modern

ed. 1976:

World. Keyes, C. F. 1989: Buddhist politics and their revolution­

monly encouraged to supplement, if not actually

ary origins in Thailand.

Review 10, 121-42.

social services as a way of addressing the suffering

Swearer, D. K. 1981:

globally. Similarly, lay people throughout the Bud­

interdependent

Reading

replace, their traditional forms of practice with caused by the rapid changes typical of modern life

larger,

International Political Science

Buddhism and Society in Southeast

Asia. Welch, H. 1968:

The Buddhist Revival in China. CHARLES HALLISEY

dhist world have supported the establishment of schools, hospitals, and other charities. Given the

One of the central categories of

magnitude of the problems which these activities

bureaucracy

address, Buddhists have frequently discovered

modern social science, it refers to a type of adminis­

themselves to be part of a community that tran­

tration in which the power to make decisions is

scends the individual groups in which they nor­

invested in an office or function rather than a par­

mally participate.

ticular individual. In the course of history bureau­

In searching for a systematic basis for distinct­ ively Buddhist social thought, many Buddhist thinkers have turned to the core doctrine of 'eo­ dependent origination'

(paticca samuppada) which

cracy

appears

in

widely

different

social

and

economic formations, but at the same time it dis­ plays several common features, the most important of them being the following.

articulates the fundamental interconnection of

Bureaucracy separates itself from society, both

all reality. This doctrine defines the world as a

from the ruling class and the masses. It is organized

place where nothing can exist independently; each

within a particular institutional system in which a

existent necessarily occurring in a causal relation­

special ideology, an ethos and various formal pro­

ship with other existents. The doctrine of interde­

cedures develop. All this appears as a kind of sub­

pendence displays the connection of an individual

culture. The source of its power lies in the fact that

with the entire human race and lays a foundation

guidance and control functions have emerged

for moral responsibility towards others. This moral

which society's basic classes cannot fulfil. Usually,

responsibility exists at both a personal and a social

however, it attaches new tasks to the historically

level and obligates each individual and group

necessary functions (for instance, irrigation in an­

to work towards the solution of global problems,

cient societies) which ensures the growth of its

such as nuclear disarmament and the environmen­

power over society.

tal crisis. Of course, this move to a more inclusive

It is a characteristic feature of bureaucracy that

common good does not stop with humanity but also

administration is carried out not by lay persons but

embraces the natural world, since humans and

by specialists who regard this work as their life

the natural world are not distinguishable within

career rather than as a temporary activity per­

the doctrine of eo-dependent origination. Thus,

formed for certain periods of time. In the bureau­

ironically, another kind of ambivalence about soci­

cratic institutional system a standardized set of

ety has emerged in twentieth-century Buddhist

requirements comes into existence, such as the

thought. Even as modern Buddhist thinkers have

examinations for old-style Chinese state officials,

been more concerned with specifying the nature

and those in all modern states, which is one of the

of a good society, and contemporary Buddhists

bases for the stability of bureaucratic power and at

have attempted to improve social conditions and

the same time involves some exclusivity.

bring into being more moral societies, the aspects

Bureaucracy as defined in the social sciences

of Buddhist thought to which they have turned to

differs from everyday usage. In many languages

justify their concerns and actions have tended

the latter merges with the so-called bureaucratism

to undermine the legitimacy of dividing humanity

of incompetent clerks whose work is characterized

BUREAUCRACY and

notably

by

Max

Weber,

55

by ineffective, soulless, slow and often irrational

thinkers

formalism. In contrast to this, bureaucratic admin­

works demonstrate his specific anti-bureaucratic

whose

(1921-2, part 3, eh. 6)

attitude and his specific scientific approach - the

argued, proved more effective, rapid and competent

latter in the spirit of a verstehende (interpretive)

than alternative historical forms of administration.

sociology.

istration, as Max Weber

This explains why in modern societies bureaucratic

From the beginning of the century economic life

administration is expanding, not only in state or­

and other areas of society were increasingly bureau­

ganizations but in almost every field of social life.

cratized, and a particularly important feature has

The phenomenon is especially conspicuous in the

been the bureaucratization of political parties, with

economic arena where the management of medium

an ever increasing influence over the entire society

and large enterprises is being totally bureaucratized

because of the emergence of Western democratic

(see the comments by Schumpeter,

1942, pp. 205-

parliamentarianism, a process analysed by Roberto

7). Confronted with this tendency, many social scientists (such as W. Mommsen, 1974) refer to

Michels

the total bureaucratization of life.

ated by anti-capitalist tendencies, encountered a

Different schools of social science have various

(1911).

The trade unions, whose formation was domin­ new 'enemy'- industrial bureaucracy- and at the

approaches to the problem of bureaucracy. The

same time they also produced their own bureau­

theoretical approach of the Marxist classics is inco­

cratic organs. The conflict of interests between

herent in many respects. In Marx's early work a

workers and capitalists came to appear as a confron­

definitely anti-bureaucratic stance is apparent. His

tation and consensus between industrial and trade

experience of the Moselle district hunger crisis

union bureaucracies, a development described by

made him understand that besides the ruling class

Sidney and Beatrice Webb.

and the subordinated social groups there existed a

In Western societies the process of bureaucrat­

state bureaucracy with its own particular interests

ization has continued into the postcapitalist and

represented by these apparatuses as general social

postindustrial period, with several of its character­

or state interests. The special spirit of bureaucracy

istic features altered. In the economy, an ever­

is the secrecy and mystery which protect the par­

growing role is played by state apparatuses but

ticular interests of this group against the external

they do not control economic life in an independent

society and interpret every internal matter as a state

way, as in the period of late feudalism and early

secret. But in the later works of Marx and Engels

capitalism, but in association with the industrial,

the problem of bureaucracy was relegated to the

finance and trade union bureaucracies. This has

background and the struggle between workers and

produced a highly intricate texture of economic

capitalists came to the fore. They failed to foresee

power, called the techno-structure by]. K. Gal­

two circumstances. The first was the expansion of

braith (see also TECHNOCRACY). Chiefly in the econ­

bureaucracy to the economy and other areas of

omy but also in other areas, bureaucracies in

society. They did not foresee that the leadership

Western countries go beyond national boundaries

of industry and of the economy in general would

and assume an international character, and in cer­

pass into the hands of certain bodies distinct from

tain respects this makes the fight for independence

the owners who exercised power over the workers

which characterizes national states illusory. It may

directly, although with their existence continuing

be argued that the significance of anticapitalism was

to depend on the proprietors who, as shareholders

exaggerated by Marx and Engels to the detriment of

or as family owners, expected them to work

antibureaucracy. In today's practice it is apparent

efficiently and increase the profit. In this case, too,

that the emancipation of humanity in the modern

the bureaucratic system of institutions strives to

world requires antibureaucratism rather than anti­

extend its power, and thus profit becomes a second­

capitalism.

ary motivation in their decisions. At the time of classic capitalism the bureaucrat­

The second error of the classical Marxist authors is that in their socialist vision they failed to see the

ization of the economy was still in statu nascendi.

danger of the bureaucratization of society. They

The management of the enterprises was still largely

postulated the rapid 'withering away' of the state

carried out by the owners themselves. In this re­

and the socialization of all types of administration.

spect a major change came at the turn of the cen­

But the experiences of the former Soviet Union and

tury, as was analysed with greater clarity by several

the East European countries have shown that a

56

BUSINESS CYCLE

whole range of interwoven bureaucratic institutions

ation between various associations of workers (see

comes into existence to perform the administrative

COOPE RATIVE MOVEMENT; SOCIAL MOVEMENT). It is

functions, and at the centre of this institutional

another question

network was the monolithically dominant one­

movements may also produce their own bureaucra­

party system and its leading organs. These played

cies, as historical experiences have revealed. In spite

an integrative function among various bureaucratic

of this, the world of bureaucratic phenomena and

institutions (industrial, economic, military, cul­

the struggle against it are some of the most import­

tural) and exercised control over the mass organiza­

ant features of our age.

tions

(trade

unions,

youth

and

official

peace

whether the

antibureaucratic

See also DIVISION OF LABOUR.

movements and so on) and over the mass media organized from above. Strict party control over

Reading

bureaucratic institutions debilitated the forms of

Albrow, M. 1997: Do Organizations Have Feelings?.

existence of CIVIL SOCIETY, including political and cultural movements and ethnic and religious organ­ izations. This bureaucratized world did not only characterize state-management socialism, so-called Stalinism, but also the Yugoslav self-management system where in practice various bureaucratic

Galbraith, J. K. 1967: The New Industrial State. Hegedi.is, A. 1976: Socialism and Bureaucracy. Michels, R. 1911 (1962): Political Parties. Mommsen, W. 1974: The Age ofBureaucracy. Mouzelis, N. P. 1967: Organisation and Bureaucracy. Rizzi, B. 1985: The Bureaucratization ofthe World. Webb, S. and Webb, B. 1897: Industrial Democracy.

organs preserved their dominant role. Social activ­

Weber, M. 1921-2 (1967, 1978): Economy and Society,

ity, however, increasingly asserted itself against the

part 3, eh. 6. Also in Gerth, H. H. and Mills, C. W.

bureaucratization of administration,

eds 1946: From Max Weber.

and aspir­

ANDRAS HEGEDUS

ations developed for a world in which bureaucracy as such no longer exists and power is directly in the

business cycle

hands of the people.

As recurrent fluctuations in the

The modern world cannot do without bureau­

economic activity of industrial economies, business

cratic institutions, and a realistic anti-bureaucratic

cycles can be observed statistically when one exam­

goal can only be control over the bureaucratic

ines the historical record of a nation's overall eco­

power by civil society. That underlines the import­

nomic performance- say, annual statistics of gross

ance of the reforms of political institutional systems

national product corrected for price change (real

in Eastern Europe and the former USSR, precisely

GNP). Typically what is apparent is a pattern of

for the following reasons. As a result of the reforms

long-term growth marked by alternations of expan­

the

sion and contraction. These recurrent alternations

monolithic

system

has

been

transformed

into a pluralistic one and this has destroyed the

above and below the long-term trend are business

hegemony of bureaucracy dominated by the one­

cycles. The word cycle suggests fixed and perhaps

party system. In the course of the reforms civil

symmetrical timing patterns but economists have

society has been revived. Political parties, organiza­

long rejected that notion. Although some econo­

tions and movements have emerged over which

mists now prefer to describe these phenomena as

bureaucracy no longer has any control, while the

'economic fluctuations', the term business cycle

main aim of civil society is to control this very

remams m common use.

bureaucracy.

Cyclical movements in an economy are perva­

Reform socialism (or SociAL DEMOCRACY), in

sive. When real GNP rises (or falls), so do employ­

contrast to the state-management system, is a

ment, real income, profits and other broad aspects

socio-economic formation in which, though various

of activity. Relatively few industries depart from

bureaucratic institutions survive, their monoli­

the overall pattern, although industries producing

thic domination ceases to exist and they operate

durable goods are subject to greater than average

under effective control by civil society. Thus anti­

fluctuations. Furthermore the movements, first in

bureaucratic movements can also be observed in

one direction and then in another, tend to persist

Western societies, which may be termed alternative

for extended periods of time- unlike seasonal fluc­

movements. Especially significant among them is

tuations, for example, which occur within the com­

the working out and introduction of a so-called

pass of a year. In business cycle parlance, rising

alternative enterprise structure which is not dom­

activity or the expansion culminates in a peak, and

inated by a hierarchical bureaucracy but by cooper-

then gives way to a recession (also referred to as a

BUSINESS CYCLE

57

downturn or contraction), whose low point is des­

ous' factors. These are different from the internal

ignated as a trough. This is followed by the recov­

working of the economy itself and its tendency to

ery, or upturn, which is the initial phase of the

fluctuate over extended periods. These are 'en­

expansion. In the United States the half-century

dogenous' rather than exogenous factors or 'propa­

since 1949 has witnessed eight expansions ranging

gation

in length from one year to about nine, with a

disturbances

mechanisms' or

as

distinct

impulses.

from

Writers

shocks,

recognized

median duration of about 3.5 years. Contractions,

these distinctions before World War II, but they

much less variable, have averaged a little less than a

usually put the greater emphasis on the working of

year. Both expansions and contractions have shown

the economic system itself, that is, the tendency of

great variability in intensity. The Great Depression

the economy towards instability even in the absence

of the 1930s had a profound effect on subsequent

of outside disturbances.

economic policies of governments but its severity

In his renowned 1937 League of Nations study

and length were unique in twentieth-century busi­

Prosperity and Depression, Gottfried Haberler's an­

ness cycle records.

alysis of modern business cycle theories led him to

Theories of the business cycle have abounded

group theories into several broad classes, although

although interest on the part of economists has

he noted that differences among classes were chiefly

itself been subject to its ups and downs. Interest

a matter of emphasis. He pointed out that most

in the 1920s, stimulated by Britain's economic

modern theories viewed the business cycle as the

problems, was greatly intensified in the next decade

result not of any single factor but of several, many

because of the Great Depression. Keynes's (1936 )

of which were common to different theories, and

General Theory of Employment, Interest and Money

that the factors giving rise to a cycle in one period

was not primarily concerned with the traditional

were not necessarily the same as those causing a

core of business cycle theory- explaining the recur­

cycle in another. These judgements of a half­

rent fluctuations in overall economic activity- but

century ago remain valid. However, these early

not long after the General Theory appeared the

theories, unlike those after World War II, tended

belief became fairly common that government sta­

to emphasize endogenous factors rather than out­

bilization policies could make the business cycle a

side influences as causes of the business cycle.

thing of the past. Economists shifted their attention

Among the more important categories in Haberler's

to the new field of macroeconomics, which became

classification of theories are: those he describes as

the dominant field of interest for those concerned

purely monetary; overinvestment; underconsump­

with overall activity. The prosperity of the decade

tion; psychological; and those attributing cycles to

or two after the end of World War II encouraged

price-cost maladjustments.

the view that the business cycle was outmoded. An

Several theories are embraced under the rubric

international conference of business cycle special­

of overinvestment theories, which stress the key

ists in the late 1960s produced a volume entitled Is

role of business spending on new buildings and

the Business Cycle Obsolete? (Bronfenbrenner, 1969).

durable

Most economists did not think that was so, but any

goods are long-lasting and are bought with an eye

equipment.

Because

these

investment

doubts about whether the cycle might have disap­

to the future it is not difficult intuitively to see how

peared were dispelled in the 1970s and 1980s,

errors in businessmen's judgements can give rise to

which witnessed severe business downturns and

excesses in investment and their inevitable correc­

high rates of both unemployment and inflation.

tions. F. A. Hayek was one of several writers who

The 1970s also saw the emergence of new theoret­

gave a monetary explanation of overinvestment (see

ical developments and a renewed interest by econo­

also MoNETARISM). Non-monetary explanations

mists in the business cycle, which persisted through

were given by economists such asJoseph Schump­

the 1980s.

eter, who stressed the special role of innovations,

In seeking causes of the business cycle econo­

the opening of new markets and their subsequent

mists have distinguished between factors outside

shrinkage. An important variant of the overinvest­

the economic system and those within the system

ment theory assigned a crucial role to the 'acceler­

itself. Wars, major inventions or changing govern­

ation' principle, according to which a mere decline

ment fiscal and monetary policies are examples of

in the rate of increase in business sales, say, to

outside causes and have been variously referred to

consumers, could give rise to an absolute decline

as 'disturbances', 'shocks', 'impulses' or 'exogen-

in the production of investment goods. These stand

58

BUSINESS CYCLE

in contrast to underconsumption theories, put forth

Reserve pursue a policy in which the money supply

by writers such as]. A. Hobson, which held that as

would grow at a stable rate. The early 1970s saw the

the expansion proceeds consumers tended to 'over­

beginnings of a new theory, attributable to Robert

save', as a result of which consumer demand de­

Lucas (1977), Thomas Sargent and others, which

clined.

rekindled academic interest in the business cycle.

A number of theories are classified as psycho­

This was the rational expectations-equilibrium

logical. The distinctive feature of these, in Haber­

theory of macroeconomics, which was mainly a

ler's words, is that the response of total investment

critique of the Keynesian macroeconomic view of

to objective factors is stronger than rational eco­

the world but which has also had business cycle

nomic considerations would suggest (Haberler,

applications.

1937, p. 147). During the boom businessmen are

POTHESIS.)

(See RATIONAL EXPECTATIONS

HY­

subject to 'errors of optimism', which lead to errors

Since the appearance of Keynes's General Theory

in the opposite direction once businessmen see that

the dominant macroeconomic view has held that

their anticipations cannot be realized. Keynes's

prices and wages are either rigid or very sluggish

theory of the business cycle (a chapter in the General

in responding to changes in overall demand and

Theory, pp. 313-32) placed major stress on busi­

thus fail to perform their traditional market­

nessmen's anticipations and the key role they played

clearing functions. In the Keynesian view increases

in business decisions to invest (see KEYNESIANISM).

or decreases in overall demand in the short run,

The flagging of interest in business cycle theory

such as occur in a business cycle expansion or con­

in the two decades or so after the end of World War

traction, are reflected mainly in changes in the real

II was not only due to Keynes and the general

economy, that is, in production and employment.

prosperity. Several factors fostered interest in em­

However, proponents of the rational expectations­

pirical

equilibrium

research:

the

development of

national

theory

maintain

that

supply

and

income and product statistics, advances in econo­

demand even at the level of the overall economy

metric model building and the appearance of elec­

are constantly being balanced by adjustments in

tronic computers for the solution of large complex

prices and wages. According to these newer views,

models. Model building proliferated and some

which hark back to pre-Keynesian economists, the

models seemed to 'work', that is, given certain

real economy is not fundamentally unstable. How

assumptions about policy they tracked the behav­

then to account for the pronounced fluctuations in

iour of the economy fairly closely. Thus they

economic activity so readily apparent? One answer

seemed to validate the economic principles on

(and several have been put forth, tested and found

which they were based. This period witnessed a

wanting) is that workers and businessmen, although

shift in emphasis away from endogenous models

rational about the markets in which they themselves

to models in which exogenous influences were

operate, are ignorant about every other market and

dominant, notably government spending and tax

consequently are prone to make mistakes - about

policies, and private business investment. In these

how much to produce or how much labour to supply

essentially Keynesian models monetary policy did

in response to a change in demand. Making these

not appear to be very important. In addition, they

errors and then correcting them give rise to cyclical

embodied a trade-off between the rate of inflation

movements. A more recent theory in the equilib­

and the rate of unemployment in the short run.

rium genre is that of the real business cycle, which

In his presidential address before the American

attributes fluctuations to 'productivity shocks', the

Economic Association, Milton Friedman (1968)

responses to which by business and labour occur

made a monetarist counterattack on the Keynesian

with a pronounced Jag. If these theories have not

system and models based on it. Unlike Keynes,

been entirely convincing (Okun, 1980; Gordon,

Friedman saw the private economy as fundamen­

1986, pp. 8-9), their persistence in varying forms

tally stable; like R. G. Hawtrey early in the century,

thus far must be due in large part to the breakdown

Friedman attributed instability in the economy to

of Keynesian macroeconomic models in the 1970s,

changing monetary policy. Changes in monetary

when the inflation-unemployment trade-off in the

policy by the central bank - to stimulate or slow

short run vanished and high rates of inflation

down the economy - constituted the chief outside

existed side by side with high rates of unemploy­

shocks to the economic system, and it was for this

ment. In addition, the new theory of rational ex­

reason that Friedman advocated that the Federal

pectations emphasizes a long-established tenet

BUSINESS CYCLE central to economic analysis, namely, that economic

59

tial nature can never be captured by an econometric model of whatever sophistication or novelty. It is

agents are rational optimizing individuals. Another strand of the business cycle worthy of

perhaps a commentary on the unsatisfactory state of

note is the empirical approach associated with

affairs that exists today with model forecasts that

Wesley Mitchell early in the century and later

empirical forecasting tools find a ready market.

with his colleagues at the National Bureau of Eco­

Forecasting goes hand in hand with the business

nomic Research. They examined thousands of

cycle. It is a burgeoning activity in most large

economic time series, seeking recurring patterns

market-oriented industrialized countries, engaged

and regularities from which might be derived gen­

in by businesses, governments and international

eralizations that would describe and ultimately ex­

organizations, and has itself given rise to a substan­

plain the cyclical behaviour of the economy. This

tial forecasting industry. Gauged by the US experi­

started the work, which has continued to the pre­

ence, economists have had a fair degree of success in

sent, of measuring expansions and contractions,

forecasting economic activity (real GNP) about a

dating turning points (peaks and troughs), classify­

year ahead, with a notable lack of success in fore­

ing particular statistical series as leading or lagging

casting turning points (McNees,

at business cycle turning points, and the like. Al­

distinctly better than 'naive models' which predict

though Measuring Business

that the change in next year's real GNP will be the

Cycles (Burns

and

1988).

They do

was greeted with disdain by main­

same as the past year's; by this standard they do less

stream economists for its failure to bow in the

well, however, in predicting the rate of inflation.

direction of the new Keynesian macroeconomics

Some of this success, such as it is, can be attributed

(Koopmans,

the approach has shown a cer­

to what economists have learned about macroeco­

tain hardiness partly because business cycles have

nomics, although how much is an uncertain quan­

persisted and partly because the leading indicators

tity.

Mitchell,

1946)

1947)

have become transformed into a forecasting device.

See also L ONG WAVES.

Where do we stand today on the business cycle, which is so much a part of modern economic life? It is very likely that economists and governments have learned enough to prevent a repetition of the Great Depression but beyond this there is no single dom­ inating theory to which most economists would subscribe, as Victor Zarnowitz made clear in his comprehensive review article of

1985.

Probably

most would agree that the business cycle has many causes, some coming from outside the eco­

Reading Bronfenbrenner, M. ed. 1969:

Is the Business Cycle Obso-

lete? Gordon, R. J. ed. 1986:

The American Business Cycle. (1958): Prosperity and Depression. 1983: Business Cycles, Inflation and Forecast-

Haberler, G. 1937 Moore, G. H.

ing,

2nd edn.

Sheffrin, S. M. 1983: Inflation and unemployment. In

Rational Expectations.

nomic system and some a reflection of the way in

Zarnowitz, V. 1985: Recent work on business cycles in

which the system itself works. Either source can be

historical perspective: a review of theories and evi­

real or monetary in nature. It may be that the

dence. Journal

business cycle itself is of such complexity in a modern industrial economy that much of its essen-

ofEconomic Literature 23, 523-80. MURRAY F. FOSS

c Caesarism

A term denoting a form of dictator­

and legitimated by direct appeals to the masses,

ship loosely modelled on the career ofJulius Caesar

through the medium of plebiscites. This kind of

(100-44 BC), the populist general and autocrat who

usage is discernible, with modifications, in Thody

seized power from the Roman senatorial oligarchy

(1989), and Namier (1958), where the Caesarist

49 BC, and whose regime accelerated the collapse

pantheon is extended to include figures such as

in

of the Roman Republic. However, this definition

Perain and de Gaulle, Mussolini and Hitler.

requires immediate qualification. For not only has

In contrast, the second camp of thinking about

the term been employed to include figures who

Caesarism develops the notion much more hap­

predate Julius - like the Athenians Pisistratus (c.600-527 BC) and Pericles (c.495-429 BC) and the Spartan Cleomenes Ill (c.260-219 BC) (Neumann, 1957, pp. 237-8; Weber, 1921-2); it is also the case that Augustus Caesar (63 BC to AD 14), notJulius,

hazardly, and with only the most cursory reference

has sometimes been credited as the exemplar of

to

the

two

Napoleons.

Thus,

Caesarism

is

employed to designate: the electoral manipulations, awesome stature and 'illegitimacy' of Bismarck (Weber,

1921-2; Baehr, 1988); the leader-domin­

ated nature of modern British politics (Ostrogorski,

1958). Moreover, though

1902, pp. 607-8; Tiinnies, 1917, pp. 49-53; Weber,

many twentieth-century usages seek analogy with

'Politics as a vocation', in Weber, ed. Gerth and

ancient Rome, others do not, so that today Caesar­

Mills,

ism is a concept in the utmost confusion.

return to 'formlessness' and 'primitivism' (Spen­

Caesarism (Riencourt,

1845 (Biih­ 1868, pp. 277-9), the word received its first

Coined probably by]. F. Biihmer in mer,

sustained Romieu

treatment

from

the

Frenchman

A.

(1850). Thereafter Caesarism became

gler,

1970, p. 106-7, and 1978, p. 1452); a cyclical

1918-22, vol. 1); a theocratic-militaristic type

of 'oriental despotism', exemplified by the Diocle­ tian empire of the Romans (Gerth and Mills, p.

210; a 'populist' or 'democratic'

1954,

DICTATORSHIP,

widely employed in European educated circles -

comparable to, or manifested in, Peronism in South

particularly in France and Germany - to describe

America, among other regimes (respectively Cano­

the regime of Napoleon Ill (from 1851 to 1870) and

van, 1981, p.

its implications for modern politics (Momigliano,

accretion of power evident in the American presi­

1956, 1962; Groh, 1972; Richter, 1981, 1982; Goll­ witzer, 1987). By 1920 the term was no longer in

dential system (Riencourt,

popular currency and has survived only as a tool of

draws on the Napoleonic example and also departs

academic analysis.

137; Neumann, 1957, pp. 236-43); the 1958).

Finally, a usage of Caesarism exists which both from it in fundamental ways. Of Marxist proven­

Broadly speaking, three camps are evident in

ance, this position relates Caesarism to BoNAPART­

1929-35, pp. 215, 219); distinguishes

twentieth-century thinking on the subject. The

ISM (Gramsci,

first continues the tradition of explicitly linking

between 'progressive' and 'reactionary' Caesarism,

Caesarism to the BoNAPARTISM of Napoleon Ill,

depending on whether it aids or hinders revolution­

and also Napoleon I. Here Caesarism is depicted

ary class struggle (Gramsci, p.

as a highly personalized, militaristic form of leader­

the notion to describe coalition, centrist political

coup d'etat), char­

alliances or governments whose presence marks an

ship, born of illegality (such as a

acterized by populist rhetoric (the leader claims to embody and defend 'the people'

en bloc, against the

narrow, divisive interest of elites or classes), con­

219); and augments

interim stage between a social crisis and its reso­

220; Hall, 1983, pp. 309-21; 1985, pp. 33-62).

lution (Gramsci, p. Schwarz,

temptuous of established representative political

In the majority of academic usages, it must be

institutions (the Caesarist ruler governs by diktat,

said, 'Caesarism' bears little resemblance to the

employing police measures to stifle opposition),

career and biography of its most famous namesake

CAPITALISM (see Gelzer,

1969). Arguably, only the military and

populist aspects attributed to Caesarism are histor­

61

CLASS)- bourgeoisie and proletariat (see WoRKING CLASS).

ically compelling. For Julius Caesar was both a

Marxist theory had a profound influence on most

brilliant strategist (and inspirational field com­

later studies. Max Weber, while rejecting Marx's

mander) and was also called by his class contem­

theory as a whole and constructing quite a different

popularis, that is, a

model or 'ideal type' of capitalism, nevertheless

demagogue, or champion of the people (Croix,

incorporated in it important elements derived

1981, pp. 352-5, 362; Taylor, 1949, p. 15; cf. Cicero, Pro Sestio and In Vatinium, trans. Gardner, 1958, pp. 167-79).

among the basic conditions of a capitalist economy

poraries, in derisive tones, a

from Marxist thought. In particular, he specified the 'appropriation of all physical means of produc­ tion ...as disposable property of autonomous pri­

Reading

vate industrial enterprises' and the existence of

Baehr, P. 1987: Accounting for Caesarism. Economy and

'free labour', that is, of persons 'who are not only

Society 16, 341-56.

Brantlinger, P. 1983: Bread and Circuses: Theories ofMass Culture as Social Decay.

Mosse, G. L. 1971: Caesarism, circuses and monuments. Journal of Contemporary History 6, 167-82.

Thody, P. 1989: French Ca esarism: From Napoleon I to Charles de Gaulle.

legally in the position, but are also economically compelled, to sell their labour on the market without restriction'. At the same time he intro­ duced other elements; the 'method of enterprise' as a basic characteristic, and such further pre­ conditions as 'freedom of the market', 'rational capital accounting', 'rational technology ...which

Yavetz, Z. 1983: Julius Caesar and his Public Image.

PETER BAEHR

implies mechanization', 'calculable law', and the 'commercialization of economic life'

capitalism

A type of economy and

society

(1923, pp.

207-9).

which, in its developed form, emerged from the

Weber's interest as a historian, however, was

Industrial Revolution of the eighteenth century

directed more to the question of the origins of

in Western Europe, capitalism was subsequently

capitalism, which he explained by sociological as

conceptualized in a variety of ways by econom­

well as economic factors - the influence of a new

ists, historians and sociologists (the term itself only

religious ethic (Weber,

came to be widely used in the later nineteenth

cities, and the formation of a 'national citizen

century, particularly by Marxist thinkers). Marx

class' in the modern nation-state (Weber, 1923, p. 249) - than to the dynamic features of capitalism

(Capital, 1867, vol. 1) defined it as a 'commodity­

1904-5), the growth of

producing society' in which the principal means

and its continuing development, which preoccupy

of production are owned by a particular class, the

Marxist thinkers and also Schumpeter. The latter

BouRGEOISIE, and labour power also becomes a

devoted his major writings to expounding a theory of economic

ception

analysing the fluctuations of the capitalist economy

was elaborated

in

the

framework

of

development

(Schumpeter,

1911),

commodity that is bought and sold. This con­

(1939), and examining those

Marx's theory of history- his 'economic interpret­

in the business cycle

ation' - and capitalism was regarded as the most

tendencies in the development of capitalism which

recent stage in a long process of evolution of

he considered would lead to the supersession of the

(1942). In

human modes of production and forms of society.

capitalist social order by SociALISM

Its distinctive features, according to Marx, were

the first of these books he emphasized the role of

its capacity for self-expansion through ceaseless

the entrepreneur, as the innovator who continually

accumulation (the centralization and concentra­

drives the economy in new directions in a turbulent

tion of capital), its continual revolutionizing of

process of change and expansion. The second book

the methods of production (strongly emphasized

analysed in detail the phases of economic growth

Communist Manifesto), intimately connected

and subsequent recession in this process, giving

in the

with the advance of science and technology as a

particular prominence to the LONG WAVES of ap­

major

proximately

of

its

productive force, the cyclical process

of

development,

character

marked

by

phases of prosperity and depression, and a more

ing

50 years' duration. Finally, in discuss­

capitalism

and

socialism

he attributed

a

fundamental importance to the SociALIZATION OF

clearly articulated division, along with increas­

THE ECONOMY, whereby large corporations came to

ing

dominate the economic system in a new period of

conflict,

between

two

major

classes

(see

62

CAPITALISM

'trustified' capitalism which he contrasted with an

rejected the view of the mainstream neoclassical economists that capitalism, through the operation

earlier 'competitive' capitalism. Much of Schumpeter's argument is very close to

of MARKET mechanisms, tended spontaneously to­

that of later Marxist theoriests, and in particular the

wards equilibrium and sustained growth. On the

Austro-Marxists (see AusTRO-MARxiSM ), who also

contrary, writing during the depression of the

distinguished a new phase of capitalism that had

1930s, he argued that specific government policies

emerged clearly by the beginning of the twentieth

in various fields- taxation, money supply, interest

century, characterized by the formation of trusts

rates, public works, budget deficits- were essential

and cartels, protectionism, and imperialist expan­

in order to achieve full employment and economic

sion (see IMPERIALISM). At the same time they em­

growth. The work ofKeynes and his followers thus

phasized the role of the banks in the formation of

encouraged government intervention in, and regu­

large corporations and cartels (Hilferding, 1910),

lation of, the economy, if not economic planning in

and this conception too was incorporated, though

a wider sense, and it had a significant influence on

in a narrower form, into Schumpeter's later defini­

economic policy-making for three decades after the

tion of capitalism (1946) as involving not only pri­

war.

vate ownership

of

means of

production

and

The economic changes were accompanied by

production for private profit, but also the provision

important social changes, notably in the occupa­

of bank credit as an essential feature. The Austro­

tional and class structure, with the decline of trad­

Marxists,

(Bottomore,

itional manufacturing, the expansion of clerical,

1985, pp. 66-7), went on, however, to distinguish

technical and service occupations, and more gener­

a further stage of'organized capitalism' after World

ally the movement towards a knowledge-based

War I, characterized by a continued growth of large

economy in which information technology plays

and

notably

Hilferding

corporations, and in addition by increased state

an increasingly important role (see INFORMATION

intervention in the economy and the introduction

TECHNOLOGY AND THEORY). A significant change in

of 'partial planning'.

social attitudes has also taken place compared with

These conceptions are important in analysing the

the prewar period, evident in the broadly diffused

more recent development of capitalism since 1945.

commitment to the social policies of the welfare

In this post-war period the structure of capitalism

state and to public ownership in the sphere of

society again changed significantly, with a further

basic infrastructural services, although there are

growth of giant corporations, increasingly trans­

major differences between countries in these re­

national in their operations, and still greater state

spects.

involvement in the economy (particularly in West­

However, this halfway house, or welfare capital­

ern Europe) through the extension of welfare ser­

ism, does not seem to have the long-term stability

vices, public ownership of some sectors of the

that was attributed to it by some social theorists in

economy, and an enhanced role for economic and

the 1960s and 1970s. In the first place it was still

social planning, so that public expenditure reached

predominantly capitalist, and hence subject to the

new levels of some 40 per cent, or even higher in a

fluctuations of the business cycle, notwithstanding

few countries, of the gross domestic product

government anti-cyclical policies, as became clear

(GDP). This new type of capitalism was conceptu­

with the onset of recession in the mid-1970s, and

alized by orthodox Marxist-Leninists as MoNOP­ OLY

CAPITALISM,

and

subsequently

after a modest recovery, a renewed and deeper

as 'state

recession in the late 1980s. Much lower rates of

monopoly capitalism', but Hilferding's discussion

economic growth, rising unemployment and ageing

of 'organized capitalism', remains more illuminat­

populations then created fiscal problems for the

ing, and it has affinities not only with Schumpeter's

welfare state and generated increasing social ten­

(1950) idea of a 'halfway house' between capitalism

sions. At the same time economic growth itself, in

and socialism, but also with more recent analyses,

some of its major aspects, has come to be more

by some Western social theorists, of welfare capit­

widely questioned in terms of its effects on the

alism, the mixed economy, the social market econ­

global environment, and this has stimulated discus­

omy, and CoRPORATISM. A major contribution to

sion of an 'alternative economy'.

the conception of welfare capitalism was made

One response to the problems encountered by

earlier by Keynes (1936) who, while not undertak­

welfare capitalism has been a revival of neoclassical

ing an analysis of the capitalist system as a whole,

economics in its Austrian version (see AusTRIAN

CASTE

63

ECONOMICS). From this standpoint the welfare state

century seems likely to persist. But it will do so in

is criticized for creating a 'dependency culture' as

new circumstances, of much greater complexity,

agaisnt a 'culture of enterprise', and the virtues and

in which the principles and basic elements of an

achievements of a more laissez-faire type of capital­

alternative economic and social system are more

ism, defined as a free market and free enterprise

difficult to specify precisely; and any movement

system (see ENTREPRENEURSHIP), are strongly re­

towards this alternative society appears most likely

asserted. In some countries, including some former

to involve a continuing gradual modification of

Communist countries in Eastern Europe, such

capitalism, of the kind that has been taking place

ideas have been translated into government policies

over the past century, rather than any abrupt

of privatization of publicly owned enterprises, a

changes.

curtailment of planning and regulation, and so far as possible reduced spending on public services. The future development of capitalism is uncer­ tain. In so far as Austrian neoclassical policies are pursued, a renewal of economic growth would seem to depend on an upturn in the long wave, and this, if we follow Schumpeter's analysis, requires a new burst of innovation like those which produced in the past a 'railroadization', a 'motorization', or a 'computerization' of the world. But there is little indication at present of such new entrepreneurial

Reading Bottomore, T. 1985: Theories ofModern Capitalism. Braudel, F.

1981-4:

Civilization

and

Capitalism,

3

vols.

Maddison, A. 1991: Dynamic Forces in Capitalist Develop­ ment.

Mandel, E. 1975: Late Capitalism. Schumpeter, J. A. 1942 (1987): Capitalism, Socialism and Democracy.

Weber, M. 1923 (1961): General Economic History, part 4.

opportunities, and in addition there are fresh con­

TOM BOTTOMORE

straints imposed by environmental concerns, as well as problems resulting from the shift in eco­

capitalism, monopoly

nomic power from the USA to Japan and to the

ALISM

See MONOPOLY CAPIT­

European Community (led economically by Ger­ many), and from the growing rivalry between these

caste

three centres. Furthermore, the long-term success

ous group associated with a traditional occupation

The term denotes a hereditary, endogam­

of capitalism in promoting economic growth has

and ranked accordingly on a scale of ritual purity.

had as its dark side economic instability, social

Despite changes and much criticism, caste survives

injustice, unemployment and poverty, so that as a

as a structure and ideology in the twenty-first cen­

social, and not simply an economic, system it has

tury.

been continuously criticized by thinkers and social

The Portuguese used the word

casta,

derived

movements advocating an alternative type of soci­

from the Latin

ety.

communities which they encountered in India. Al­

It should be observed further, in this context,

castus

(pure) to mean the distinct

though SociAL STRATIFICATION is a universal human

that the most successful period of capitalist eco­

phenomenon and the term 'caste' is used loosely for

nomic development, in the 1950s and 1960s, was

groupings elsewhere, this entry focuses on caste in

associated with a great expansion of the economic

the context of Hinduism in South Asia- particu­

activities of the state, involving in many countries

larly India - and of Hindu diaspora communities

an extension of public ownership and economic

worldwide (see also HINDUISM AND HINDU SOCIAL

planning, designed to mitigate the harmful conse­

THEORY).

quences- both economic and social- of an inad­

In scholarly discourse on South Asian commu­

equately regulated free enterprise, free market

nities, caste means 'jati' (a word with the root

economy.

The experience of recession in the

1990s may therefore lead eventually to an abandon­

meaning

of

birth),

a

hereditary

endogamous

group. Each jati consists of exogamous lineages

ment of those economic and social policies associ­

(gotra). Complex marriage rules dictate into which

ated with the NEW RIGHT, and a revival of more

gotras a particular person may acceptably marry.

interventionist policy-making. In that sense, the opposition

between

capitalism

and

socialism

The total number of jatis runs into thousands and each region of India has its specific hiera­

which has been a focal point of ideological and

rchy. However, Hindus locate their own jati and

political confrontation throughout the twentieth

other people's on a scale of four varnas (classes),

64

CASTE

recognized throughout the Hindu world. There is often a discrepancy between the varna to which members of a jati claim to belong and the lower varna to which others ascribe them. The four classes are respectively the brahmin, kshatriya, vaishya and shudra varna. In the Rig Veda, a sacred text composed about 1000 BCE, Purusha, the cosmic person, an image for society, is dismembered. His mouth is equated with the brahmin (priest), his arms with the kshatriya (war­ rior), his thighs with the vaishya (trader) and his feet with the shudra (serf or menial). The men of the first three of these classes came to be regarded as twice-born, as their investiture with the sacred thread signifies rebirth into Hindu society. In the approximately 2,000-year-old Lawbook of Manu (Manu-smriti or Manava dharma shastra) the be­ haviour permitted for each varna is clearly set out together with penalties for deviation. In the Bhagavad Gita, a favourite Hindu scrip­ ture, Krishna, the incarnation of Vishnu (a major deity), exhorts the reluctant prince, Arjun, to fight because this is his dharma (sacred duty) as a kshat­ nya. Over many centuries every jati evolved an un­ written code of practice. Members were not to marry or dine with members of another jati, al­ though both rules, particularly the latter, have, in some contexts, been considerably relaxed. Details of domestic custom and religious ceremony distin­ guish one jati from another in the same locality. In traditional village society, prior to the domin­ ance of money as a medium of exchange, members of all castes provided other villagers with caste­ specific services on a reciprocal basis. This system is known as jajmani. The castes that were lowest on the scale of purity received least in return for their work. Aspects of this interdependency survive, as when a brahmin performs a ritual and receives clothes or other gifts from his patrons. In each village one or more castes would wield power over the others. Economic power neeed not correspond with high varna. The caste system is organic and constantly adapting to changing circumstances. Twentieth­ century anthropologists conceptualized the under­ lying processes in various ways. M. N. Srinivas ( 1967) postulated Sanskritization, a process whereby members of a low caste change their customs, ritual, ideology, and way of life in the direction of a higher caste (for instance by adopting a strictly vegetarian diet appropriate to brahmins).

By refusing to give their daughters in marriage to families which have not so adapted they create in effect a new jati. The term kshatriyization refers to emulation of wealth and status rather than ritual purity. During the twentieth century the less ad­ vantaged castes have tended to strive for power and wealth via education. They have also mobilized as religious movements, giving new meaning to an­ cient myth and symbol, and building self-respect Uuergensmeyer, 1982). Among non-Hindus of South Asian origin, caste often persists as a factor in social interaction even when a community's religious teachers inveigh against caste. So, for example, local Christians may worship in separate congregations which happen to be of high and low caste origin respect­ ively. The Sikhs have continued to marry within caste although their Gurus stressed the equality of all and the irrelevance of one's caste to the reunion of the individual soul with God. With Western-style education, increasing social mobility and industrialization, the link between hereditary occupation and jati weakened in the twentieth century, although the association persists in people's minds. By working as a pilot, school­ teacher or computer programmer one cannot alter or escape the connotations of one's jati. Some shudra occupations, such as removing nightsoil or tanning hides, were regarded as highly polluting to all with whom members of those jatis came into contact. As a result these jatis were seg­ regated from the rest of society. In addition to the prohibitions on intermarriage and interdining, they were forbidden to enter many schools and temples or to draw water from the same well as others. They lived, as many still live, outside the village. If the shadow of an 'untouchable' fell upon a brahmin the latter would return home to purify himself. Largely because of the degradation of the un­ touchables, reformers in the nineteenth and twen­ tieth centuries attacked the inequities of the caste system. Swami Dayananda Saraswati (1824-1883) preached that, according to the V eda, society should be divided not into innumerable castes but into four varnas, of which membership should depend on merit rather than birth. Mohandas Kar­ amchand Gandhi (Mahatma Gandhi 1869-1948) valued some aspects of the caste system for building a harmonious society, but he passionately advo­ cated the view that: 'Untouchability is not a sanc­ tion of religion, it is a device of Satan' (Gandhi,

CAUSALITY

65

1951). By victims of caste discrimination Gandhi's

century, contact with India was maintained, castes

approach is now regarded as paternalistic. They

remained endogamous and caste associations were

reject the term 'harijans' (children of God) which

set up.

he popularized, preferring the use of 'Scheduled

In Britain, Hindu and Sikh marriages are still

Castes'-the official designation in India since 1935

usually between members of the same caste. Many

-and 'dalit' (oppressed). Their hero is Dr Babasa­

public places of worship are run by members of

heb Ambedkar

(1891-1956), the lawyer who rose

particular castes, such as Ramgarhia, Bhatra and

from an untouchable family to frame India's consti­

Ravidasi gurdwaras

tution. This was promulgated in

1950 and recog­

Hindus of Gujarati origin have caste organizations

(Sikh places of worship).

nizes not castes but equal citizens. Ambedkar

which arrange social and religious events, especially

argued that caste was an ideology which could

during the festival ofNavaratri.

only be abolished if the Hindu religious sanctions for it were removed. He exhorted his followers to abandon Hinduism for Buddhism. There are currently in India some

150 million

people (one-seventh of the population) bearing the stigma

of

notably

the

untouchability. Untouchability

Despite

legislation,

(Offences)

Act of

1955, as well as policies of positive discrimination in education and in the reservation of certain jobs, prejudice persists. Indeed, with the implementa­

Reading

Dumont, L. 1970: Homo Hierarchicus. Juergensmeyer, M. 1982: Religion as Social Vision. Mahar,J. M. ed. 1972: The Untouchables in Contemporary India.

Schwartz, B. M. ed.

1967: Caste in Overseas Indian Com­

munities.

Searle-Chatterjee, M. and Sharma, U.

1994: Contextual­

ising Caste: Post-Dumontian Approaches.

ELEANOR M. NESBITT

tion of such policies the tolerance of higher castes sometimes hardens into hostility. Like the advent of the train in the nineteenth

causality

In Hume's memorable words, causal­

century, the increased provision of education, rapid

ity is 'the cement of the universe', the relation

urbanization and industrialization have brought

through which one event is bound to another,

members of different castes into contact as never

through which one type of occurrence brings

before. These developments, coupled with modern

about another. It is a notion which plays a central

sanitation and piped water supply, have benefited

role in our explanations of the world around us (see

the Scheduled Castes by removing some causes for

ExPLANATION), for example when we respond to

obvious discrimination. Some members of low

'why' questions with sentences beginning 'because'

castes have become wealthy or achieved high

that identify the antecedents by virtue of which the

office. However, the caste system has not been

thing to be explained occurred.

replaced by a class structure of the Western type.

The concept of causality has proved difficult to

Features of both systems interact. The democratic

analyse, however. The problem is how to under­

political system enables caste to exert a powerful

stand the cement that binds cause to effect, the

influence as casteism. Candidates play on caste

necessity with which we think of effects following

sensibilities to gain support. Many politicians

their causes. Modern accounts usually begin with

depend on castes as vote-banks.

Hume's empiricist analysis. (EMPIRICISM is the view

Caste survives in Hindu communities outside

that all knowledge must be based on experience.)

India although the history of specific societies has

According to Hume, causal connections are not

given each a distinct character. In Bali, Indonesia, a

necessary in the sense of being logical relations,

distinction survives between the shudra majority

for, he argues on the basis of his empiricism, the

and the brahmin, kshatriya and vaishya classes.

description of one event does not entail (logically

The Hindu communities of Fiji, Mauritius, Trini­

necessitate) the occurrence of any other events.Nor

dad and Surinam date back to the mid-nineteenth

is the binding of an effect to its cause a relation that

century when indentured labourers arrived with

exists in the world, or if it were we could have no

little hope of return to India. In these countries

knowledge of it, for we do not have any experience

caste distinctions have largely disappeared except

of such a necessary tie between one event (a cause)

that only brahmins exercise priestly functions. In

and another (its effect), only of the two events

East Africa, however, where indentured labourers

themselves. Consequently, in Hume's view, even

came from India at the beginning of the twentieth

though we may through habit come to think of

66

CAUSALITY

causality as encapsulating necessity, in the world,

following night, and the cost of damage increasing

causal connections are no more than constant con­

with the number of firefighters attending a fire,

junctions of contiguous and consecutive but logic­

which are constant conjunctions but without the

ally and materially independent events. As it is

binding cement of causality connecting the antece­

nowadays usually accepted that causes can act at a

dent occurrence to the consequent one. Humeans

distance and that causes and effects can occur sim­

have sought to solve this problem by adding logical

ultaneously, what remains of the Humean view is

or epistemic criteria to differentiate causal laws

that causality is embodied in regularities that ex­

from accidental generalizations, but critics main­

types of

tain that all such attempts fail. The difficulties in

events. All causal happenings are to be understood

producing an adequate Humean analysis of causal­

as instances of such regularities.

ity led some empiricist philosophers to suggest that

press constant conjunctions between

The notion of constant conjunction can be elab­ orated in terms of necessary and sufficient condi­ tions. (This is a different sense of necessary to that

causality has no place in the mature sciences (Rus­ sell,

1917).

Non-Humean

analyses

of

causality

extend

in the discussion above.) A necessary condition for

beyond the restriction of empiricism. One of the

an event is one that always occurs whenever the

most interesting, the realist view, maintains that the

event occurs, while a sufficient condition is one

necessity that characterizes causality is physical

which, whenever it occurs, the event occurs too.

necessity (see Realism). Cause and effect events

This enables complications to be taken into ac­

are not independent, as the Humeans insist, but

count: for example, that an effect might be con­

intrinsically related. Causes have the power to

nected with a conjunction of causes or with

bring about their effects, there being a real relation

different independent causes, and might occur

between them, a generative mechanism physically

only if certain countervailing causes are absent.

linking cause to effect, even though this link is

These complications are brought together in con­

often beyond our experience. According to this

stant conjunctions of the form 'all LMN or PQR or

view, constant conjunction might be evidence for

STW are followed by event E', where N symbolizes

a causal connection, but does not exhaust its mean­

the absence of a condition of type N and where each

ing, which derives from the natural mechanism

letter represents an 'inus' condition forE, that is, an

connecting cause and effect. Indeed, real causal

insufficient but non-redundant part of a joint con­

connections might not manifest themselves as re­

dition (e.g. LMN) which is itself unnecessary but

gularities, for countervailing causes can intervene

sufficient for the result E (Mackie, 1965). An

between the operation of a cause and the appear­

example is a theory of revolution that combines

ance of its effect. For example, pressing a light

ideas from Marxism and from relative deprivation

switch might not have the effect of illuminating

theory and argues that revolutionary activity (E)

the room if a fuse blows and prevents the light

follows either from the joint occurrence of the po­

bulb from glowing. The failure on this occasion -

larization of capitalist society into two classes, the

the absence of a constant conjunction - does not

bourgeoisie and the proletariat (L), the immisera­

lead us to reject as causal the real connection be­

tion of the proletariat (M), and the absence of

tween pressing the switch and the bulb lighting

proletarian false consciousness (N) or the joint oc­

through the underlying mechanism of a flow of

currence of the division of society into a hierarchy

electrical current. The difficulty with this realist

of groups

conformity of the members of one

view is that having violated Humean empiricism

group to the norms of another, higher group (Q)

by granting existence to imputed mechanisms and

and the absence of legitimate routes of mobility

invisible powers beyond the epistemic control of

from the lower to the higher group

experience, what restrictions are there upon the

(P),

(R).

Other

theories of revolution can be added as extra sets of

mechanisms that can be invoked as causal explan­

inus conditions (e.g. STW).

ations? If viruses are to be admitted, why not

Even this elaborated version of the Humean ac­

demons or witches' spells?

count suffers from the problem that, like simpler

Given that there are problems with all attempts

versions, it fails to distinguish causal regularities

to analyse causality, some have argued that it is an

from what philosophers call accidental generaliza­

unanalysable primitive (Anscombe,

tions, and what social researchers call spurious or

not need to be made intelligible in terms of other

cosymptomatic

notions. On a different tack, even if it were possible

relations.

Examples

are

day

1971) that does

CHARISMA

67

to arrive at a satisfactory analysis of causality in the

In Weber's analysis, charisma denotes an excep­

physical world, questions remain about its place in

tional quality (real or imagined) possessed by a

the biological world and even more so in the social

single individual who is able thereby to exercise

world. Are functional explanations of organs and

influence and LEADERSHIP over a group of admirers.

cells (or social institutions and actions), which

The devotees of the charismatic leader see it as their

appeal to emergent properties of whole biological

duty to obey him or her, and this they do voluntar­

organisms (or whole societies), reducible to causal

ily and with rapturous commitments. Charisma is

explanations?

of

capable of assuming a variety of guises correspond­

human actions, which refer to human intentions,

ing to the spheres of its influence (military, polit­

reducible to (mental, physiological or physical)

ical, ethical, religious, artistic) but in all cases its

Are

teleological

explanations

causal explanations on any of the various interpret­

consequence is to affect spectacularly the lives of

ations of causality? Most generally, are human

those it touches. Charisma is an inwardly revolu­

actions caused, and if so, is free will an illusion?

tionary force with the power thereby to mobilize

See DETERMINISM.

human effort and transform the ossified material world it confronts. In Weber's terminology, cha­

Reading

risma is a particular form of'domination' or author­

Davidson, D. 1980: Essays on Actions and Events.

ity.

Harre, R. and Madden, E. H. 1975: Causal Powers: a Theory ofNatural Necessity.

Hume, D. 1748 (1975): An Enquiry Concerning Human Understanding, ed. L. A. Selby Bigge.

ation with two others: traditional (where obedience is based on custom and revered precedent: typical

Mackie,J. L. 1974: The Cement ofthe Universe.

of preindustrial societies) and rational-legal (char­

Melior, D. H. 1995: The Facts of Causation.

acteristic of the modern world where conformity to

Sosa, E. ed. 1975: Causation and Conditionals. Wright, G. H. von 1971: Explanation and

Weber contrasts this unorthodox, emotionally highly charged and revolutionary form of domin­

Under­

standing.

PETER HALFPENNY

legally established, and bureaucratically executed, rules and procedures is the norm, and where com­ pliance is typically owed to position rather than person). Traditional and rational-legal modes of

change, social

change,

See SociAL CHANGE

technological

See

TECHNOLOGICAL

CHANGE

domination are markedly different in many re­ spects. Yet they both share the same lacklustre quality of being stable, routine and relatively pre­ dictable structures of everyday life. Charisma, on the other hand, is explosive - it openly challenges traditional ways, mocks the rigid soullessness of

charisma

Today 'charisma' is mostly employed

to describe a heroic or extraordinary quality of an

impersonal legality - and, in its pure form, is mer­ curial and transient.

individual person, but the term's history is curious

Four additional features of Weber's discussion

and complex. From obscure beginnings in early

are worth noting. First, the charismatic leader's

Christian usage, where it meant 'the gift of grace',

ethical qualities are irrelevant to the concept. It is

charisma is now a popular catchword among jour­

their dynamism as individuals which is crucial.

nalists and lay people alike. Its twentieth-first-cen­

Second, charisma is a contingent phenomenon.

tury connotations, and the debate it has occasioned,

Though it has a tendency to arise in certain propi­

are inseparable from the thought of Max Weber

tious circumstances, notably conditions of excite­

(1864-1920).

ment, enthusiasm or distress, there is no suggestion

Weber adapted the term from the theologian

in Weber's writings that its appearance is socially

Rudolph Sohm, who had employed it to interpret

destined to occur. Third, the existence and dur­

the development of the early Christian church.

ation of charisma's enchantment depends, above

Extended to encompass secular as well as religious

all, on the response of others. To retain its spell

phenomena, the concept became pivotal to Weber's

over hearts and minds, a person's charisma must be

analysis of history and domination (see especially

continually displayed and proved in, for instance,

Weber, 1904-5 (1930, 1974), p. 178; Weber, 19212 (1967, 1978), vol. I, pp. 241-71, and vol. 2, pp. 1111-57; 1951, pp. 30-42, 119-29).

miracles (Jesus) or brilliant military campaigns (Napoleon). When devotion turns to indifference, charisma's magic vaporizes. Finally, charisma in its

68

CHARISMA

pristine form only ever exists transiently. Because

First, it has been employed in relation to leaders of

of its personalized character, charisma faces diffi­

religious sects and cults whose leaders attract a

culty of transmission when, for instance, its bearer

devoutly committed following (for example, Wallis,

dies. There are various solutions to this problem.

1982). Second, it has been used to describe and

But in all cases charisma is either extinguished or

account for the appeal of certain political leaders

becomes 'routinized', that is, it becomes channelled

(Apter,

into traditionally or legally oriented institutions,

Among these we find leaders of countries who

1968; Schweitzer, 1984; Willner, 1984).

thereby losing its quintessentially heroic quality

were able to develop a mission which both promised

and becoming instead an attribute of, say, heredity

freedom from colonial domination and overcame

(for instance, a monarch) or office (for instance, the

the conservative implications of allegiance to trad­

premiership or presidency).

itional authority (Gandhi, Nkrumah); revolution­

While Weber's analysis of charisma is widely

ary Marxist leaders (Lenin, Castro); leaders of

regarded as seminal, it has also attracted criticism

modern

or qualification. Some have maintained that his

leaders who achieved power in the context of

dictatorships (Hitler,

Mussolini);

and

focus on personal leadership lacks a coherent ex­

modern democracies (Churchill, F. D. Roosevelt).

planation of why people regard such leadership as

Third, the most fertile area in recent years has been

inspiring or compelling, and underestimates 'the

in relation to some leaders of business organizations

social significance of the leader as symbol, catalyst

(see, for example, Conger,

and message bearer' (Worsley,

invariably extol their legendary efforts to produce

1957 (1970), p. 293).

1989). Such accounts

For if charisma depends on social recognition, as

a radical transformation of organizational fortunes,

Weber insists it does, then the culture and sensibil­

their ability to maintain the ongoing success of their

ities of those to validate it require greater specifica­

firms, or to found new and vital organizations (for

tion (Baehr,

1990). Moreover, Weber's discussion

of charisma's aura tends to leave it in somewhat of a

example, Kets de Vries,

1998). In addition, there

has been a growth in the treatment of charismatic

mystical condition. In contrast, recent sociological

leadership as a variable to be manipulated in an

studies of political oratory and body language (for

experimental setting (for example, Howell and

example, Atkinson,

Frost,

1984), have shown that what

1989) or to be measured (for example, 1998). In each case, the aim

often passes for charisma is in good measure a

Conger and Kanungo,

technique -a collection of skills, practices and mes­

is to determine whether apparently charismatic

sages learnt and orchestrated by politicians.

leaders fare better than their noncharismatic coun­

Charisma's contribution to social stability, as

terparts in terms of several indicators of success.

distinct from revolution, is another area that

Research based on the measurement of charismatic

Weber may have underplayed (though he did not

leadership shows that it is a successful form of

overlook it: see the earlier discussion of routiniza­

leadership in a commercial context (for example,

tion). Shils, for instance, writes about a 'charismatic

Conger and Kanungo,

propensity' that can be found in all societies,

However, like the experimental stream of research,

revealed in the 'awe and reverence' with which

such investigations tend to ignore the importance of

certain objects are regarded. Accordingly, charisma

the features that Weber saw as crucial, such as the

1998; Fuller et al., 1996).

is not solely something that is possessed by exem­

exceptional qualities attributed to the charismatic

plary leaders, but can inhere in 'ordinary secular

leader.

roles, institutions, symbols, and strata or aggre­ gates' (Shils,

1965, p. 200). Objects and persons

Two important dichotomies tend to be employed with some frequency in the literature. First there is

who are deemed by society to possess charisma do

the distinction between original and routinized cha­

so because they embody the society's core values

risma. Here research shows that, on the one hand,

and therefore relate to the ultimate questions with

charismatic leaders sometimes develop elaborate

which it is concerned, so that charisma is about the

strategies to resist the incursions of routinization,

need for social coherence. Thus, in Shils's hands,

as in the case ofDavid 'Mo' Berg and the Children

charisma is changed into a force which is instru­

of God (Wallis,

mental in maintaining the social order, whereas

ization is not always successful: thus Trice and

Weber emphasized its revolutionary attributes.

Beyer's

1982). On the other hand, routin­

(1986) study of two organizations con­

More recently social scientists have made use of

cerned with alcoholism shows how routinization

the concept of charisma in a number of spheres.

of the founder's charisma can be frustrated by in-

CHICAGO ECONOMICS appropriate structures or by unexpected events.

69

the University of Chicago at least since the 1930s.

Equally, studies show that the process of routiniza­

Not every economist connected with the University

tion entails a delicate balance between the craving

of Chicago has been a member of the 'Chicago

for continuity and the retention of the original

school'. Not every member of the school is con­

charismatic impulse (Poloma, 1997).

nected with the University of Chicago. But Chicago

A further distinction is sometimes proffered be­

is undoubtedly the Mother Church of a way of

tween real and manufactured charisma (or pseudo­

thinking whose founders taught at Chicago and

charisma).

whose subsequent high priests studied or taught

This pairing contrasts the genuine

appeal of a truly charismatic individual with the

there or both.

stagecraft and media massaging that often go into

The doctrine has not been constant over time

the generation of modern charisma (Bensman and

and at any one time all members have not been

Givant, 1975). Those researchers who centre their

equally orthodox. However, the common tenets as

attention on manufactured charisma point to the

of 1989 may be summarized as follows:

variety of ways in which modern society offers opportunities for self-mythologizing through the

Economics is about the behaviour of fully

mass media and other sources (for example, Bilu

informed

and Ben-Ari, 1992). Arguably, however, this dis­

their utility in competitive exchange markets MARKET) .

seeking

to

maximize

tinction is itself problematic for it fails to recognize

(see

that all charisma is in a sense manufactured, that is,

human behaviour are not 'economics'. Also,

dependent

there probably is no other useful, general

on

presenting

an

image

appealing

enough to enlist a band of followers who will in turn act as emissaries of the cause or mission at

also

individuals

Other explanations of

theory. 2

If the world were organized in the way econom­

stake.

ics pictures it, certain important beneficial

See also MESSIANISM.

results would follow. In such a world each indi­

Reading

he could get without forcibly depriving others.

vidual would get as much out of his resources as Bendix, R. 1971: Charismatic leadership. In Scholarship

3

and Partisanship: Essays on Max Weber, ed. R. Bendix

factory approximation according to the econo­

and G. Roth.

mists' MoDEL and realizes the benefits that the

Berger,P. L. 1963: Charisma and religious innovation: the social location of Israelite prophecy. American Socio­ logical Review 28, 940-50.

The real world operates to a reasonably satis­

model predicts. 4

Government decisions, like decisions made in the private economy, are made by individuals

Bryman, A. 1992: Charisma and Leadership in Organiza­

seeking to maximize their own gains. Therefore

tions.

the government cannot be counted on to

Conger, J. A. and Kanungo, R. N. 1998: Charismatic

achieve any particular objectives - such as

Leadership in Organizations. Haley, P. 1980: Rudolph Sohm on charisma. Journal of

efficiency or equity - other than the objectives

Religion 60,185-97.

of the officials involved.

Lindholm, C. 1990: Charisma. Spinrad, W. 1991: Charisma: a blighted concept and an alternative formula, Political Science Qyarterly, 106: 295-311. Tucker,R. C. 1968: The theory of charismatic leadership. Daedalus 97,731-56. Weber, Max 1921-2 (1967, 1978): Economy and Society, ed. G. Roth and C. Wittich (2-vol. edn). Willner,A. R. 1984: The Spellbinders: Charismatic Political

5

The quantity of money is the key factor influen­ cing the beha viour of the level of prices and the stability of aggregate output (see also MoNET­ ARISM). The founders of the Chicago school in the 1930s

were Professors Frank H. Knight, Lloyd Mints, Henry C. Simons and Jacob Viner - although Viner denied that he was a member of it. From

Leadership.

ALAN BRYMAN AND PETER BAEHR

their teaching, students acquired great respect for the free market as a method of economic organiza­

Chicago economics

This is a distinctive way of

tion. Teaching of economics in the 1930s did, how­

looking at economics and economic policy -

ever, give much attention to respects in which the

strongly emphasizing free markets as description

real world might differ from the model and would

and prescription - that has been associated with

not be ideal even if it conformed to the model. The

70

CHICAGO ECONOMICS

1930s was scarcely a time for thinking that the

A process of purification also went on in the

economic system as it existed was yielding ideal

approach to macroeconomics. The private market

results. The policy implications of the gap between the

was found to be less inherently unstable than had been thought in the 1930s. The positive role for

well-functioning model and the clearly visible

government in stabilizing the economy was refined

world were spelled out chiefly in the writings of

from an ad hoc combination of fiscal and monetary

Henry Simons. Three points were critical:

measures into the maintenance of a constant rate of growth of the money supply. The possible bene­

2

3

An adequately competitive market with well­

ficial effects even of monetary policy on real output

informed participants might not exist and could

and employment were thought to be very tempor­

not be counted upon to come into being spon­

ary and in some versions non-existent.

taneously. The government had a role, there­

In the third place, Chicago economics became, in

fore, in promoting competition and the flow of

George Stigler's term, 'imperialistic'. It reached

information.

out to apply its hypotheses and methods to soci­

The private market might generate an un­

ology, law and political science. The application to

acceptable degree of inequality in the distribu­

law and political science particularly tended to sup­

tion of income, and the government had a

port the case for free markets by showing that

proper role in correcting that.

correct interpretation of legal rights would enhance

Private markets did not guarantee stability of

the efficiency of markets and by showing the unre­

aggregate demand, meaning basically stability

liability of the political process as a corrective to

of the price level. It was the responsibility of the

market failures if they existed.

government to use its fiscal and monetary pol­ icies to stabilize the economy.

Probably only a small minority of American economists ever considered themselves to be Chi­ cagoans. But the Chicago influence on economic

Thus, as of, say, 1940, 'Chicago' thinking left con­

thought was profound. Even economists who did

siderable but limited room for government action.

not go as far as the Chicagoans felt the need for a

After World War II leadership of Chicago eco­

more open-minded and subtle analysis of the

nomics passed to a new generation, of which Milton

market model as explanation and prescription

Friedman and George Stigler were most prominent

than they had previously done. Similarly, econo­

and in which Aaron Director and Ronald Coase

mists who were not 'monetarists' came to agree on

were also highly important. By the 1970s a third

the importance of money and on the need to seek

generation could be identified, with Gary Becker

better strategies for managing it.

and Robert Lucas among its leaders.

Some members of the Chicago school are de­

After World War II, Chicago economics evolved

barred from claiming any influence on public

in three main ways. First, like economics in most

policy, because they believe that policy is made by

places, it became more empirical and quantitative,

self-interested individuals or groups who have all

relying less on logical deductions from self-evident

the information they want. But in a less restrictive

propositions and commonplace observations and

view one could see an important influence of Chi­

more on systematically collected historical and stat­

cago thinking, during the 1970s and 1980s, in re­

istical data. Second, it became 'purer'. It found that

duction of government regulation, in the floating of

many of the qualifications to the efficiency of free

the dollar, in new directions of antitrust policy and

markets that had been previously conceded were

in monetary policy.

invalid or unimportant. The number of competi­ tors needed to achieve the beneficial results of com­ petition was determined to be small. What had previously been regarded as inefficiencies due to inadequate information were seen as efficient adap­ tations to the cost of obtaining information. The market failures alleged to exist in cases where pri­

Reading Friedman, M. 1953: Essays in Positive Economics. Knight, F. H. 1935: The Ethics of Competition. Patinkin, D. 198 1: Essays on and in the Chicago Tradition. Reder, M. W. 1987: Chicago School. In The New Palgrave Dictionary ofEconomics, ed. J. Eatwell, M. Mi1gate and P. Newman, vol. I.

vate actors had no incentive to take account of

Simons, H. C. 1948: Economic Policy for a Free Society.

effects on others were found to be correctable by

Stig1er, G. J. 1988: Memories ofan Unregulated Economist.

contracting among the parties.

HERBERT STEIN

CHOICE, PUBLIC

71

on

It has often been charged that the Chicago de­

which much of American sociology was built in

partment neglected sociological theory and stood

Chicago

sociology

Laying

foundations

the twentieth century, the department of sociology

for a mindless empiricism. This was not the case.

at the University of Chicago was created by Albion

Men like Thomas and Park had studied in Ger­

W. Small, a historian and sociologist who had pre­

many under some of the country's renowned

viously been the president of a small college in

scholars. Park wrote his dissertation under the

Maine. The new University of Chicago, largely

guidance of the prominent neo-Kantian philoso­

financed by John D. Rockefeller, saw it as its mis­

pher Wilhelm Windelband. But it is a fact that the

sion to compete with the older universities on the

Chicago sociologists, in contrast to most of their

eastern seaboard of the USA and to demonstrate

colleagues elsewhere, stressed that sociology could

that the Middle West was capable of nourishing and

only develop in America if it addressed itself to the

fostering a seat of learning that was second to none.

study of the many social problems that confronted

The department of sociology shared the univer­

urban America in the rapid wave of urbanization,

sity's ambitions and Small built a first-rate depart­

industrialization and capitalist expansion a fter the

ment.

Civil War. The members of the department studied

The Chicago department was not the first to

taxi dance halls, waitresses, hobos, Chicago land

provide instruction in sociology - there were

values, juvenile delinquents, thieves and Chicago

courses already offered at Brown University, at

race relations. Chicago students were expected to

Yale and at Columbia, but it was the first initiative

deal with concrete social problems and issues not

whose course offerings and research programme

only in their dissertations but also in their subse­

did not reflect the personal vision of a central

quent careers. And as former students began to

figure but was rather a collective enterprise. The

dominate new departments of sociology in the

most prominent members of the department,

Middle West and elsewhere, they gave their dis­

before World War I and after, in addition to Albion

tinctive Chicago colour to them.

Small, the chairperson, were W. I. Thomas, Robert

The Chicago orientation dominated American

Park and Ernest Burgess. The new department also

sociology into the 1930s. The Chicago department

had close relations with the department of philoso­

published the American Journal

phy in which John Dewey and George Herbert

long had a monopoly position among sociological

ofSociology, which

Mead developed a pragmatic philosophy with a

publications, and it colonized newer departments

reformist bent that was congenial to members of

much as ancient Athens in the classical age had

the department of sociology and allowed its stu­

colonized new cities in the eastern Mediterranean.

dents easy access to pragmatic philosophy in gen­

The Chicago dominance was overthrown in the

eral and social psychology in particular. As Martin Blumer has noted, 'The Chicago

1930s when Harvard, Columbia and other eastern universities began to institutionalize sociology, but

school presented the first successful American pro­

it had dominated for so long that even afterwards it

gram of collective sociological research' (1984, p.

was often still seen as the very epitome of American

xv).

empirical sociological research.

In the early years, the department of sociology still presented course offerings and accepted doc­ toral theses that were inspired by Christian reform­

Reading Blumer, M. 1984: The Chicago School ofSociology: Insti­

ist social thought or the more secular impulses of

tutionalization, Diversity, and the Rise of Sociological

reformers such as Jane Addams. In these early years

Research.

dissertations such as Cecil North's The Influence of Modern Social Relations upon Ethical Concepts were by no means atypical. But immediately before World War I, and again after, the department shed some of its reformist zeal and under the

Faris, R. E. L. 1967: Chicago Sociology: 1920-1932. Kurtz, L. R. 1984: Evaluating Chicago Sociology. A Guide to the Literature with an Annotated Bibliography.

Matthews, F. H. 1977: Q}test for an American Sociology: Robert E. Park and the Chicaf{o School.

LEWIS

guidance of W. I. Thomas, and later under Robert Park, turned to empirical investigations in urban settings. It regarded the city of Chicago as its la­ boratory.

choice, public

See PUBLIC

CHOICE

A.

COSER

72

CHRISTIAN SOCIAL THEORY

choice, social

See SociAL CHOICE

vidual who comes to faith in Jesus. Thus the Christian words which reflect the Hebrew 'justice'

Christian social theory

Such theory embraces

words moved away from their social context and

systematic statements or bodies of knowledge about

from the order and harmony in nature and in

the relationship of Christianity to society. At one

the whole cosmos of God's creation. This too­

level, these systematic statements are 'theories' in

anthropocentric a view of creation and salvation in

the strict sense of 'overview of the nature of soci­

early Christian thinking narrowed the vision of

ety', paralleling, that is, secular 'social theory' and

God's grace in the world and restricted the devel­

'political theory', but including a transcendent per­

opment in Christian social theory of an ethic of

spective. At another level, Christian social theory

responsible stewardship over creation and of duties

can be viewed as a 'praxis', in the Aristotelian sense

to ecology, environment and other creatures.

of a study of society with an end, namely, that of

The tension between the demands of the other­

facilitating the flourishing of a good and just life in

world and of this-world, which entered Christian

the polis.

thinking with the New Testament and the develop­

The distinctive perspective referred to may be

ment of systematic THEOLOGY, came to have a

termed 'personalism', which is used to indicate that

strong influence on Christian social theory in the

'the foundation, cause and purpose of all social

Patristic period, which spanned the first eight cen­

institutions are individual human beings, people,

turies of Christianity. Even if it can be shown that at

that is, who are social by nature and are raised to an

times, especially after the conversion of the Em­

order of things which surpasses and subdues

peror Constantine, some of the Fathers engaged in

nature' (Pope John XXIII, Mother and teacher, no.

more worldly-minded discourse, it is safe to claim

219). Social systems, in other words, have no pur­

that 'other-worldliness' was a dominant and funda­

poses, reasons or needs; strictly speaking, only in­

mental element in their thinking.

dividual human persons do. In Christian social

As the Christian church grew in numbers, wealth

theory, then, voluntarism and the purposive char­

and political power, and as the state itself finally

acter of human conduct are stressed, as well as the

became Christian in the first quarter of the fourth

capability of actors to choose between different

century, tension grew between the vital concern for

goals and projects. This does not exclude the analy­

the life after death and the demands of life here on

sis and discussion of structures, but it means that

earth. In the economic sphere, the main concern of

Christian social theory is primarily a theory of

the Fathers was for the glaring gap between rich

action.

and poor, to which their solution was almsgiving. It

The feature, appearing in different forms, which

was not the function of alms to eliminate poverty,

has characterized Christian social theory through­

but only to relieve extreme distress. In this sense,

out the history of the subject has been tension.

there is no economic solution in the corpus of

Perhaps only in Old Testament social teaching has

patristic writings. They accepted the right to pri­

this not been the case. In the Old Testament, which

vate property, though attributing its origin to ori­

is a foundation source for Christian social theory,

ginal sin, and arguing that, in the beginning of

Hebrew thought retained inseparable ethical and

human society, all things were held in common.

theological links between creation and salvation.

In terms of developing Christian social theory, it

There was no separation of this-worldly and

can be pointed out that Augustine was opposed to

other-worldy activities. This sense of the unity of

individualism, even to that possessive individual­

God's acts of creation and salvation, and of our

ism which became the characteristic of modern

response to these areas, can be observed in the

liberalism. In consequence of this understanding

broad range of meanings of the words for 'right­

of the common destination of human goods, the

eousness', 'justification' and 'faith', as well as in the

Fathers emphasized the obligations of the rich to

importance of the Hebrew notion of tiqqun ha-olam,

share, and they held out the common use of riches

restoration of the world. The context of these words

as an ideal. many modern writers have commented

is usually social and political.

on this 'socialistic' aspect of patristic teaching, and

In the New Testament, however, and especially

it is certain that there has been a continuing tension

in the writings of St Paul, 'salvation' is most fre­

in Christian social theory between the defence of

quently linked with the 'justification' of the indi-

private property and the ideal of social ownership.

CHRISTIAN SOCIAL THEORY

73

In their general presentation of social teaching,

necessary only because of unbelief. This is a differ­

the scholastics of the medieval period remained

ent social theory from the older Catholic one, which

faithful to the earlier emphasis placed by the New

acknowledged the need for potestas

Testament and patristic doctrine on the primacy of

ical power) as a consequence of original sin, while

coactiva (polit­

the 'spiritual' over the 'temporal'. In this form,

accepting the need for potestas

Christian social theory remained, rather, as a radic­

istrative state), even before the Fall. In this whole

directiva (an admin­

ally theological social doctrine. The influence of

matter, Luther argued that whatever the quality of

Stoic and Aristotelian thought, however, brought

secular rule, good or bad, the two kingdoms should

developments which made Christian social teach­

never be confused, a principle picked up by Karl

ing, as a whole, a philosophical science with certain

Earth who insisted that 'the divine must not be

'additions' of a theological kind. This new tension

politicized and the political must not be divinised.'

between moral-philosophical or theological foun­

The dualism of 'private' and 'public' responsi­

dations has remained a feature of Christian social

bilities which was derived from Luther's Two

theory right up to the modern period. The Roman

Kingdom doctrine, came to be used to justify the

Catholic and Anglo-Catholic traditions have re­

absolute claims of political power. The particular

tained the long-reflected style of moral philosophy,

form of his Christian social theory prepared the way

whereas Reformed traditions have adopted radic­

(quite unintentionally) for this interpretation. Each

ally theological approaches. In Catholic social

Kingdom was ruled vertically, but separately, by

theory, a foundation on 'natural law' (an almost

God, but there was no obvious way in which the

instinctive apprehension of a rule of reasonable

Gospel could penetrate, horizontally, the secular

behaviour appropriate to rational human beings)

kingdom.

assisted the development of the 'common good' (a coincidence, driven by justice, of individual good and the good of the community), 'distributive just­

In the modern period

ice' (proportionality of the status of members to the

In Christendom there had been no secular, only a

community), the 'principle of subsidiary function'

single community of priesthood and kingdom. But

(that state power must be used not to displace

once the secular as a domain was instituted by

initiative but to enable lesser communities and in­

scientific rationality and political pretension, and

dividuals to be themselves) and 'the right to private

then recognized by the Christian religion, the

property'.

sacred became privatized and spiritualized. In

The elaboration of Christian social theory in this

relation to Christian social theory, SECULARIZATION

philosophical form, while taking the motives for

created

action from theology, has had the practical advan­

Hobbes and Spinoza established autonomous social

the

conditions

tage of making this teaching accessible to those not

theory;

sharing Christian beliefs, which has proved appro­

grounds.

independent,

in

that

which Is,

of

Grotius, theological

priate in present-day pluralist society. This ac­

The challenge was a serious one, since (as John

counts for the insistence in recent papal social

Milbank says) Christian social theory must be

teaching that the writings are for all people and

either an application of a theology or social ethic

not just Catholic believers. While the unifying principle of natural law made

which, as a metadiscourse, positions secular discip­ lines; or else it is positioned, itself, by secular

it possible, in the Catholic style of Christian social

reason. In the face of this challenge, Christian social

theory, to mediate between the world of religion

theory has tended to accept that social sciences

and the sociopolitical arena, it also led to confusion

carry out fundamental readings of reality, which

in which the ecclesiastical authorities, in the name

may be handed on to theology or social ethics.

of the church, became earthly rulers, while secular

The

powers claimed authority in matters spiritual.

Troeltsch, in his monumental work,

agenda

is

set

by

secular

reason.

Ernst

Luther's solution was to propose, after the style of

The Social Teaching of the Christian Churches (1911) argued

Two Cities, a doctrine of the Two

that this experience should be accepted and that

St Augustine's

Kingdoms, which became the first Protestant

Christian social theory should seek to establish

understanding of a political ethic. The two king­

some coherence with secular rationality. In the

doms are Church and State, the latter being made

conclusion to his work he pointed out that the

74

CINEMA

application of the Gospel's spiritual ideal 'cannot be

social theology, they limit themselves to interpret­

realized within this world apart from compromise'.

ations of the remainder.

He went on to conclude that,

A radical challenge to all existing forms of Chris­ tian social theory has recently been posed by John

Nowhere does there exist an absolute Christian

Milbank

( 1990), who argues that theology itself is a

ethics, which only awaits discovery; all that we

sociology. Christian social theory, he maintains, has

can do is to learn to control the world-situation

put itself in a weak position by making itself de­

in the successive phases just as the earlier Chris­

pendent on scarcely validated secular theories and

tian ethic did in its own way. There is no absolute

by abandoning its own strength as a specific social

ethical transformation of material nature or of

theory. It may legitimately claim to be a sociology in

human nature; all that does exist is a constant

the sense that it is a description of the entire PRAXIS

wrestling with the problems which they raise.

(content, narrative, practice and doctrine) of a par­ ticular community, and in that it provides a specific

Christian social theory's terms of compromise,

account of the final causes at work in human his­

in the case of challenge from secular political

tory. In respect of methodology, this theory should

theory, was to accept the autonomy of politics;

pay more attention to 'insider' understandings of

and, in the case of political economy, to acknow­

the social implications of Christian praxis, and be

ledge a rational market. The consequences for

less dependent on 'outsider' perceptions. This is

Christian social theory have been, in the first in­

not to exclude the importance of outsider under­

stance, to incorporate a tame political theory which

standings, but only to emphasize that Christian

accepted a balance of power between autonomous

social theory cannot be reduced to any exact reading

orders; and, in the second, to embrace a benign

of the historical and social context, but must in­

consensus about the free market as some final eco­

clude a 'speculative moment' (as Milbank calls it)

nomic form.

which apprehends doctrinal elements and conse­

Two recent forms of Christian social theory have been developed in an attempt to break with received

quent propositions of a distinctive sociotheological nature.

styles of political and economic thought. 'Political

In conclusion, Christian social theory, from one

theology', which may be defined as a critical cor­

point of view, must be in continuity with certain

rective to the tendency of contemporary theology

aspects of antique ethics. From another point of

to concentrate on the private individual, has chal­

view, it must go beyond antique ethics by reason

lenged the political tendency of modernity to erect a

of the need for a content of specific virtues and of its

direct relationship between the sovereign state and

being a theory about a distinctive community with a

the 'private' individual, which thus cuts out all

particular praxis.

middle associations. The communitarian elements in Christian social theory, presented in the form of subsidiarity (in Catholic social teaching) and in 'sphere sovereignty' (in the Reformed tradition) argues for the devolution of power to appropriate intermediary levels. The second contemporary form is LIBERATION THEOLOGY, which has tried to recover the social meaning of the Gospel for Third World countries engaged in the struggle for justice. It has drawn selectively on Marxist analysis, but many commentators are doubtful if this analysis can be used without also accepting the

Reading Bonino, J. M. 1983: Towards a Christian Political Ethics. Boswell,J. 1990: Community and the Economy: a Theory of

Public Co-operation. Milbank, J. 1990: Theology and Social Theory: Beyond

Secular Reason. Phan, P. C. 1984: Social Thought: Message ofthe Fathers of

the Church. Troeltsch, E. 1911 (1981): The Social Teaching of the

Christian Churches. Viner,J. 1978: Religious Thought and Economic Society.

FRANCIS

materialist interpretation of history. In general, it

P.

MCHUGH

may be said of political and liberation theologies This refers to the technologies and in­

that they have, after the restricted style corn­

cinema

mended by Troeltsch, to appropriate some existing

stitutionalized practices through which films, and

form of social theory (from Marx, say, or Haber­

especially fictional narrative films, are produced,

mas), along with the secularization which these

distributed, exhibited and consumed. Although

usually entail, and then, in their social ethics or

techniques for producing the illusion of moving

CINEMA

75

images have long been known, cinema as such only

mount, MGM, Fox, Warner Bras and RKO) had

just predates the twentieth century. Thomas Edi­

achieved a remarkable degree of vertical integration

son took out patents on the Kinetograph and the

across production, distribution and exhibition.

Kinetoscope in 1891, and it was in the mid-1890s

This was only broken, partially at least, by the

that companies like Mutoscope in the USA and

combined impact of antitrust legislation and the

Lumiere Brothers in France began to put on film

arrival of television after World War II. From

shows for audiences in vaudeville theatres and other

then on, Hollywood has been in a state of economic

public spaces.

flux.

In the early years of the new century, cinema

To compete with Hollywood's global hegemony,

began to emerge as a mass medium in the USA as

other cinema industries have had either to ape its

storefront exhibition theatres - the nickelodeons -

output or to offer alternative genres and styles. The

provided cheap entertainment for a proletarian,

Expressionism of directors like Fritz Lang, Georg

urban, and largely immigrant audience. In 1908,

Wilhelm Pabst and Friedrich Murnau in the 1920s

ten leading film producers and manufacturers of

was in part an attempt by German studios to iden­

cameras and projectors formed a cartel, the Motion

tify a niche in the international market. And even

Picture Patents Company, to milk the young indus­

while Sergei Eisenstein, Lev Kuleshov and Dziga

try for profit by exploiting their patents on the

Vertov were undertaking their radical innovations,

technologies of cameras, printers and projectors.

the great majority of films actually being screened

They succeeded in convincing bankers to invest in

in the Soviet Union were Hollywood imports. Still,

cinema, and in creating a nationwide distribution

the idea of a 'national cinema', the authentic voice

market. Nevertheless, they failed to withstand the

through which a country supposedly speaks itself,

challenge of independent producers who, far from

has often had a greater cultural significance than the

the Trust's New York base, were making films

marginal box-office success of the films produced

around Los Angeles, especially in Hollywood.

would indicate. Other examples would include the

These producers, the architects of the studio

British documentary movement of the 1930s, the

system, exploited the advantages of the West

neo-Realist cinema which attempted to articulate a

Coast: cheap land, a temperate climate, varied land­

new Italian identity in the wake of fascism and

scapes for use as locations, and non-unionized

defeat, and, increasingly in recent years, a variety

labour. Rather than selling film by the metre, they

of Third World cinemas. (See also SociOLOGY OF

offered for rent longer narratives featuring familiar

ART.) There have also always been forms of film­

fictional figures and then, increasingly, named star

making less concerned with box-office popularity

performers. They also gained control of film distri­

than with film's potential as a medium for avant­

bution domestically and- thanks to the devastation

garde experimentation or as a tool of radical polit­

of the European industry by World War I - glob­

Ics. Theories about the aesthetic possibilities of film

ally. It was also during the second decade of the

and the social functions of cinema began to appear

century that the norms of the classical Hollywood

within a couple of decades of the first commercial

style were established. Techniques were developed

exhibition of movies. In 1916, for example, the poet

to reproduce the conventions of character motiv­

Vachel Lindsay proposed a Whitmanesque soci­

ation and narrative development familiar from

ology of cinema as an element in an emerging

the

'hieroglyphic' American democracy, and the Har­

framing of shots and use of close-ups were all

vard philosopher Hugo Mi.insterberg offered the

existing

popular forms.

Editing,

lighting,

used to produce a coherent and plausible story for

first account of the mental dynamics of film specta­

the spectator, an illusion of actions unfolding

torship. Ever since then, theorists have attempted

within a unified space over continuous time.

to define the unique nature of film as an aesthetic

This style of film-making lent itself to industrial

medium and also to specify its actual and potential

efficiency, with one producer overseeing the most

social functions. Often the two aspects have been

economic deployment of labour, sets and equip­

linked, as by the Soviet theorists and film-makers in

ment across several films simultaneously. This

the 1920s. Against Eisenstein's theories of montage

Taylorized system was little affected by the coming

as the key to the cinematic experience, Andre Bazin

of recorded sound and dialogue in the late 1920s. By

constructed a widely influential ontology of film.

then, the five major Hollywood studios (Para-

He argued that film is (or should be) above all an art

76

CITIZENSHIP

of reality, a medium with a unique capacity for

a distinctive character. First, formal citizenship is

reproducing the experience of an innately ambigu­

now almost universally defined as membership of a

ous reality.

nation-state. Second, however, substantive citizen­

In the 1960s and 1970s, cinema became the focus

ship, defined as the possession of a body of civil,

of an extremely lively set of debates that drew on

political and especially social RIGHTS, has become

SEMIOTICS, structuralism and poststructuralism,

increasingly important.

Althusserian Marxism and Lacanian psychoanaly­

In both these aspects there has been a process of

sis. Cinema was theorized as an apparatus: that is, as

development during the twentieth century, and

technologies deployed to cultural and ideological

most markedly since World War II, which poses

ends, and at the same time as a specific disposition

some new questions. Formal citizenship became a

of semiotic techniques that address the dynamics of

more central issue following the massive post-war

desire and fantasy. Cinematic spectatorship was

immigration to Western Europe and North Amer­

seen as both a determinant and a consequence of

ica, which resulted in a new politics of citizenship

that apparatus. Theorists like Jean-Louis Comolli,

(Brubaker, 1992). At the same time there has been a

Jean-Louis

Stephen

growth of 'dual citizenship', in spite of inter­

Heath and Laura Mulvey attempted to demon­

national efforts to diminish it, where immigrants

strate how the symbolic codes of dominant cinema

retain citizenship in their country of origin (Ham­

simultaneously deploy and mask strategies of spec­

mar, in Brubaker, 1989), and in a different form in

tator positioning. Hollywood's 'invisible' narrative

the

techniques, they held, offer the spectator a position

member states will eventually have a second citi­

of imaginary coherence and omnipotence, the illu­

zenship in the EC.

Baudry,

Christian

Metz,

European

Community

where

citizens

of

sion of a unified, transcendental subjectivity. That

The development of substantive citizenship was

is why cinema can be seen as a paradigm for the

analysed in a classic study by T. H. Marshall in

mechanisms of IDEOLOGY, particularly as they

1950 (reprinted in Marshall, 1992), which depicted

relate to questions of sexual identification and

a sequence of the extension of civil, political and

difference. That model has since been challenged,

social rights to the whole population of a nation. In

on both historical and theoretical grounds. Never­

Western Europe after 1945 it was the growth of

theless, it did successfully identify the dual import­

social rights -the creation of a WELFARE STATE -

ance of cinema. It has been a key global industry.

which produced the greatest changes, establishing

Above all, though, through its mass dissemination

more collectivist and egalitarian principles and pol­

of fantasy scenarios, it has been the decisive archi­

icies which counteracted to some extent the inegali­

tect of popular imagination in the twentieth cen­

tarian tendencies of the capitalist economy. The

tury.

situation was different, however, in Eastern Europe

See also MASS CULTURE; MASS MEDIA.

where the communist dictatorships severely cur­ tailed civil and political rights at the same time as they provided a considerable range of important

Reading Andrew,J. D. 1976: The Major Film Theories. Bordwell, D., Staiger, J. and Thompson, K. 1985: The

social rights. The opposition movements which finally brought about the collapse of these regimes did in fact emphasize very strongly the idea of

Classical Hollywood Cinema. Hansen, M. 1991: Babe/ and Babylon: Spectatorship in American Silent Film.

citizenship as embodying basic civil and political rights, and also the related conception of a neces­

Pen1ey, C. ed. 1988: Feminism and Film Theory.

sary independence of the institutions of CIVIL SOCI­

Rosen, P. ed. 1986: Narrative, Apparatus, Ideology.

ETY from the state.

Sitney, P. A. 1974: Visionary Film: the American AvantGarde Film.

JAMES DONALD

Another general question concerns the relation between the rights and the duties of citizens. The revival of ideas of citizenship in the European Re­ naissance drew largely upon the example of Roman

Ideas of citizenship have flourished

citizenship, emphasizing self-discipline, patriotism

in several historical periods-in ancient Greece and

and concern for the common good; and such con­

citizenship

Rome, in the towns of medieval Europe, in the

ceptions are clearly still important for the further

Renaissance

citizenship,

development of citizenship in the twentieth cen­

though influenced by such earlier conceptions, has

tury, with 'patriotism' perhaps transmuted into the

cities - but

modern

CIVIL SOCIETY idea of greater popular participation in the business

77

Ferguson's Essay on the History of Civil Society

of government, not only of a national community

(1767); but what they were in fact doing was making

but also of wider regional associations. Participation

the analytical distinction that was soon to transform

of this kind, however, depends crucially on the

the meaning of the concept.

growth of social rights to provide a sufficient gen­ eral level of economic wellbeing, leisure and educa­

It is to Hegel that we owe the modern meaning of the concept of civil society. In the Philosophy of

tion, and no doubt also on new formulations of what

Right (1821), civil society is the sphere of ethical

is the 'common good' (see ET HICS).

life interposed between the family and the state.

Reading

content of civil society as largely determined by the

Brubaker, W. R. ed. 1989: Immigration and the Politics of

free play of economic forces and individual self­

Following the British economists, Hegel sees the

Citizenship in Europe and North America.

--1992: Citizenship and Nationhood in France and Ger­ many.

King, D. 1987: The New Right: Politics, Markets and Citizenship.

Marshall, T. H. and Bottomore, T. 1992: Citizenship and Social Class.

Miller, D. 2000: Citizenship and National Identity. Turner, B. S. 1986: Citizenship and Capitalism. TOM BOTTOMORE

seeking. But civil society also includes social and civic institutions that inhibit and regulate economic life, leading by an ineluctable process of education to the rational life of the state. So the particularity of civil society passes over into the universality of the state. Marx, though acknowledging his debt to Hegel, narrowed the concept of civil society to make it equivalent simply to the autonomous realm of pri­ vate property and market relations. 'The anatomy

civil society

This is an old term, common in

of civil society', he said, 'is to be sought in political

European political thought up to the eighteenth

economy.' This restriction threatened its useful­

century. In this traditional usage, it was a more or

ness. What need was there for the concept of civil

less literal translation of the Roman societas civilis

society when the economy or simply 'society' - seen

and, behind that, the Greek koinonia politike. It was

as the effective content of the state and political life

synonymous, that is, with the state or 'political

generally - supplied its principal terms? In his later

society'. When Locke spoke of 'civil government',

writings Marx himself dropped the term, prefer­

or Kant of burgerliche Gesellschafi, or Rousseau of

ring instead the simple dichotomy 'society-state'.

etat civil, they all meant simply the state, seen as

Other writers too, and not only those influenced by

encompassing - like the Greek polis - the whole

Marx, found less and less reason to retain the con­

realm of the political. Civil society was the arena of

cept of civil society. The 'political society' of Alexis

the politically active citizen. It also carried the sense

de Tocqueville's Democracy in America (1835-40)

of a 'civilized' society, one that ordered its relations

recalled the earlier sense of civil society as educa­

according to a system of laws rather than the auto­

tion for citizenship; but Tocqueville's example did

cratic whim of a despot. The connection of citizenship with civil society

little to revive the fortunes of what was increasingly regarded as an outmoded term. In the second half of

was never entirely lost. It forms part of the associ­

the nineteenth century

ation that lends its appeal to more recent revivals of

disuse.

'civil

society' fell into

the concept. But there was a decisive innovation

It was left to Antonio Gramsci, in the writings

in the second half of the eighteenth century that

gathered together as the Prison Notebooks (1929-

broke the historic equation of civil society and the

35), to rescue the concept in the early part of this

state. British social thought was especially influen­

century. Gramsci, while retaining a basic Marxist

tial in this. In the writings of John Locke and Tom

orientation, went back to Hegel to revitalize the

Paine, Adam Smith and Adam Ferguson, there was

concept. Indeed he went further than Hegel in

elaborated the idea of a sphere of society distinct

detaching civil society from the economy and allo­

from the state and with forms and principles of its

cating it instead to the state. Civil society is that part

own. The growth of the new science of political

of the state concerned not with coercion or formal

economy - again largely a British achievement -

rule but with the manufacture of consent. It is the

was particularly important in establishing this dis­

sphere of ideology or 'cultural politics'. The insti­

tinction. Most of these writers continued to use the

tutions of civil society are churches, schools, mass

term civil society in its classical sense, as in Adam

media,

trade

unions

and

other

organizations

78

CIVILIZATION

through which the ruling class exercises 'hegem­

Gellner, E. 1996: Conditions of Liberty: Civil Society and Its Rivals.

ony' over society. By the same token it is also the arena where that hegemony is challengeable. In the radical decades of the 1960s and 1970s, it was Gramsci's concept of civil society that found favour with those who attempted to oppose the ruling structures of society not by direct political confron­

Hall, J. ed. 1995: Civil Society: Theory, History, Comparison. Keane, J. ed. 1988: Civil Society and the State: New European Perspectives. Kumar, K. 2001: 'Civil Society', in Kumar, 1989: Revo­ lutionary Ideas and Ideals.

tation but by waging a kind of cultural guerilla

KRISHAN KUMAR

warfare. Culture and education were the spheres where hegemony would be contested, and ended.

civilization

From the Latin civis, city, the term

New life was also breathed into the concept by

civilization explicitly concerns the CULTURE of

the swift-moving changes in Central and Eastern

cities, something of which Karl Marx reminded us

Europe in the late 1970s and 1980s. Dissidents in

when he stated that the seat of ancient civilization

the region turned to the concept of civil society as a

was the city (Grundrisse, 1857-8), and that what

weapon against the all-encompassing claims of the

Aristotle meant by zoon politikon was simply that

totalitarian state. The example of Solidarity in

man is a town dweller (Capital, vol. 1). Max Weber,

Poland suggested a model of opposition and regen­

following up Marx's insight, analysed the city

eration that avoided suicidal confrontation with the

under four aspects: the city as a geographical or

state by building up the institutions of civil society

spatial entity or locale; the city as a market, or

as a 'parallel society'. In the wake of the successful

merchant city for producers; the garrison city; and

revolutions of 1989 throughout the region, the con­

the consumer city, which lives off the court. The

cept of civil society gained immensely in popular­

ancient city of the hop lite soldier was characterized

ity. To many intellectuals it carried the promise of a

by civil rights granted as the quid pro quo for

privileged route to the post-communist, pluralist

military service, but the medieval city enjoyed

society, though they were vague about the details.

what rights to self-regulation of the city and its

Western intellectuals too were enthused anew with

trade it enjoyed precisely by virtue of immunity

the concept. For them it suggested a new perspec­

from garrison duty (Weber, 1921-2, chapter on

tive on old questions of democracy and participa­

'The city').

tion in societies where these practices seemed to have become moribund. Civil society, it is clear, has renewed its appeal. As in the eighteenth century, we seem to feel once

Ancient civilization literally controlled the hin­ terland from the city; the ancient cities of Mesopo­ tamia,

for

instance,

actually

enclosed

date

plantations and fields, which were farmed by

more the need to define and distinguish a sphere of

urban entrepreneurs with venture capital and

society that is separate from the state. Citizenship

slaves, within the city walls, which is why they

appears to depend for its exercise on active partici­

were so extensive. This situation was reversed

pation in non-state institutions, as the necessary

only in the European Middle Ages when, as Max

basis for participation in formal political institu­

Weber tells us, the seat of landed property coin­

tions. This was Tocqueville's point about Ameri­

cided with the locus of power - in the countryside­

can democracy; it is a lesson that the rest of the

and towns existed mainly as markets for the ex­

world now seems very anxious to take to heart.

change of the surplus produced by nobles on their

Despite considerable disagreement on the meaning

large estates.

of the term, and even more on what precisely needs

Weber's distinction between the ancient econ­

to be done to nurture civil society, civil society has

omy and the bourgeois mode of production, like

entered the vocabulary and thinking of scholars,

Marx's, rests then on a distinction as much regional

statesmen and journalists across the world, to an

as

extent unthinkable a generation ago.

urban, entrepreneurial littoral or riverine cultures

chronological,

between

the

densely

settled

of the Mediterranean basin and the decentralized, Reading Alexander,]. C. ed. 1998: Real Civil Societies: Dilemmas of Institutionalization. Arato, A. and Cohen,J. 1997: Civil Society and Democratic Theory.

agrarian life of the Germanic and Celtic tribes organized in patriarchal families. The first was city-based political civilization in the literal mean­ ing of the term, as founded on the polis, or city; the second economic in the literal sense, from oikos or

CIVILIZATION family, the economy of extended households. The

79

empire, a transition that the Greek polis, for in­

Weberian distinction between economic and polit­

stance, never made (Mann, 1986), was a function

ical man, made in this way, is assumed by the

precisely of the following developmental compe­

political philosopher Hannah Arendt, who un­

tencies:

favourably compares modern society based on the economy of collective housekeeping with the ideal

Impersonal government administered by a

of the classical citizen, and by Gunnar Myrdal

bureaucracy;

(1953), who made a study of the development of

2

The conception of man as citizen;

the economy of collective housekeeping.

3

Forms of political representation;

A tradition of post-modern criticism flourished

4

The creation of an economic surplus;

in Germany from the late nineteenth century, in­

5

A monetarized economy, accompanied by the institutions of credit, commercial law, trade

cluding works on the decline of the West by Oswald

treaties and international laws of contract;

Spengler (who had a British counterpart in Arnold Toynbee) and, later, members of the Frankfurt

6

A standing army, equipped with advanced

school, especially Theodor Adorno, Max Horkhei­ mer and Herbert Marcuse. Sigmund Freud's Civ­

military technologies; 7

Social stratification along functional lines,

ilization and its Discontents (1930) may also be read

comprising classes of farmers, artisans, mer­

more specifically as a work about urban culture or

chants, an administrative elite and priestly

civilization in the literal sense, his notion that civil­ ization lives off repression, channelling sublimated

caste; 8

The concept of nature as governed by rational

sexual energy into cultural projects, being exem­ plified in the great artistic monuments and the

laws; 9

Institutions for the acquisition, organization

elaborately constructed cultures of the city ancient and modern. In some respects Freud's critique of

and dissemination of knowledge; and 10

The development of writing and basic sciences of mathematics, geometry, astronomy, naviga­

civilization - in terms of the costs to individual gratification, the unequal division of the economic

tion, architecture, engineering and highly de­

surplus, the psychoses and neuroses produced by

veloped skills in construction, metalworking,

the propensity to compare and the economic and

pottery,

social competition to which civilization gives rise -

(Drucker, 1979; Mann, 1986)

textiles,

sculpture

and

painting.

builds on a long tradition of the critique of civiliza­ tion that we find in the 'four stages' theory of

Much reinterpretation of this sort has taken

civilization. It has its roots in Stoic thought and

place in the twentieth century. To take the case of

was developed in the Enlightenment by Rousseau,

Sumeria,

Diderot and members of the Scottish Enlighten­

1976; Kramer, 1963; Oppenheim, 1969) now sug­

ment, Adam Smith and Adam Ferguson.

gest that city-states like those of Lagash were ad­

Across several disciplines now scholars have ob­

ministered

scholars

by

(Diakonoff,

parallel

1974; Jacobsen,

temple

and

palace

served certain shortcomings in the received histor­

bureaucracies, agents of each required to counter­

ical canon which posits an evolutionary schema

sign shipments in and out of the state granaries, for

from primitivism to polis to modern (Western) civ­

instance (Oppenheim, 1969, pp. 7 ff.). The consid­

ilization, the states of the East constituting a re­

erable lands of the city comprised palace and temple

sidual category. Studies in Assyriology, Iranology,

complexes and their holdings; noble estates and the

Egyptology, among area specialities, disclose highly

lands of commoners were organized in 'patriarchal

developed ancient civilizations which exhibited

clans and town communities', whose property

considerable technological competence. More dis­

could be bought and sold by chosen family repre­

quieting still is the fact that economic and technical

sentatives in transactions for which, around 2400

competencies were accompanied by the full array of

BC,

social and cultural traits that we associate with

mer, 1963, pp. 75-7). Corresponding to these, now

we already have documentary evidence (Kra­

'development' as it is currently conceived (see also

classic, property divisions was a surprisingly con­

DEVELOPMENT AND UNDERDEVELOPMENT) . The cap­

ventional division of political power. By 2300

acity of the 'irrigation societies', so called, of an­

evidence exists for a bicameral assembly in Lagash,

BC

cient Sumeria, Mesopotamia more generally, Egypt

the upper house of which was controlled by the

and China to make the transition from city-state to

nobility, the lower house confined to commoners,

80

CIVILIZATION

access being granted on property qualifications.

theories of 'oriental despotism', for instance, on the

Magistracies, appointed on an annual basis, were

control of water. But, contary to these assumptions,

rotated among an isonomous elite constituted by

ancient Egypt was in its early history also charac­

the judicial, administrative and merchant classes

terized by independent city-development (Bietak,

(Oppenheim, 1969). Lagash has the honour of

1979; Trigger, 1983, pp. 40, 48), private and noble

recording in its annals the first known use of the

patronage systems (Kemp, 1983, pp. 83-5), and a

word 'freedom' (Kramer, 1963, p. 79), celebrated in

high level of individualism as attested by the per­

the Urukagina Reform Document of around 2350 BC

in terms strikingly reminiscent of Solon's sei­

sonal signatures of artists to works as early as the Pyramids ofGiza (Drucker, 1979, p. 44).

sachtheia nearly 1,800 years later. Freedom meant

It is not necessary to list in detail the techno­

precisely protection against the predations of the

logical accomplishments of ancient Mesopotamia

palace tax collector, as well as redress of adminis­

and Egypt. It is worth pointing out, however, that

trative abuses by the 'ubiquitous and obnoxious

each of the instances Max Weber gives in his pref­

bureaucracy' of the temple, U rukagina (like Solon

ace to The Protestant Ethic and the Spirit of Capital­

later) promising release of those imprisoned for

ism (1904-5) for the administrative, scientific and

debt bondage.

technical superiority of the West over the East is

Some of the best evidence we have for govern­

erroneous. So ubiquitous are assumptions of West­

ment by an impersonal bureaucracy is yielded by

ern development and Eastern underdevelopment

the third-millennium Mesopotamian site of Ebla,

that a thinker who spent a good deal of his life

in the form of some 20,000 clay tablets. A prosper­

writing about Eastern systems felt no need to

ous city of some 260,000 people, Ebla was ruled by a

check his facts. He claims that Babylonian astron­

king, a council of elders and some 11,700 bureau­

omy lacked a mathematical basis, neglecting to

crats whose ledgers, daybooks and inventories ac­

mention also the invention of geometry as Egyptian

count for some 13,000 clay tablets (Bermant and

(cf. King, 1978, 1980); he claims that Eastern legal

Weitzman, 1979; Matthiae, 1980). Further evi­

traditions lacked the systematic quality of Roman

dence for bureaucratically administered rule of

and canonical law - whereas, in fact, Roman Law is

LAw is to be found in the provisions of a series of

derived from the law-codes of the Eastern prov­

codifications of the common law of the area, from

inces, codified by those Easterners, Papinian and

the Ur-Nammu Code of 2050

Ulpian from the Beirut school of law (cf. Cumont,

BC

up to and includ­

ing the famous Hammurabi Code. The code ofUr­

1911; Driver and Miles, 1952-5). Weber (1904-5)

Nammu upheld the rights of orphans, widows and

further claims that 'though the technical basis of

small landholders against powerful 'grabbers of

our architecture came from the

property'. It undertook regulation of the market­

Orient lacked the solution to the problems of the

Orient ... the

place by the introduction of standard weights and

dome' - quite the contrary, the Orient provided

measures, instituting a schedule of fines for in­

the solution not only to the problem of the dome,

fringement against the laws of fair trade, in line

but also of the arch. On the subject of the compil­

with other codes for the area, including the Hittite.

ation and dissemination of knowledge, Weber

Court proceedings for the period record litigation

claims

regarding 'marriage contracts, divorces, inherit­

to those of China and Islam, 'superficially similar',

ance, slaves, hiring of boats, claims of all sorts,

but lacking 'the rational, systematic and speciali­

pledges and such miscellaneous items as pretrial

zed pursuit of sciences with trained and specialized

that

Western

universities

are

superior

investigations, subpoenas, theft, damage to prop­

personnel' - he neglects to point out that Islamic

erty, and malfeasance in office' (Kramer, 1963, pp.

universities like al-Azhar were older than those

8 4-5).

of the West, which did not begin life as scientific

In ancient Egypt, too, although it was perhaps a

institutes either. Evidence for the early existence of

less litigious society, property transactions were a

medical and law schools, to which women were also

document-ridden affair, asset dossiers comprising

admitted, dates in fact to the third-millennium Ebla

every piece of paper associated with a given piece of

site, which also furnishes lists of precious metals,

property (Lloyd, 1983, p. 314; Pestman, 1983).

minerals and other scientific information (Bermant

Ancient Egypt is often painted as the archetypal

and Weitzman, 1979, pp. 153-5). Weber goes on to

centralized state, based, according to the Marxist

claim, rather surprisingly since this is his special

theory of 'the Asiatic mode of production' or later

subject, that it is an accomplishment of the West to

CLASS staff its bureaucracies with a specially trained

organization of officials. More startling still is his claim that the organization of labour based on freedom to contract is a triumph of the West. But stipulations regarding freedom to contract are to be found in the earliest known Mesopotamian law codes, the Hammurabi Code, for instance, including extensive

treatment

of

both

agricultural

and

commercial labour contracts regarding rates of hire, offences and liabilities involving oxen, hus­ bandmen, agricultural implements, graziers, shep­

81

Reading Braudel, F. 1979 (1983): The Wheels of Commerce: Civil­

ization and Capitalism. Elias,

N. 1939 (1978-82):

The

Civilizing Process,

2

vols. Vol. 1: the History of Manners; vol. 2: Power and

Civility. Mann, M. 1986: The Sources of Social Power, vol. 1: A

History ofPower from the Beginning to AD 1760. Oppenheim, A. L. 1969: Mesopotamia- land of many cities. In Middle Eastern Cities: a Symposium on Ancient

Islamic and Contemporary Middle Eastern Urbanism, ed. lra M. Lapidus.

herds, wagons and seasonal workers and wages

Trigger, B. J. 1983: The rise of Egyptian civilization. In

and rates of hire for craftsmen (Driver and Miles,

Ancient Egypt: a Social History, ed. B. J. Trigger and

1952-5).

B. Kemp.

If the division and specialization of labour are indices of the level of development of civilizations,

Weber, M. 1921-2: Economy and Society: an Outline of

Interpretive Sociology, chapter on 'The city'.

PATRICIA SPRINGBORG

premodern societies rated high, ancient Rome recording

some

150 professional corporations,

medieval Cairo some 265 manual occupations, 90

class

types of banking and commerce specializations, and

groups

around the same number of different 'professionals,

economic goods and/ or preferential division of

officials,

religious functionaries and

In its social sense the term denotes large among

which

unequal

distribution

of

educators'

political prerogatives and/ or discriminatory differ­

(Goitein, 1967, p. 99). By 1801 Cairo had 278

entiation of cultural values result from economic

occupational corporations and by 1901 Damascus

exploitation, political oppression and cultural dom­

had 435 recorded recognized occupations. Such evidence calls into question evolutionary

ination, respectively; all of these potentially lead to social conflict over the control of scarce resources.

and developmental assumptions about economic

In the tradition of social thought, social class is a

PROGRESS and the sequence of modes of production

generic concept utilized in studying the dynamics

underlying

of the societal system in terms of relational rather

nineteenth-

and

twentieth-century

macrohistorical schemas, including those of Marx

than distributional aspects of social structure. In this

and Weber.

sense, classes are considered as not merely aggre­

An interest in the phenomenon of civilization

gates of individuals but as real social groups with

and its dynamics is not confined to the West, and,

their own history and identifiable place in the or­

indeed, the first great premodern analyst, Ibn Khal­

ganization of society. However, the idea that social

dun (1332-1406), described not only the endogam­

classes can be equated with aggregates of individ­

ous life-cycles of civilizations, but the exogamous

uals distinguished on the basis of similar level of

cross-fertilization of nomadic desert cultures and

education, income or other characteristics of social

the sedentary civilizations of the ancient cities.

inequality still persists and leads to confusion of

Study of the city and the full array of characteristics

this concept with SOCIAL STRATIFICATION. There­

we associate with URBANISM- concentrated settle­

fore, the meanings attached to the term social class

ment; internal differentiation into quarters corres­

vary and refer to different types of societal STRUC­

ponding

TURATION. In theoretical and historical sociology

to

occupational

divisions;

specialized

division of labour; functions as industrial and

various types of structuration appear in substantive

market centres; defence and religious functions -

discussions of economic classes, political classes

has emerged in the twentieth century as one of the

and cultural classes.

great subjects of sociological and historical enquiry, with the work of the Frenchmen Henri Pirenne, Henri Lefebvre, Gabriel Baer and Fernand Brau­

Economic classes

del. The relation between civilization and manners

In his general theory of societal evolution Karl

and the court, to take a different tack, has been the

Marx distinguished pairs of antagonistic classes

subject of a fascinating study by Norbert Elias

specific to each period: slaves and masters in an­

(1939).

cient societies, serfs and feudal lords in feudalism,

82

CLASS

capitalists and workers in capitalism. He elaborated

Parkin (1979) suggested several elaborations and

in detail the concept of economic ExPLOITATION of

extensions of Weber's approach to class; Lockwood

workers by capitalists, expressed in terms of surplus

(1958), Goldthorpe (1980) and Runciman (1972)

value. In his view, the relations of economic ex­

conducted empirical research informed by Weber's

ploitation form the basis for the 'superstructure' of

ideas.

the society, namely political and ideological order: 'The executive of the modern state is but a commit­ tee for managing the common affairs of the whole bourgeoisie.' The IDEOLOGY that rules in capitalist

Political classes Gaetano Mosca (1896) formulated a theory of

society justifies and sanctifies the totality of social

'ruling' and 'ruled' classes as groups emerging in

relations which have emerged on the foundation

any society which reached a level above the primi­

of economic exploitation and is functional for

tive. Unequal distribution of power prerogatives is

reproducing them. Marx believed that classes are

a functional requirement and structural necessity.

collections of individuals who, by acquiring the

The existence of the state causes the existence of the

consciousness of common social position and

ruling class. That class is composed of all of those

common fate, are transformed into real social

who play an important role in politics and fulfil

groupings, active in the political arena. He expected

state functions. People who actually rule come

that economic exploitation would lead workers to

from a milieu in each historical period that has the

political revolution, overthrowing capitalist society

resources appropriate to acquiring the expertise to

and clearing the ground for a new, socialist society

rule. Mosca took for granted that, in his society,

without classes.

wealth was essential for a political career.

Max Weber suggested a distinction, at least ana­

Normally, in addition to the ruling class there

lytically, between two separate orders of economic

exists a second, 'lower' segment of society on which

classes: property classes and commercial classes. In

efficient rule depends. This segment may be a

the first, owners-rentiers are the 'positively privil­

middle class or BUREAUCRACY. Moreover, within a

eged class' and debtors- 'declasse' people without

modern political structure several 'social forces'

property, in general- are the 'negatively privileged

emerge. Mosca writes that the military segment

class'. In the second, industrialists belong to the

wishes to rule as well as intellectuals, lawyers,

positively privileged class while workers belong to

teachers, businessmen and workers. He expresses

the negatively privileged class. Weber assumed that

the opinion that good government should incorpor­

the capitalist economic system forms the most fa­

ate all of them into the process of ruling.

vourable background for the existence of 'commer­

Parallel withMosca, Pareto (1916-19) presented

cial classes'. He defines the individual's 'class

his concept of the 'elite' which can be interpreted in

situation' as determined by the opportunities to

class terms. According to him, the 'governing elite'

sell commodities and professional skills. Although

is composed of those who have proven themselves

he does not state it explicitly, his approach to the

best able to rule- that is to capture power and hold

structuration of commercial classes allows investi­

it. 'Circulation' of governing elites is a process of

gators to construct various aggregations of individ­

changing the composition of political classes either

uals into groupings with the same opportunities. In

by force or by peaceful infiltration and coaptation

this sense the boundaries among them seem arbi­

(see ELITE THEORY).

trary. The general ideas ofMarx and Weber have been

The concept of ruling class appears less fre­ quently in discussions of contemporary Western

continuously elaborated, extended and modified.

societies with their democratic political systems

Bottomore (1965) suggested the lasting validity of

than in discussions of contemporary societies with

the fundamental premises of theMarxian theory of

authoritarian rule. In the first case, it appears in the

classes while Dahrendorf (1957) postulated its crit­

theories of new trends in societal development and

ical revision. Roemer (1982) proposed an extension

new strategic groups considered as the agents of

of Marx's concept of economic exploitation, which

those trends. In these theories it is expected that

was utilized by Wright (1985) to construct a new

new classes will deprive the democratic system of

scheme of classes in capitalist society. Poulantzas

its real functions by taking the lead and controlling

(1974) and Wesolowski (1966) presented integrated

the society. These classes may be composed of

theories of 'class domination'. Giddens (1973) and

managers (Burnham, 1941; Gurvitch, 1949), gov-

CLASS

83

ernment bureaucrats (Geiger, 1949), or certain pro­

ture'. In the Weberian perspective, culture may be

fessionals - like planners, organizers, scientists -

seen as an active, integrative force in class-formation

who form alliances with politicians and old-type

processes.

businessmen (Bell, 1974). Theories of totalitarian and post-totalitarian rule

Alvin Gouldner (1979), inspired directly by Machajski,

formulated

a

theory

according

to

in the former USSR and Eastern Europe (cf. To­

which the 'new class' of humanistic intellectuals

TALITARIANISM)

and technical intelligentsia, the class of the bearers

invoke the concept of ruling class in

relation to the top leaders of the communist party

of knowledge, is on the way to social domination.

and high officials of the government who were

Members of the new class are owners of 'cultural

assigned to their posts by the party and held mon­

capital' which exists primarily in the form of higher

opolistic, unlimited and arbitrary power (Djilas,

education. They have begun to replace the 'old

1957; Hegedi.is, 1976). Since both the party and

moneyed class' in the process of social development

the government were organized according to bur­

as well as in the functioning of the postindustrial

eaucratic principles, the rule can be called bureau­

societal system. According to Gouldner, the future

cratic, monoparty rule. In the totalitarian system,

belongs to them, not to the 'working class' as Marx

the power structure controls and directs economic

supposed. Members of the new class will guard

and cultural institutions. Many authors argue that

their own material and non-material interests -

bureaucratic and administrative control of eco­

higher income and higher prestige for those with

nomic processes serve as tools for the exploitation

knowledge - but simultaneously, they will repre­

of workers by political rulers.

sent and promote the interests of the society as a whole, to a much higher degree than any other class

Cultural classes Jan Waclaw Machajski (1904) outlined a theory of future society in which the 'educated class' or 'in­ telligentsia' of bourgeois society gives rise to a new class that dominates manual workers. Writing from an anarchist perspective, he said that the elimin­ ation of capitalists is not enough to change society. Reading Marx's Capital(1867, 1885, 1894) he finds

hitherto known in history. The new class subverts the old-type hierarchy and promotes the culture of critical discourse, but at the same time introduces a new social hierarchy of knowledge. Since it is both emancipatory and elitist, he says, it is a 'flawed universal class'. Integrative versus analytical approach

the thesis that work which is more skilled, hence

Economic classes, political classes and cultural

requiring more education, should be better paid

classes may be conceived of as separate class orders

than work requiring less education. Machajski em­

or as one integrated order comprising three aspects.

phasizes that the Marxist and social democratic

If a theorist views class structure as an integrated

programmes for the future socialist society imply

order, then the important problem for him/her is

the survival of educational inequality and, conse­

how the three aspects produce an integrated whole.

quently, economic inequality.

Marx suggested the causal chain from the base, that

Max Weber indirectly influenced the formation

is economic relations, to the 'superstructure' of

of the concept of cultural class. He proposed that

political and ideological relations. Thus the eco­

we investigate 'status groups' which have de­

nomic class produces other aspects of class. He

veloped a specific style of life. Some status groups

did not ignore the feedback influence of the political

clearly do not belong to class-type phenomena, but

and cultural aspects on the base; nonetheless, eco­

some do, emerging on the basis of common eco­

nomic structure 'in the last resort' determines all

nomic situations or common position within the

class aspects (see

DETERMINISM).

power structure, or both (such as feudal lords):

Mosca seems to be less concerned with causal

'Status groups are often created by property

relations among the three aspects of class than with

classes.' From Weber's writing one can infer that

the problem of the significance of the power aspect

social classes show an affinity to status groups be­

for the totality of social relations. Division into rulers

cause both develop their own culture or style of life.

and ruled is the critical phenomenon in all civilized,

Weber considered the bourgeoisie of rising modern

non-primitive, differentiated societies; therefore, it

towns a 'social class' and attributed to it three

explains more of the global societal system. Among

characteristics: property, citizen's rights and 'cui-

contemporary approaches, Lenski (1966) follows

84

CLASS

Mosca's tradition, although he does not ignore

control over the means of production and labour

Marx. For Lenski there are two main forms of

power are treated as independent, explanatory vari­

power: political power and the power of property.

ables. The class paradigm proves its usefulness if an

What he emphasizes is that in the whole history of

application of a class scheme to a particular popula­

civilization, political power exerts a formative influ­

tion leads to the conclusion that interclass differ­

ence on the distributive system, that is, on the distri­

ences

bution of economic privileges and prestige.

significantly larger than intraclass differences.

respect

to

specified

variables

are

1970)

If social class and social stratification are con­

aims at an integrative approach by suggesting mul­

sidered autonomous categorizations of social struc­

Bourdieu

(1987;

with

Bourdieu and Passeron,

ticausality and interactions in the formation of

ture, one of the empirical questions is the degree of

'social power' as the globalized characteristic of

their interdependence. Are social classes consist­

class. This power is a trajectory of financial, cultural

ently ordered with respect to the formal education,

and social capital possessed by individuals. The

occupational

interaction among these three forms is not prede­

members? Descriptive statistics for various coun­

rank

and

total

income

of

their

termined by any petrified weight of each capital or a

tries demonstrate the validity of the argument of

stable relation between forms of capital. Recently

class theoreticians that, although social class and

he has elaborated the concept of 'symbolic capital'

social stratification have much in common, they

which integrates all other capitals and reinforces the

are

social power of the dominant class in the public

countries the association of the social class of indi­

far from identical.

In Western industrialized

viduals with the components of their social stra­

arena. The analytical approach stresses the autonomy of

tification position - education, occupation and

economic class, political class and cultural class.

income- is strong, albeit leaving substantial room

The premise on which this approach has been

for non-class determinants of social inequalities.

founded is that there are autonomous spheres of

Moreover, the order of social classes on various

life- economy, politics and culture- within which

dimensions of social inequality is not the same.

emerging groupings do not overlap. It is also argued

Owners of the means of production are certainly

that an analytical approach is more appropriate than

at the top on the economic dimension, while intel­

an integrative one for studying modern, as con­

lectuals rank highest on the educational dimension.

trasted with premodern society. This approach

In the middle of the hierarchy, white-collar workers

has its roots in Weber's ideas, although some

usually have higher prestige from their jobs than

impact on its formulation was also exerted by Sor­

small commodity producers have. These kinds of

okin's

(1927) suggestions on

autonomous channels

of social mobility. Among contemporary authors, Lipset and Zetterberg

(1966)

argued for this ap­

proach and suggested separate study of occupa­

rank shifts confirm that social classes represent

discrete categories rather than categories consistently arranged along a multidimensional stratificational continuum (Wright,

1978

and

1985).

tional class, consumption class, social class and

The interest in the social consciousness of classes

power class. However this approach, as well as the

stems from the traditional Marxist distinction be­

analytical approach, has been criticized and their

tween

concept of class contested on theoretical grounds

a common consciousness) and Klasse for

( Calvert,

1982).

Klasse an sich

(class-in-itself, that is, without

sich (class­

for-itself, that is with a common consciousness). For many years it has been observed that members of privileged classes tend to be more openminded,

Social class in empirical sociology

more intellectually flexible and more self-directed

A 'class paradigm' is one of the best established

in their values than members of deprived classes.

aproaches for analysing data on social structure.

Class differences are substantial not only with

on

regard to the content of economic and political

detecting differences among social classes with re­

issues but also with regard to the ways in which

spect to (a) their share of unequally distributed

people think, in terms of level of abstraction. Kahn

Within

this

paradigm,

research

focuses

goods; (b) various attitudes and opinions; (c) polit­

(1969;

ical behaviour and common group-actions; and (d)

that these class differences can be attributed to the

Kahn et al.,

1990)

advanced a hypothesis

the patterns of social mobility. In research practice,

conditions of life, especially in the work situation.

class schemes based on sets of criteria involving

Those who are more advantageously located in the

CLASS

1982;

1981).

85

class structure have greater opportunity to exercise

speech (Touraine et al.,

occupational self-direction; their experience in the

its extreme formulation, class conflicts in these

work situation becomes generalized to other realms

countries have been described as those between

Staniszkis,

In

of their life, psychological functioning included.

owners (those who decide on the use of the means

Essentially, class differences in psychological func­

of production), rulers (those who control the means

tioning are explained by the learning-generalization

of administration and coercion) and ideologues

mechanism. It should be noted, however, that this

(those who control the means of interpretation

interpretation, although psychological in its es­

and inculcation of values) on the one hand and the

sence, is far from a so-called 'subjective interpret­

masses on the other. Because of these generalized

ation of classes'. In the latter case the assumption

class conflicts, Nowak

that people in similar economic circumstances de­

class formation.

(1983) calls socialism a supra­

velop a similar sense of reality leads to the concept

From a theoretical point of view, the degree of

of social classes 'as psychologically or subjectively

intergenerational SociAL MOBILITY is of central im­

based groupings defined by the allegiance of their

portance for class formation since it influences both

members' (Centres,

1949,

p.

210).

In the former

the composition of classes and the continuity or

case, psychological variables are treated only as

change of life experience. For these reasons,

correlates of classes.

among neo-Marxists (Westergaard and Resler,

However, independent of the

interpretation, the differences in the 'psychology of

1975;

class' support the differences in the 'behaviour of

(Parkin,

class', political behaviour in particular.

been made to give the idea of mobility a major role

The relationship between social class and polit­

Bottomore,

1979;

1965) and neo-Weberians 1973) serious efforts have

Giddens,

in class theory. Goldthorpe and his associates

ical behaviour focuses on differentiated class inter­

(1980)

ests defined with respect to the material situation.

theses pertaining to class mobility: (a) the closure

have examined and partly rejected three

In practice, political parties in Western democra­

thesis, according to which in order to maintain their

cies appeal to certain segments of society and seek

advantageous location in social structure, privil­

their support. Studies of voting behaviour have

eged classes apply strategies of social closure/ ex­

routinely found a correlation between the social

clusion against inferior classes; (b) the buffer zone

class position of voters and the party they typically

thesis proposing the division between manual and

vote for. Persons belonging to the ownership and

nonmanual occupations as a fundamental line of

managerial classes are more likely to vote for a party

cleavage within class structure; and (c) the counter­

which stands for protection of business interests

balance thesis which claims that worklife mobility­

and little welfare legislation than are persons

in comparison with social origin -is becoming less

belonging to the working class. Historically, polit­

probable because access to the middle and higher

ical parties have come to represent specific coali­

positions depends more and more on formal educa­

tions of class interests. However, there is some

tion and less and less on training on the job. The

evidence that in Western democracies class voting

critique of these theoretically advanced theses led

has

decreased

(Franklin,

substantially

in

recent

decades

1985).

sociologists to seek complex patterns of class mo­ bility on the basis of data from various countries.

Strikes and revolts are certainly more class-based

They found that the pattern of class mobility is

than voting behaviour in both Western industrial­

essentially the same in all Western industrialized

ized countries and non-socialist developing coun­

countries. Moreover, the pattern of class endogamy

tries. In the countries of Eastern Europe, some

-that is, the degree to which people tend to choose

1953 (East Ger­ 1956 (Hungary and Poland), 1968 (Czecho­ slovakia), 1970 and 1980 (Poland) and those of 1989 may be interpreted in terms of class conflicts not only

- reveal the same pattern of class barriers in the

between the economically deprived and the eco­

economic, political and cultural dimensions of

nomically privileged but also between the ruled

social structure.

aspects of the political revolts of

spouses from social classes similar to their own -

many),

shows little intercountry variation. Class mobility and class endogamy-as well as friendship networks

and the rulers. Since in these countries, economic and political power overlapped to a great extent,

Reading

class conflicts became very generalized and in­

Bottomore, T. B. 1965

volved issues from wage claims to freedom of

Ca1vert, P. 1982:

(1991): Classes in Modern Society. The Concept of Class.

86

CLASSICS OF SOCIOLOGY

Clark, T. N. and Lipset, S. M. eds 2000: The Breakdown of

Class Politics. Giddens, A. 1973: The Class Structure of the Advanced

Societies. Marshall, G. et al. 1988: Social Class in Modern Britain. Ossowski, S. 1957: (1963): Class Structure in the Social

Consciousness. Wright, E. 0. 1985: Classes. Wright, E. 0. 2000: Class Counts.

the one side are so-called 'presentists' (e.g. Nisbet, 1966; Dawe, 1978), who emphasize the perennial and covenantal importance of classic texts to con­ temporary thought, an importance considered to lie in the outstanding contribution they have made to the clarification of themes, dilemmas and problems emblematic of Western culture. On the other side are 'historicists' (e.g. Peel, 197l;Jones, 1977), who:

WLODZIMIERZ WESOLOWSKI and

criticize the anachronistic character of presentist

KAZIMIERZ M. SLOMCZYNSKI

analysis; insist on the need to reconstruct the con­

An oxymoron if ever there

debates to which they are articulated; seek to iden­

was one, this term refers to texts (or authors) that

tify the authorial intentions that animate textual

have assumed an exalted position in sociology as

production; and point to the existence of 'lapsed

vital theoretical contributions to, and as fundamen­

alternatives' (Camic, 1986) in the history of social

tal points of reference for, the discipline as a whole.

thought that a fetishistic attitude to classic works

Classics are texts that are accorded a privileged

effectively obscures.

ventions governing the texts in question and the

classics of sociology

status, which means that 'contemporary practition­

Borrowing extensively from literary theory, a

ers of the discipline . . . believe that they can learn

fourth approach to the classics examines the discur­

as much about their field through understanding

sive and institutional processes through which

this earlier work as they can from the work of their

certain texts and authors acquire classical stand­

own contemporaries' (Alexander, 1989, p. 9). But

ing. Work in this genre is concerned to chart vari­

what is the nature of classical eminence and how

ous dimensions of the reception process: cultural

are classics best understood? Modern discussion

resonance (the ability of a book or essay to attract

of these questions falls under four related ap­

attention through being appealing or controver­

proaches.

sial); textual suppleness (the potential of a text to

First, classics are deemed to perform certain

be read in multiple ways); reader appropriation

functions for sociology: offering some standardiza­

(the willingness of a literary audience to harness a

tion of vocabulary in an increasingly specialized and

text for a particular project or, alternatively, polem­

fragmented discipline; providing touchstones of

ically disavow it); and social transmission and diffu­

excellence to be emulated by neophytes and co­

sion (agencies -groups, institutions, media-that

gnoscenti alike; affording a master heuristic of

promote a text, transporting it to the classical

methods, tools and perspectives for social research;

pantheon) (Levine, et al. 1976; Baehr, 2001).

conferring on ambitious social scientists authorial

Classic texts are also investigated in the context

legitimation (as they link the classics to their own

of conflicting 'coalitions of the mind' fighting to

projects); and giving sociologists a sense of histor­

monopolize an audience's attention space and con­

ical continuity (Coser, 1981; Stinchcombe, 1982).

strained by the law of the small number: the fact

A second approach to classic texts focuses on the

that 'the number of active schools of thought

rhetorical and aesthetic properties they purportedly

which reproduce themselves for more than one

share. Classics, from this vantage point, acquire

or two generations in an argumentative commun­

their status not because their arguments are true

ity is in the order of three to six' (Collins, 1998,

but because their language is seductive; through

p. 81).

various linguistic techniques, they are able to

Finally, one should note that discussion of the

'turn' an audience in a certain direction, exploiting

classics is today often entangled in two other con­

its 'mental map'. It follows that an investigation

cepts: founders (referring to persons - Marx,

into classic texts is simultaneously and irreducibly

Weber, Durkheim and Simmel are invariably in­

a study of the topoi and tropes that enable this

voked as exemplars) and 'canon', a term employed

allurement to succeed (Davis, 1986).

in derisory tones by those who claim that sociology

Third, the study of classic texts raises the ques­

has been, historically, an exclusionary discipline

tion of how they are best comprehended. Two

that marginalized or subdued the voices of women

ideal-typical responses are especially salient. On

and minorities.

87

COERCION

Reading

Column

Alexander, J. 1989: Sociology and discourse: on the cen­ trality of the classics. In Structure and Meaning.

L

R

(Left)

(Right)

Baehr, P. 2001: Founders, Classics, Canons: Modern Dis­

1

putes on the Origin and Nature ofSociology. Camic, C. ed. 1998: Reclaiming the Sociological Classics.

T

The State of the Scholarship. Theory ofIntellectual Change. Merton, R. K. 1968: On the history and systematics of

1

3

Row

0

sociological theory. In Social Theory andSocialStructure. B

PETER BAEHR

coercion

haviour of another by the threat, or actual impos­

0

(BR)

(BL)

(Bottom)

Whenever one party controls the be­

(TR)

(TL)

(Top)

Collins, R. 1998: The Sociology of Philosophies. A Global

3

2

2

ition, of intolerable pain, damage or loss, there is

Gl

coercion. One way to understand coercion, there­ fore, is through the analysis of threats. A threat can be defined as the creation or main­

Column

tenance, by one party (the 'source'), of a negative incentive for some other party (the 'target') to behave as the source wishes. As Schelling

(1960)

L

R

(Left)

(Right)

indicated, against a 'rational' target, a threat, to be

1

successful, must be both adequate (the threatened

T

consequences of non-compliance must be serious prospect from it) and credible (the target must have good reason to believe that in the event of

(TL)

(Top)

enough to outweigh, for the target, the gains in

3 (TR)

1

3

Row

0

0

non-compliance, the threatened consequences will B

ensue). The point is illustrated in the game theory

(BL)

(Bottom)

matrices in the figure. In each matrix one player, Row, chooses between

2

2

Top (T) and Bottom (B) rows and the other,

G2

Column, between Left (L) and Right (R) columns. For each 'outcome' (combination

(BR)

of choices),

Row's payoffs are as in the bottom left-hand corner

Schelling suggests three devices whereby, in a

of the box, and Column's in the top right. The

G2

order of play is that first Row can 'threaten', then

threat's credibility: putting implementation outside

situation, a source might hope to establish a

Column must choose, and finally Row must choose.

its control (for instance, 'threatening' burglars with

Both players are assumed to have full knowledge of

bodily harm by installing a ferocious guard dog);

the facts set out in the matrix.

cultivating a reputation for recklessness ('the ra­

In

if Column can be induced to choose L,

tionality of irrationality') or for always carrying

Row can gain 3 units by choosing T. A threat by

out its threats regardless; and reducing its own

G1,

Row to choose B if Column chose R would be both

payoff

adequate (since Column's payoff for BR is lower

Row's for TR from

than that for TL) and credible (since Row's payoff

into a legally binding commitment to pay a sum to a

for

non-implementation

1 to say- 1 ),

(in

this

case,

either by entering

for BR is higher than that for TR). Schelling calls

third party in that case, or by maximizing the loss of

this a 'warning'. In

face that would result.

G2,

however, though Row's

threat is still adequate (Column is still better off at

The price of such credibility, however, is rigid­

TL than at BR), its credibility is in doubt, since

ity. Row is now less able to adjust to unforeseen

Row now does better not to implement (at TR) than

circumstances. In real life, as Lieberman

to implement (at BR).

pointed out, a threat may be both adequate and

(1964) has

88

COGNITIVE SCIENCE

credible, and yet not advisable, for two kinds of

tivities of a computer, constitutes the conceptual

reasons. First, targets of threats may fail to respond

centre of cognitive science. On the other hand, the

rationally through stress, avoidance of information,

building and investigation of computer programs

or bureaucratic incompetence, and the fact of coer­

intended as working models of cognitive processes

cion may breed resentment or make forbidden fruit

provides a central method of enquiry. The influence and character of the computational

more attractive. with

view of the mind can be seen in the terminology of

Deutsch (1963, p. 111) as 'the ability to afford not

'algorithms', 'data', 'information', 'mechanisms',

to learn', coercion, from the source's point of view,

'modules', 'processes', 'representations', 'syntax'

is the refusal to learn. By imposing the entire

and so on which pervades the literature of cognitive

burden of adjustment and goal changing on the

science.

Secondly,

while

power

can

be seen,

target, the coercing source may thus deny itself information which, by revealing how it needs to

The

computational

approach

to

cogmtwn

emerged in the mid-1950s, the Harvard Centre

adjust its policies or goals, may ultimately be essen­

for Cognitive Studies was opened in 1960, the

tial to its survival. Thus as Gurr (1970), on the basis

journal Cognitive Science appeared in 1977 and the

of a major study of rebellions, concludes, increases

Cognitive Science Society was founded in 1979.

in political VIOLENCE are not usually attributable to

The 1980s saw university courses in cognitive

weakening coercive control. Moreover, even if the

science springing up in the United States and in

ruthless suppression of dissidence does keep rebel­

Europe, and among many publications, a full

lion at bay, a government may thereby lose its

history of the field in Gardner (1985), the first

legitimacy and with it the ability to mobilize its

student textbook in Stillings et al. (1987), a lay­ person's introduction in Johnson-Laird (1988)

subjects' communal spirit. According to recent game-theoretical studies by Robert Axelrod (1984) and Michael Taylor (1987),

and an important collection of papers in Posner (1989).

coercion may not be necessary to keep the peace and

The variety of work done in the field is consider­

ensure the minimum cooperation among members

able, but much of it falls under two general para­

of a social group, even assuming that they are, and

digms. During the early phase of development, the

remain, wholly self-interested. Were these studies

predominant paradigm has been a symbol-process­

shown to be generally applicable to human behav­

ing view of mind, which has come to be known as

iour, the domestic coercive apparatus on which

the 'physical symbol system hypothesis' (Newell

practically all states to some extent rely could, in

and Simon, 1976) or 'classical cognitivism' (Clark,

principle, be abolished.

1989). On this view, cognition consists in the ma­ nipulation, by algorithms or rules, of data which are

See also PoWER.

symbolic, explicit, precise, static and passive in Reading

character.

Gurr, T. R 1970: Why Men Rebel.

An alternative, connectionist paradigm stems

Lieberman, E. J. 1964: Threat and assurance in the con­ duct of conflict. In International Conflict and Behav­ ioural Science, ed. R. Fisher. Pennock,J. R. and Chapman,J. W. eds 1972: Coercion. Schelling, T. C. 1960: The Strategy of Conflict. Tay1or, M. 1987: The Possibility of Cooperation.

RODERICK C. OGLEY cognitive science

A newly formed, interdiscip­

originally from work with computer simulations of neural networks. The 'knowledge' of a connec­ tionist network on a computer consists not in sym­ bolic data and instructions for its manipulation, but in the pattern of'activation values' of the individual units which make up the network, and the'weights' or strengths of connection between them. The cap­ acities of these networks for learning, graceful deg­

linary investigation of cognition and knowledge,

radation (gradual degradation in performance given

this area of science draws principally on cognitive

inaccurate input), generalization and completion of

psychology, artificial intelligence, philosophy of

partial information are thought to indicate fidelity

mind, linguistics and neuroscience.

to natural cognitive processes (Rumelhart and

The computer plays a vital and twofold role in

McClelland et al., 1986; Smolensky, 1988; Clark,

this endeavour. On one hand, the belief that cogni­

1989). The associated view of cognition is of a non­

tion has a computational, information-processing

rule-based activity in which data are represented in

character, bearing important similarities to the ac-

a dynamic, and in some cases a distributed, implicit

COLLECTIVE ACTION

89

and imprecise way. It is also relevant that a hard­

especially Karl Marx and Max Weber, the key text

ware implementation of a connectionist network

in the modern debate is that of Olson

runs in parallel, and so is thought to emulate the

concept of the 'free rider'. In relation to this work a

activity of the brain better than the usual sequen­

number of other contributions have examined how

tial, von Neumann computer architecture.

suboptimal outcomes may result from individuals

The difference and oppositions between these two general approaches to cognitive modelling

(1965) and the

pursuing their own interests and not what would be in their collective interest.

can, however, be exaggerated, and some recent

Olson employs the prisoner's dilemma game in

work has claimed that they are in fact complemen­

order to analyse the nature of collective action. The

tary, and has attempted to combine them in hybrid

contradiction of the game is that if each prisoner

systems.

pursues his/her individual self-interest then they

In the philosophy of mind, considerable atten­

end up with a result that is less satisfactory than if

tion has been given to the plausibility of the com­

they had been able to cooperate and to sacrifice such

putational view of the mind, and to such associated

individual interests. Olson generalizes from this

issues as the 'language of thought hypothesis', 'folk

situation to every organization that attempts to

psychology' and the 'functionalist' answer to the

mobilize large numbers of self-interested individ­

mind-body problem (Lycan,

1990;

Said et al.,

uals. Where the group to be organized is large and where the benefits are collective or public and

1990). In its short history, the 'mind's new science' has

cannot be confined to specific individuals, then

produced a substantive body of work, and in add­

individuals will not join or cooperate unless non­

ition a lively interaction between its component

collective benefits are provided. Without such se­

disciplines. Cognitive science at present has a dis­

lective benefits individuals can 'free ride', gaining

tinctly mechanistic and

the collective advantages of the organization if any

(Winograd and Flares,

'rationalistic' character

1986),

and is not primarily

concerned with such factors as subjectivity, feeling or culture. However, the attribution of a particular

should materialize, but not incurring any of the costs of membership or commitment. Large groups, such as TRADE UNIONS or political

aspects of the mind

parties, are most likely to suffer from the problem of

does not imply that all mental activity is of this

the 'free rider'. In such cases each individual's

type, and the future of cognitive science may

contribution will make little difference to the out­

confirm a plurality of approaches to the mind's

come and there will be an absence of intense small

computational nature to

some

group pressures likely to induce commitment.

many manswns. See also ARTIFICIAL INTELLIGENCE, LINGUISTICS.

Olson argues that members of a social class are particularly likely to 'free ride' since individuals

Reading

will gain the benefits of class actions whether or

Clark, A. 1989: Microcognition: Philosophy, Cognitive Sci-

not they actually participate. It is rational to defect

ence, and Parallel Distributed Processing.

Gardner, H. 1985: The Mind's New Science. Johnson-Laird, P. N. 1988: The Computer and the Mind. Posner, M. 1989: Foundations of Cognitive Science. Rumelhart, D. E., McC!elland, J. L. and the PDP Research Group 1986: Parallel Distributed Processing: Ex­ plorations in the Microstructure of Cognition, 2 vols.

Smolensky, P. 1988: On the proper treatment of connec­ tionism. Be havioural and Brain Sciences 11, 1-74. Stillings, N. A. et al. 1987: Cognitive Science: an Introduc­

from such actions according to Olson. Various refinements and amendments have been added to Olson's rather simple claims. First, many actual organizations are of an altruistic sort and are not based on such obvious self-interest at all. Second, it is doubtful whether 'selective benefits', such as those provided by trade unions to individual members, could explain the enormous diversity and scale of voluntarily joined organizations in most industrialized societies. Third, social life should

tion.

DONALD PETERSON

be seen as iterative. As a result individuals who

The literature has been con­

there are collective benefits which will result from

cerned to establish under what conditions separate

the pursuit of what may appear to be individually

should rationally defect may come to learn that

collective action

individuals will engage in concerted action to

non-rational solutions. Through continued inter­

strengthen or defend their situation. Although

action in certain contexts people may become con­

many social scientists have discussed this question,

cerned and informed about each other and this

90

COLONIAL LIBERATION MOVEMENT

transforms their pattern of preference. Fourth, at­

for legal thinking, a demonstration of how much

tention needs to be paid to the ideologies present

mental capacity had been lying unused in Asia, with

within different societies or parts of a society.

its refined cultures and semi-barbarous political

Where these emphasize INDIVIDUALISM, as in the

life. Lawyers were to play an immense part in

USA, the 'free rider' problem is likely to be more

national movements of the more pacific kind.

acute. Fifth, analysis needs to be provided of how

In India Gandhi, Nehru, Jinnah were all learned

different structural positions, such as capital and

in the law.

wage labour, have different possibilities of collective

The national idea originated in Western Europe,

action in a sense built into them. The social world

and from then on there were always - as there still

does not merely comprise separate individuals but

are- Europeans striving for national independence.

also structures and resources, languages and dis­

When patriots in distant lands began to look round

courses, and these are also relevant to the possibil­

their world they found a ready-made ideology to

ities of collective action, offsetting or transcending

take over, and heroes to emulate like William Tell

the 'free rider' problem.

or Garibaldi. Some of their countries inherited at least an inchoate sense of nationhood, as Vietnam

Reading

did with its tenacious memories of Chinese attacks

Barry, B. and Hardin, R. eds 1982: Rational Man and

Irrational Society.

repelled long years ago. Others, like India and many in Africa, had little or no such consciousness,

Elster, J. 1978: Logic and Society. Lash, S. and Urry,J. 1984: The new Marxism of collective action: a critical analysis. Sociology 18, 33-50. Offe, C. and Wiesenthal, H. 1980: Two logics of collective action: theoretical notes on social class and organ­

though the British occupation of India had stiff regional resistance to overcome. Western rule gen­ erated discontents on one hand, ambitions on the other. Both could lead to a conviction that what was

izational form. Political Power and Social Theory I,

necessary was for a people to form itself into a

67-115.

nation, and move towards freedom.

Olson, M. 1965: The Logic of Collective Action.

JOHN URRY

Such an idea could only dawn first in minds with access to foreign education and example; to gather force it had to expand much wider. Would-be

colonial liberation movement

Colonial rule

leaders had to convince their people that the plight

nowhere brought about any radical social recon­

of most of them was due to foreign injustice. What

struction. Those at the bottom of the pile were apt

was known in Indian nationalist circles early in this

to sink deeper, while the benefits of the new dis­

century as the 'drain theory' (it was originated

pensation went to those already better off. Univer­

partly by British sympathizers) taught that India

sities were set up, holding out opportunities to

was poor because of tribute carried off year by year

those who could enter them, but little was done in

to Britain. This argument and its many parallels

the way of primary education. In all colonies illiter­

elsewhere had an underlying basis of fact, as well as

acy remained the common lot; women continued to

some exaggerations;

be very much the 'second sex'. New elites coming to

equally true, that a great many Indians and others

they

disguised

what was

the front largely derived from older ones, though -

were exploited by their own countrymen. If of

as in modernizing Japan - not from their highest

course these fellow-countrymen sided with the for­

and most fossilized layers.

eigner when it came to a tug of war, their social

There was, all the same, real change, affecting all classes. Novel means of travel and communication

misconduct as well as their unpatriotic attitude could be given due emphasis.

quickened the spread of ideas. Western education

Grievances took many specific forms; they were

opened many windows, if at first only for a few;

all heightened by the psychological impact of for­

colonial peoples were drawn into closer contact

eign rule, the arrogance of the white man and his

with one another, as well as with Europe. New

unconcealed belief in the inferiority of those under

kinds of business activity made their appearance;

his sometimes harsh authority. Too many of those

new professions, like Western-style law, medicine,

with modern qualifications, higher or lower, had to

journalism, gave rise to a modern intelligentsia.

compete for government posts which were always

Within its ranks national consciousness could be

too few, for want of other employment. The more

born, and inspire interest in a nation's history,

highly qualified wanted better positions, civil and

language, culture. India quickly displayed a genius

military, to be opened to them instead of reserved

COLONIAL LIBERATION MOVEMENT

91

for white men. They desired a share in government,

after their conquest, so that British rule could take

modest enough at first. They could find allies

on an aspect of naturalness and permanence. A

among businessmen of the newer sort, learning

generation after the Mutiny feeling of a new polit­

the ways of foreign traders and millowners and

ical sort was stirring, at first within an English­

then aspiring to rival them, as they were doing by

educated elite nourished on English historical

the 1920s in the jute industry in Bengal. It was a

annals, from Hampden to Gladstone. In 1885 the

growing complaint that native industry was not

Indian National Congress was launched, with some

protected by tariffs, as it was in industrializing

British encouragement. It was at first no more

nations in the West.

than an association of public-spirited members of

Lower down, and frequently breaking out in

the small professional elite, with English education

small local revolts or riots, usually quite separate

and ideas, meeting annually to discuss the country's

from any organized national movement, were pro­

needs; little by little it learned to mobilize broad

tests against land taxes paid by peasants, or in

popular support for its proposals, and grew into

some African colonies poll taxes; erosion of custom­

a regular political party, India's first and big­

ary rights on waste lands or in forests; compuls­

gest. Provision of cautious safety valves was the

ory labour, and in some empires, especially the

official response. One was a newspaper press, to­

French,

conscription into the armies that all

lerated though carefully watched. Local govern­

empires raised in their colonies and often made

ment bodies elected on a narrow franchise were

use of abroad, even, during both world wars, in

set up, and subsequently given greater scope;

Europe.

they gave politicians, many of them lawyers,

Resolve to modify and eventually terminate co­

their first foothold. In a non-committal way minis­

lonial rule could either follow a mainly peaceful,

ters let it be understood that India was being

'constitutional' path, or resort to force. Which

trained for self-government in some unspecified

course was taken depended both on a country's

future.

history and social structure and culture, and on

This moderate reformism, respected on both

the attitude of the ruling power. Gandhi's tactics,

sides, on the Indian side was accompanied by loud

with their emotionally religious colouring, were

and not insincere professions of loyalty to the Brit­

peculiar to Hindu India; they could only be prac­

ish connection. Impatience was growing, none the

ticable under a regime as comparatively liberal and

less. All Britain's colonies of white settlement had

restrained as the British. A French or German

been granted self-government: it was a parallel

viceroy at Delhi would have given the Mahatma a

process to the extension of voting rights at home,

much shorter answer. British officialdom had to

and the American revolution had been a warning

harmonize, allowing for some time-Jag, with the

against delay. But Indians could not help asking

trend of opinion at home. There had been grave

why preference over them in this respect should

lapses earlier: in Ireland in 1798, in India in 1857-8

be given to Afrikaners, a very few years after the

during the Mutiny, in Jamaica in 1865. Britons

Boer War when they had been denounced as worse

were infected, it must be added, more than most

than barbarians. Bengal, the oldest British pro­

Europeans with racial prejudice. Still, after 1858 it

vince, was the first to begin erupting, in the years

was only once, in the Punjab in an end-of-war

before 1914, with a boycott of British goods and

hysteria in 1919, that the British in India ran

some limited terrorist activity. Here Ireland was the

amok. The French temper was more militaristic.

model. During the 1914-18 years the National

French authority in Indochina rested too heavily on

Congress both expanded and took on a more radical

the Foreign Legion; in North Africa it lay, notori­

complexion. This reflected wartime pressures on

ously, more with the army of occupation than with

India. Economically there was a boom, which

the government in Paris. Serious opposition could

strengthened the commercial and industrial sec­

take only one form, insurrection.

tors, while high prices and shortages inflicted pain­

The 1857 explosion belonged to an old India

ful hardships on the public. Politically, there was

more than a new, and failed to spread outside the

much talk in the Allied camp of this being a war for

Ganges valley. It did bring Muslims and Hindus

freedom and progress; the setting up at its end of

together, and in this century has been looked back

the League of Nations was supposed by nationalists

on as the starting point oflndian nationalism. Most

in many lands, as far away as Korea, to herald a

provinces however were quiescent for long periods

new age.

92

COLONIAL LIBERATION MOVEMENT Gandhi was now the moving spirit in the Con­

party had expanded, as in Burma, under Japanese

gress, with his tactics of mass mobilization com­

patronage. Discredited by France's collapse early in

bined with non-violence and 'civil disobedience'.

the war, the French empire could not be set right

They appealed most to the middle classes; workers

either by massacres in Algeria and Madagascar or

and peasants were organizing on different lines,

by the unveiling of a 'French Union' in 1946 which

with partly communist leadership, and the critical

differed from the empire only in name. In Vietnam

points in their struggles did not coincide with those

there were many causes of discontent, among them

of the national movement. This was a weakness

the seizure of land to be turned into plantations by

for it, but at the same time, preserved Congress

French settlers, and ill-treatment of labour on

from internal class division or socialist infection.

them. Restoration of French power was at once

Wealthy businessmen, always averse to left-wing

resisted. In the north the lead was quickly taken

nationalism, were therefore ready with financial

by Ho Chi Minh and the communists, who as in

support. They had much to hope from independ­

Malaya had been fighting the Japanese (while the

ence. Another Congress defect was that, remaining

French submitted to them). They were recruited

in many ways a socially conservative body, it had a

mainly from the peasantry, but as in many countries

solidly Hindu and anti-Muslim right wing. Jawa­

were joined by students, and more gradually by a

harlal Nehru, with his socialist sympathies, wanted

good part of the old-fashioned, largely rural, intelli­

it to draw in the Muslim masses, by taking up their

gentsia. Guerrilla operations led by stages to the

social and economic complaints; Congress could

creation of the field army which in 1954 defeated

not do so, because these complaints were directed

and captured a French army at Dien Bien Phu.

against the wealthier Hindus as well as against the

The French gave up and withdrew, but their

British. From the later 1930s Muslim communal­

place was soon taken by the Americans, who per­

ists preaching separation were gaining ground.

sisted in a dreadfully destructive attempt to crush

During the war years the Muslim League headed

the national movement until 1972. In the mean­

by Jinnah was at liberty to push its propaganda,

time, a few months after Dienbienphu the Algerian

while Congress was in opposition and its leaders,

revolt led by the FLN (National Liberation Front)

after the defeat of the 'August rising' of 1942, were

broke out. Algerians too had been deprived of much

pnson.

of their land to make way for French or cosmopol­

After the war independence was inevitable, if

itan planters. Algeria was in theory, or legal fiction,

only because Britain was tired, and could no longer

a part of France, not a colony, and the settlers,

rely on the loyalty of the now very large Indian

backed by the army, vetoed any withdrawal. In

m

armed forces. The Labour government elected in

1958 the post-war Fourth Republic fell, and de

1945 was sensible enough to recognize this, and

Gaulle returned to power. In 1961 he in turn was

independence came in 1947; but so did partition,

almost overthrown by the army, but in 1962 he was

and communal massacres on a horrific scale, the

strong enough, as well as rational enough, to aban­

plunge into bloodshed that Gandhian politics had

don the conflict. Fighting had not risen above the

been designed to prevent. With India given up,

guerrilla level,

Burma and Ceylon necessarily followed. Labour

damage on the Algerian people.

but it had inflicted enormous

ministers were slow to realize that Africa was

In 1919 the Third or Communist International

waking up, but by 1960, when Nigeria was set

was set up at Moscow, with a programme of activity

free, British Tories also agreed that there was no

in the colonies as well as in the West. Socialism,

alternative. They made an exception of colonies

usually in its communist form, became a factor in

where white settlement had taken place. In West

nationalist agitation nearly everywhere, and espe­

Africa climate and disease had prevented this from

cially when fighting was involved. It could come to

happening.

guerrilla

the front either because, as in Vietnam and China,

Everywhere in the colonial world the slump

qualities, or because no such classes or parties

years around 1930 had been a calamitous time,

existed, as in Portuguese Africa. Within various

and intensified dislike of Western rule. In Indonesia

nationalist movements there was chronic contro­

In

Kenya

and

Rhodesia

struggles were fought.

middle-class parties failed to show the necessary

and Indochina there were attempts at armed

versy as to whether communist membership or

risings. After 1945 the Dutch fought in vain to

collaboration should be accepted, and within com­

recover control of Indonesia, where the nationalist

munist parties as to whether they ought to cooper-

COLONIALISM ate with 'bourgeois nationalists' or stand apart and organize the working class and peasantry separ­ ately. In India communists were always viewed with suspicion by Congress conservatives and their capitalist allies, as well as by the religious zealots, and themselves viewed Congress, and Gandhi personally, as timidly reformist and com­ promising. They kept out of the 1942 rising, when

93

Gupta, P. S. 1975: Imperialism and the British Labour Movement, I9I4-I964.

Hodgkin, T. 1981: Vietnam: the Revolutionary Path. Kiernan, V. G. 1982: From Conquest to Collapse: European Empires from IBIS to I960.

Mansfield, P. 1971: The British in Egypt. Sarkar, S. 1989: Modern India, I88S-I947. Seal, A. 1968: The Emergence ofIndian Nationalism. Wolf, E. R. 1971: Peasant Wars ofthe Twentieth Century.

Congress came closest to adopting revolutionary

V. G.

KIERNAN

tactics like their own, because it was damaging to the war effort, and consequently to the USSR.

colonialism

Thereby they forfeited much public respect.

for forcible, long-term occupation by a metropol­

Much of the value of colonial liberation move­ ments lay in their effect on archaic social structures,

This

term

has

come

to

stand

itan country of territory outside Europe (or the USA).

shaking them up more thoroughly than colonial rule

Territorial conquest, inspired by a great variety

-in some ways petrifying-had done. Women, for

of motives, seems to have run all through history,

instance, took a considerable part in both political

wherever there have been peoples above the most

and military activities. Armed struggle required

unsophisticated level. It was carried furthest by

popular energies to be fully enlisted. Where it tri­

modern Europeans. By the mid-nineteenth century

umphed, native collaborators of the colonial regime

their ownership of most of the New World had been

were swept away with it; though a war as devastat­

shaken off, but it had been imposed on much of

ing as Vietnam's might leave a country too ex­

Asia: above all on India, the grandest of colonies;

hausted for any rapid recovery. On the other

and, in the second rank, on the Philippines by

hand, the slighter the effort the more likely was

Spain, on Indonesia by Holland, and on Siberia by

imperial rule to be exchanged only for neo-colonial.

Russia.

Colonies turned adrift without any preparation, as

The period from the 1870 s to 19 14 has often been

those in sub-Saharan Africa were by de Gaulle, or

called the 'age of imperialism', when the hunt for

the Congo by Belgium, were left stagnating, or in

colonies reached its climax; a prominent feature of

chaos. Malaya has been somnolent ever since the

it was 'the scramble for Africa', on lines agreed on at

British, after defeating a rising by guerrillas from

the Berlin Conference in 1884 . Among the old

the Chinese half of the population, entrusted power

treasure-hunters, Britain occupied Malaya and

to the native Malays and their safely conservative

what was left of Burma, and much of Africa; zest

chiefs.

for empire reached its hysterical height in the Boer

When India became free the British-trained civil

War of 1899-1902. French power expanded in

service, which had been loyal to the last to its old

northern Africa and Indochina. Portuguese exped­

masters, was taken over unchanged by their succes­

itions were pushing inland from their old coastal

sors; but its inertia was counteracted by the radical

settlements in Angola and Mozambique. New­

outlook of Nehru and the more progressive Con­

comers were Germany, active in Africa and the

gress wing. India remained faithful to the British

Pacific, and Italy in eastern and northern Africa.

model of parliamentary government. After armed

Japanese modernization was accompanied by a pre­

conflict as in China or Cuba, the outcome was likely

cocious emulation of Western colonialism; in 1894-

to be some form of left-wing dictatorship. Where

5 China was defeated and Taiwan annexed. The

there was no meaningful popular struggle, as in the

United States, swollen by continual wars against

Philippines or Pakistan or the Congo, it was a

Amerindians and seizure of large territories from

dictatorship of the Right.

Mexico, in 1899 picked a quarrel with Spain and

See also CoLONIALISM.

entered the world arena by annexing the Philip­ pines and Puerto Rico, and turning Cuba into a

Reading Betts, R. F. 1985: Uncertain Dimensions: Western Overseas Empires in the Twentieth Century.

protectorate. Competition for colonies had been the cause of many wars of the seventeenth and eighteenth cen­

Davidson, B. 1955: The African Awakening.

turies, and it began again to intensify dangerously.

Fanon, F. 1961 (1983): The Wretched ofthe Earth.

In 9 1 04-5 Japan defeated Russia in a war over

94

COLONIALISM

Manchuria. Italy's seizure of Libya in 1911 led to

tion of native troops. For the French indeed,

war with Turkey. In 1914 World War I was set off

acutely conscious after 1870 of their numerical in­

in part by colonial ambitions. It brought fresh gains

feriority to the Germans, a reservoir of colonial

to the winners, who took over the German and

manpower to draw on could be thought of as one

Turkish possessions, nominally as 'mandates' to

of the prime rewards of empire.

be supervised by the new League of Nations. In

At bottom the motives of colonialism were eco­

the 1930s Italy overran Ethiopia, and Japan, having

nomic. Raw materials were wanted for manufac­

occupied Manchuria, launched its massive attempt

tures, and markets for the products. Trade swelled

to subjugate all the rest of China.

chiefly between industrial countries, but there was

Many theories were put forward, at the time and

stiffening competition as industrialism spread, and

later, to explain why industrialized nations were

protective tariffs threatened to close many outlets.

seeking colonies so feverishly. Most celebrated

In its own colonies a British company could expect

was one advanced by Lenin during World War I.

a favoured position, a French company a monopol­

A good deal of this was taken over from the English

istic one. Most colonies must have meant a net loss

liberal economist]. A. Hobson, writing under the

to national economies, but there were always some

fresh impression of the Boer War; and much else

who profited. Britain's huge empire undoubtedly

from the Austrian economist Rudolf Hilferding's

yielded huge gains, largely of a parasitic sort which

book Finance Capital, published in 1910. According

may have had the bad effect of tilting the economy

to these men's thinking, at this late stage in capital­

away from productive activity. Indian exports of

ist evolution control of capital was coming to be

opium, tea and jute gave Britain a favourable trade

concentrated more and more in a few hands, which

balance instead of a deficit.

left too little purchasing power in the home market

In Britain as elsewhere profits went chiefly to the

for the commodities that could be produced. Be­

stock exchange, business, the civil and military

cause of this underconsumption, capital was being

services. It was another contention of Lenin's that

exported instead of invested at home, and in un­

some 'crumbs' from the feast found their way to the

developed regions, which might contain valuable

more privileged strata of the working classes, and

raw materials, it needed the protection of a colonial

by raising their standard of living reconciled them

government. In fact, however, most capital, even in

to capitalist rule. What may have been more im­

the case of the biggest exporter, Britain, was going

portant was the employers' ability to tell workers

not to colonies but to other industrial countries,

that they were living better because they had col­

above all the USA.

onies, not because they had trade unions. Britain's

There can in reality be no single explanation. In

empire besides was unique (apart from Siberia) in

particular cases much of the expansionism may be

containing vast areas, such as Canada and Australia,

traced to the desire of frontier officials or army men

suited to white settlement. They offered a better life

to distinguish themselves, or to special business

to poor emigrants, and this was certainly a weighty

interests. Governments could always count on co­

reason for the empire's popularity. Few ordinary

lonial successes to impress both foreigners and their

folk cared much about India or black Africa. Italian

own voters. Territory was often considered worth

propaganda made much of the opportunities for

having for strategic reasons; here the British, with

settlement by poor peasants that Ethiopia could

their worldwide possessions and 'spheres of inter­

provide.

est', came first. They wanted Egypt partly to pro­

Until well into this century Europe's social

tect their route to India, Afghanistan to close a door

structure, and Britain's in particular, made avail­

into India against the Russians. Military costs

able numbers of men to whom colonial adminis­

might be high, but once in occupation invaders

tration was congenial. They came especially from

could expand their manpower cheaply by recruiting

among younger sons of the landed gentry, a class

native soldiers, from suitable classes or ethnic

which could claim a natural gift for ruling natives

groups, and employing them on policing or for

because it had always been accustomed to ruling its

further acquisitions. The large Indian army, com­

own peasantry. England entered the twentieth cen­

manded by British officers, was made use of in a

tury with its countryside still surprisingly feudal,

great deal of campaigning outside India, at the

though economically capitalist.

expense of the Indian taxpayer. Some colonial gov­

analogous class in the USA, and less wish for direct

ernments resorted, unlike the British, to conscrip-

colonial rule. From the same sources were drawn

There was no

COLONIALISM the officers of the European armies which con­

95

they were reduced to colonies; it was by plundering

quered and garrisoned the colonies. In countries

them that Europe was able to accumulate capital,

like India with a fair degree of literacy it was as

industrialize, and forge ahead.

easy to find the assistants indispensable for running the administration as it was to recruit soldiers.

Except at moments of excitement, usually when a campaign was going on, few Europeans took any

A great deal was heard of the white man's 'civil­

lively interest in colonial affairs, and officials and

izing mission', and there was some fitful determin­

businessmen were left with a free hand. Catholics

ation to make a clean sweep of bad old ways and

and socialists combined at one time to bring about

modernize everything. Before long this was giving

some improvements in Germany's African col­

way to a preference for 'indirect rule', through

onies. An international protest against the atrocities

indigenous institutions and methods familiar to

perpetrated in King Leopold's private colony of the

the people. Too much innovation could be judged

Congo led to its taking over in 1908 by the Belgian

unsettling and risky. In India the 'Mutiny' of 1857

government. In general political terms imperialism

could plausibly be attributed to this, and after it the

was firmly supported by right-wing parties, and less

ousting of native rulers was abandoned: instead

ardently by liberals. Communists were strongly

they were treated as junior partners, subject to the

against it; other socialists wavered, and, like the

minimum of inspection. A quarter of the popula­

Labour Party in Britain, criticized it lukewarmly

tion was left under their usually unenlightened

if at all.

sway. Relations with the semi-feudal landowning

Effects of colonialism varied with local circum­

classes surviving from before British rule, or in

stances and historical backgrounds. It ended the

some provinces created by it, grew increasingly

turmoil which had sometimes prevailed, and took

cordial, to the detriment of the hard-pressed tillers

pride in its guardianship of order. Order might

of the soil. In Java the Dutch likewise entered into

often mean nothing better than police rule, espe­

partnership with the heirs of the old aristocracy. In

cially for poorer people exposed to it, and Western

the Philippines the Americans did much the same.

laws might be ill suited to the societies they were

A French champion of similar methods was Mar­

imposed on. Still, the principle of impartial justice,

shal L. H. Lyautey, Resident-General from 1912 to

an impersonal rule of law, was a valuable innov­

1925 in Morocco; a Catholic conservative, he could

ation. So (if not in all respects) was the advent, for

appreciate the convenience of Islamic conserva­

the first time in history outside Europe, of a body of

tism, and the hazards of disturbing it. In Morocco,

professional lawyers, willing and able to take up

Indochina, Russian Central Asia, old monarchies

cases against the government.

were propped up and kept as figure-heads. In

Economic development was oftener than not

Africa all European regimes made use of tribal

neglected;

'chiefs', many of them, with no real claim to such

whose government felt equally little responsibility

rank, set up by district officials to play an appropri­

for it at home. In India (and in Egypt) its best

This strategy was unwelcome to intelligent Afri­ and

the case of Britain,

achievement lay in irrigation, where it had a stake

ate part. cans

predictably in

Asians,

who

wanted

modernization

of its own because land revenue was for long its mainstay. It built a considerable infrastructure of

instead, and to Europeans who had expected bene­

roads, railways and communications. It did enough

ficial change. One of these was Karl Marx. He held

for health to begin the reduction of epidemics

that seizure of colonies sprang from nothing better

which formerly kept population increase within

than brutal greed, but might give a necessary

bounds. It only very belatedly organized any effec­

though painful shock to societies long sunk in

tive system of famine relief. It could be accused by

torpor, and jerk them forward. Nationalist feeling

nationalists of impoverishing the peasantry, and of

leads many in Asia and Africa nowadays to deny any

hindering instead of fostering industry, for the

such necessity, and to argue- questionably- that

benefit of British exports. Manufactured imports

their countries had been quite capable of making

could also be blamed for crippling native handi­

progress on their own, with some borrowing from

crafts and spreading unemployment.

Europe, just as Japan did. A later offshoot of Marx­

World War II gave a mortal blow to colonialism.

ism, 'dependency theory', goes much further,

Italy and Japan were knocked out. Britain was left

asserting (still less convincingly) that Afro-Asian

overstrained, and its people in no humour to go on

countries only became 'backward' and poor when

fighting. With foolish obstinacy Holland, France

96

COMMODITY FETISHISM

and Portugal went on for years trying to hold on

what had been entitled 'gun boat diplomacy' con­

to their possessions, under the specious Cold War

tinued.

pretext of a fight against communism. So far as real

In a few countries, notably South Korea and

economic interests were concerned, white soldiers

Taiwan, and for some years Brazil, foreign invest­

and officials had become superfu l ous. Colonial

ments and technology, combined with rule by

peoples, or at any rate the elites which had been

American-backed dictators, brought about remark­

emerging, were accustomed to their new place in a

able industrial growth, though the workers' share

world mostly belonging to a single complex,

in the profits has been small. Everywhere Western

and wanted to make the best of it. Decolonization

banks have been making loans on a prodigious scale

was the rational choice, and was warmly favoured

to 'developing' countries; most of the borrowers

by the USA. Ever since entering the world market

have found it hard, some impossible, to keep

as an industrial exporter, in the 1890s, America

up their interest payments, and some loans have

had preached 'open door' ideas; now it felt that

had to be written off. The gap between advanced

the time had come for empires and their barriers

and retarded countries is widening instead of

and

narrowing. Neocolonialism harms poor countries:

restrictions to be dismantled, leaving all

markets to be captured by the strongest competitor

whether it benefits rich ones in any real way must

-itself.

be doubted. It is not long since empires were

Decolonization left true independence still a dis­

thought vital to their owners'

prosperity, yet

tant goal. In the world economy into which exco­

Europe, having lost them, is more prosperous

lonies were sucked, most of them could have only a

than ever.

weak and vulnerable position. Imperial rule was

See also COLONIAL LIBERATION MOVEMENT.

replaced by a 'neocolonialism' which subjected the weaker to the stronger through unequal economic

Reading

relations. Such relations had always existed, side by

Bull, H. and Watson, A. eds 1984: The Expansion of

side with direct political and military control. Much of Latin America in the nineteenth century had been financially dominated by Europe, whose 'informal empire' there was now being taken over by the USA. China was only the biggest of a good many countries often referred to as 'semi-colonies', until the communist revolution put an end to its subservience to the West. Semi-colonies - Persia for one -sometimes fared worse than colonies, in

quest and Capital. Fieldhouse, D. K. 1966: The Colonial Empires: a Comparative Survey from the Eighteenth Century. Gopa1, S. 1965: British Policy in India 18S8-190S. Hobsbawm, E. J. 1987: The Age ofEmpire 187S-1914. Hobson, J. A. 1902 (1968): Imperialism: a Study. Magnus, P. 1958 (1968): Kitchener, Portrait ofan Imperialist. Mommsen, W. J. and Osterhammel, J. eds 1986: Imperi­

the opinion of many observers. Few of the countries now nominally free had respectable leadership; many

International Society. Etherington, N. 1984: Theories ofImperialism: War, Con­

fell before long

under dictators, easily manipulated from outside. World capitalism on the contrary was more power­ fully organized, with the rise of the 'multinational

alism and After: Continuities and Discontinuities. Pomeroy, W. J.

1970: American Neo-Colonialism: Its

Emergence in the Philippines and Asia. Thornton, A. P. 1978: Imperialism in the Twentieth Cen­ tury.

V.

corporations' and the American hegemony, than in

G.

KIERNAN

A characteristic of cap­

its divided past. All the new countries, though they

commodity fetishism

might, like Indonesia, be rich in resources, needed

italist society first identified by Marx. He argued

loans, investments, help of all kinds. 'Aid', direct or

that in a society based on private property in which

through institutions like the World Bank and the

market relations predominate, processes of produc­

International Monetary Fund, could be made use of

tion are independent of one another, separated and

to dictate economic policies. Governments unwill­

private. Only when the outputs of these processes

ing to fall into line could as a rule be got rid of, or in

are sold are these private and independent labours

the official American term 'destabilized', without

commensurated one with another through reduc­

much difficulty. Examples were that of Mossadeq

tion to the common standard of money-in this way

in Persia in 1953, and that of Allende in Chile in

private labour is rendered social. But the relation

1974. Both these leaders paid for their recalcitrance

between private and social labour appears as an

with their lives. In the USA's Caribbean 'backyard'

objective property of the commodity output itself,

COMMUNICATION

97

as in the phrase 'this commodity is worth ten

rationalist standpoint, which insists on the distinc­

pounds'. The social relations established in histor­

tion between the object of knowledge and the real

ically specific processes of producing things disap­

object, and the cognitive appropriation of the latter

pear from view, and appear instead as something

by the former through practice. But simultaneously

different, as relations between acquisitive, ahistor­

the individuals who, on one level, are just the bearers

ical individuals and the commodities they seek to

of systemic structures also subjectively experience

acquire as consumers. Production relations are dis­

and relate to their conditions of existence; they do

solved into market relations, class relations are

this by a system of representations and this process

dissolved into an individualism of utility maximiza­

transforms them into subjects. The contrast be­

tion, and the inanimate products of labour appear to

tween essence and appearance is thus denied and in

possess the animate properties of their producers

its place is substituted a contrast between systemic

and to exercise domination over them. Marx inter­

and experiential existence. However, this latter con­

preted this as an inversion of subject and object,

trast must be a property of any society, in contrast to

produced by the separation of the direct producers

the former's restriction to capitalist society.

from the products of their labour in capitalist soci­

A rather different approach arises out of reflec­

ety via the processes of the market. He further

tion upon Soviet experience. While market phe­

considered any analysis that replicated that inver­

nomena there had different forms and different

sion by personifying things and objectifying people

functions from their counterparts in capitalist soci­

would necessarily be supportive of capitalism

ety, several generations of post-1917 Soviet experi­

rather than critical of it.

ence did not eradicate the alienation characteristic

That the social world of capitalism is constituted

of commodity fetishism.

Further, because the

by appearances that are different from the under­

Soviet experience was largely discredited by cen­

lying reality is the foundation for any epistemo­

tralized authoritarian planning (see SociALIST ECO­

logical theory of Ideology. That appearance or

NOMICS), socialist proposals for a decentralized

form is different from essence or substance implied

democratic alternative to capitalism generally in­

for Marx a scientific endeavour (via a process of

volve some variant of market socialism. But the

abstraction) to uncover the latter from the sense­

unresolved issue is whether commodity fetishism

impressions yielded by the former. Finally, he con­

would necessarily thereby emerge. This turns on

sidered that when production relations were social­

whether market relations can be detached from

ized, so that there was no private property in the

private property relations, whether, that is, a social­

means of production, the contrast between essence

ized market makes either conceptual or practical

and appearance would disappear. Social relations

sense. This has obvious implications for any theor­

would no longer be mediated through market

ization of what socialism might mean in the twenty­

relations but would be immediately transparent

first century.

in the democratic and conscious coordination of labouring activity. The twentieth and twenty-first centuries have

Reading Geras, N. 1971: Essence and appearance: aspects of fet­

seen this questioned in three different ways. First,

ishism in Marx's Capital. New Left Review 65 (1971),

positivists have denied the existence of any mean­

69-86.

ingful distinction between essence and appearance. The appearances of reality are just what reality is,

Marx, K. 1867 (1976): Capital Vol. I. Especially chs. I, 6,

19, 23, 24. SIMON MOHUN

and the only illusions or delusions that exist are either inventions of misguided social theorists, or

As well as the specific commu­

psychological misperceptions of the social observer.

communication

However, this criticism fails to engage with non­

nicative processes studied in linguistics, SociOLIN­

positivistic interpretations of Marxism (such as that

GUISTICS and social psychology, a broader concept

based on philosophical REALISM) and hence the

of communication has been a major theme of social

notion of systemic rather than perceptual difference

thought. Aristotle saw the state as a community

between essence and appearance.

involving communication between a multiplicity

A second approach also questions whether reality

of individual perspectives. Whereas this concerns

is constituted by a set of appearances which must be

individual purposive action in the political sphere,

peeled away to reveal its inner essence, but from a

Aquinas

introduced

into

medieval

Christian

98

COMMUNICATION

thought a broader theoretical conception in which

Communication, then, must be seen as a form of

God's nature is communicated in the creation of his

action. Whereas the classical concept of action is

creatures. This model led to the generalization of

based on the differentiation between subject and

the concept of communication to all human beings

object and between means and ends, the more

and at the same time to a differentiation, which

recent social scientific concept of communication

became central for modernity, between the particu­

is based on that between ego and alter. Communi­

lar (political) and the universal (social) communi­

cative action in Habermas's theory aims ultimately

cation community.

at a rational agreement between ego and alter.

This idealizing extension of the concept of com­

Whereas purposive-rational or even value-rational

munication to all human beings, and its simul­

actions form a system by latching on to other

taneous differentiation into political and social

communicative actions form a social system by

communication, made it a favoured point of refer­

attaching themselves to the actions

ence for modern sociology and social philosophy.

this distinction correspond different conceptions

Marx, in the

Grundrisse,

actions,

of others.

To

uses the differentiation

of RATIONALITY AND REASON. Whereas classical Ar­

between political and social communication to

istotelian theories of action, right down to Max

zoon politikon

into a 'society' of

Weber, link the means-ends framework with the

individuals 'acting and speaking together'. C. S.

concept of purposive or success-oriented rational­

turn Aristotle's

Peirce analyses the scientific community from the

ity, Habermas's theory of social or intersubjective

perspective of an (idealized) communication com­

action, which he also calls 'action oriented to

munity, and G. H. Mead brings the social processes

mutual understanding', is based on the concept of

of individualization by means of socialization into

communicative rationality.

the framework of a 'universal discourse'. The point

nicative concept of rationality going back to Peirce,

of this theoretical universalization of the communi­

Mead and Hans-Georg Gadamer's hermeneutics

cation community is the claim that, as Ji.irgen

not only sets limits to the generalizability of the

Habermas

(1981,

p.

105)

This pragmatic-commu­

puts it, 'the social life­

means-ends schema, but also goes beyond the limi­

uni­

tations of traditional European thought to a reflex­

process has an inbuilt relation to truth'. This

versalization, along with the socialization (including

ive metaphysics of subject and object (compare

'depoliticization' or internal differentiation) of the

Rorty,

1980).

concept of communication is a characteristic feature

Further differentiation of the concept of commu­

of the postmetaphysical thought of MoDERNITY,

nication opens up a wide variety of theoretical and

marking a radical break between social scientific

empirical perspectives. The differentiation be­

thought and the political thought of the ancient

tween

world and the classics of political philosophy.

shows that communication between those present

One can understand communication as a means

verbal

and

non-verbal

communication

is unavoidable (Watzlawick et al.,

1967).

Corres­

of solving the 'Hobbesian' problem of social order.

ponding to the distinction between direct and in­

How can the action plans of several actors be co­

direct communication is the important difference

ordinated with one another? If one follows Talcott

between simple social systems involving face-to­

double con­

face communication and complex ones based on

tingency, one is struck by the extreme improbability

mediated communication between physically dis­

Parsons in the analysis of situations of

1972).

of ordered interaction sequences and communica­

tant participants (see Luhmann,

tive agreements. Even in a very simplified labora­

ition between symmetry and asymmetry is central

tory situation with two actors and three possible

not just to role theory but also to theories of the

orientations (for example 'selfish', 'generous' and

ideal conditions of communication (see Habermas,

'hostile'), reciprocal expectations of expectations

97

1971).

The oppos­

The differentiation between symmetrical

possible combinations. Hence all commu­

and asymmetrical conditions of communication is

nication is based on complexity-reducing mechan­

important for distinguishing between distorted or

isms such as 'mutual trust', normality expectations,

disturbed and undistorted communication. This

stabil­

distinction in turn is basic to various theories of

ized communicative order by the exercise of exter­ nal influence of the effects of the actions of the others,

communication pathologies (Watzlawick et al.,

or they can reproduce and reconstruct it by means

and critique of ideologies (Ape!,

yield

etc. The actors can maintain or modify this

of an internal

agreement on generalizable grounds.

1967;

Habermas,

1988),

and of the reconstruction

1973).

See also DISCOURSE; MASS MEDIA.

COMMUNISM

99

under capitalism and communist ones under a com­

Reading Ape!, K. 0. 1973 (1980): Towards a Transformation of Philosophy.

Cashdan, A. and Jordan, M. 1987: Studies in Communi­

munist system. Communist theories usually contrast commun­ ism and capitalism, a society with private owner­ ship,

cation.

Habermas, J. 1981 (1984): The Theory of Communicative Action, vol. I.

production

of commodities for sale

on

free markets, and with free labour and capital markets. For the early writers (T. More, T. Cam­

Melior, D. H. ed. 1990: Ways of Communicating. Rorty, R. 1980: Philosophy and the Mirror ofNature. HAUKE BRUNKHORST

panella), communism was probably an alternative to capitalism, later it became treated as a postcapi­ talist society. Some viewed it as a natural state of society, while other writers (Saint-Simon, Fourier,

A term covering a family of closely

Marx) placed it within a necessary sequence of

related concepts designating (a) a type of human

societal types, to come immediately after capital­

commumsm

society; (b) theories describing and justifying a com­

ism. A unilinear sequence of possible societal types

munist society; and (c) political movements trying

was generally implicit in the writings of the nine­

to create a communist society. In the nineteenth

teenth-century authors. Russian Bolsheviks and

century, SociALISM could also be used in all these

their followers accepted this view. For the majority

senses. The term 'primitive communism' is used by

of theorists,

many Marxists to designate the early stages of

of development; Marx supported this eschato­

human society. Soviet and East European Marxist

logical

authors, however, generally preferred expressions

(Marx, 1844). After 1845, Marx and Engels aban­

like 'primitive society', 'primitive communalist so­

doned eschatology, accepted the idea of other soci­

ciety' or 'tribal society'.

view

communism was the final stage in

his

1844

Paris

Manuscripts

etal types following communism, but claimed

A minimal list of properties necessary for a soci­

that speculation about further developments was

ety to be called communist includes common owner­

meaningless because necessary evidence would

ship of the means of production (but not necessarily

be present only when the later stages of commun­

the means of consumption), self-government in all

ism had been reached. This view was rejected by

areas of life, and freedom. Communist theories

the majority

claim that these properties also provide the neces­

but came to be accepted by a number of them.

sary conditions for human happiness (although

Although Marxist theory is compatible with the

of Soviet writers in the

1960s,

they might not be sufficient for securing every­

idea of multilinear societal sequences, the implica­

body's happiness). Theories of communism usually

tions were never worked out for Marxist theory of

stress the absence under communism of some char­

commumsm.

acteristics of contemporary societies, like class

It has never been proven beyond reasonable

exploitation (Lenin allowed for exploitation of

doubt that societies satisfying the conditions of

weak-willed

ones),

applicability of the term 'communist' have actually

government

existed. With no democracy in the USSR, the claim

officials and standing armies. Communist goals are

that its people owned the means of production is

money,

persons

commodities,

by

strong-willed

permanent

compatible with ANARCHISM, but their means for

certainly false. Mass slavery, feudal serfdom for the

achieving goals are often opposite.

peasants and totalitarian dictatorship in Stalin's

Engels used the terms 'private ownership' and

USSR, had no relation to anything called 'com­

'common ownership' to denote ownership by one

munist'

person and ownership by more than one person

sense. After 1953, a dual ownership of the means

in

the

traditional

nineteenth-century

respectively. A cooperative or a shareholding com­

of production emerged, consisting of a higher-level

pany were cases of common ownership. A distinc­

collective owner (the hierarchically organized Polit­

tion is sometimes made between capitalist common

bureau at the summit of the Communist Party of

ownership (the shareholders of the firm are not the

the Soviet Union) and two parallel lower-level

employees of the same firm) and communist

owners (the party and the government hierarchies).

common ownership (the shareholders are the em­

The employees were definitely not the owners of

ployees of the same firm). Lenin claimed that under

their respective enterprises. The Chinese and most

capitalism any form of ownership is capitalistic. He

East European systems were basically similar to

considered cooperatives to be capitalist enterprises

that of the USSR.

100

COMMUNISM

The prevailing early form of communist theories

claims that it is a moral and political way of life that

was a blueprint of a future society designed for

is based on rights of individuals in their all-round

general happiness that sometimes used utopian

development and freedom.

fiction as a literary device. A penetrating critique

Lenin insisted in 1917 that Marx used 'socialism'

of the contemporary society was usually added. In

to refer to the first stage of communism, which is

the Paris Manuscripts of 1844 Marx justified com­

characterized by the common ownership of the

munism as the means to realize an essential value

means of production, retention of the state, absence

(humanism, achieved by overcoming the ALIEN­

of economic classes, but also the absence of an

ATION of labour). After 1845, Marx and Engels

ability to satisfy fully the (material) needs of the

began to oppose blueprint theories, claiming that

people. Socialism was to be preceded by the Dic­

it was impossible to provide a full design for the

TATORSHIP of proletariat (Lenin, 1917).

future free and creative society. Thus, they de­

writers have treated socialism as a separate stage

Some

clined to develop a systematic treatment of the

that is possibly parallel to communism. Within the

properties of communist society.

Communism

former Eastern bloc, the respective societies were

became a strategic utilitarian solution for the

called socialist, in accordance with Lenin's use of

working class as the means of eliminating ExPLOIT­

the term, and never communist.

ATION (in a Marxist sense). It ensured both liber­

Marx used the term 'communist' to designate the

ation of the working class and further human

political movement accepting his ideas, or any

progress. Communism was to be possible only

working-class movement intended to create the

after all the available options for the development

communist society. He certainly supported violent

of the means of production within capitalism were

revolution and the dictatorship of the proletariat,

exhausted. Marx never provided an analysis of the

but he presupposed that under capitalism a non­

level of productive forces that he deemed to be

democratic government, combined with permanent

incompatible with the future existence of capital­

officialdom and a professional army, would in any

ism. In the 1840s he thought that capitalism had

case use violence to oppose the majority decision to

already reached saturation point, but he later ad­

introduce communism and he thought it would be a

mitted having made a mistake. Marx (1867) seems

case of a large (probably 80-95 per cent) majority

to think that the point of change from capitalism to

coercing a small minority. Working-class parties at

communism will arrive when the overwhelming

the end of the nineteenth century usually called

majority of mankind will become wage-earners (or

themselves socialist or social democratic. After

working-class). Lenin in his later works claimed

1917, the term 'communist' was used to describe

that a working-class government can in some cases

the parties that accepted violent revolution and the

use political power to build up forces of production

dictatorship of proletariat as the means of transition

to the level necessary for the survival of commun­

to communism, and 'socialist' described those who

ism but he did not provide any articulated descrip­

rejected it. Lenin insisted that only a Marxist party

tion of that level. He seems to have thought that

was to be called 'communist' and that government

these productive forces might be available for

by a single communist party was an essential trait of

borrowing from late capitalist societies. Trotsky

the dictatorship of proletariat. He abandoned the

claimed that, given globalization, the preconditions

requirement for a predominantly working-class so­

of actual transition to communism (or 'socialist

ciety as a starting point of a transition to commun­

revolution') need not be satisfied within a country

ism. Later he admitted that the dictatorship of the

that first starts the revolution. Leninists always

proletariat in Russia has degenerated into a dicta­

described the transition as the 'socialist' and not

torship of the Communist Party and the Red Army

the 'communist' revolution.

over all classes of society; he seems to have actually literature

liked this situation if he was not engaged in political

deals primarily with the transition to communism

polemics within his own party. Western communist

The twentieth-century

communist

and avoids detailed discussion of the concept itself.

parties accepted Soviet claims about the nature of

A. Nave has argued that Marx's (and by implica­

Soviet society in most cases until the end of the

tion, Lenin's) communism is not feasible. Thus,

1960s. Afterwards, they started to abandon the idea

Marx was as utopian as were his predecessors. M.

of the dictatorship of proletariat and, thereafter,

Cornforth rejected the idea that communism is a

even the description 'communist'. Communism

developmental stage (or a mode of production) and

was an influential political force during the twenti-

COMMUNITY

101

eth century but is nowadays intellectually and pol­

munity as a type of social relationship (based on ties

itically insignificant in most societies. Very few

of sentiment or economics). This confusion can be

former communist parties, sometimes under new

traced to Tiinnies (1887) and his seminal concept of

names, were able to stay in practical politics of

Gemeinschafi, which represented the integrated,

parliamentary societies after the demise of the

preindustrial, small-scale community based on

USSR (Italy, South Africa, Sweden).

kinship,

friendship and neighbourhood, where

social relations are intimate, enduring and multi­ stranded. In Tiinnies's formulation, community Reading

was contrasted with its obverse, noncommunity,

Cornforth, M. 1980: Communism and Philosophy: Contem­

or Gesellschafi ('association') - symbolizing the im­

porary Dogmas and Revisions ofMarxism. Marx, K. and Engels, F. 1848 (1967): The Communist Manifesto. Moore, S. 1980: Marx on the Choice between Socialism and Communism. Nove, A. 1977: The Soviet Economic System. --1983: The Economics ofFeasible Socialism. Roemer, J. ed. 1986: Analytical Marxism. Service, R. 1995: Lenin: a Political Life. Vol. 3: The Iron Ring.

personal, anonymous, contractual and amoral ties

Louis Wirth and Robert Redfield, continued to use

EERO LOONE

past: the assumed emotional cohesion and 'good

One of the most widely used yet

to make invidious comparisons with the anonymity,

characteristic of modern industrial society. Following Weber and Tiinnies, American soci­ ologists, particularly Talcott Parsons, Robert Park, community as an ideal type on a continuum be­ tween two poles such as tradition-modernity, rural-urban and sacred-secular. Implicit in this approach was a nostalgic and romantic view of the life' of the traditional rural community was used

community

vague and elusive concepts in social science, com­

isolation and alienation of modern MASS SOCIETY.

munity continues to defy precise definition. Part of

Despite the proliferation of community studies

the problem stems from its diversity of meanings

in sociology and anthropology that followed (Fran­

and the emotive overtones it usually evokes. Com­

kenberg, 1966), this empirical approach 'remained

munity has become an omnibus word used to de­

almost entirely sterile at the theoretical level' (Elias,

scribe social units varying in scale and content from

1974, p. xvi). In the 1960s attempts were made to

villages, housing estates and neighbourhoods to

develop a more dynamic interactionist approach,

ethnic groups, nations and international organiza­

with the emphasis on social networks, factions,

tions. At a minimum, community usually denotes a

cliques and informal or nonterritorial groups (Bois­

group of people within a bounded geographical area

sevain, 1968). However, more recent anthropo­

who interact within shared institutions, and who

logical approaches, exemplified by Cohen (1985),

possess a common sense of interdependence and

have side-stepped the definitional problem of

belonging. However, collectivities of individuals

trying to formulate a structural model of commu­

living or interacting within the same territory do

nity by concentrating instead on meaning. For

not, in themselves, constitute communities - par­

Cohen, community is a symbolic construct with

ticularly if those individuals do not perceive them­

no fixed parameters that exists only in relation and

selves as such. What binds a community is not its

opposition to other perceived communities;

structure but a state of mind; a consciousness of kind

system of VALUES and moral codes that provides

or feeling of solidarity. This subjective dimension

its members with a sense of IDENTITY and moral

a

renders community problematic as a tool for socio­

boundaries. The idea of community as an 'im­

logical analysis because the boundaries of any self­

agined' entity and symbolic 'idea-force' has also

identifying group, from the insiders' perspective,

been successfully used in Anderson's (1983; 1998)

are usually fluid and intangible rather than fixed

work on NATIONALISM and transnationalism. With

and finite. Empirical studies of community often confuse

its

associations

of

fellowship,

inclusion

and

belonging, community has long been a key concept

description with the sociologist's preconceived as­

in political and religious thought. It is given special

sumptions of what community should be (Bell and

emphasis in the socialist and anarchist tradition.

Newby, 1971, p. 21). Another confusion arises from

The community-association dichotomy can be

the conflation of community as a social unit or

linked to contrasting political conceptions of soci­

collectivity (club, hamlet, suburb, town) with corn-

ety - as a loose association of competing individuals

102

COMPARATIVE SOCIOLOGY

(liberal/Hobbesian view); or as a collective that is

ance of the 'comparative' method in particular

more than the sum of its parts, a moralizing agency

fields of work, they seem repeatedly to have aban­

through which true citizenship can be realized (so­

doned the term 'comparative' after some time on

cialist/Rousseauian view).

the grounds that their work was really in some sense

As an analytical concept community has little

a contribution to 'general' theorizing about the

value, despite its importance as a perceived reality

field. We find thus a pattern of organizational zig­

in most people's lives. It is a shibboleth laden with

zaggmg.

emotive associations of wholeness, cohesion, com­

The explanation for this seeming anomaly is that

munion, the public interest and all things good. As

the concept of comparative social research as a

(1976, p. 76) 'unlike

special subfield is not intrinsic to the logic of the

all other terms of social organisation (state, nation,

social sciences but is a heuristic device to overcome

Raymond Williams observed

society, etc.) it seems never to be used unfavour­

organizational problems within the social sciences.

ably'. As a result, community appears as an adjunct

Comparative sociology (as comparative anthropol­

to a host of institutions whenever deep, horizontal

ogy, and so on) tends to refer to the study of the

and natural comradeship is implied (community

differences in structures and processes among

care, community spirit, the local community, the

macrolevel units, however we define what a macro

European Community), however tenuous the links.

unit is. That is to say, often when particular

It has also been appropriated by politicians, plan­

scholars become suspicious of hypotheses drawn

ners and architects to legitimize policies in the

from empirical work on the grounds that the locus

name of the public interest, however implausible

of the empirical work was one particular spatiocul­

the reality.

tural zone, they argue that looking at the relation­

Reading

would provide evidence on whether the perceived

ship of x and y in the contexts of macro units a and b

Imagined Communities. The Spectre of Comparison. C. and Newby, H. 1971: Community Studies.

Anderson, B. 1983: --

Bell,

correlation of x and y is in fact 'universal' or is

1998:

particular to the macro unit within which it was

Boissevain, J. 1968: The place of non-groups in the social

Man 3, 542-56. 1985: The Symbolic Construction of Community.

sciences, Cohen, A.

Elias, N. 1974: Towards a theory of communities. In

The Sociology of Community,

ed.

C. Bell and H.

originally observed. This is expressed as a call to 'compare' the macro units. The organizational problem which the periodic demand for comparative study reflects is the fact that most empirical social research from the middle of the nineteenth century to the middle of the

Newby.

Communities in Britain. Keywords.

Frankenberg, R. 1966: Williams, R. 1976:

twentieth - with, to be sure, some notable (and oft-noted) exceptions- was done by scholars within

CRIS SHORE

the framework of a single macro unit. Those who worked in the so-called nomothetic disciplines -

The adjective 'com­

economics, sociology, political science (law) -

parative' has been used to create a subfield in almost

tended to do their empirical work within the

comparative sociology

all the social sciences (or closely allied fields): an­

boundaries of their own country. This was justified

thropology, (study of ) civilizations, history, law,

perversely on the grounds of universalism. Since it

linguistics, politics, psychology, sociology. Yet it

was assumed that the relations of variables hold

has always played a minor role within the organiza­

universally, it was deduced that it was not urgent

tion of knowledge. One has to wonder why.

to vary the loci in which they were collected. In

There is one simple reason that seems on reflec­

practice these were a few countries of Western

tion obvious. All social research necessarily in­

Europe and the USA. From time to time sceptics

volves

advocated the comparative study of these countries.

a

comparison

among

cases

of

some

variables, either explicitly or implicitly. Hence all

Those scholars who called themselves historians

social research is by definition comparative, at

tended to work on a single country, most often their

which point the adjective becomes redundant. Des­

own country. This was justified, however, on

pite this obvious truism, various scholars have re­

the opposite grounds of particularism. Since each

peatedly advocated the use of the 'comparative'

historical situation was particular and complex, its

method in social research. But, then as soon as

study required total devotion on the part of

groups of scholars have banded together in further-

the scholar, who did well to attain the necessary

COMPETITION

103

knowledge of one country and was scarcely able to

In the post-1968 era, modernization theory went

master the study of two countries. Of course, some

into eclipse as part of the general undermining of

scholars studied the history of countries other than

the legitimacy of what had been mainstream social

their own (as with an English scholar of German

science in the post-1945 years. One of the major

history) but they, too, tended to restrict their work

criticisms of modernization theory was that it was

to one other country. Calls for 'comparative history'

'ahistorical'. The 1970s saw a considerable flourish­

(such as those made by Marc Bloch) fell on even

ing consequently of 'historical sociology'. Since,

deafer ears than calls for 'comparative sociology'.

however, this work purported to be 'sociology'

Scholars who were Orientalists were equally

and not merely 'historical', it was not at all idio­

caught up in the belief in particularism and the

graphic in outlook. Thus, implicitly and very often

difficulty of acquiring scholarly expertise, and

quite explicitly, the 'historical' work was simultan­

were thus resistant to the comparative study of

eously 'comparative'. Indeed within sociology the

'civilizations'. No doubt there were audacities

two terms were often combined in the 1980s as

such as those of outsiders like Max Weber as well

'historical/comparative sociology'.

as insiders like Max Mi.iller, particularly in the

Comparative sociology has thus always repre­

comparison of world-religions, but most Oriental­

sented a number of vectors simultaneously: anti­

ists stuck to a narrower last.

ethnocentrism (see also WoRLD-SYSTEM) , interest in

The anthropologists were the most torn on the

the macro levels, and interest in complex struc­

issue. Insofar as they were pushed in an ethno­

tures, hence interest in historical detail. Compara­

graphic, that is idiographic, direction, they tended

tive sociology is not a field, but a critique of

to specialize in one 'tribe' for the same reasons that

whatever seems narrow and reductionist in soci­

historians specialized in one (Western) nation: the

ology. The disappearance of the term will mean

difficulties of acquiring expertise. But insofar as

either the great success or the great failure of this

they had nomothetic pretensions, they could not

critique.

make the logical leap of an economist using data

IMMANUEL WALLERSTEIN

drawn from his own (Western) country, that the data represented a fair sample of the universe. The

Reading

anthropologists could only validate their nomo­

Crow, G. 1997: Comparative Sociology and Social Theory:

thetic claims by what came to be called 'cross­ cultural' studies. It is striking nonetheless how rare this kind of comparison of macrolevel units was, prior to the mid -twentieth century. The post-1945 era gave an important stimulus however to 'comparative' work, particularly in sociology and political science. The cause was the entry into public consciousness and scholarly awareness of what came to be called the Third World. One institutional response was the growth of area studies, which minimally led to the comparative study of different countries in the same area (such as Latin America, the Middle East) and maximally led to the 'comparative study of new nations'. After the Twentieth Party Congress of the Communist Party of the Soviet Union in 1956, the subsequent process of 'desatellization' in what had been previously considered in Western countries a monolithic bloc led to the 'comparative study of communism'. Most of this work was done within

Beyond the Three Worlds. competitiOn

The phrase 'to compete' connotes

rivalrous activity between two or more individuals or groups. To compete means to try to outdo the other, as in a sporting event. In economic terminology, however, competition is not so unambiguously defined. The mainstream body of economic thought in the twentieth century came to define competition not as an activity, but as a state of affairs existing in an idealized market- the model of perfect competition. On the other hand, there have existed throughout the twentieth cen­ tury dissenting voices (spanning the ideological spectrum) that were (are) dissatisfied with this static and idealized definition and seek to explore the actual processes of dynamic competition that occur in the marketplace. Scarcity and rationing

the framework of MoDERNIZATION theory which

Competition is an inevitable result of scarcity.

presumed

This was not well understood in the history

parallel stages

of

development

for

nation-states and hence the possibility of a system­

of ideas because the concept of scarcity was con­

atic comparison.

fused with material abundance or wealth by most

104

COMPETITION

nineteenth-century thinkers. Scarcity does mean

which

simply the lack of an adequate supply of a good,

reshuffle resources in more effective ways for the

but also something more fundamental. Scarcity is a

satisfaction of ends. The discrepancy between the

logical concept, unrelated to wealth, that concerns

current array of prices and the imagined future

the passage of time and the necessity of choice. We

array of prices spurs the entrepreneurial quest for

cannot do everything at once, so we must choose.

pure profit.

Economic analysis is about the consequences of those choices. As a result of scarcity, individuals must establish

individuals discover ways to shuffle or

These insights into the workings of the competi­ tive market process were obscured in twentieth­ century economics with the development of the

priorities and ration their time accordingly to

concept of perfect competition and general equilib­

achieve them. Similarly, the social system of pro­

num.

duction and distribution must be premised on some rationing device to cope with the inexorable scarcity that confronts us, be that prices, voting, beauty, or

Perfect competition

other, and to aid in the allocation of resources.

Neoclassical

Competition cannot be eliminated, it can only be

methods of physics, developed a highly refined

transformed.

model of idealized competition termed perfect

Competition in a pure market economy coordin­

competition.

economists,

The

crucial

enamoured

with

assumptions

of

the

this

ates economic decisions through price rationing. A

'frictionless' model of competition include:

price that is too high for the current market leads to

infinite number of buyers and sellers (so that no

an

unwanted inventories and downward pressure on

one buyer or seller possesses any significant degree

the price, while a price that is too low produces a

of market power), complete information about al­

queue and an upward pressure on the price. The

ternative uses, costless mobility of resources and a

active bidding up of price when demand exceeds

homogeneous product. The consequence of such a

supply and down when supply exceeds demand

state of affairs would be: the price of any good is

serves to allocate resources in an effective manner

treated as given and not a variable of decision by

by clearing markets. Price competition brings into

producers (price taking); the price would fully

coordination the most willing suppliers and the

reflect the opportunity cost of production (marginal

most willing demanders of a good. Prices coordinate the multitude of individual

cost pricing); and zero economic profits (produce a level of output that minimizes average costs of

plans that make up the market by informing eco­

production).

nomic actors about the state of existing market

these results, it was argued, the allocation of re­

Under these conditions and with

conditions and the success or failure of their previ­

sources could be termed optimal, that is, allocative

ous plans. Prices perform this task by providing

efficiency would be achieved. No one party could be

incentives and knowledge to market participants.

made any better off without simultaneously making

The price of any good is a reflection of the relative

someone else worse off. In other words, all the gains

scarcity of that good in relation to other goods. If

to be had from exchange would be exhausted in a

the price is high, this signals to market participants

competitive equilibrium.

that the particular good in question is relatively

This model led to the development of the struc­

scarce and should be economized. On the other

ture-conduct-performance paradigm in industrial

hand, the low price of a good suggests its relative

economics. Market structure was presumed to be

abundance. In this manner, economic decision­

either

makers receive information about current market

Whether a firm was in a competitive situation or a

conditions from price signals and this aids them in

monopolistic one could be measured by market

their choices.

share since under perfect competition no firm

Prices also provide information about the eco­

perfectly

competitive

or

monopolistic.

would possess any significant market power. Con­

nomic justification of past decisions. Buying cheap

centration ratios could be used to measure the

and selling dear is rewarded, while buying dear and

extent of market power. A firm possessing too

selling cheap is penalized. The profit and loss

large a share of the market could be assumed to be

system is a learning device by which systematic

monopolistic.

error can be eliminated. In addition to these func­

The pricing conduct of the firm, moreover, could

tions, prices also serve as the backdrop against

be deduced from the market structure. In a corn-

COMPETITION

105

petitive industry a firm would be forced by the logic

The model of monopolistic competition did. But

of the model to set price equal to marginal cost. On

other questions persisted, such as the role of prop­

the other hand, in a monopolistic situation the firm

erty rights and institutions of contract. Economists

would be able to restrict output and raise price

began to recognize that the key problem with mon­

above marginal cost. The consequence being that

opoly was not the ability to price above marginal

under the competitive situation the performance of

cost, but the barrier to entry that afforded such

the industry could be termed optimal, while under

artificially restrictive practices. Economists do not

monopolistic conditions performance would be

possess a positive theory of monopoly, but rather a

suboptimal. This paradigm of industrial economics

normative theory of property rights.

justified much of the government economic regula­

The development of a property rights approach

tion of industry, such as antitrust law, in the twen­

to industrial economics has moved the focus of

tieth century. The dominant paradigm, however, suffered from

analysis away from the conditions of competitive equilibrium and back to the classical economists'

serious drawbacks. From basic confusions of defin­

discussion of the dynamic market process within

ing the relevant market (national or international)

different institutional contexts. As a result the riv­

to serious analytical difficulties in explaining the

alrous behaviour of individuals and firms within

workings of the competitive market process, the

economic processes has once again received atten­

standard structure-conduct-performance paradigm

tion. Competition, rather than being a state of

was found wanting. For example, if everyone

affairs measured by market share and supposed

treated price as a parameter how do prices change

equilibrium conditions, is an active process of

to clear the market? Moreover, the model contained

learning how better to arrange and rearrange re­

the serious dilemma that in a situation of perfect

sources to satisfy more effectively the ends sought.

knowledge a profit opportunity known to everyone

Competition, within an institutional environ­

is actually known to one so that nobody would have

ment of private property, is a discovery procedure

any inducement to pursue profit opportunities -

which generates both incentives and knowledge for

thus the logic of the model of market clearing

the effective allocation of resources. Perhaps the

disappears. The basic model of competitive equi­

most important property of the competitive market

librium, it was discovered, could not even explain

process is its ability to reveal error and provide the

the existence of firms or the use of money, let alone

incentive and knowledge for individuals to correct

shed light on such phenomena as advertising, prod­

past mistakes. This error detection and correction

uct differentiation, brand name loyalty, contracting

property of the competitive market is the vital

practices, and so on. As a positive analytical device

characteristic of the system for the promotion of

for explicating the workings of a pure market econ­

economic prosperity.

omy, the model of general competitive equilibrium was not very helpful. This model of perfect competition, at best, could

See also SOCIALIST

CALCULATION, ENTREPRE­

NEURSHIP, CONSUMER SOCIETY, CHICAGO ECONOM­ ICS and AUSTRIAN ECONOMICS.

only serve as an imaginary construction which, by the method of contrast, could aid us in illuminating the real world of uncertainty and time. In other words, by studying a world without change we may be able to understand the difficulties change introduces into economic life. Unfortunately, the mainstream of economic thinking viewed the model in a much more concrete and descriptive manner.

Reading Armentano, D. T. 1982: Antitrust and Monopoly. Brazen, Y. 1982:

Concentration,

Mergers

and Public

Policy. Demsetz, H. 1982: Barriers to entry. American Economic

Review 72,47-57. Hayek, F. A. 1948: The meaning of competition. In Indi­

vidualism and Economic Order.

--1978: Competition as a discovery procedure. In New The counter-revolution The development of the model of monopolistic competition provided the first immanent criticism of the model of perfect competition. The model of perfect competition could not explain the existence of product differentiation found in actual markets.

Studies in Philosophy, Politics, Economics and the History ofIdeas. Kirzner, I. 1973: Competition and Entrepreneurship. McNaulty, P. 1967: A note on the history of perfect competition. Journal ofPolitical Economy 75,395-9.

--1968: Economic theory and the meaning of compe­ tition. Qyarterly Journal ofEconomics 82,639-56.

106

CONFLICT

Stigler, G. 1965: Essays in the History ofEconomics. --

Conflict and social structure

1968: The Organization ofIndustry. PETER J. BOETTKE See ARTIFICIAL INTELLIGENCE

computing

The impact of conflicts on social structures varies with the character of such structures. In open, pluralistic societies conflicts are likely to have sta­ bilizing consequences. If there are viable channels

conflict

Defined as a struggle over values or

for the expression of rival claims, conflicts in flex­

claims to status, power and scarce resources, in

ible and open societies may lead to new and stable

which the aims of the conflicting parties are not

forms of interaction between component actors and

only to gain desired values but also to neutralize,

allow novel adjustments. In rigid structures, by

injure or eliminate their rivals, conflicts may take

contrast, conflicts tend to be suppressed but are

place between individuals or between collectivities.

likely to be highly disruptive if and when they

These intergroup as well as intragroup conflicts are

occur.

perennial features of social life; they are essential

In open and flexible societies, multiple conflicts

components of social interaction in any society.

are likely to criss-cross each other, thereby prevent­

Conflicts are by no means always 'negative factors'

ing cleavages along one axis. In such societies there

undermining collective life. They often contribute

arise a variety of conflicts in different spheres.

to the maintenance and growth of groups and col­

Hence multiple involvement of individuals in vari­

lectivities as well as to the strengthening of inter­

ous conflicts knits society together by fostering

personal relations. Conflict

and

different alliances for different issues. Actors who CoMPETITION

are

related

but

are antagonists in one conflict may be allies in

distinct social phenomena. Competition focuses

another. This prevents the polarization character­

on gaining specific goals in the face of competing

istic of a rigid society where all conflict tends to fall

actors whereas conflict is always aimed not just

along one axis.

at the gaining of desired values but at hurting

Ever since classical Greek thought a distinction

or eliminating actors who stand in the way.

has been made between conflicts that proceed on

Competition may be conceived as akin to a race,

the basis of societal CoNSENSUS and conflicts that,

whereas conflict may be seen as analogous to a

on the contrary, involve dissensus over the basic

boxing match.

values on which a society rests. There are conflicts

Social philosophers and social scientists have

within the rules of the game and conflicts about the

been divided on the assessment of conflict ever

rules of the game. The first type of conflict may lead

since antiquity. In modern times, views about the

to new adjustments and reform, whereas the second

functions, causes and effects of conflicts in social

is likely to lead to breakdown or revolutionary

structures have been divided into roughly two

change.

camps: those who maintain that conflicts should

Any society contains elements of strain and po­

be viewed as pathological phenomena, as symptoms

tential sources of conflict. In flexible structures

of sickness in the social body; and those who argue

such conflicts provide the dynamics of social

that conflicts are normal forms of social interaction

change. Elements that evade and resist the pat­

which may contribute to the maintenance, develop­

terned structures of values and norms and the ha­

ment, change and overall stability of social entities.

bitual balance of power and interests in such

In modern sociology, the first view is represented

structures can be considered harbingers of alterna­

by, among others, Emile Durkheim and Talcott

tive patterns. In flexible structures conflicts prevent

Parsons, the second can be found in Hegelian and

ossification and decrease the likelihood of purely

Marxist thought, but also in SociAL DARWINISM

routine types of action. Change in general and

and among elite theorists such as Vilfredo Pareto

innovation and creativity in particular counteract

and Gaetano Mosca. Today in sociology- although this has not always

habitual adjustments that freeze social life into rigid moulds.

been the case- there is a tendency for conservative

The clash of values and interests, the tensions

thought to emphasize the negative functions of

between what is and what some groups or individ­

conflict and for radicals to celebrate conflict as a

uals think ought to be, the conflict between vested

vehicle for social change.

interests and new demands for access to wealth,

CONFLICT

107

power or status are far from being pathological

Conflicts and hostile sentiments are different phe­

phenomena - they are stimulants of social vitality

nomena and may not always coincide. Discrimin­

in societies that are flexible enough to allow or even

atory behaviour, for example, may not always be

encourage the unhampered expression of conflict­

associated with prejudiced attitudes. Hostile atti­

ing interests and values.

tudes need not necessarily result in conflict behav­ IOur.

Conflict theory assessed

Nor need we expect that objective discrepancies

Social peace and social feuds, conflict and order, are correlative phenomena. The cementing as well as the breaking of the cake of custom and the domin­ ant systems of wont and use are part of the built-in dialectics of social life. It is hence ill-advised to distinguish a sociology of order and a sociology of conflict or to see a contradiction between a harmony model of society and a conflict model. Conflict theories or integration theories should not be viewed as rival explanatory systems such as, say, Ptolemaic

astronomy

versus

Copernican,

but

should be viewed as partial rather than global com­ ponents of general sociology theory. In the last analysis there can only be one overall sociological theory even though it may consist of sets of partial theories of the middle range. Just as modern polit­ ical theory has abandoned the fruitless discussion of whether coercion or persuasion is the

real

basis of

political structures, and just as most modern psych­ ology has abandoned the vain quest to decide whether either nature or nurture is at the root of personality, so sociological theory should guard itself from encouraging similar fruitless dichotom­ izing. Whenever analysts encounter what appear to

in power, status, class position or income will ne­ cessarily lead to the outbreak of conflict, although they should be conceived of as potential sources of conflict. The way people define a situation rather than the objective features of a situation must be the focus of analytical attention. Potential contenders for a change in status, deference or power and wealth may refrain from resorting to conflict either because of a realistic appraisal of their chances of success, or because they consider the existing dis­ tribution of valued entities to be legitimate. When, as in the traditional Indian caste system, unequal distributions of valued items are considered legit­ imate not only by the privileged but by the under­ privileged as well, conflicts between the haves and the have-nots will not threaten the system. Only when the underprivileged deny legitimacy to an ideology by losing faith in it, as when the relations between their needs and the privileges of the higher ranked become transparent to them, can one expect conflict between the haves and the have-nots to break out.

Realistic and non-realistic conflict

be temporary equilibria they should pay attention

The distinction between realistic and non-realistic

to the conflicting forces that led to their establish­

types of conflicts has of late shown some valuable

ment in the first place. Conversely, the analyst

results in concrete analysis. Realistic conflict arises

should be sensitized to the likelihood that where

when individuals or groups clash in the pursuit of

there is conflict and disjunction there will also be

rival claims and the expectation of economic gain,

forces that press towards the establishment of new

power or status. Participants perceive that conflict

types of equilibria. Preponderant concern with one

might be abandoned or replaced by other means if

or another set of phenomena stands in the way of

these appear to be more effective. On the other

the overall analysis of social structures and pro­

hand, in non-realistic conflicts, which usually arise

cesses. The sociology of conflict aims at explaining

from hostile feelings only, the means to conduct the

variables neglected by other theoretical approaches;

conflict are not replaceable because what is at stake

it cannot supplant the analysis of other social pro­

is the aggression itself. Scapegoating provides a

cesses.

good example. What is replaceable in this case is

Objective and subjective factors

not the means but the object. In such conflicts the target is secondary to the dispositional need for

The objective basis of conflicts over scarce values

attack. Thus in non-realistic conflict there are alter­

and goods such as income, status or power need to

natives as to the target, whereas in realistic conflict

be distinguished from subjective dispositions and

there are alternatives to the means used. In scape­

attitudes such as hostility, aggressivity and the like.

goating, for example, the attacked object may be

108

CONFUCIANISM

victimized because of ethnic group, beliefs or sex,

the past in all but a few instances. As these few

or other characteristics, depending on the specific

examples show, it is possible to decrease the vio­

situation. In realistic conflict, in contrast, a party in

lence or intensity of conflict by chanelling antagon­

industrial relations may decide that arbitration

istic encounters in such a way as to minimize

rather than strike action is more likely to bring

human suffering and costs. If today nuclear warfare

results.

has become unthinkable so tomorrow other obnox­ ious forms of warfare, even though not all warfare, may no longer claim human lives.

Conflict, self-worth and collective strength Feelings of personal worth, strength and dignity among heretofore despised and underprivileged persons or strata are likely to be enhanced and strengthened if the underprivileged have shown their mettle in contentions with those who have hitherto repressed and oppressed them. The civil rights struggles in

the

American South,

for

example, so enhanced the sense of empowerment and worth among the black population that it could now triumphantly proclaim that Black is Beautiful. The working class in all Western industrial coun­ tries was slowly transformed from an object to a subject in history, to a classfor itself, with a sense of power to transform its pariah status. The modern

See also AGGRESSION; VIOLENCE. Reading Collins, R. 1975:

Conflict Sociology: Toward an Explana-

tory Science. Coser, L. A. 1956:

The Functions ofSocial Conflict. Continuities in the Study ofSocial Conflict. Dahrendorf, R. 1957 (1959): Class and Class Conflict in Industrial Society. G1uckman, M. 1956: Custom and Conflict in Africa. Himes, J. S. 1980: Conflict and Conflict Management. Kriesberg, L. 1982: Social Conflicts, 2nd edn. Rex, J. 1961: Key Problems ofSociological Theory. Simmel, G. 1908 (19SS): Conflict and the Web of Group Affiliations. --1967:

LEWIS

feminist movement has transformed millions of women from largely passive sexual objects to self­ conscious actors on the public scene in their quest for full gender equality with men. Conflict between antagonistic actors may not only enhance the sense of worth, power and dignity of one or both of them, it may also lead to a strengthening of their bonds with each other. Be it in race relations or in marriage, conflicts may allow the emergence of stronger ties rather than the de­ struction of such ties. Marriage bonds may be re­ inforced or race relations improved after the relevant actors have gained self-confident strength, after they have clashed in pursuit of their initially divergent interests.

Channelling conflicts

Confucianism

COSER

As an intellectual and ethical

tradition, Confucianism is more than 25 centuries old. Its basic values were embraced not only in China proper, but in Japan, Korea and Vietnam as well, and helped to shape East Asia's self­ consciousness as a distinct cultural region. As might be expected, there is no essential Confucian­ ism which endured throughout this long history. Rather, the Confucian tradition, like other intellec­ tual and religious traditions of comparable age and significance, evolved and changed, even as some real continuities were maintained. This diverse cultural heritage has provided rich resources for twentieth-century East Asians to reflect on contem­ porary social life, although Confucianism has also had to face numerous challenges concerning its

The quest for the elimination of conflict in human

compatibility with

society is bound to fail. Conflict is an ineradicable

values.

part of human living together; it is as fundamental a

A.

new social knowledge and

The Western name 'Confucianism' might sug­

component of human association as is cooperation.

gest that Confucius (a Latinized form of K'ung

What is feasible, however, is to transform specific

Tzu

Fu­

types of conflict behaviour when it is perceived as

teacher who lived in the sixth century BCE, was the

dysfunctional or noxious. Duelling, once a major

founder of this intellectual and ethical tradition. In

component of aristocratic lifestyles, has all but dis­

fact, he saw himself only as a transmitter of a

- Master K'ung), a Chinese philosopher and

appeared. The vendetta survives only in isolated

heritage which had taken shape centuries before

remnants of Western societies. The violent strikes

his time, and generally 'Confucianism' has been

in the labour-management conflicts of the nine­

known in East Asia as the 'Scholarly Tradition'.

teenth and early twentieth century are a thing of

Confucius lived in a period of great political and

CONFUCIANISM

109

cultural disorder. His concern to restore order and

educational system, in principle, was open to

harmony to society and to cultivate individual

anyone, and is one of the few examples of an aspir­

MoRALITY within a social order defined by tradition

ation to universal education in the premodern

became values which motivated and guided the

world. In the past, Confucian social thought gave

subsequent

a special place to the role of the ruler in establishing

development

of

Confucian

social

thought. As a way of life, Confucianism became

the ideal society and encouraging moral perfection

noted for its concern for personal wellbeing, social

in individuals. Some of Confucius' own teachings,

harmony and solidarity, political stability and uni­

collected in the Analects, advocated government by

versal peace, all of which are to be pursued within

exemplary behaviour, rather than by coercion and

structures of meaning inherited from the past. (See

punishment. He advised rulers to lead the people

also TRADITION AND TRADITIONALISM. )

according to the proper rites

Confucian social thought has generally been cor­

(li),

which would

motivate others to fulfil their own roles within

porativist, assuming that the ideal society is a hier­

society; according to Confucian political theory, a

archically differentiated order and that ritually

ruler will not be able to govern effectively without

structured human relationships are essential to

proper personal conduct. The elite community of

this ideal. This emphasis on human relationships

Confucian scholars often aspired to play a role in

was expressed in a linked interest in distinguishing

government as advisors to the ruler. Confucius and

between individuals and differentiating the kinds of

his successors urged rulers to give positions of

relations possible among them. Traditionally, Con­

authority to 'people of virtue and ability', that is,

fucians acknowledged the possibility of many kinds

those who were successful in Confucian education,

of relations between individuals but gave special

and the Confucian tradition generally preferred a

emphasis to 'five cardinal relations' as fundamental

meritocracy to any system of government which

to a proper social order: those between parent and

privileged birthright.

child, those between ruler and subject, between

In the twentieth century, many of the core values

husband and wife, between older brother and

of Confucian social thought have been subject to

younger brother, and between friends. The Confu­

extensive criticism and outright rejection. This is

cian concern with those relations within the family,

particularly the case with the political dimensions

especially those between parents and children, have

of Confucian thought, since few rulers attained

led some observers to describe Confucian social

the moral status necessary to rule according to the

theory as restrictively group oriented, but the Con­

instructions of Confucian political theory. At the

fucian concern with the possibility and significance

turn of the century, Confucianism was identified

of voluntarily constructed relationships, such as

quite realistically with authoritarianism and polit­

those between friends, should not be underesti­

ical corruption, since its ideals could easily be ma­

mated. Each of these cardinal relationships fixes

nipulated

roles as well as responsibilities; duty thus corres­

individuals or groups. This internal critique of

ponds to title. All of these various reciprocal rela­

Confucianism in practice, which had many prece­

tionships

are

best

established

and

through formalized etiquette and ritual

to enhance the

power of particular

cultivated

dents in Chinese history, was accompanied by the

(li)

challenge of alternative social ideals learned from

which

contact with the West in the nineteenth century.

have been received from the past. traditionally

Increasingly, Confucian values and institutions

defined relationships is not only crucial to the es­

were perceived as incompatible with democratic

tablishment of an ordered society, but is essential to

or socialist ideals, or just with MoDERNITY in gen­

Proper

behaviour

within

these

the necessary development of an individual, for in

eral. Much of Confucian social thought in the twen­

the Confucian view of things persons only become

tieth century has thus been necessarily defensive,

human

through a lifelong process of cultural and

attempting to show that Confucian tradition either

ethical learning. 'To become fully human, the self

has values analogous to the new challengers or can

must enter into continuous dialogue with others

promote the attainment of the new ideals.

within the structures of human relationships' (Tu,

1984, p.

5).

The Confucian tradition was institutionalized in

More recently, there has been a revival of Con­ fucian values throughout East Asia as part of ongoing reconsiderations of cultural identity in

patterns of family life, in a sophisticated educa­

the modern world. This revival has emphasized

tional system, and in government. The Confucian

the traditional Confucian insistence that social life

110

CONSENSUS

should be shaped by the moral and symbolic re­

based on the consensus of a moral community of

sources of the past. While it has been critical of the

like-minded and like-feeling individuals.

Confucian tradition which it has inherited, this

social scientists tended to follow in Comte's foot­

revival has also begun to rethink whether modern­

steps while attempting to make his analytical rigid­

ity must necessarily be defined with an emphasis on

ity more flexible. They have stressed, for example,

Later

the autonomy of the individual. The example of

that in no society, however consensual, will such

industrial East Asia suggests that the Confucian

consensus be equally shared by all component

values of respect for authority, social solidarity

members. Nor can it be expected that all members

based on familism, and a preference for consensus

of a group or society will actually wish to participate

rather than independent thought can make positive

in decision making. Nor, on the other hand, are all

contributions to a modern society.

groups or individuals always able to make their voices heard in the public arena. It may turn out

Reading

that what parades as general consensus is only the

King, A. Yeo-Chi 1991: Kuan-hsi and network building: a

consensus of those allowed to play the political

sociological interpretation. In The Living Tree: the

Changing Meaning of Being Chinese Today, special issue of Da edalus, 120, 63-84. Levenson,J. R. 1958-65: Confucian China and its Modern

Fate, 3 vols. Rozman, G. ed. 1991: The East Asian Region: Confucian

Heritage and its Modern Adaptation. Tu Wei-ming 1984: Confucian Ethics Today: the Singapore

1985: Confucian Thought: Seljhood as Creative Trans­

formation. --

Consensus has to be distinguished from CoER­ CION, that is, the forceful imposition of norms of

behaviour on the population at large by the political overlords and decision makers. Unreflective con­ formity and the habitual acceptance of social com­ mands

cannot

be

taken

as

the

equivalent

of

consensus either. The latter generally implies a

Challenge. --

game.

process through which agreement between partici­ pant actors is brought about. It is to be conceived as

1991: The search for roots in industrial East Asia:

the case of the Confucian revival. In Funda mentalisms

Observed, ed. Martin E. Marty and R. Scott Appleby.

CHARLES HALLISEY

an active process and must hence be distinguished from acquiescence, resigned acceptance or simple conformism. The Nazi regime in Germany, for example, could probably count on the consensus of large parts of Germany's political actors in the

As a term for general agreement be­

first years of the regime, but towards the end of the

tween individuals or groups, not only in thought

Nazi era most citizens seem to have been motivated

but also in feeling, the word does not only refer to

by passive conformity to the injunctions of the Nazi

national agreements but also implies common sen­

leaders.

consensus

timents - sensing together. Consensus exists when

Rules of the game, as we have just seen, may be

a large proportion of the adult members of a society

coercively

or of its subgroups, particularly a large proportion

powerless subordinates. Yet, as political theorists

imposed

by

powerful superiors on

of decision makers, are in general agreement as to

have argued ever since the great Greek philoso­

what decisions are required and what issues have to

phers, coercion alone cannot provide a sufficient

be addressed. Persons or groups who act in consen­

foundation for a social order. If it is true that po­

sus have a sense of affinity with each other and are

licemen can hold a club over potential violators of

united by affective ties and common concerns or

an imposed order such an order cannot solve the

interests. This definition applies, of course, only to

problem of who polices and holds a club over the

an ideal type. In any concrete situation consensus

policemen. A measure of consensus, even if it may

among some will be accompanied by dissensus or

involve only a fraction of the population, must

apathetic withdrawal among others. Consensus and

inspire some actors to follow the directions of the

dissensus are correlative (see DISSENT).

decision makers for motives other than fear of re­

The term consensus was introduced into the

prisal.

language of the social sciences by Auguste Comte

Consensus does not involve clinging forever to

in the nineteenth century; he conceived it as the

fixed standards that guide conduct. On the con­

indispensable cement on which any social structure

trary, historical reflection will show that what was

must rest. He believed that if society was not to

part of the consensus at one time will no longer

collapse into a sandheap of individuals it had to be

govern behaviour at another time. Political parties,

CONSERVATISM at least in modern democratic politics, are continu­

111

incited to do so by the onset of rapid and unsettling

ally involved in conflicts that aim at transforming

change. And even then it finds it hard to give voice

partial consensus into partial dissensus or partial

to instincts which for so long it has taken for

dissensus into partial consensus. For example,

granted, and which (quite literally) it has had no

beliefs about the need for a measure of social secur­

reason to define or defend. For every Edmund

ity during periods of unemployment or in old

Burke, who was 'alarmed into reflection' by the

age are now taken for granted and at least grudg­

French revolution, there were a thousand tongue­

ingly accepted by defenders of the free market,

tied aristocrats and peasants who knew what they

whereas they were seen in an earlier period as

loved, but not why.

utopian fantasies. Quite often, the crackpots of

Hence the 'alarm' which is felt by conservatives

one generation become the venerated innovators

in the face of change more often lends itself to, than

of the next.

leads to, 'reflection'. It is nevertheless correct to

Not only may a given consensus be here today

look for the nativity of conservative thought in

but gone tomorrow because of historical flux and

conservative sentiment. The feeling for the con­

change, but the actors who develop consensus and

crete and the immediate which is so characteristic

consent may also change over time depending on

of the former has its origin in the latter. It can be

the relative openness or closure of access to the

traced back, more specifically, to the premodern

political arena. Consensus is brought about through

ties and practices of the old Europe upon which

a process in which even some originally recalcitrant

the philosophes of the eighteenth-century ENLIGHT­

actors, be they individuals or groups, become mo­

ENMENT heaped so much scorn. Against their drive

tivated, at least in some contexts, to forego egocen­

to reorganize society along 'rational' lines, and to

tric patterns of behaviour through being welded

prize individuals loose from the web of attachments

together by a collective 'we'. In such situations,

in which they had been enmeshed, conservative

initial disagreements may become part of consen­

traditionalists rallied to the defence of their own

sual common beliefs even as newly emerging areas

kind (see RATIONALITY AND REASON). They slowly

of dissensus already begin to point to another turn

raised to the level of reflection their experience of

of the screw.

institutions and customs as inseparable from the

Reading

the then emerging liberal emphasis on wholly indi­

ends of human life. This was in stark contrast to

Comte, A. 1974: The Essential Comte, ed. S. Andreski.

vidual ends and interests, to which institutions and

Key, V. 0. Jr 1961: Public Opinion and American Democ-

forms of life stand in a merely instrumental rela­ tionship. As for long-established institutions, to the

racy. Lipset, S.

1960: Political Man: the Social Bases of

Politics. Shi1s, E. 1975: 'Consensus' in C entre and Periphery: Essays in Macrosociology.

LEWIS A. COSER

liberal individualist they have always seemed to be crutches which people 'come of age' can live per­ fectly well without (see INDIVIDUALISM). The con­ servative is altogether less sanguine: people left to their own devices, conservative thinking goes, are people left to their own vices. Society, as the con­

This is a political perspective

servative pictures it, is not a sandheap of individual,

which is universal in a way that the great modern

unconnected atoms. It is rather a communitas com­

ideologies of LIBERALISM and SociALISM and F AS­

munitatum, in which the socially detached individ­

conservatism

CISM are not. An instinctive aversion to change, and

ual- Shakespeare's 'unaccommodated man'- is the

a corresponding attachment to things as they are,

exception and not the rule.

these are sentiments from which few human beings

What began as an instinctive opposition to

have ever been wholly exempt. And sentiments are

modernizing ideas burgeoned into a full-blown

all that conservatism has amounted to for much of

'counter-enlightenment' when it dawned on con­

human history. In advanced no less than in primi­

servatives that bourgeois radicals wanted to ration­

tive societies any other disposition but the conser­

alize and atomize the whole of society. To the

vative has generally seemed aberrant. Unchanging

extent that the latter succeeded in their aims,

customs, rituals and manners governed human be­

some of the conservative opposition to abstract

haviour from generation to generation. Conserva­

modes of thought was depoliticized, as it lost

tism only awakes from its instinctive torpor when

touch with the world as it was coming to be and

112

CONSUMER SOCIETY

took refuge in that internalized experience we rec­

belief in a universal natural law - which is by

ognize as romanticism. But a more durable element

definition applicable to all human beings in all

in the conservative camp emerged as HISTORICISM.

places and at all times - consistent with an attach­

The historical school reacted to the dissolution of

ment to particular and local traditions and customs?

the traditional, static world by reinterpreting the

Not all conservatives, of course, adhere to both

conservative attachment to the concrete as an at­

these views; but those who do are usually forced

tachment to the organic, that is, that which is living

to admit that an existing or traditional culture may

and always evolving. The place which had been

indeed fall far short of certain universal moral prin­

occupied in earlier conservative thought by the

ciples, in which case the former must submit to the

estate and the local community was filled instead

judgement of the latter.

by the organic community of the 'people'

( Volk).

Change, however, may be so vertiginous that a

It remains true that ever since the Enlightenment used its own idea of human nature to demonstrate

historicist response to it ends not in adaptation but

the irrationality of all existing societies, many con­

capitulation. Both history and experience then

servatives have shunned the very idea itself as being

become treacherous grounds on which to mount

altogether too abstract. But it is important to under­

an effective opposition to radical change, for the

stand the great gulf which separates the conserva­

simple reason that - to borrow the language of

tive idea of human nature- as only becoming what

MARXISM - they are on the side of change. This is

essentially it is, as only finding completion, in soci­

why in the twentieth century many conservatives

ety- from the modern liberal idea of it as essentially

have felt the need for a more discriminating mode

asocial. British and American conservatives have

of thought: appealing less to tradition itself than to

sometimes come close to embracing this liberal

the truths which a healthy tradition embodies. It

view by their enthusiastic espousal of CAPITALISM.

was a mark of the Judeo-Christian tradition that all

However, in practice they normally retain some

members of society accepted it as binding upon

vestige of the older conservative belief that free­

themselves. But modern Western man has lost any

dom, including economic freedom, is at once inop­

sense of an objective moral order. The 'privatiza­

erable and intolerable outside a strong social and

tion' of moral values, which is inevitable and good

moral framework. It remains to be seen how far

from the liberal point of view, from the conserva­

conservatism, in anything more than name, can

tive is identical with the affluent nihilism of con­

survive in a society which is more inclined to con­

temporary society. If values rest on nothing more

flate, than connect, freedom with virtue.

solid than our arbitrary choice, as RELATIVISM would have it, we can have no good reason to

Reading

believe in them. The conservative critique of liberal

Burke, E. 1790

individualism here acquires a cultural and meta­ physical - and not just a social and political perspective. Society and its obligations are not founded on the shifting wills and desires of individ­ uals, but ultimately on the nature of human beings. In other words, prior to the deals we make with one another, in pursuit of our interests, we possess certain duties and rights which are, so to speak, non-negotiable or 'given', because inscribed in our very natures.

(1968): Reflections on the Revolution in

France. Eliot, T. S. 1939:

The Idea ofa Christian Society. Notes Towards the Definition of Culture. Kirk, R. 1954 (1986): The Conservative Mind, 7th edn. Nisbet, R. A. 1966: The Sociological Tradition. Oakeshott, M. 1962: Rationalism in Politics. Scruton, R. 1980: The Meaning of Conservatism. --ed. 1988: Conservative Thinkers. --ed. 1988: Conservative Thoughts. St rauss, L. 1949: Natural Right and History. Voegelin, E. 1952: The New Science ofPolitics. --1948:

!AN CROWTHER

The limits placed on change or 'progress' by the twin ideas of human nature and natural law are obviously very considerable. Liberals and radicals,

consumer society

in varying degrees, assume the infinite plasticity of

around the consumption rather than the production

Denoting a society organized

human nature. Natural law conservatives assert to

of goods and services, this term has come into

the contrary that it manifests unchangeable fea­

general use over the past decade. It is commonly

tures, which in turn implies unchangeable norms.

employed to designate an interrelated set of socio­

Some have seen this view as pointing to a possible

economic and cultural tendencies deemed charac­

incoherence in conservative theory: how is the

teristic of the advanced industrial societies of North

CONVERSATION ANALYSIS

113

America, Western Europe and the Pacific Rim and

ologists. Fernand Braudel (1973) has argued that an

is seen to distinguish them both from earlier nine­

understanding of the development of modernity in

teenth-century 'productionist' societies and from

the West requires an appreciation of how changes

the developing societies of the Third World. Popu­

in consumer behaviour in the premodern period led

lar usage frequently contains the implication that

to an increased demand for goods, while McKen­

members of such societies identify high levels of

drick, Brewer and Plumb (1982) identify the 'con­

consumption with social success and personal

sumer revolution' which heralded the arrival of

happiness and hence choose consuming as their

the consumer society as occurring in England in

overriding life goal. As such the phrase is often

the second half of the eighteenth century. Other

linked to a critique of the status-seeking, material­

writers have sought its origins in fifteenth- and

ism and hedonism which are assumed to comprise

sixteenth-century Europe (Mukerji, 1983) and

the dominant values in such societies. Academic

mid-nineteenth-century France (M. B. Miller,

usage has increasingly attempted to eschew such

1981; Williams, 1982).

evaluative overtones while retaining the insight

Such research has given fresh impetus to the

that the key to understanding modernity lies in

debate over how the activity of consumption should

recognizing the centrality of the activities of con­

best be understood. In this context both the neglect

sumption and its associated attitudes and values.

of consumption within neoclassical economics and

The term 'consumer society' is employed to en­

the 'productionist bias' manifest in the writings of

capsulate this view and usually implies an econ­

Karl Marx and Max Weber are frequently noted as

omy which is geared to satisfying the novel wants

a marked deficiency within Western social thought.

rather than merely the recurrent needs of con­

Thorstein Veblen's theory of conspicuous con­

sumers.

sumption (1899) is that most commonly invoked

The idea that the social and cultural changes

in an effort to fill this vacuum, although Pierre

occurring in the more advanced economies of

Bourdieu's (1979) reworking of the traditional

North America and Western Europe should be

Veblenesque themes of taste and social snobbery

understood as primarily associated with a shift

is increasingly cited as a major source of theoretical

from a focus on production to one on consumption

inspiration. Other recent attempts to develop a

was first advanced in the 1950s by David Riesman,

distinctive theory of consumption which could

Nathan Glazer and Reuel Denny in The Lonely

serve as a basis for a theory of consumer society

Crowd (1950) and has since been taken up by

would include those of Appadurai (1986), Camp­

other, more recent interpreters of modern society,

bell (1987) and Daniel Miller (1987).

such as Daniel Bell (1976), Bernice Martin (1981)

See also AFFLUENT SOCIETY.

and Colin Campbell (1987). In these works the transition from a production to a consumer society

Reading

is not viewed as simply consisting of the emergence

Campbell, C. 1987: The Romantic Ethic and the Spirit of

of a mass market for luxury goods but is equated with a fundamental shift in values and beliefs. Hence discussion of the nature and origin of the consumer society is linked to attempts to explain the decline of the Protestant work ethic and its displacement by an 'expressive', 'hedonistic' or 'ro­

Modern Consumerism.

McCracken, G. 1988: Culture and Consumption: New Ap­ proaches to the Symbolic Character of Consumer Goods and Activities.

McKendrick, N., Brewer, J. and Plumb, J. H. 1982: The Birth of a Consumer Society: the Commercialization of Eighteenth-century England.

mantic' ethos (see PROTESTANT ETHIC THESIS). This

COLIN CAMPBELL

concern with the analysis of cultural change has meant that discussion of the consumer society

contradiction

See DIALECTICS

intersects with other debates over the nature of Sometimes referred to

contemporary society (see MASS M EDIA: MoDERN­

conversation analysis

ISM AND POSTMODERNISM).

as CA, this field of sociology is concerned with the

However, the assumption that there is a clear

organization of social interaction in everyday con­

watershed in the recent past separating societies

texts and more specialized institutional environ­

shaped by the forces of production from those

ments. Originating in the research of Harvey

determined by the forces of consumption has been

Sacks and his collaborators Emanuel Schegloff

increasingly questioned by both historians and soci-

and Gail Jefferson, the field emerged as a product

114

COOPERATIVE MOVEMENT

of the influences of ETHNOMETHODOLOGY and the

interviews, medical consultation and so on, can be

interactional analysis of Erving Goffman. From its

documented and analysed.

inception in privately circulated lectures by Sacks

CA research and findings embody an innovative

(1964-72), CA has grown into a field of research

fusion of sociological approaches to the nature of

that is practised worldwide.

social action and interaction with analytic outlooks

The primary research objective of CA is to de­

associated with linguistic pragmatics. The detail

scribe and analyse the social competencies under­

and cumulativeness of these findings is creating

lying the production and recognition of ordinary

new opportunities for precisely focused studies of

social actions. Many of these competencies have a

the workings of specific social institutions and is

normative dimension. CA shares the ethnometh­

exerting a significant impact in the adjacent discip­

odological view that a common body of normative

lines of anthropology, linguistics, social psychology

practices inform both the production and the inter­

and cognitive science.

pretation of action and that they are implemented in a dynamic social context that is altered, to a

Reading

greater or lesser extent, with each successive con­

Atkinson, J. M. and Drew, P. 1979: Order in Court: the

tribution to interaction. Analysis of these practices is made possible by the fact that, during the course of interaction, each party (whether consciously or not) displays an understanding and analysis of the other's conduct through the production of a next action in a sequence. CA embodies an analytic framework that is based on this fact. Thus rather than focusing on speakers and their individual in­

Organisation of Verbal Interaction in Judicial Settings.

Atkinson,J. M. and Heritage,J. C. eds 1984: Structures of Social Action: Studies in Conversation Analysis.

Drew, P. and Heritage,]. eds 1991: Talk at Work. Goodwin, C. 1981: Conversational Organisation: Inter­ action between Speakers and Hearers.

Levinson, S. C. 1983: Pragmatics. Sacks, H. 1964-72(1992): Lectures on Conversation, ed. G. Jefferson, 2 vols.

tentions, CA begins with the normative practices that

shape

sequences

of

interaction

JOHN HERITAGE

between

speakers and the design of particular actions or

cooperative movement

utterances within these sequences. Using this ap­

working together for the production and distribu­

proach has resulted in a very large range of findings

tion of goods, cooperatives have taken a variety of

about the organization of action, of mutual under­

forms in different national contexts. The Inter­

Associations of people

standing within interaction and, increasingly, of the

national Co-operative Alliance, representing almost

extent to which findings deriving from interactional

600 million individual members worldwide, has

data from a particular culture are universal or cul­

singled out six essential principles: voluntary and

turally specific.

open membership, democratic control, limited

The empirical approach of CA is observational

return on capital, surplus earnings belong to

and naturalistic rather than experimental. It is based

members, education and cooperation among co­

on data that are collected from natural settings of

operatives (ICA Commission,

interaction by audiotape or videotape or film

control is the key difference between capitalist and

1967). Democratic

recording. Much of this data is taken from casual

cooperative forms of property. Unlike the joint­

conversations between friends and acquaintances.

stock company each member has the same voting

This sort of conversation represents the most basic

rights regardless of the number of shares held;

form of interaction in most, if not all, cultures. It is,

PARTICIPATION is power, rather than individual

as Schegloff has observed, a primordial site of

ownership of other people's ossified

human sociality and it is of fundamental significance

labour.

abstract

in the study of social action and practical reasoning.

An ethical, idealist impulse has been a common

Moreover ordinary conversation is a form of inter­

feature. From its inception, cooperation was seen

action to which humans are first exposed during the

as a way of building an alternative to capitalism

course of SociALIZA TION and through which social­

from the bottom up, replacing bourgeois INDIVIDU­

ization itself proceeds. Analysis of its underlying

ALISM with a society based on mutuality and social

organization is providing a baseline against which

solidarity. An English cooperator defined the ideal

the conduct that is characteristic of more specialized

thus in

forms of interaction, for example in courts, news

eliminate the present industrial system, and to sub-

1907: 'By means of mutual association to

COOPERATIVE MOVEMENT

115

stitute mutual Co-operation for the common good

nize capital/labour relations (Backstrom, 1974).

as the basis of all human society' (Webb, 1904, p. 2).

Ludlow drafted the Industrial and Provident Soci­

The movement originated in Britain during the

eties Act of 1852 which regulated (in the sense of

development of industrial capitalism in the late

protection and constraint) relations between the

eighteenth century; cooperative mills were estab­

state and cooperatives. This attempt to appropriate

lished from the 1790s, evidence of the contest be­

the meaning of cooperation was effectively coun­

tween the 'moral economy' of the labouring poor

tered by the English and Scottish CWS (established

and laissez-faire ideology and practice (Thompson,

in 1863 and 1868) which articulated a neo-Owenite

1991). The early nineteenth century was punctu­

ambition based on the principle of consumer co­

ated by waves of cooperative experiment; short­

operation (Yeo, 1987, p. 231). This strategy, theor­

lived worker co-ops were set up during the Luddite

ized by Charles Gide in France, contained its own

agitation in 1811-13; Owenite and Chartist stores

contradictions and the constant tension between

were founded from the late 1820s through the

the rights and duties of producers and consumers

1830s.

Although

the

utopian

socialist

Robert

Owen has often been regarded as the 'father' of the cooperative movement, these ventures were neither inspired nor wholeheartedly supported by

has marked subsequent cooperative ideology and practice, in Britain and elsewhere. By

1914

cooperation

had

become

deeply

ingrained within working-class communities, par­

the paternalistic Owen, who preferred modes of

ticularly in the north of England. A counter­

social transformation imposed from above (Taylor,

culture, comprising a wide repertoire of educational

1983, p. 120).

and recreational forms, grew up around the move­

In 1844 Owenite-inspired weavers formed the

ment; here was the equivalent of the cultural con­

Rochadale Society of Equitable Pioneers. This so­

struction which characterized the German SPD

ciety redistributed the trading surplus among

before World War I (Gurney, 1989). The 'unmak­

members according to the value of their purchases,

ing' of this culture is part of the unwritten social

the so-called 'dividend', although the ultimate goal

history of the twentieth century. The movement

was still the establishment of 'a self-supporting

had to struggle not only with its own project but

home colony of united interests' (Webb, 1904, p.

also against powerful outside forces ranged against

69). The society expanded at a phenomenal pace

it. Changes in the capitalist mode of consumption

and demonstrated the usefulness of this form of

(Aglietta, 1976), particularly the development of

working-class association at a time when direct

'consumer capitalism' in the widest sense, has

confrontation with the capitalist state was becom­

checked cooperative advance in Britain and the

ing less feasible. Working-class women had a large

West generally. The capitalist state has frequently

measure of control over consumption strategies and

been hostile and there have been repeated attempts

were consequently highly visible within the move­

to tax cooperative 'surplus' (profits to critics); in

ment from its inception and throughout its subse­

1933 mutual associations were assimilated to joint­

quent history.

stock companies and cooperative reserves taxed

The 'essentially contestable' nature of cooper­

in the same way as capitalist firms (Killing­

ation was apparent from this early phase. Until

back, 1988). This hostility has been apparent even

about 1848 'cooperation', 'communism' and 'so­

when the custodian of political power has been the

cialism' were interchangeable and carried similar

Labour Party; antagonism between different wings

anti-capitalist emphases (Bestor, 1948). These con­

of the labour movement has been a constant disab­

cepts have been sites of complex and protracted

ling factor, a result of the fractured identities of

struggles over the last two centuries. Bourgeois

workers as producers/consumers, men/women,

reformers throughout Western Europe attempted

voluntarists/statists.

to separate 'cooperation' from what were perceived

The British movement inspired cooperative de­

to be more 'revolutionary' modes of social change,

velopment throughout Europe and North America.

especially after the 1848 revolutions. Middle-class

Vigorous national movements grew up in France,

Christian Socialists like E. V. Neale and ]. M.

Germany, Austria, Sweden, Denmark, Belgium

Ludlow were fervent advocates of producer co­

and Italy, each with their own peculiarities. Credit

ops and profit-sharing and believed that these

unions played an important role in the German

forms would 'humanize' the worker and harmo-

movement and their founder, Schulze-Delitsch,

116

COOPERATIVE MOVEMENT

considered cooperation an antidote for Marxist social democracy. The French movement, inf­l uenced by the ideas of the utopian socialist Charles Fourier and later by the anarchism of Pierre Proud­ hon and the moderate socialism of Louis Blanc, was shaped by the revolutionary experience of 1848 and 1871. Agricultural cooperatives were dominant in Russia and played a vital role in the Russian Revo­ lution of 1917 prior to collectivization under Stalin (Carr, 1952). Today over 100 million people belong to co­ operatives in Europe and North America. The most promising experiment since World War II is the Mondragon complex in the Basque region of Northern Spain. Founded in 1958 by Arizmendi, a socialist priest, it now consists of over a hundred cooperatives employing 19,000 worker-owners, and supplies banking, housing, education, social wel­ fare and consumer goods; a living, albeit isolated, example of the effectiveness of a 'culture of cooper­ ation'. This has led some commentators to describe Mondragon as 'a new phenomenon in cooperative history' (Thomas and Logan, 1982, p. 76). The principles of voluntary membership and democratic control serve largely to disqualify forms of collective enterprise developed by socialist and communist states from inclusion in this discus­ sion. Their overall lack of success points to the incompatibility between cooperation and statist forms of social transformation. This is well illus­ trated by the Russian kolkhoz or collective farm, which spectacularly failed to solve the problems of agricultural production in the old Soviet Union. The same can be said of the Ujamaa Village in Tanzania imposed from above by Julius Nyerere in the 1960s. However, this rule has not been inviol­ ate: workers' SELF-MANAGEMENT initiatives in the former Yugoslavia and the Chinese Commune can be viewed in a more favourable light. Communes, formed in both rural and urban districts after 'the great leap forward' in 1958, organized and regu­ lated production, consumption, defence and edu­ cation. Some commentators have regarded them as the partial realization of a communist utopia (Mel­ nyk, 1985, p. 43). The positive gains represented by these experiments are in danger of being lost as Eastern Europe and China pursue Western modes of capitalist modernization. Two of the most promising present-day move­ ments are found in India and Japan. Cooperatives exist in almost every village in India. Over a quarter of a million societies with 140 million members

have achieved great success, particularly in dairy farming, sugar and fertilizer production. Initially established by the British and used to buttress colonial power in the countryside, the movement continues to suffer from the legacy of corruption. Political parties have frequently interfered in co­ operative affairs and appointed leaders against the wishes of the membership. The result has been to alienate the movement from the members (Sharma, 1989). By contrast, the Japanese movement, which originated in the late nineteenth century, has de­ veloped a strong democratic structure based around the 'Han' or community group. Established in the late 1950s, the Han is a small group of consumers (10 to 12 families) which makes contracts with suppliers through the local consumers' cooperative and regulates quality and distribution. This form has ensured high member participation and, coupled with the economic boom after World War II, helps account for the movement's growth; Japan now has the world's largest consumer cooperative organization with over 11 million members and a turnover of nearly 13 million US dollars in 1986 (Hasselman, 1989). Many advocates of cooperation continue to regard it as a viable alternative to both state social­ ism and monopoly capitalism; hence the import­ ance assigned to a regenerated Russian movement by President Gorbachev in the late 1980s (Gorba­ chev, 1988). The sector was consequently reborn during perestroika, but following the failure of this initiative it is unlikely that the movement will per­ form the transformative role once envisaged. In the longer term the problems which now confront the world economic system generally may serve to underline anew the relevance of cooperative social and economic forms. Reading Banner, A. 196 1: British Co-operation. Co1e, G. D. H. 1945: A Century of Co-operation. Desroche, H. 1964: Cooperation et developpement: Mouvements cooperatifi et strategie du developpement. Furlough, E. and Strikwerda, C. eds 1999: Consumers Against Capitalism? Consumer Co-operation in Europe, North America and Japan. ]ones, B. 1894: Co-operative Production. Laid1aw, A. F. 1981: Co-operation in the Year 2000. Sapelli, G. ed. 1981: IlMovimento Co-operativo in Italia. Watkins, W. H. 1970: The International Co-operative Alliance, 1895-1970. Webb, C. 1927: The Woman with the Basket.

PETER GURNEY

CORPORATISM

117

In recent usage in the social sci­

public policy objectives, governments effectively

ences, the concept of corporatism has shrugged off

excluded from the bargaining table a rather larger

corporatism

its earlier association with authoritarian and fascist

number of less powerful groups (Offe in Berger,

regimes, and has come to be deployed as a means for

1981).

analysing the role of organized interests in present­ day liberal democracies.

Corporatism has also

There has been a lively debate about what should be the focus of corporatist theory, which has led

passed into common political usage as a shorthand

some critics to doubt its distinctive character. The

for the involvement of trade unions, together with

most widespread modern usage of the term iden­

organizations representing the interests of capital in

tifies the heart of corporatism as the role of interest

bargaining with governments over economic pol­

organizations as intermediating between the state

icies. In public debate corporatism has come to be

and CIVIL SOCIETY. Pluralist theory stressed the role

seen as the antithesis of neoliberalism, in which

of groups as representing the interests of their

governments seek to use competition rather than

members and seeking to influence the direction of

negotiation as the dynamic of policy-making.

public policy implemented through the institutions

Much of the earlier normative writing on corpor­

of the state. Corporatist theory laid an equal stress

atism reflected Catholic social doctrine, and the

on the delegation of public functions to groups, and

search for an ideological alternative to liberalism

their responsibility for the implementation of

and socialism. Corporatist writers espoused organic

public policy. Thus groups did not simply repre­

theories of society, and argued for functional

sent interests, but carried out a double role which

groupings or corporations based on a common set

fused together interest representation and policy

of interests which transcended class divisions. This

implementation. The key test for the effectiveness

idea of corporatism as a blueprint for an ideal social

of a corporatist group was thus argued to be its

system based on the harmonious accommodation of

capacity for disciplining its membership to accept

different social groups was nowhere realized in

and implement bargained agreements with the

practice, although some of its elements found ex­

state. Relatively stable relationships of this kind

pression in the projected corporate STATE in Mus­

have also been termed 'private interest government'

solini's Italy.

(Streeck and Schmitter, 1985).

Among contemporary academic writers, corpor­

The difference between advanced capitalist soci­

atism is usually seen as the antithesis of PLURALISM,

eties where corporatism develops incrementally as a

and indeed the leading exponent of corporatist

consequence of the growing monopoly power of

theory in the 1970s, Philippe Schmitter (1974),

interest organizations, and those where a corporat­

offered corporatism as a critique of what he saw as

ist design is imposed by the state, is captured in the

the dominant pluralist orthodoxy in PoLITICAL

distinction between societal (or liberal) corporatism

SOCIOLOGY. Pluralists interpreted the extraordinary

and state corporatism (Schmitter, 1974). Societal

range and diversity of interest organizations in

corporatism develops where the state recognizes

modern societies as evidence for the openness of

the accretion of autonomous power by organiza­

democratic

of

tions representing the interests of social categories,

influences, and offered a benign view of INTEREST

and enters into a process of political exchange with

governments

to

a

wide

range

GROUP politics as a supplement to electoral mech­

them.

anisms for ensuring democratic accountability. By

strongly institutionalized in countries such as Aus­

Societal

corporatism

has

become

most

contrast, corporatist theory stressed the limited

tria or Sweden where a powerful labour movement

number of politically influential organizations, and

has become a 'social partner' with the peak employ­

the tendency for such groups to achieve a monopol­

ers' association and the state in negotiating eco­

istic position in representing interests within par­

nomic and social policies. State corporatism, by

ticular social categories. Such developments tended

contrast, occurs in societies with relatively weakly

to supplant rather than supplement parliamentary

organized group interests, where states seek to le­

processes. Governments tended to favour the de­

gitimate their rule and accomplish their objectives

velopment of interest monopolies because it made it

by mobilizing the population within subordinated

easier and less time-consuming to bring group

organizations. State corporatism tends to be associ­

interests in line with public policies. By conferring

ated

a privileged public status on those groups whose

regimes, such as those in Latin America (Malloy,

cooperation was considered important for realizing

1977).

with

peripheral

or

dependent

capitalist

118

CORPORATISM

The development of corporatism in liberal dem­

which scored most highly was Austria, that the

ocracies is often associated with a reduction of

United States was the least corporatist country,

the range of decisions which are subject to deter­

and that in Britain corporatism has been relatively

parliamentary

weak. Some attempts (discussed in Cawson, 1986)

processes. Many early accounts assumed an evolu­

have been made to measure corporatism and cor­

mination

through

electoral

and

tionary process of corporatist development with

relate its incidence with other features of national

warnings that parliamentary democracies were in­

political systems. The results are suggestive rather

creasingly becoming 'corporate states'. But with the

than conclusive, but there are indications that cor­

increasing sophistication of corporatist theory, the

poratism is linked to low levels of backlash against

appearance of empirical studies of corporatist pro­

high taxation and public spending. Other studies

cesses and the conscious rejection of corporatist

have suggested that the more 'governable' countries

practices in some countries has come an appreci­

are the strongly corporatist ones, and they tend also

ation of the limits of corporatism and its coexistence

to have lower unemployment.

with parliamentary and pluralist processes. This

Most students of corporatism agree that the

has led to the development of a 'dual state' or

prototypical case of macro-corporatism is Austria,

'dual politics' thesis which suggests that corporat­

followed by the Scandinavian countries, and espe­

ism is limited to intermediation with respect to a

cially Sweden. Austria has a system of compulsory

range of issues concerned with production and

membership in chambers of commerce, labour,

involving producer interests, and will always coex­

agriculture and the professions, and every working

ist with a competitive or pluralistic political process

citizen is a member of at least one of these. Each is a

for the determination of consumption issues in­

highly centralized organization, in which the na­

volving individuals and consumer interest organ­

tional leadership maintains effective control over

izations (Cawson and Saunders, 1983).

sectoral and territorial subdivisions. The peak

Where corporatism has become strongly en­

trade union organization monopolizes the represen­

trenched at the macro level, economic and social

tation of labour, and individual unions are subunits

policies have been determined on the basis of tri­

which depend on the centre for their financial re­

partite negotiation. It has been argued that the

sources. Parity of representation is guaranteed by

ability of some countries to withstand economic

the state in bargaining over price control and eco­

recession without resorting to deflation and the

nomic planning,

creation of unemployment can be explained by the

bargaining is focused on a highly informal non­

and

agency,

collective the

Parity

socioeconomic

extent to which corporatism facilitates bargaining

bureaucratic

between capital and labour over the distribution of

Thus the Austrian example demonstrates the effec­

Commission.

the social product (Goldthorpe, 1984). In such

tive institutionalization of the preconditions of

cases corporatist processes involve class collabor­

macro-corporatism: monopolistic and centralized

ation, and for this reason many Marxist critics (see

interest organizations, parity in class representa­

Panitch in Schmitter and Lehmbruch, 1979) have

tion, and informal adjustment processes. All of

argued that corporatism can be understood as a

these preconditions have emerged over a consider­

strategy which is adopted by capitalist states in

able historical period, and while none is unique to

order to maintain the subordination of the working

Austria, the combination of them certainly is

class. Related to corporatism as a process of macro­

(Marin in Grant, 1985).

economic policy-making is recent work by Scandi­

Less stable and successful examples of corporat­

navian scholars, which has introduced the idea of

ist institutions can be found in a number of other

the 'negotiated economy' as a means of describing

countries. For some two decades after World War II

economic policy-making regulated by a series of

the Dutch Social and Economic Council effectively

bargains between autonomous institutions (Nielsen

produced an interclass consensus on economic

and Pedersen, 1988).

policy, but its influence waned from the 1960s as

An important part of the early writing on liberal

interest organizations became more fragmented and

corporatism concentrated on the comparative an­

the formalized system of functional representation

alysis of nation-states, and several attempts were

failed to adapt. In other cases, such as West Ger­

made to rank countries according to the extent to

many, corporatist institutions have come under

which they conformed to an ideal type of corporat­

pressure as a consequence of economic crisis,

ism. Most authors seemed to agree that the country

when employers and sometimes individual unions

COUNTERCULTURE have sought to circumvent centralized bargaining

119

tional-level indicators, in particular policy areas

procedures. In general the resurgence of neoliberal

such as agriculture strongly entrenched forms of

economic strategies since the 1970s has tended to

corporatist intermediation can be found.

undermine the preconditions for corporatism at the

Corporatist theory has mounted a strong chal­ lenge to pluralism as a model of interest group

macro level (Goldthorpe, 1984). Modern usage suggests the following as a concise

politics, but as empirical evidence feeds into suc­

definition of the concept: Corporatism is a specific

cessive refinements of the theory, it is becoming

sociopolitical process in which organizations repre­

clear that corporatism and pluralism should not be

senting monopolistic functional interests engage in

seen as alternative paradigms for studying interest

political exchange with state agencies over public

politics but as end points on a continuum according

policy outputs, which involves those organizations

to the extent to which monopolistic and interde­

in a role which combines interest representation

pendent relationships between interest organiza­

and policy implementation through delegated self­

tions

enforcement.

(Cawson, 1986).

and

the

state

have

become

established

Three key features of corporatism distinguish it from pluralistic processes of interest group polit­

Reading

ics. The first is the monopoly role played by cor­

Cawson, A. 1986: Corporatism and Political Theory.

poratist bodies; the second is the fusion of the

--ed. 1985: Organized Interests and the State: Studies in

representative role with that of implementation; and the third is the presence of the state both in licensing monopoly representation and in eo­ determining policy. Whereas in pluralist theory interests are identified as prior to organization and political mobilization, in corporatist theory the

Mesa-Corporatism. Grant, W. ed. 1985: The Political Economy ofCorporatism. Malloy, J. ed. 1977: Authoritarianism and Corporatism in Latin America. Schmitter, P. C. and Lehmbruch, G. eds 1979: Trends toward Corporatist Intermediation. Williamson, P. 1989: Corporatism in Perspective.

state is identified as a crucial agent in shaping

ALAN CAWSON

interests and affecting the outcome of group pro­ cesses (Cawson, 1986).

council, democracy

See WoRKERS' COUNCIL

The interest organizations which are most likely to achieve monopoly status and enter into a corpor­

counterculture

atist exchange with state agencies are those which

set of values, norms and behaviour patterns which

represent producer rather than consumer interests,

directly contradict those of the dominant society.

and which command resources of information or

According to the

compliance which are necessary for the implemen­

word was added to the English language in the

A minority culture marked by a

Oxford English Dictionary, the

tation of state policies. Empirical studies suggest

late 1960s and early 1970s, referring to the values

that employers' and trade associations, trade unions

and behaviour of the American younger generation

and professional bodies are the most common inter­

of the 'sixties' who were revolting against the dom­

locutors.

The form that corporatism takes is

inant cultural institutions of their largely affluent

bargaining, with a high degree of delegation of

parents (see AFFLUENT SOCIETY) . Although the

public authority to nominally private bodies. As a

word entered the language in response to this par­

policy mode, corporatism may be contrasted with

ticular generational conflict in America, the idea is

legal-bureaucratic and market forms of regulation

as old as the Judaeo-Christian history of the West;

which involve a markedly different form of rela­

Christianity itself was a counterculture in Jewish

tionship between the state and interest organiza­

Jerusalem and later in pagan Rome. Both]. Milton Yinger, a leading American sociologist of counter­

tions. In addition to the macro level, which involves

cultures (1982), and Christopher Hill, a leading

peak associations in bargaining over public policies,

British historian of the English revolution (1975),

corporatism can be identified at a sectoral or mesa

refer to the Bible in their books on countercultures:

level in the relationship between state agencies and organizations

which

have

achieved

monopoly

These men who have turned

representation of particular sectoral interest cat­

The world upside down

egories. Even in countries such as the United States

Have come here also.

or Canada, which are weakly corporatist using na-

Acts 17:6

120

COUNTERCULTURE

The driving force of Christianity has been built

materialistic values of white America and at­

on the dialectical tension between the Old and New

tempted to turn them upside down in the 1960s,

Testaments, between law and Gospel, between the

the most anti-authoritarian, anti-elitist and disesta­

Ten Commandments and the Sermon on the

blishmentarian decade in American history. In the

Mount. Perfectionists in every generation have

course of the decade, the hegemony of a WASP

usually appealed to the universal Gospel of love as

establishment over an open class system was re­

against the culturally rooted laws symbolized by

placed by a governmental bureaucracy, bent on

the Ten Commandments. Thus among the multi­

levelling downward rather than upward, creating a

tude of seekers spawned by the English revolution

classless society of ranks based on credentials (such

of the 1640s and 1650s, the followers of such sects

as advanced degrees at prestigious institutions)

as 'The Family of Love' were not unlike the flower

rather than native ability and drive.

people and hippies of the 'Love Generation' in the American 'sixties'. Sectarian and countercultural movements have

Coming of age in the shadow of the Holocaust and Hiroshima, and faced with the dehumanizing aspects of ever more rationalized and impersonal

usually had two aspects, radical activists who seek

institutions such as multiversities at Berkeley and

politically to revolutionize society and bohemians

Michigan, many members of this generation found

who withdraw from society to live in isolation.

all forms of racism and ethnic prejudice as well as

Thus John Lilburne, the most popular man in

war unacceptable; reason, scientism and technol­

Cromwellian England, led his Levellers in political

ogy-worship were major parts of the problem rather

revolt, but eventually withdrew from political ac­

than any solution; hard work and social mobility

tivism and became a Quaker; so Staughton Lynd, a

became the 'rat race' to be avoided at all cost (better

guru of the student New Left who went to Hanoi,

an independent and honest carpenter or plumber

showing his solidarity with the enemy when Amer­

than a conforming and conniving bureaucrat); self­

ica was still fighting the Vietnam war, also became a

improvement through self-denial gave way to the

Quaker. Theodore Roszak, in an excellent, early

Playboy

book on the counterculture (1969), includes both

courtship rituals were dropped in favour of 'having

'the mind-blown bohemianism of the beats and

sex'; husbands and wives were replaced by more or

ethic

of self-indulgence,

love-making

hippies' and the 'hard-headed political activism of

less permanent 'significant others' (lasting relation­

the student New Left' within counterculture.

ships were honestly feared); synagogue and church

At the close of World War II, Americans were

attendance, as well as nineteenth-hole rituals at the

confident and proud of their institutions, which

suburban golf club, were left to uptight parents

were rooted in Calvinist cultural values. These

while their children fled in search of meaningful

included faith in reason, science and technology, a

lives in the student civil rights movement in the

Puritan ethic of hard work and self-improvement,

South, New Left politics on the very best campuses

representative democracy limited by law and Con­

of the nation and escape through drugs and various

stitution, and finally, a mildly patriarchical family

Eastern religious cults in the urban bohemian

where divorce was still relatively taboo, parental

scenes like the East Village in New York, or

authority assumed, and family church attendance

Haight-Ashbury in San Francisco, as well as the

higher than in any other Western nation. Order and

bohemian fringes of their favourite campuses from

authority in this confident society were shaped by a

Berkeley to Harvard Yard. The Quakers (once

hierarchical, yet increasingly open and opportuni­

called the antinomian Anabaptists of the English

tarian, class system led by elites drawn from, or

revolution, who still believe in participatory dem­

being assimilated into, a secure and hegemonic

ocracy) went through a slow, steady decline in

WASP ('white Anglo-Saxon Protestant') establish­

postwar America and then boomed in the 1960s as

ment.

new Meetings were founded round campus com­

This optimistic society launched the longest eco­ nomic boom in American history, which produced

munities. The largest meeting in Massachusetts was right off Harvard Square.

an unprecedented baby boom lasting well into the

One important thing about the counterculture

1960s. These baby-boomers went to college and on

was its loss of faith in representative democracy in

to graduate and professional schools in increasing

favour of participatory or demonstration democ­

numbers. Meanwhile, a prophetic minority (New­

racy; the student New Left, led by Tom Hayden

field, 1967) of them became disenchanted with the

and other founders of Students for a Democratic

COUNTERCULTURE

121

Society (SDS), was determined to move political

novelist who wrote One Flew over the Cuckoo's

decision-making out of the halls of the legislature to

Nest, which became a cult novel and film of the

the crowd-filled streets; the ballot was replaced by

sixties generation. In this sad summer, 'love

the bull-horn, the privacy of the voting booth by

had fixed itself in a place of excrement' (Wolfe,

lonely crowds chanting simplistic solutions to com­

1968, p. xviii). These love children, who had

plex political problems. The effectiveness of crowd

left homes of stifling comfort and affluence, had

politics depended on television, which soon sent

no idea how to take care of themselves. Barefooted,

vivid audiovisual images round the 'Global Village'

longhaired, dressed in rags from thrift shops and

world, dramatizing the crowd behaviour of 3,000

grandmothers' attics, they lived on drugs and junk

students gathered (for the Free Speech Movement)

food, suffered from bad

on Sproul Plaza, at the Berkeley campus of the

and lack of sleep, and were constantly stepping on

teeth, bad digestion

University of California, in 1964; the crowd of

rusty nails and broken glass; venereal disease flour­

20,000 in the march on Washington against the

ished alongside sexual freedom. A free medical

Vietnam war, in 1965; of 25,000 hippies and New

clinic treated some 3,000 patients a month that

Leftists marching on the Pentagon, in 1967; and

summer.

finally, the angry, frightened student crowds bat­

The greatest happening in the history of the

tling the 'pigs' (policemen) in Grant Park and on

counterculture was the Woodstock Festival of

the streets around the Democratic Convention in

Life when some 500,000 youths, left activists,

Chicago, in the summer of 1968, which demoral­

drop-outs and the just plain curious, found their

ized the liberals (despised enemies of SDS).James

way to a gigantic rock concert held in the middle of

Miller (1987, p. 304) described the end of that day

a muddy farm in upstate New York, in August 1968, just a month following the tragedy of the

in Chicago as follows:

Democratic Convention in Chicago. For three The sun set. Klieg lights were switched on. Tele-

days the stripped-down, happily stoned crowd

vision cameras recorded the action ... Suddenly,

were orderly and friendly, even impressing the

without warning, the police attacked ...Fused by

police and local farmers. If Woodstock was a suc­

panic, rage and pride, the crowd began to chant:

cess, the Let it Bleed festival of Angels and Death,

'The Whole World is Watching! The Whole

run by Mick ]agger's Rolling Stones, 'the world's

World is Watching! The Whole World is Watch­ ing!'

greatest rock and roll band', at the Altemont Race­ way near San Francisco, in December, was a disas­ ter. The Stones, to save money, hired a band of

After Chicago the SDS fell apart, leaving a small

remnant

called

the

Weathermen,

who

Hell's Angels (for 500 dollars worth of beer) to keep order (O'Neill, 1971, p. 261). The crowd of some

were now dedicated to violence. Their end was

300,000 was far more stoned than at Woodstock.

symbolized by two events in 1970; in May a

Rolling Stone magazine, leading authority on rock

splendid town house in New York City on 11th

music, photographed Mick ]agger watching the

Street, right off Fifth A venue, in the Village,

Angels beating a young Negro from Berkeley to

was accidentally blown up, killing three Weather­

death on stage, in front of the freaked-out crowd.

men; the survivors, including the owner's daugh­

Todd Gitlin, obsessed with the stench of death in

ter,

the stoned crowd, asked himself: 'Who could any

went

underground;

in

May,

National

Guardsmen opened fire on demonstrating students,

longer harbor the illusion that these hundreds of

killing four.

thousands of spoiled, star-hungry children of the

The rise and fall of the drug culture paralleled that of the student activists. The year following the Free Speech Movement in Berkeley, two hippies

Lonely Crowd were harbingers of a good society?' (1987, p. 407). See also STUDENT MOVEMENT, YOUTH CULTURE.

opened a psychedelic shop in the Haight-Ashbury district of San Francisco. By the 'Summer of Love' in 1967, the Haight became the Mecca of hippie tribes from all over the nation, who had tuned in, dropped out and been turned on by the drug religion of Timothy Leary, a defrocked Harvard professor, and Ken Kesey, the let-it-all-hang-out

Reading Feuer, L. S. 1969:

The Conflict of Generations: the Character and Significance ofStudent Movements. Fraser, R. 1988:1968: a Student Generation in Revolt. Kennan, G. F. 1968: Democracy and the Student Left. Mailer, N. 1968: Miami and the Siege of Chicago.

122

CRIME AND DEVIANCE

Rothman, S. and Lichter, S. R. 1982: Roots ofRadicalism: Jews, Christians and the New Left.

case, the ideology and organization of the military are often contrasted with the low level of institu­

Wo1fe, T. 1968: The Purple Decade: A Reader.

E. DIGBY BATZELL

tionalization of political regimes characterizing praetorian societies - because of the absence or weakness of effective political institutions, social

counter-revolution

See REVOLUTION

forces

confront each

other

nakedly

and

each

employs means which reflect its capabilities: 'the coup d'etat

Defined restrictively by Henry R.

wealthy bribe; students riot; workers strike; mobs

Spencer as 'a change of government effected by

demonstrate; and

the holders of governmental power in defiance of

1968,

the state's legal constitution'

(1963,

p.

508),

the

p.

196).

the military coup'

(Huntington,

Yet it would be an exaggeration to

say that military coups lead only to authoritarian

concept of a coup d'etat would thus tend to cover

regimes: the coup in Portugal in

only the category of executive coups. As underlined

to the fact that a putsch may sometimes open the

by M.N. Hagopian

(1975, p.6), the disadvantage of

1974 bears witness

way to democracy.

such a definition is that it excludes those coups fomented by groups not belonging to the power

Reading

elite (paramilitary coups) or which, despite being

Chazel, F. 1985: Les ruptures revo1utionnaires. In Traite

part of the state apparatus, do not necessarily hold political power (military coups). Unlike revolutions or militarized insurrections which also aim at a change of government (see

REVOLUTION),

a coup d'etat in no way calls on the

masses to mobilize. This prime characteristic does not exclude 'an eventual empirical interdependence of phenomena', a coup that may well occur 'at the

de science politique, ed. J. Leca and M. Grawitz. Hagopian, M. N. 1975: The Phenomenon ofRevolution. Huntington, S. P. 1968: Political Order in Changing Soci­ eties. Luttwak, E. 1969: Coup d'Etat: A Practical Handbook. Spencer, H. R. 1963: Coup d'Etat. In Encyclopaedia ofthe Social Sciences, ed. Edwin R. A. Seligman and A1vin Johnson, vol. 3-4, pp. 508-10. Touraine, A. 1988: La Parole et le sang.

beginning of a revolution, or during it' (Chazel,

1985,

PATRICE MANN

p. 637). The second characteristic lies in its The briefest definition of

manner of execution: prepared and carried out by a

crime and deviance

small number of people, a coup d'etat requires

crime would probably refer to it tautologically as a

above all secrecy and quick action. In this way

breach of the criminal LAW. A little more fully, the

there occurs 'the infiltration of a small but critical

1989 edition of The Oxford English Dictionary stated

segment of the state's apparatus which is used to

that crime is 'An act punishable by law, as being

displace the government from the control of the

forbidden by statute or injurious to the public wel­

remainder' (Luttwak,

1969,

p.

12).

The accent

fare'. And the classic description was offered by the

placed on limited institutional change is not always

jurist William Blackstone in

a pertinent factor. What is true for traditional soci­

or crimes and misdemeanours are a breach and

eties, where coups are generally centred on personal

violation of the public rights and duties due to the

rivalries - these are not so much executive coups

whole community, in its social aggregate capaci­

but rather palace revolutions- is not necessarily so

ty ...treason, murder, and robbery are properly

1973

ranked among crimes; since besides the injury

was accompanied by a significant narrowing of the

done the individual, they strike at the very being

political arena. Elsewhere, even though the stra­

of society.'

for other societies: the coup d'etat in Chile in

tegic skill (secrecy and quick action) of the factions

1778:

'public wrongs,

Some, like the criminologist Paul Tappan, would

mens rea,

is crucial in unseating the holders of power, it is not

add a reference to

sufficient in itself to guarantee the success of the

intention is not an invariant requirement in law.

1920

After all, there are quite serious crimes that are

coup d'etat; the Kapp putsch in Germany in

a guilty mind, but

failed as a result of a general strike. However, the

committed by those who might properly claim

link between coups d'etat and the civilian capacity

that they could not have been aware of the conse­

to mobilize remains quite a complex one, since it is

quences of what they were doing. The doctrine of

not rare for military coups to curb violent situations

strict liability was devised precisely to confront that

imputable, in developing countries, to a sudden

difficulty, its origins lying in attempts made in the

upsurge in the participation of the masses. In this

nineteenth century to control the sale of danger-

CRIME AND DEVIANCE

123

ously adulterated foodstuffs by grocers who denied

treated strictly and exclusively as an attribute of

knowing what was contained in the products they

only a limited number of contemporary, liberal

stocked (see Paulus 1974).

Western societies.

The more conventional definitions are not always

There is the problem posed by the requirement

well regarded in criminology. For example, a small

that crime should be regarded as a breach of law

number of positivist criminologists once declared

punishable by the state. The state does not exist

that entrusting the determination of crime to

everywhere, and certainly not always in a form

lawyers and legislators led to a system of classifica­

familiar to Western criminal lawyers and crimin­

tion that is culturally relative, difficult to generalize

ologists. In the past, it could be but one of a number

and scientifically unsound (see CRIMINOLOGY). In­

of powers armed with legitimate force and the cap­

stead of 'crime', Sellin (1938) proposed 'conduct

acity to punish. Sharpe (1988), a social historian,

norm' as a more rigorous and productive term.

pointed to the conceptual difficulties posed by the

'Conduct norms' are

many offences tried in local manorial and ecclesi­

coherent and

consistent

crime-like things amenable to study by a rigorous

astical courts in England and Wales before the

criminology, but they did not find much favour in

nineteenth century. Similarly, social anthropolo­

the discipline.

gists pointed to preliterate societies which pos­

Again, a group of radical criminologists in the

sessed arrangements that do most of the work of a

1960s and 1970s attached particular importance to

criminal justice system but which lacked the formal

the politics underpinning the identification of

structures of a state. Thus, Llewellyn and Hoebel

crime and criminals. The very idea of crime sug­

( 1941) described policing among the Cheyenne,

gests an effective capacity to produce and enforce

Gluckman (1965) wrote about the Barotse system

interpretations of conduct. In 1976, Chambliss and

of jurisprudence, and Malinowski was quite con­

Mankoff stated simply that 'acts are defined as

tent to entitle one of his studies of Melanesia Crime

criminal because it is in the interests of the ruling

and Custom in Savage Society (1932). Something

class to so define them . . .' (p. xx). So profound

very close to crime can then be said to exist in

were the political, social and moral implications of

communities which have no written laws or a

the word 'crime' thought to be that members of the

formal state. Indeed, Reckless proposed a com­

group were reluctant to allow its definition to

promise definition of crime in 1940: 'in the so­

remain under the control of a state or a class from

called primitive or preliterate societies which do

which they would distance themselves ideologic­

not possess a written or legislated body of criminal

ally. To do otherwise would have been to risk

law, a crime is a violation of the precious customs

coaptation. The concept of'crime' was to be treated

and the mores' (p. xx). It is a definition that intro­

as elastic and metaphorical, a wrong whose meaning

duces a major qualification.

was independent of what reactionary laws, lawyers

There is a second problem. Some states are so

and states might say, and criminology itself was to

weak or disorganized, or so riddled with corruption

be redirected at problems set by a more radical

and malpractice, that it is nigh impossible to talk

programme.

usefully about effectively functioning governments

Schwendinger

and

Schwendinger

(1975), for example, deplored the appropriation of

and systems of law, policing and punishment. Al­

the term by capitalist states and preferred to exer­

geria, Bosnia, the Lebanon, Liberia, Rwanda,

cise their academic and political freedom by de­

Sierra Leone and Uganda have at times been so

scribing

racism,

disordered that they cannot be covered by defens­

imperialism and sexism. The title of 'crime', they

ible distinctions between crime and conformity,

claimed, was part of a hegemonic system, wrapped

criminal and social organization, lawful and arbi­

as crimes such

problems

as

up in a politics of naming and condemning, which

trary orders, state and populace, authority and ban­

should be resisted.

ditry. Where some presidents of African states are

The vast bulk of criminologists have chosen

cannibals, smugglers and embezzlers (see Bayart et

either to neglect the close examination of legal and

al., 1999), where some presidents of South Ameri­

legislative processes or to accept what those pro­

can countries are drug smugglers, where the police

cesses generate as solid and indisputable social facts

routinely rape witnesses and victims in India

and, in so doing, they have retained some version of

(Kumar, 1993), where, as Cohen put it, 'lawlessness

the conventional definitions. But they are defini­

and crime have so destroyed the social fabric that

tions that encounter difficulties unless crime is

the state itself has withdrawn' (1996, p. 9), it is hard

124

CRIME AND DEVIANCE

to adhere to any serviceable idea of crime as a

regulation. Tench concluded in

discrete class of events unless one resorts to the

System of Law

Towards a Middle

(1981) that 'nowadays practically

different, largely unenforceable and uncertain doc­

anything can be a crime' (p. xx). It is a statement

trine of an overarching body of universal human

that invites some scepticism about the conventional

rights.

claim that crime necessarily and clearly harms the

Third, there is the problem that strong states can

public good.

exist without a coherent, predictable and precise

It might be added that practically anybody can be

scheme of criminal law. Ancient Egypt had no

a criminal. 96 per cent of the males in a London­

written laws because legislation would have en­

based self-report study had committed at least one

croached on the absolute power of the Pharaoh to

offence by the age of 32 (Farrington, 1989). Fur­

declare his will. Totalitarian states later retained

ther, according to the 1999 Home

crimes by analogy, crimes that are not a specific

Office Information on the Criminal Justice System in England and Wales,

breach of a code but are deemed practically similar

34 per cent of males and 8 per cent of females born

to such a breach. Article 79 of the 1980 Criminal

in 1953 had a conviction for an offence before the

Code of the People's Republic of China, for in­

age of 40.

stance, stated: 'a crime not specifically proscribed

One repercussion of such a proliferation of laws,

under the special provisions of the present law may

crimes and criminals is that the meanings of crime

be confirmed a crime and sentence rendered in light

appear to have become bifurcated in everyday life.

of the most analogous article under the special

On the one hand, there are many breaches of crim­

provisions of the present law.' Nazi Germany and

inal law whose importance is diluted; they are, in

Soviet Russia had similar stipulations. Crime can

effect, 'mere' crimes or formal infringements with­

then be what the ruling authorities say it is at any

out

time. In such a case, Clinard's (1963) starkly min­

quences. They can take the form of 'ducking and

imal definition of crime becomes quite appealing:

diving' and 'wheeling and dealing' to become

crime, he argued, is merely 'any act punishable by

accepted as a routine, indeed stabilising, feature of

the state' (p. 213).

widespread

and

significant

moral

conse­

large areas of social life (Hobbs, 1988, 1995; Walk­

The identification of crime may be easier in

late, 1998).

states such as Canada where there is a published

On the other hand, there is a second meaning of

criminal code under periodic scrutiny from lawyers

'crime' that still embodies sentiments of outrage

seeking consistency and rationality. Many states

about the harm done to a community, and it may

lack such a code and crimes there are not simple

sometimes be distinguished from the first by being

and distinct at all. Thus the legal system of England

called 'real crime'. 'Real crime' has become some­

and Wales contains such an abundance of laws

thing of a metonym, detached from its strict defini­

affecting so many areas of political, social and eco­

tion in law and dependent on a form of customary

nomic life that it has become hard to discern a

morality. It is behaviour regarded as unambigu­

simple coherent principle underlying their defini­

ously inadmissible, the act of moral outsiders who

tion or application. There are 'crimes' that do not

are increasingly at risk of being identified and ex­

conform to any common-sense notion of what is

cluded as 'Others' (Young, 1999).

criminal. There are acts, particularly in the area of

Those

two meanings

are continually being

public welfare offences, that may be thought harm­

played off against one another in ways that are

ful but are not criminalized. In 1980, a committee of

practically important and politically contested. A

Justice, the British section of the International

'real crime' may evoke censure, informal control or

Breaking the

a call to the police whilst a 'mere crime' could be

that it was unable to discover how many

more or less grudgingly tolerated (Foster, 1990,

Commission of Jurists, reported in

Rules

different crimes there were in English law and

1995). How those issues are resolved will pose

what it was that made some offences crimes rather

larger questions about the legitimacy of the state,

than 'mere' technical contraventions of law. Again,

laws, police, acts, offenders and victims. It was for

there are now many criminal acts that were not

that reason, in part, that radical criminologists were

Fallen Idols

so interested in the political economy and ideology

formerly so: thus Clarke argued in

( 1981) that the rise in financial and business fraud

of the criminal sanction.

in England in the 1970s was due in large measure to

What is quite clear is that crime and PoWER are

the sheer expansion and increase in the reach of

inseparable. W. Tallack, S. Schafer, N. Christie

CRIME AND DEVIANCE and others attached a special importance to the

125

the criminal justice system. 'Social disorganiza­

historical association between the idea of crime

tion', 'social problems' and 'social pathology' had

and the rise of a central state capable of making

been in vogue before 'deviance', and they had been

and executing law. They emphasize the way in

discarded because they were thought not quite

which the state defines and arranges the roles and

capable of capturing the special character of that

relations of victims, offenders and society. The

wider realm, because they had not retained a proper

emergence of the concept of crime itself is treated

neutrality or because they no longer resonated with

as tantamount to the appropriation of private quar­

the intellectual discourse fashionable at the time.

rels by a usurping government. They argue that, in

'Deviance' was adopted partly because it was

what Schafter once called the 'golden age of the

thought to be a nonpartisan term that introduced

victim', and before the rise of a criminalizing state,

novel and interesting questions and phenomena for

people enjoyed some control over their own dis­

comparison and exploration. Law and the criminal

putes. Conflict was personal: it engendered recog­

justice system became newly problematic when

nizable victims and offenders whose quarrels could

they were analysed as just one of the possible re­

be mediated and whose losses compensated. As the

sponses to the breaking of rules, and questions

power to intervene in disputes became concen­

could be raised about when, where and how trans­

trated in fewer and fewer hands (and particularly

gressions became criminalized. There are, after all,

after the founding in 1829 of the Metropolitan

many other (and often more sophisticated) ways of

Police with its authority to investigate and pros­

exercizing social control, including compliance­

ecute crimes); as victims, offenders and conflicts

based enforcement (see Hawkins, 1984), and the

became symbolically detached from one another;

criminal justice system is just one of the available

and as the state acquired a discrete corporate iden­

alternatives (see Rock, 1995).

tity; so, it was claimed, personal victims and their

Most important, perhaps, a change of term sign­

relatives and friends began to fade in significance.

ified the intention to mark an intellectual transition.

In Christie's phrase, they lost 'property' in their

The deployment of the word 'deviance' symbolized

conflict, and the idea of a victim became corres­

a departure from a preoccupation with crime and

pondingly metaphysical. Instead of a visible hurt or

criminology which was considered by some to be

a tangible person, there was an abstract entity, the

too intellectually narrow and cramping. In the

commonwealth or society in what Blackstone called

USA, the transition was associated with the emer­

its social aggregate capacity, which required pro­

gence of the Society for the Study of Social Prob­

tection. In time, it was not to be a specific indivi­

lems and its journal, Social Problems. In Britain in

dual's peace but the Queen's Peace or the public

the late 1960s, it was linked with what was at first

peace that was held to have been broken when

called theYork Deviancy Symposium. It was cele­

disorder broke out. There even rose the possibility

brated in Lemert's Social Pathology, Becker's Out­

of what Edwin

Schur called

victims', crimes involving

'crimes without

drugs,

siders and Cohen's edited collection, Images of

prostitution,

Deviance. The word 'deviance' is thus not only

gambling, homosexuality, abortion and other prac­

denotative but also connotative. It flagged the adop­

tices, that produced no victim other than a meta­

tion of a discrete method and view of the world as

physical representation of the affronted state or

much as a special subject, and it was put to use by

abstract community. Matters came to a head in

the then new symbolic interactionist, phenomeno­

a recent case in London where a group of sado­

logical and ethnomethodological sociologists who

masochistic men lost an appeal against conviction

were interested in the meanings which people gave

for assault in which it was argued that the harms

to their own and others' behaviour; in the dialect­

they suffered were private and voluntary and of no

ical, open and emergent qualities of social life; and

concern to the wider world. Deviance was a neologism introduced to social

in the detail of action in what was called its 'natural setting'.

thought in the 1960s and chiefly as a response to

Deviance is perhaps most commonly and loosely

ideas excited by the publication of Ho ward Becker's

described as a punishable violation of social rules,

Outsiders in 1963. It was one of a string of terms

norms or expectations. There tends to be little

devised by those who have sought to move beyond

difficulty in recognising its more florid forms.

the study of crime to explore a wider realm of

Moreover, Newman (1976) has shown that there

problems that are not distinctively regulated by

appears to be wide agreement within and across

126

CRIME AND DEVIANCE

societies about the substance and ranking of the

homosexuals and drug takers. But the 'deviance

more central prohibitions on murder, rape and

approach', as it became known, was also to be

violence. But 'deviance' is presumed significantly

generalized, stretched and applied to problems

also to encompass less spectacular violations which

beyond deviance proper. Sociologists found in it a

are not always amenable to agreement and which

rewarding way of analysing and exploring processes

seem to blur uncertainly into the activities around

at large although the events or people studied were

them. After all, it is the borderline and contested

not necessarily themselves indubitably deviant.

character of much deviance that is supposed to have

Freidson

enlarged and improved the analytic grasp of soci­

at illness and health, Lemert

ology.

stuttering, Scott

'Deviance' includes crime (and it is most usually

(1970),

for instance, employed it to look

(1969) to

(1967)

to look at

look at blindness, Wein­

(1966) to look at nudism, and Skipper and (1970) to look at strippers. Those, like Liazos (1972), who disparaged the failings of

berg

crime that sociologists of deviance actually studied)

McCaghy

but it was evidently intended to extend to any

A.

penalized straying from the path of convention. It

such an apparently ill-assorted field, have talked

is a term that has been applied very liberally to a

about the sociology of deviance as the misguided

great range of people and activities at the margins.

study of 'nuts, sluts and perverts'. And, more re­

It is socially situated and time-bound, tied to per­

cently and almost certainly prematurely, Colin

(1994)

sons, places and occasions: what is deviant in a city

Sumner

centre at midday may not be so at midnight; what is

that the approach had had its day, and that the

deviant in a 'straight' bar may not be so in a gay bar;

intensive, microsociological examination of deviant

what is deviant for a child may not be so for an adult (and

vice versa);

and what is deviant for a man may

not be so for a woman. It is not therefore always possible for insiders or observers to ascertain quite

repeated that refrain by claiming

worlds should be replaced by a more ambitious and overarching neo-Durkheimian political economy of moral censures.

Deviance

itself is probably not a well-chosen or

what rules pertain in a particular setting, how co­

defensible word. It is not a legal or clinical term.

herent or systematic they are, how they are to be

Neither is it commonly employed in everyday life.

reconciled with other rules, whether they should be

It is peculiarly sociological, its meaning refracting

applied, by whom, to whom, when and in what

the changing concerns of those who use it, and there

measure. Hargreaves's

Deviance in Classrooms

is a

is no great consensus about its exact definition.

revealing essay on such tangled problems of rule

Some, like Leslie Wilkins, described it as statistic­

observance and enforcement in one site, a school:

ally infrequent behaviour but it is apparent that

every rule, it seems, has secondary and tertiary

there is frequent activity that could otherwise be

rules governing its application, every rule can be

usefully regarded as deviant: traffic violations, adul­

overruled in certain instances, and almost every

tery and lying being instances. Talcott Parsons

rule may be countered by a contradictory rule. As

(19 51) took deviance to be a fractured or incomplete

a result, exquisite judgement must be exercised by

articulation of relations between people or institu­

pupils and teachers in the conduct of their affairs.

tions in change, although that description does not

One sometimes wonders at how people manage to

accommodate the stable deviance which may be

contend so competently with the vicissitudes of

built into much social life. Lofland

everyday life.

(1970),

Deviants themselves tend to have a stake in com­

Douglas

(1972)

(1969),

Duster

and others understood de­

viance to be the discredited or devalued standing of

pounding that muddle and ambiguity, in misrepre­

losers in the competitive politics of moral imput­

senting and concealing what they do, in passing as

ation. Erikson

'normal', and in misleading the observer. In Mat­

(1949)

za's words, deviance can lead to deviousness. So

which gives unintended support to social order:

bewildering can it be that Matza

(1972) have

(1969)

and Doug­

(1966),

Bell

(1961)

and Merton

protrayed it as the shadowy face of society

prostitution buttressing marriage; bastardy secur­

chosen to define it by its

ing primogeniture; capitalists being the antithesis

very contradictoriness, ambiguity and absurdity -

of the new communist man and woman; and evil

las and Scott

by its capacity to excite a disquieting sense of be­

illuminating good. Theirs is an old and intriguing

wilderment and unease in the onlooker.

idea but it does rely on a troubling teleology and an

Analysed as deviant have been alcoholics, giants, dwarfs, prostitutes, armed robbers, embezzlers,

unseen hand, and empirical demonstration is not easy.

CRIMINOLOGY

127

Hawkins, K. 1984:

social response. It was to be contrasted with 'sec­

Environment and Enforcement. Doing the Business. -- 1995: Bad Business. Justice 1980: Breaking the Rules. Kumar, R. 1993: The History of Doing: an Illustrated Account of Movements for Women's Rights and Feminism in India 1800-1990. Lemert, E. 1951: Social Pathology. Paulus, I. 1974: The Search for Pure Food.

ondary deviation', a process in which the deviant is

Rock, P. 1995: Sociology and the stereotype of the Police.

Deviance abounds, and much of it is fleeting and unformed, unnoticed and undetected, context-de­ pendent, petty and without a lasting power to affect identity. Such behaviour Lemert (1951) called 'pri­ mary deviation', that is, 'mere' ephemeral rule­ breaking which does not necessarily encroach on core ideas about identity or evoke a consequential

obliged by the external or internalized responses of others to undergo a symbolic reorganization of the self and a transformation of the private and public meanings of his or her acts. Deviance may then become a more enduring status which fixes the public meanings of the self, infused, perhaps, by the stigma, stereotype and myth brought to bear by its defining audiences. One may no longer pass publicly as a person who has an occasional drink but become an alcoholic; a lovelorn suitor becomes a stalker; a person who borrows, intending to repay, becomes an embezzler; and the repercussions for oneself and others may be profound. People may

Hobbs, D. 1988:

Law and Society, 22. Schwendinger, H. and Schwendinger,J. 1975: Defenders of order or guardians of human rights. In Critical Crim­

inology,

ed. I. Taylor et al.

Sellin, T. 1938:

Culture, Conflict and Crime.

Sharpe, J. 1988. The history of crime in England. In

A History of British Criminology, ed. P. Rock. Sumner, C. 1994: The Sociology ofDeviance: an Obituary. Sutherland, E. and Cressey, D. 1974: Principles ofCrimin­ ology. Walklate, S. 1998: Crime and community. British Journal of Sociology, 49. Wilkins, L. 1964: Social Deviance. Young, J. 1999: The Exclusive Society. PAUL

change in their attitude towards one, eliciting yet

ROCK

further responses and a further reorganization of the self, in a spiralling cycle described by Wilkins

criminology

(1964)

of closely allied subjects: the study and explanation

as

'deviancy

amplification'.

Secondary

This is a generic name for a group

deviation is particularly likely to ensue if the deviant

of lawbreaking; formal and informal ways in which

is confronted by those supported by the daunting

societies deal with it (penology); and the nature and

power and authority of the criminal justice system,

needs of its victims (victimology). The popular use

and sociologists of deviance have been especially

of the term by novelists and journalists to denote

interested in exploring the social organisation of

the finding and examination of evidence which may

critical transactions between the police, courts and

inculpate or exonerate suspects (forensic science or

suspects. Such moral passages have been the special province of what some entitled 'LABELLING theory',

'scene of crime' scientists are called 'criminolo­

and, in particular, the proposition that, in Lemert's

gists'.

own formulation, it is not deviation that leads to control but control that leads to deviation.

criminalistics) is a solecism. In the USA some

The study of criminals and their behaviour is nowadays the province of psychologists and soci­ ologists. In the past psychiatrists such as Cesare Lombroso and Henry Maudsley, and psychoana­

Reading Bayart, J.-F., Ellis, S. and Hibou, B. 1999:

The Criminal­

ization of the State in Africa. Outsiders.

behaviour as if it were always or usually attributable

Becker, H. 1963:

Chambliss, W. and Mankoff, M. 1976:

Whose Law? What

Order? Cohen, S. ed. 1971:

lysts such as Edward Glover, wrote about antisocial

Images ofDeviance.

-- 1996: Crime and politics: Spot the difference. Brit-

ish Journal ofSociology, 47.

to abnormalities of personality, constitutional or acquired. Today the wise psychiatrist confines his or her generalizations to offenders who suffer from disorders with unmistakable symptoms. They are a minority, even if 'anti-social personality disorders'

Downes, D. and Rock, P. 1998:

are included.

Farrington, D. 1989: Self-reported and official offending

Natural history

Understanding Deviance. Erikson, K. 1966: Wayward Puritans. Cross-national Re­ search in Self-reported Crime and Delinquency, ed. M.

Early attempts to explain lawbreaking suffered

Klein.

from ignorance of its 'natural history' - of the

from adolescence to adulthood. In

128

CRIMINOLOGY

facts of criminal life. Some nineteenth-century

even, in the case of violence, hot weather. Some of

observers,

(1851-62),

these variables, however, such as poor education and

described the violence and dishonesties of the

truancy, may well be effects rather than causes. In

urban poor with realism: but the anti-social behav­

any case, the associations are seldom very marked

notably

Henry

Mayhew

iour of the better-off was left to novelists and court

(gender being the only exception). Even when math­

reporters. It was not until well into the twentieth

ematically combined the most they offer is a means of

century that criminologists, notably Sutherland

discriminating between categories in respect of the

(1937), achieved more detailed descriptions of

probability that a given member engages in law­

criminals' lifestyles, including 'white collar crime',

breaking (specific or non-specific). For example, a

and that publishers discovered a middle-class

girl from a harmonious home, with a good education

market for the memoirs of literate offenders (for a

and a white-collar job, is much less likely to be a

modern example see Curtis,

1973). These accounts

lawbreaker than a boy with separated parents, min­

were not without bias, but put some genuine flesh

imal education and no steady job. From the explana­

on statistics which recorded little more than ages,

tory point of view this is a jigsaw with pieces missing.

previous convictions and sometimes official occu­

There are too many individuals who fulfil the condi­

pations.

tions but whose law-abiding lives can be accounted for only by more personal histories. Some criminologists prefer the 'situational' ap­

Explanation The result was a more sophisticated approach to explanation. The ubiquity and diversity of law­ breaking began to be appreciated. A few sociologists and psychoanalysts

clung to 'general theories'

which purported to account for all or most crime, and even deviance as well (see also

CRIME AND

DEVIANCE); but the natural historians saw that this was no more sensible than offering a single explan­ ation of 'disease'. Even quite specific types of offence such as shoplifting or infanticide are com­ mitted by people of quite different personalities, ways of life, and above all motivation. It was also realized that it is one thing to try to explain why this or that country, or culture, district or school, has a particularly high (or low) prevalence of certain kinds of offending behaviour, and quite another to explain why this or that individual is prone to it. Again, explaining an individual's proneness is

proach. The main determinant is seen as being situations which offer opportunities that tempt, or stimuli that provoke. It is assumed that the vast majority of people will take advantage of opportun­ ities- say for theft- if they are sure of impunity. People differ in what tempts them, and in their confidence about their chances of being convicted; but where there is an attractive 'target' sooner or later it will be hit. The existence of people with strong moral inhibitions cannot be denied, but is relatively unimportant so far as the prevalence of dishonest offences is concerned. Like most new contributions to the subject this overstates; but it is of value, as we shall see in the section on preven­ tion (see, for example, Laycock and Heal,

1986).

Penology This branch of the subject is chiefly concerned with

logically and scientifically distinguishable from ac­

the offical ways in which identified offenders are

counting for a single, unrepeated, lawbreaking, for

dealt with: capital punishment, deportation, incar­

which a 'narrative explanation' may be much more

ceration, fining, probation and other non-custodial

plausible (see Walker,

1977). The contribution of PosiTIVISM, however, has

expedients; but some penologists interest them­

been voluminous and valuable, if sometimes in a

stigma and ostracism. Among the achievements of

negative way. Researchers have found statistical as­

penological research have been evidence that the

selves in societies' unofficial reactions, such as

sociations between lawbreaking (or, more precisely,

death penalty deters no more murderers than does

a history of dishonest or violent offences) and a host

'life' (that is, long and indeterminate imprison­

of variables: gender, age, parental offending, paren­

ment); that general deterrents are not very effective

tal disharmony, housing conditions and locations,

when detection rates are low; that offenders who are

intelligence, educational attainment, truancy, un­

amenable to reformative measures are in a minority,

employment, nature of employment, religious and

and not easily identified at the sentencing stage; and

ethnic affiliations, body build ('somatotype'), abuse

that many offenders detained for long periods in

of alcohol or other drugs, gang membership, and

prisons or hospitals for the protection of others

CRIMINOLOGY

129

would not in fact be dangerous if released under

times, and wary of strangers who accost them.

supervision.

Property can be made slightly safer by security

Much penological research is designed to evalu­

devices and identification marks. Burglars and

ate the effectiveness of sentences or special treat­

muggers can be made more visible by better street

ments

in reducing individuals' repetitions of

lighting, fewer covered passageways (for instance

lawbreaking. Since the 'absolute effectiveness' of a

under streets) and thoughtful architecture. Neigh­

sentence can be assessed only if one can be sure

bourhoods are increasingly willing to organize

whether an offender would have reoffended with­

'neighbourhood

out it, most researchers have to be content with

groups', although the latter are frowned on by law

watches'

and

even

'vigilante

c omparing the effectiveness of two or more types

enforcement authorities because their activities are

of sentence, as measured by counting reconvictions

apt to overstep the limits of what is acceptable (see

(or in the USA rearrests) within a certain period

PoLICE). These are 'focused measures'. Claims have

(usually a few years), and making allowances for

also been made for unfocused policies such as the

differences in gender, previous penal history, type

improvement of housing, schooling and employ­

of offence and age. Unfortunately the same sen­

ment prospects. Evidence that these have worth­

tence, unlike a medical prescription, can subject

while effects on crime rates is scant, and not easy to

different individuals to very different regimes.

interpret with confidence; but such policies have

This partly explains the apparently small differ­

other merits to recommend them.

ences between the effectiveness of different meas­ ures. Comparing regimes instead of sentences is more instructive. Even so, a universal problem is the low percentage of the common offences which lead to reconviction (or rearrest): many an ex­ prisoner or ex-probationer reoffends without detec­ tion. Penologists have also concerned themselves with the unwanted effects of measures such as incarcer­ ation, and have corrected some exaggerations, for example about its psychological effects. Debate about justifications for punishment, or the proper scope of the criminal law, belongs to moral philoso­ phy rather than penology, but familiarity with penological facts is essential. Nevertheless it is still political reasoning rather than penology that is re­ sponsible for most innovations. Prevention Although deterrence is, strictly speaking, one sort

Victimology Preventive thinking gets some assistance from vic­ timology. Early in this century natural historians of crime realized that it does not strike entirely at random and that certain occupations, activities and behaviour carry heightened risks of becoming a victim. Prostitutes, cab drivers, security guards and, nowadays, schoolteachers and social workers are well aware of this. In the 1950s a study of homi­ cides by Marvin Wolfgang (1958) drew attention to the ways in which many of them had been provoked or invited by the victim's conduct, and he coined the term 'victim-precipitation'. Most violence against women is committed by husbands or lovers; most child abuse is committed by parents or members of the household. There may even, it has been sug­ gested, be personality types which, especially among the young, invite violence or sexual improprieties. The victims of frauds and confidence tricks are often

of attempt to prevent crime (and is so classified by

people whose greed blinded them to the implaus­

continental criminologists), 'prevention' in Anglo­

ibility of what they were being offered. In the case of

American criminology tends to mean measures

fights it is often hard for the police, or the courts, to

which focus on potential targets rather than poten­

be sure who was victim and who was aggressor.

tial offenders, who are less easily identified when at

Victims may not always be blameless; but that

large. The situational approach described earlier,

does not lessen their needs. Victims of violence

and the somewhat discouraging findings about the

need medical attention but they also need humanity

efficacy of measures aimed at offenders, suggest that

in interrogation, especially if the offence was sexual.

more resources should be devoted to vulnerable

Confrontation with attackers in court can add to the

targets. They may be individuals or property, or

trauma, especially in the case of children. Special

even 'the environment'. Individuals can be made

procedures have been devised for obtaining and

less vulnerable by making them aware of the

presenting children's evidence. Many jurisdictions

dangers of frequenting certain places at certain

now permit adult as well as juvenile victims of

130

CRISIS

sexual offences to be anonymous so far as the news

offences are not recorded, at least for statistical

media are concerned. 'Rape crisis centres' offer free

purposes. Those who report them may not be be­

counselling and psychiatric help. There have even

lieved, for example because they may be thought to

been experiments which bring together the perpet­

be acting from malice. The incident may sound too

rators and victims of crimes such as burglary and

trivial. Too many recordings of unsolved crimes

rape in the hope of some sort of benefit to both

make a police force look inefficient. The net result

parties. The results have not proved easy to assess.

of under-reporting and under-recording is serious underestimation, which victim surveys to some

Reparation

extent correct. It is conceivable that they will even­

A more material need of many victims is reparation,

tually replace police-generated statistics so far as

especially if they are poor. In many Western coun­

common crimes such as burglary, theft and minor

tries victims can claim financial compensation in

assaults are concerned.

the criminal court, instead of facing the daunting prospect of a civil suit. This does not, however, deal with the basic problem - the inability of many offenders to pay more than a fraction of what courts award, especially if they also have to serve a custo­ dial sentence. State schemes of compensation are

Penal reform In theory the criminologist is a scientist, not a penal or social reformer, and confines himself or herself to providing and interpreting the findings of research, which campaigners may publicize if it suits them to

confined to a limited range of offences, usually

do so. In practice the distinction is often blurred.

those involving violent injury or psychological

The criminologist's choice of subject for research­

harm. No country has yet instituted a scheme of compulsory insurance against property crime. This is a problem which has been only partially tackled (see for example Hodgson, 1984).

say the psychological ill-effects of incarceration- is often dictated by the objectives of the agency which funds it, and even when the choice is with the researcher it probably owes something to his or her own ideology. Fortunately there are criminolo­

Victim surveys

gists whose integrity compels them to report unex­

A valuable development of recent decades has been the

'victim

survey',

in

which

representative

samples of the public have been questioned about offences from which they or their children may have suffered within the last year (or other specified period). These surveys have minor defects. Some categories of victim are too busy, vagrant or men­

pected or inconvenient findings - for example where they have found that the ill-effects of incar­ ceration have been exaggerated by penal reformers (see Bottoms and Light, 1987, eh. 8). Reading Bottomley, K. and Pease, K. 1986: Crime and Punishment: Interpreting the Data.

tally disordered to be easily accessible to interview­

Box, S. 1981: Deviance, Reality and Society.

ers. Young males, who experience a good deal of

Freeman, J. and Sebba, L. eds 1989: International Review

violence, are often out drinking or otherwise expos­ ing themselves to violence, instead of being inter­ viewed about it. Some types of offence do not have specific victims and are unlikely to be reported: illegal pollution is an example. The value of such surveys, however, is that they correct the serious underestimation of crime rates which result from 'under-reporting' and 'under­

ofVictimology, vol. I. Maguire, M. et al. 1994: The Oxford Handbook ofCrimin­ ology Morris, A. 1987: Women, Crime and Criminal Justice. Radzinowicz, L. and Hood, R. G. 1986: The Emergence of Penal Policy. Rutter, M. and Giller, H. 1983:Juvenile Delinquency. Tonry, M. and Morris, N. 1979-: Crime and Justice (annual collections of 'state of the art' papers).

recording'. Many offences are not reported to the

Walker, N. 1991: Why Punish?

police (or other responsible authority) because

Wilson, J. Q and Herrnstein, R. J. 1985: Crime and

those who could report them are too frightened or

Human Nature.

embarrassed (as in the case of sexual offences), or

NIGEL WALKER

consider the offence too trivial, or unlikely to be the We speak of 'crises' in relation to subjects,

subject of any effective action. Some prefer to deal

cnsts

with offenders in their own ways, especially when

a life or a form of life, a system or a 'sphere' of

the offenders are juveniles. Even if reported, some

action. Crises decide whether or not something

CRISIS

131

continues. The paradigm case of crisis is the life

the overcoming and replacement of the old legal

crisis, in which, at the limit, it is a matter of life and

system (family justice, blood revenge,

death. In every crisis those concerned are con­

house-justice) in favour of a bourgeois-political ju­

1983).

oikos

or

fronted with Hamlet's question: to be or not to be.

dicial system (see Meier,

Crises often have objective causes, but they must

mind this connection between law and crisis in his

Hegel still has in

also be able to be experienced as crises by the subjects

theory of tragedy. He describes the downfall of the

or social entities concerned. They always also affect

hero in the crisis of the tragic conflict as a 'rational

the self-understanding and self-definition of actors,

fate' which is played out in the name of a new, tragic

systems or spheres, since they always affect their 'identity', that is, a life or a life situation

as a whole.

The history of the word is important and illu­ minating here. The Greek

krisis

does not distin­

and urbane justice, which replaces the 'old, epic justice' now seen as a pre-legal 'blind fate'. From the Enlightenment to Marx, the present epoch is understood as a crisis and the crisis as

covering

practical, revolutionary criticism, as a case brought

'difference and conflict, but also decision, in the

by the new bourgeois society against the old state or

sense of a definitive outcome, a judicial decision or

by the classes excluded from bourgeois society

indeed any judgement - something which today

against those inside. But Marx is also at the begin­

guish

between

crisis

and

cntJque,

would come within the sphere of criticism' (Kosel­

1973:

197).

ning of social scientific theories of crisis; as these

This original connection be­

develop, the separation of theory and critique is

tween the subjective and objective aspects of crisis

brought out more sharply than in Marx's own phil­

leck,

p.

remains when criticizing becomes fashionable in

osophy of history. But what has been separated in

modernity. In the age of Enlightenment these two

theory is still combined in political practice: there

usages diverge, while continuing to overlap. With

can be no crisis without a diagnosis of crisis. A crisis

this separation, however, the terms critique and

diagnosis makes a strong explanatory claim. It does

crisis, primarily used in the Middle Ages in its

not aim for an end of history, but hypothetically

medical sense, become massively politicized. Sir

constructs

B. Rudyard applied the medical concept of crisis

tification for political action for those who experi­

to the political body: 'This is the Chrysis of Parlia­

ence the crisis. In this sense Kant's was already a

a

history which could operate as a jus­

ments: We shall know by this if Parliaments live or

philosophy of history with a practical purpose, pre­

die.' Even later than the eighteenth century, how­

supposing that the court of critical reason tries

ever, 'Crisis' is a common title for critical and

arguments and not people. From now on crisis

polemical writings. Thomas Paine gave the name

and critique fall into different categories. Although

The Crisis to the journal in which he commented on

criticism can make people aware of a crisis, and a

the events of the American revolution. Here the

crisis can provoke criticism or turn criticism itself

Greek sense of crisis as judgement remains domin­

into crisis, the crisis decides other questions than

ant in a polemical concept of crisis. The judgemen­

those of criticism. Whereas the crisis concerns

tal meaning of 'crisis', referring back to a judicial

whether a form of social life is to be or not to be,

decision, and the medical, diagnostic meaning are

the critique is concerned only with the validity of

combined when we speak, even now, of a

critical

In ancient Athens, it was the activities of judging

(krisis)

arguments; whether they are 'true or false', 'accur­ ate or inaccurate'. This distinction

situation. and ruling

(kratein)

(krisis) is notori­

ously ignored by the conservative metacritique of

that made one into a

the Enlightenment. This fundamental critique,

citizen (Aristotle). Law is a product of the crisis

from Nietzsche and Car! Schmitt to Michel Fou­

and division of ethical life. When it is given effective

cault, conceives argumentation and criticism as war

expression in a judgement, the end of the division or

(polemos),

CoNFLICT is brought about. (The German word

Like the philosophy of history it criticizes, it con­

Ent-scheidung

as a struggle for existence and power.

indicates this process.) The Aristo­

flares critique and crisis and thus sees in criticism

telian link between legal judgement and crisis and

the real crisis of modern times. 'The crisis is con­

the status of political citizen is itself the result of a

cealed in criticism' (Kosellek,

division, separation or differentiation of the spheres of

oikos

and

polis - a

1973).

The social scientific concept of crisis has deep

division in which law plays a

roots in the philosophy of history, but in the twen­

fundamental role. The separation of the political

tieth century it sank new, post-metaphysical roots.

(and thereby the status of citizen) goes along with

The concept of crisis grounded in the philosophy of

132

CRISIS

history has developed into an evolutionary one, in

the philosophy of history and a social scientific

the light of which the philosophy of history is itself

conception of crisis: Habermas's Legitimation Crisis or Daniel Bell's The Cultural Contradictions

relegated to the status of a 'missing link' in the

(1973)

transition from the ancient to the modern concept

of Capitalism (1976) mark the other side. Another

of crisis. The most important connection is un­

example of a social scientific concept of crisis is

doubtedly its temporalization in Christianity. This

Thomas Kuhn's The Structure ofScientific Revolu­

makes judicial decision into the final crisis of the

tions (1962) (see SOCIOLOGY OF SCIENCE) . Here too it

Last Judgement. The whole of history is thus dom­

is a matter of the life of a particular, concrete

inated by the contradiction that the final decision

community of researchers as a whole, attached to

already occurred with the incarnation of the Mes­

a holistic paradigm, but not of the fate of the Euro­

siah, but must still be left open to be ratified in the

pean sciences, as in Husserl's well-known diagnosis

Last Judgement. This extends the crisis to the

(1937),

whole process between the Revelation or Christ's

physical philosophy of history poised between Fall

life and the End of Time; the permanent crisis

and Salvation.

which has not yet left the paths of a meta­

makes, as Hegel put it, world history into a world

At the centre of the social scientific conception of

court. 'Thus modernity sees the rise of a processual

crisis is the concept of system crisis to which Marx

model of crisis which has impregnated numerous philosophies of history' (Kosellek,

1976:

p. 1236).

first gave clear expression, linking up both with the theories of circulation in classical economics and the

A characteristic feature of the philosophy of his­

French Enlightenment and with Hegel's concept of

tory's crisis diagnosis is the way the epoch is treated

a contradiction between spheres which cannot be

as a whole. The crisis is always the crisis of a

resolved inside a closed system. Hegel's theory of

historical totality. The social scientific concept of

tragedy develops the model of crisis which returns

crisis, by contrast, is always based only on a partial

in system crises and in conflicts which tear apart the

sphere or aspect of a life totality, for example the

social life-world or an image of the world. The

economic system, research programmes, develop­

overarching validity of mutually exclusive legal

mental stages or organizational principles. State­

claims is what differentiates crises from wars, and

ments can no longer be made about ultimate crises

also from revolutions or civil wars.In Greek legend,

or about progress and regress in relation to the

Creon and Antigone do not relate to one another as

Good and the happiness of the Whole. The phil­

friend and enemy in war; they carry in themselves the

osophy of history's perspective on the totality of a

opposition that tears their world apart.

'form of life' (Hegel) remains constitutive for the

The social scientific significance of this crisis

subjective and intersubjective experience of crisis

model goes far beyond its interpretation in the

by those affected by them, but this becomes a mere

philosophies of history of Hegel and Marx (cf.

1947).

subjective component of social scientific analysis.

Kojeve,

What remains from the philosophy of history is a

model of a crisis oriented to the validity claims of

Marx had already combined this

discourse of self-understanding typical of crises -

antagonistic social groups (classes) with that of the

often with therapeutic characteristics. This con­

objective system crisis identifiable in steering prob­

cerns the identity problems of individuals or col­

lems and the imperatives of system maintenance.

lectives. The global discourses of the philosophy of

But even in the diagnoses of the times which mod­

history have their place only within these dis­

ernity has been offering since at least the time of

courses, in which those concerned must make

Max Weber, the tragic model of an ethical sphere

clear who they want or do not want to be (cf. Tugendhat,

1979).

But they no longer have a prog­

divided against itself has remained central. It stretches from the 'world of disintegration' of the

nostic significance. Conversely, social scientific the­

early Lukacs to Weber's diagnosis of the crushing

ories of crisis no longer produce knowledge about

of freedom and meaning in the irresoluble conflict

the outcome and the consequences of crises. In the

of the mutually estranged value spheres of modern

crisis it is open how the dice will fall. 'Every crisis

rationalism, through to Ji.irgen Habermas's theory

evades the planning ...based on the belief in pro­

of the 'pathologies of the life-world' and similar

gress' (Kosellek,

1973).

Books such as Lukacs's

diagnoses offered by neocommunitarian thinkers.

History and Class Consciousness (1923) or Spengler's

Robert N. Bellah and his collaborators

Decline of the West (1918-22) represent one side of

following Alasdair Maclntyre

the distinction between a concept of crisis based on

culture stretched between the poles of instrumental

(1985), (1981), see American

CULTURE and

expressive

individualism.

Michael

Walzer

133

by the contradictions between idiosyncratic world­

perceptively describes how justified and

views and their articulation in a common language.

generally accepted ('justly' divided) spheres of

These contradictions require the actors to tran­

modern life develop critical, indeed life-threatening

scend their own horizon and to 'fuse' it with that

tendencies to overwhelm and 'dominate' one an­

of other actors, in the common language of mutual

(1983)

other. Charles Taylor

(1989) locates the inner con­

understanding (see Gadamer,

1960).

It thus be­

equally

comes possible to experience the conflict between

constitutive goods: universalism and pluralism, sci­

world views or 'value spheres' as a conflict between

tradiction

of

modern

times

among

entism (instrumentalism) and romanticism, moral­

contradictory articulations of one's own worldview

ism and deconstructive scepticism. The social

or value sphere. A crisis, if it occurs, will decide

scientific heirs of the Hegelian and Marxist crisis

whether these are productive or destructive anti­

model have not only dissolved its unhappy link with

nomies (see Kesselring, 1981; 1984). Whether they

the philosophy of history, but also replaced the

are productive and a source of rational motivation

paradigm of reflection by that of language and dis­

may depend in practice on the institutional possi­

solved the unified perspective into a plurality of

bilities for objective discussion and resolution of

crisis tendencies. The contradictions which give

conflicts. This holds for both individual and social

rise to crises and open them up to experience no

evolution, for the outcome of individual crises of

longer have to be understood on the lines of logical

adolescence as well as for the self-enlightenment of

antinomies, produced by the rise of Spirit through

social groups (see Diibert and Nunner-Winkler,

endless stages of reflection, but can be brought back

1978;

to their place in language, the contradictions be­ tween statements and above all in dialogue. Crises of maturity and crises of cognitive and

Eder,

1985).

What is decided in a crisis generally depends on a whole constellation of complex and overlapping crisis tendencies. The conjuncture of identity crises

moral development, like other crises, are generally

and system crises produces critical thresholds, but

sparked off by contingent external circumstances,

the expectation of a systematic link between the two

but they also have an inner, rational aspect. This is

types of crisis which inspired Marx and Marxism

expressed, inter alia, in actors' attempts to reconcile

has been shown to be too speculative. In practice we

their experiences with their image of the world.

seem rather to be experiencing a dissociation or

Experiences which conflict with one's image of

decoupling of the most varied cultural, economic,

the world may provide a rational motive to look

ecological, scientific, administrative and other crisis

for coherent solutions. Crises occur when conflict­

phenomena. An attempt to systematize possible

ing experiences accumulate and can in the end no

crisis tendencies can therefore be related to the

longer be integrated, as occurs with the 'anomalies'

process of differentiation and centring of social

suffered by Kuhn's 'normal scientists'. Suffering

subsystems; one can observe a rough trend away

often inspires the search for new and radical solu­

from socioeconomic crises and towards crises of

tions, giving rise to a higher-level image of the

motivation, legitimation and culture. The high

world which brings old and new experiences into

degree of interdependence and the growing inter­

an intelligible and coherent relation. Communica­

pretation of subsystems, however, and above all the

tive contradictions occur when diverse and incom­

changeability

patible world-images overlap and compete in the

trends, make firm assertions almost impossible.

and

reversibility

of

evolutionary

interpretation of the same or similar experiences. When actors with differing or competing world­

Reading

images are required to dispute and to come to

Habermas, J. 1973 (1976): Legitimation Crisis.

agreement, they must use the common language

Husserl, E. 1937 (1970): The Crisis ofthe European Sciences

of everyday life to articulate their various perspec­ tives and world-images. The articulation of their

and Transcendental Phenomenology.

O'Connor, J. 1973: The Fiscal Crisis ofthe State. HAUKE BRUNKHORST

own world-image, with its always egocentric per­ spective, in ordinary language and with an orienta­ tion towards mutual understanding, pushes the

critical theory

See FRA NKFURT ScHOOL

actors into a decentring of their egocentrism. Learning processes which lead to the decentring

culture

of perspectives on the world can then be explained

history of humankind is the extraordinary diversity

The most striking single fact about the

134

CULTURE

of social forms produced by beings of either the

since it has followed a false trail; this is described

same or very nearly the same genetic type. Differ­

first, as a preliminary to specifying the three ways in

ently put, whereas most species have a form of

which ideas can be said to have an autonomous

social organization

impact on society.

built into their genes,

the

human animal seems to be programmed instead to pay attention to culture. Diversity is possible be­ cause human beings learn through cultural means. Living in accordance with nature is an attractive

Either/ or Much modern social thought has been utterly bi­

idea, but in the human case it actually means living

furcated

with culture.

thinkers from Antonio Gramsci to Clifford Geertz

in

its

approach

to

culture.

'Idealist'

Social science has pointed to two central roles

and from Talcott Parsons to Louis Althusser have

that culture fulfils for social life. First, culture

insisted that a society is held together because

NoRMS).

provides meaning -for most of human history by

norms are shared (see

means of organized religion. If Marx can loosely be

tends to relativism, that is, to the doctrine that, in

This position

seen as insisting that food production is basic to

Pascal's phrase, 'truth is different on the other side

human life, Max Weber insisted quite as strongly

of the Pyrenees'. This leads a rigorous thinker such

that the central problem faced by human societies

as Peter Winch to insist that the pretensions of

was that of theodicy, that is, the necessity to offer

social science to create universal laws are nonsens­

explanation for birth, suffering and death. This

ical. We may dislike magic but it 'works' for the

formulation is unhappy in so far as it suggests that

Azande of East Africa, just as science works for us:

there is a natural fit between human needs and

all that social investigation can do is to translate and

social

life

mediate between separate but equal worlds. In stark

depends on repressing many of our genetically en­

contrast, 'materialists' see ideologies as veils or

coded drives, notably, as Freud rightly stressed,

masks for interested groups; still more importantly,

meaning.

Rather,

organized

social

those concerned with sexuality. Secondly, culture

they tend to believe that most actors are knowledge­

provides rules of social action without which it

able about their own interests, and accordingly

would be impossible for human beings within a

unlikely to swallow beliefs that the powerful try to

society to understand each other at all. It is ex­

foist on them. Social order in this view depends

tremely important to note that the world religions,

either on naked power or on a natural harmony of

very much in contrast to their supposed 'other­

interests between rational, self-interested actors -

wordliness', are, naturally and inevitably, in large

Marxism being an example of the former, and neo­

part compendiums of rules for managing daily life.

classical economics of the latter.

Even a quick glance at Max Weber's studies of the

Neither of these positions makes much sense.

world religions shows that he worked in this spirit,

Materialists implausibly imply that history would

trying as much to explain the creation, content,

have run the same course even had paganism, world

spread and maintenance of belief systems as to

religions and Marxism never been invented. More­

analyse the ways in which they then influence the

over, this begs the question as to why anyone bothers

social order of which they are a part -the insignifi­

to invent belief. In the case of Marxism, either the

cance of the impact of Buddhism interestingly

productive forces are irresistible, in which case

being ascribed to its pure otherworldliness, that is,

there is no need to justify them, or they need to be

its failure to provide a marriage service until the

justified, in which case they are not irresistible. Still

twentieth century.

more important is the actual softness that hides

The inevitable interpenetration of belief and cir­

behind the view of individuals seeking to calculate

cumstance -the fact that they tend not to have, to

their 'real' material interests. This becomes appar­

use David Hume's expression, 'distinct existences'

ent when we think of trying to 'calculate' whether to

coup de foudre

- creates tremendous difficulties for social scien­

marry someone. We need a

tists. Powerful theory depends on being able to

sort of life event, for the simple reason that our

distinguish the moments at which one source of

identities are involved: calculation presumes a

for this

social power influences another, and it is accord­

solidary and single self, and it is all but useless

ingly of vital import to discover those moments

when a decision involves what we are or may

when power sources can be differentiated. Much

become - as Dostoevsky's novels brilliantly dem­

modern social thought has

not

been high-powered

onstrate. Most of us are not 'unmanned', as was

CULTURE Hamlet, by too much thought because we possess values which give us a sense ofiDENTITY; differently

135

Weber is best known for his The Protestant Ethic and the Spirit of Capitalism (1904-5). That book did

put, it is impossible to specify interests which do

not say that capitalism emerged simply as the result

not contain cultural components. To say this, how­

of Protestantism; to the contrary and in line with his

ever, does not entail accepting idealism wholesale.

notion of 'elective affinities', Weber insisted that

Specifically, there is everything to be said against

new ideas made sense of the life of the orderly

the slide from saying that humans have values (per­

members of the uniquely autonomous cities of

fectly true) to accepting the view that societies are

north-west Europe. The fact that circumstance is

held togetherIconstrained by a set of values (very

so involved with culture means that the first way in

largely false): we may, in other words, learn through

which ideas have an impact is the least autonomous

culture, but this does not mean that culture is the

of the three. Nonetheless, there is everything to be

sole force accounting for change or cohesion in

said for specifying this as a distinctive social force.

society. A rather large amount of empirical evidence

What is really at issue here is

is now available to show that dangerous or lower

would be able to accept Weber's account, it remains

classes rarely share the values of official culture (see

the case that Marxism imagines, effectively in the

morale. If a Marxist

also CoUNTERCULTURE) . Such evidence should not

spirit of B. F. Skinner, that there is a virtual corres­

of course be taken to mean that 'real' and 'material'

pondence between circumstance and idea such that

interests are the sole concern of social actors. What

the stimulus of circumstance will

is really at issue is the nature of ideology. For no­

bring forth an ideological response. There is no

automatically

holds-barred idealism to make sense, it is necessary

reason why we should accept this. A class or

that ideologies be clear and consistent, that is,

group needs to believe in its moral destiny if it is

capable of directing social life. Most ideologies are

to be capable of great collective acts. By and large,

simply not like that: they are rag-bags, replete with

the working class has lacked precisely this sort of

different options usable by different groups at will.

force. And it was a Marxist, Lucien Goldmann,

Medieval villagers felt themselves opposed to

who showed how an elite grouping could be dam­

church hierarchy, but in the name of the poverty

aged by its lack of morale. In the late seventeenth

of Christ. If it is true that we have values, it remains

and early eighteenth century, the French

the case that we are more than mere concept fodder.

noblesse de robe's lack of confidence was much exacerbated

And if a thinker like Winch is absolutely right to

by the tortuous and tragic mental world created

stress the reality of magic to the Azande, it is

by Pascal and Racine, their ideological representa­

the merest intellectual conceit to pretend that

tives.

magic is on the same level as the cognitive practices

Idealists are mistaken, as noted, to imagine that

of modern science. Crucially, social science depends

most ideologies are so inflexible that we are trapped

on those cognitive practices: at the least we bracket

within the terms of their discourses. Christianity

local belief (ignoring, for instance, the claim that

was able, to take an obvious example, to accommo­

Islam spread because it was true, so as to investigate

date itself to empire, to its absence and to a system

the conditions to which it responded), while at most

of states, and equally it managed first to endorse and

we investigate matters- such as the ability of a belief

then to oppose slavery. Nonetheless, there are oc­

system such as magic to maintain itself in the face of

casions when

contradiction - precisely because we know local

the historical record. There may indeed be an elect­

practices to be mistaken.

discourse does autonomously affect

ive affinity between idea and circumstance, but the repertory of options within a particular ideology, in

The impact of ideas

terms of which circumstance can be understood and justified, may on occasion be limited. This view­

Freedom from the false antithesis between idealism

point probably helps us understand the rise of the

and materialism allows us to see three ways in

West, albeit not in traditional ways. The develop­

which ideas have on occasion had an autonomous

ment of modern science - as John Milton, very

impact on society. These three ways can best be

much in the spirit of Weber, has pointed out -

described by bearing in mind Max Weber's concern

does seem to depend on the particular terms of

with the 'rationalization' of the West. If some of his

discourse embedded in the Western legacy. The

insights remain valid, contemporary scholars have

fundamental concept of 'law of nature' rests on

usefully complemented his insights as well.

the combination of Greek investigation of nature

136

CULTURE

and a Judaic conception of a hidden, austere and

sometimes depends on their actual content, what

orderly deity which reveals neither its designs nor

can matter still more is the ability to link people

the order of things but forces humanity to interpret

together into a community.

the surface appearance of things as clues to its grand design. The poverty of Muslim science may well be explicable by the very different terms in which

The higher things

the deity was conceived: as all-powerful as the deity

Up to this point the emphasis has been on the most

of the West but differing from it in being prone to

important meaning of culture, that is, the anthro­

interfere on an occasionalistic basis with the work­

pological sense of culture as a way of life. But

ings of the world. More generally, what is notice­

culture can also refer to art - about which two

able about Islam is its intransigence, its difficulty in

points deserve to be made.

adapting to new circumstances given that 'the gates

Many modern thinkers believe that art either

of interpretation' were held to have finally closed

holds society together or pulls it apart: Daniel

soon after the death of Muhammad.

Bell

The third and final way in which ideas can have

manages

to

combine

these

positions

in

asserting that bourgeois art supported capitalism

an impact on society is the most important. What

while the demands of modernist art for instant

is at issue is something rather stronger than

gratification are a threat to the modern world

Weber's contention that ideas can determine the

(see also ART,

tracks along which interest sends action. This is of

scriptive accuracy of this picture: the disenchant­

)

SOCIOLOGY OF .

One doubts the de­

little help in some circumstances in so far as it

ment

suggests that the tracks have been laid, that a social

characteristic of the modern world probably says

and

alienation

seen

by

modernism

as

order is already in place. For the greatest moments

more about the position of artists, caught in the

of ideological power have been those in which in­

interstices of the market, than it does about the

tellectuals have served - to make use of Michael

feelings of whole sections of the population. But

Mann's improvement on Weber- as 'tracklayers',

what is most noticeable about this view of art is

that is, as the makers of society. Ideological power

its idealism: the functioning of society is naively

can lead to the creation of society. The same point

held once again to depend solely on the ideological

can be further illustrated if we think ofDurkheim.

factor.

If we accept the view that the presence of norms

If the relation of art to social order Idisorder has

defines a society, then the society of north-west

much concerned modern social thought, so too has

Europe between, say, 800 and 1100

was Latin

the relation between 'high' and 'low' culture. These

Christendom. Now to say this is in fact to improve

terms can be put to good use: the extent to which

on Durkheim. Quite as much as crude Marxism,

official culture is shared throughout society, in his­

Durkheim viewed belief as a reflection of other

tory and in contemporary circumstances, is a matter

AD

social processes. But in the early Middle Ages,

fit for empirical investigation- an approach which

Christianity was not the reflection of society. It

allows us to recognize that the consensual categories

was society. For it was the church that issued

of a Parsons are not without merit in the analysis of

rules about external warfare and internal peace.

the United States, the set of categories being, of

But if we inquire into the genesis of this ideological

course, a reflection of that extraordinarily Durk­

power, we are forced to recognize that in another

heimian social formation. A similar approach could

wayDurkheim still has much to tell us about belief.

usefully be adopted to a related debate - as to

Christian society was initially created in the Roman

whether artistic standards are 'diluted' by popular

Empire by the sending of messages, the epistles,

art. At times, popular art has enriched 'high' art, as

between communities of urban dwellers - crafts­

was certainly true for the Shakespearean moment;

men, women, freed slaves- who could have no part

but equally the organization of mass media- which

in official culture yet stood above the minimal world

differs so greatly from nation-state to nation-state­

of the peasantry. We can best understand the birth

may be such as to homogenize and limit. In the

of this world religion if we remember that religion,

field of culture, there is much to be said for getting

according to Durkheim, is 'society worshipping

away from presuppositions about higher things so

itself. Christianity made people, otherwise margin­

as to investigate instead the social workings of art

alized, into a community. If the power of ideas

worlds.

CULTURE, YOUTH Reading Abercrombie, N., Hill, S. and Turner, B. 1980: The

Dominant Ideology Thesis.

Weber, M. 1904-5 (1976): The Protestant Ethic and the

Spirit of Capitalism. Winch, P. 1958 (1976): The Idea of a Social Science.

JOHN A. HALL

Bell, D. 1976 (1979): The Cultural Contradictions of Capit-

alism. Crone, P. 1989: ?re-industrial societies.

culture, counter-

See COUNTERCULTURE

Elster,J. 1989: The Cement ofSociety. Gellner, E. 1973: Cause and Meaning in the Social Sciences.

culture, mass

See MASS CULTURE

Goldmann, L. 1956: The Hidden God. Mann, M. 1986: Sources ofSocialPower. Vol. 1: A History

culture, political

See POLITICAL CULTURE

ofPower from the Beginning to A. D. 1760. Milton, J. 1981: The origin and development of the con­ cept 'law of nature'. European Journal of Sociology 23.

137

culture, youth

See YOUTH CULTURE

D dance

only

The belief that dance is a trivial art, suited

for

amusement

and

entertainment,

was

A landmark in the history of twentieth-century dance was The Green Table (of 1932), by the

common at the end of the nineteenth century. At

German Kurt Jooss. Its call for peace began and

the beginning of the twentieth century, the pion­

ended with scenes of the diplomats arguing from

eers of modern dance started their revolt against

their respective sides of the negotiating table. Be­

what they considered the decadence of contempor­

tween these, Jooss set tragic portrayals of the rav­

ary ballet. What they urged was a return of dance to

ages of war on the lives of parents, lovers and

its original function in society, that of an instru­

friends.

ment to strengthen the sense of community. The

The characters of The Green Table are general­

instrument could work either to reiterate traditional

ized abstractions of types. Social thought in the

beliefs, urging their continuing relevance, or it

Soviet Union, however, has used narratives involv­

could stir thoughts of protest against existing

ing specific characters, often with incidents drawn

values. The former direction has generally charac­

from history. An early work, The Red Poppy (of

terized the genre of folk dance. Theatrical dance

1927), told of a brave Soviet captain who is

has tended toward the latter, though abstract ballets

threatened by a Chinese conspirator but saved by

rather than dances of social significance have pre­

the sacrifice of a Chinese dancer. More recently

dominated in the course of this century.

Yuri Grivorovich of Moscow's Bolshoi Ballet con­

With few exceptions, writers on dance have also

demned the cruelty of Tsarist Russia in !van the

concentrated their efforts on analysing the formal

Terrible, in 1975, and praised the workers of Siberia

structures of dance, rather than seeking out its

in Angara, in 1976.

social content. The nature of dance itself has led

In the United States, explicit social thought has

this way. Movement can, indeed, be expressive, but

played an insistent, though usually minor, role.

what can be best expressed by movements of the

During the Depression years of the early 1930s,

body are feelings, emotions, not intellectual ideas.

the Workers' Dance League sponsored concerts

When a traditional society uses dance either to

promoting social protest. Their dances bore titles

enhance its beliefs or to demonstrate its rebellion

like

against them, it creates an image. A group moves

1955, Anna Sokolow bemoaned the emptiness of

together, affirming its solidarity. Or it chooses a

city life in Rooms, where people live physically

narrative format, conveying its message with an

together but emotionally isolated. In 1984, Liz

'Eviction',

'Hunger',

'Unemployment'.

In

example of the tragic misuse of power or the glor­

Lerman's NineShort Pieces about the Defense Budget

ified triumph of good.

and Other Military Matters took a more specifically

Though dances of social significance have not

political stand.

dominated the theatrical dance scene in this cen­

Celebration of the Black heritage began with the

tury, some outstanding exceptions can be noted.

work of Katherine Dunham and Pearl Primus,

Among the early modern dancers, Ruth St Denis

followed by the great success of the company of Revelations,

and Ted Shawn turned to the mysticism of the

Alvin

Orient, to the timeless values of ancient myths

Negro spirituals, became a tremendous popular

and legends in works like Radha (of 1906) and

success. In that decade, too, young choreographers

Ailey

whose

1960

set

to

White Fade (of 1926). Isadora Duncan embraced

began to work with improvization and individual

the ideas of the newly established Soviet Union in

expression. Anna Halprin formed her San Franc­

MarcheS lav, which depicted the oppression of the

isco Dancers' Workshop, a multi-ethnic group,

masses and the final triumphant breaking of their

devoted to racial harmony and the wellbeing of

chains.

the earth.

139

DECADENCE In Germany, Pina Bausch exposed problems that

But at times a social crisis can provoke a revival

people face in contemporary society. The charac­

of interest in community dance. When Nelson was

Mandela

rituals as if by rote; their behaviour lacks feeling,

South

lacks motivation. In 1980, the dancers waver be­

to dance the Toyi-Toyi as an expression of their

tween aggressive exhibitionism and helpless loneli­

joy.

African

released

from

prison

in

1990,

ters in her dance-theatre works perform ingrained

youngsters took to the streets

The claim has often been made that dance is a

ness; between lethargy and hysteria. In China a rice-planting song 'yang-ko' became

universal language. As this century nears its close,

1949.

that claim is being substantiated. Teachers are

Dancers used work movements, along with pacing,

working in the schools of various countries to fa­

the victory theme of the communists in

hand-clapping and body swaying, to accompany the

miliarize young dancers with different techniques

melody. Political narratives followed. In The White­

and styles. More and more often, choreographers

Haired Girl (of

the heroine suffers under a

are setting their works on dance companies in other

cruel landlord until her black hair turns white, but

nations. Exchanges are underway. As these moves

she is eventually freed by the Eighth Red Army

contribute

when it liberates her village.

dance world hopes that nations will also continue

1964)

In Japan the treatment has been more abstract. Begun as a protest against the horrors of war, the genre known as Butoh has featured dancers with

to

international

understanding,

the

to respect and perform the dances that symbolize their own identity. See also A RT, SOCIOLOGY OF; THEATRE.

shaven heads and white-painted bodies inhabiting a landscape of despair. Slow paced, with movements

Reading

that barely move, Butoh shows its audience a

Boaz, F. ed. 1972: The Function of Dance in Human

troubled world, the consequence of global brutality. At present, non-theatrical dance faces critical problems. Dances that grew out of the shared ex­ perience and needs of a community are now van­ ishing, along with the way of life that generated them. With the move from rural into urban areas,

Society.

Brinson, P. 1983: Scholastic tasks of a sociology of dance. Dance ResearchJournall, 100-7; 2, 59-68.

Katz, R. 1973: The egalitarian waltz. Comparative Studies in Society and History 15.3.

Rust, F. 1969: Dance in Society. Spencer, P. ed. 1985: Society and the Dance.

young people spend much of their leisure time

SELMA JEANNE COHEN

watching television. When they do dance, they prefer forms that offer them opportunities for indi­

Darwinism

See EvoLUTION

vidual expression rather than those that reflect col­ lective values.

Remaining traditionalists find it

Darwinism, neo-

See NEO-DARWINISM

difficult to interest them in the dances of their forebears. Small groups are trying, however, and

Darwinism, social

See SociAL DARWINISM

some avid European educators are teaching folk dances to eager learners in the primary grades. In

decadence

some African villages efforts are made to maintain

been described as 'decadent' share the conviction

festivals with native dances that restate the values

that 'life begins again and again'. This cyclical

and customs of the community. Another kind of solution is presented by the

The periods in history which have

vision of things is the cornerstone of two vast com­ plexes of themes, the first of which relates to 'cor­

theatrical folk dance company, which takes the

respondences' with the external world, with our

basic spirit and leitmotifs of indigenous genres,

immediate environment, with nature and so on,

and choreographs them for skilled performers to

while the other embraces the varied elements of

present in theatrical settings. While many argue

EVERYDAY LIFE, hedonism, scepticism, in short,

that these dances no longer truly represent their

the valorization of lived experience. The basic

native sources, others argue that they still serve to

premise of both variants is the recognition of social

promote feelings of ethnic identity and pride. The

life as it actually is, rather than as it 'should be'. It

success of such groups as the Moisseyev Folk

involves coming to terms with the fact that,

Dance Ensemble of the Soviet Union and the Na­

whether we like it or not, there is an acceptance of

tional Dance Company of Senegal certainly serve

existence which expresses itself in countless forms

this purpose.

of repetitions. This is certainly the hallmark of

140

DECADENCE

decadence. Such repetition, which is almost ob­

Decadence not only manifests itself in this popu­

sessional, is a way of both affirming and denying

lar form of relativism, but also in more erudite

the passing of time. And in this sense cyclical re­

expressions. First of all, from a Weberian point of

petition is an efficient defence mechanism. The

view it is clear that the acknowledgement of anti­

appearance of the 'comic strip' can thus be con­

nomic value systems within different societies, as

sidered an extraordinary symptom of a form of

well as within each society - simplified in the ex­

narrative which cannot be encapsulated within

pression 'war of the gods' - leads us, if not to an

linear time. What one can observe in stereotyped conversa­

absolute'axiological neutrality', at least to a certain scepticism about

the

concept

of

Truth

itself

tion or in the gratuitous send-ups which are basic

(Weber, 1904). In a deliberately paradoxical fash­

features of the'comic strip' is that, perhaps without

ion, Max Weber tries to think rigorously and to

intending it or at the very least not explicitly, they

generalize, while at the same time recognizing the

assert through their intrinsic criticism of dogmatic

fickleness and ephemerality of human passions.

discourses a certain invariable quality of man and

One thing is for sure, namely that several of his

society, and a return of 'the same'. Whether in a

analyses take place against a background of deca­

playful or in a more sardonic manner, they provide

dence. The 'antinomy of values' will never be re­

a reservoir for a kind of agnostic anomie which

solved and, in the last analysis, it is because of this

implies that nothing new ever happens in human

antinomy that societies last. Putting it somewhat

history. Whether its target is the church or the

flippantly we might say that'so long as the gods are

state, repetition reminds us of the fact that only

at war with each other, men are at peace'.

the present, which is unfailingly identical with

A similar perspective is to be found in the soci­

itself, deserves our attention. In this sense 'deca­

ology of Vilfredo Pareto. Just as Claude Levi­

dence' denotes an 'ethics of the moment' which is

Strauss argued that 'man has always been able to

not concerned with a heavenly paradise or some

think equally well', Pareto was convinced that'man

future utopia, but obstinately intends all the same

is always the same'. Evidence of this conviction can

to live out this existence which, for all the many

be found in his Treatise on General Sociology (1915-

trials and tribulations it brings, is still captivating

19). Several of his analyses are informed by this

despite them or maybe because of them.

scepticism, which may stem from all the disap­

One element which throws into relief the import­

pointments which marked his career. The con­

ance of cyclical and decadent RELATiviSM in the

scientious

collective consciousness is the attitude to politics.

somewhat disenchanted professor of sociology,

economist,

who

later

became

a

Once again everyday conversations can teach us a

was aware of the 'vanity of action' which derives

lot; it would require specialized research in this area

from the sense that eternal return and repetition

to analyse all the nuances of suspicion about politics

dominate the history of human societies. In this

they imply. It would be more precise to say that

respect one could say that he is imbued by the tragic

they show that politics is the focus of intense inter­

sense of existence. A good observer of contempor­

est, but is generally regarded as an art, an art with

ary politics, he was well aware of the fact that it

its own rules. In Mediterranean countries for in­

is not based on rational arguments, whatever its

stance, political discourse is meant, in the manner

myth about itself, and he sets out to draw from

of'bel canto', to stir passions, to appeal to the heart

this realization all the necessary conclusions. It is

rather than the head. In the light of the concept of

in fact characteristic of decadence to show that

decadence we become aware of just how much

reason in the realm of politics, but a fortiori even

social thought owes to this cyclical worldview,

in human activities which do not claim to be a

according to which 'nothing is new under the

manifestation of it, is no more than what Pareto

sun'. In the last analysis the imposition of power is

calls'derivation', a legitimation which masks all the

an immutable constant of life, something that

inconsistencies, ravings and vested interests of

people know well, at least intuitively. 'Princes'

passion. Here one cannot help but think ofMachia­

may come and go, but their actions will always be

velli and his Florentine Histories, in which he throws

imposed from outside and thus remain 'abstract',

into such stark relief the ambiguity and the ambiva­

and even when they intend to speak and act on

lence of human action.

behalf of the least privileged, it is always to demand submission or conformity to the rule.

In other words, whenever the future predomin­ ates, the collective consciousness is wholly turned

141

DECISION THEORY towards it. When instead the present prevails, a

decision theory

cyclical and decadent vision of the world will re­

how rational agents choose to act given their aims,

emerge. But why? Perhaps because of the 'satur­

their options and their beliefs about the effects

ation' mechanism so well described by Pitirim

of their options on their aims. Even given all this,

Decision theory is the study of

Sorokin, which causes values, as well as things, to

deciding what to do may be deeply problematic,

become worn out and exhausted. This would also

either because of the sheer complexity of the calcu­

explain the saturation of a linear conception of time

lations that are needed (as in the decision problems

and the desire to recuperate the 'here and now'

studied in operations analysis) or because the

which permeates everyday life. And the present is

beliefs are uncertain. This besetting uncertainty

never grasped better than when one compares it to

may be about the state of 'nature', as in utility

some great moments in the past. This is well ex­

theory, or about the choices of other agents whose

pressed by Proust's metaphor of time being 'ein­

choice problems interlock with theirs, as in the

steinized'. Cyclical life takes us back to the time of

theory of games.

passion which overrules all rationalizing construc­

Decision theory has been developed in its clas­

tions. One certainly cannot talk about decadence

sical form as an axiomatic theory, the axioms laying

a priori principles of rational choice.

without referring, or at least alluding, to the spin­

down

off effect it has on the ways we understand reality.

the central core of everyday psychological explan­

Because

As soon as the 'pro-ject' stops being the driving

ation is that action is rationally related to the agent's

force of society, the sociologist has to resort to a

beliefs and aims, decision theory may be seen as

different mode of evaluating social life. The relativ­

providing, among other things, a formal model of that core (see Lewis,

1983).

all its contingency, is the recognition that all beings

situations,

decision

and all situations are marked by incompleteness.

deduce the agents' decisions from the

And this is something which the logic of the 'must

ciples alone. It is thus an idealizing theory, which

be' cannot tolerate.

depicts the agent as never violating the

istic acceptance of

what is, this affirmation of life in

In defiance of those intellectuals who confuse the

classical

For a series of defined theory

aspires

to

a priori prin­ a priori

principles, and always acting as they logically

erosion of certain VALUES with the tragic and mel­

dictate however demanding this may be to com­

ancholic death of all things, and of those who think

pute. But round this classical, idealizing core of

the world,

theory there has also been much work concerned

decadence reminds us that analysing the role of

with testing empirically human subjects' conform­

repetition in everyday life and recognizing the he­

ity with the axioms and, in recent years, with de­

that the end of

a world

means the end of

donistic pleasure to be derived from unleashing the

veloping theories which collect, explain, and study

senses opens up a wide field of enquiry. On the basis

the consequences of observed departures from

of this deeply rooted conviction we can dispute the

them.

pronouncements of the apologists of the future or of

The two major theoretical achievements of deci­

those nostalgic for things past, by arguing that

sion theory have been

decadence allows us to glimpse the serenity of the

games.

utility theory and the theory of

GAME THEORY is the decision theory of the

Greek 'Kairos', in other words the moments of

individual in social settings. It is so called because

opportunity offered within the flux of everyday life.

Von Neumann and Morgenstern took parlour games to be isomorphic with, and paradigms for,

See also PROGRESS.

the economic and other social interactions to which Reading

the theory was addressed. It concerns, and attempts

Durand, G. 1979: Figures mythiques et visages de l'oeuvre.

to deal in axiomatic style with, the decision prob­

Freund, J. 1984: La decadence. Maffesoli, M. 1979: La Conquite du Present: pour une sociologie de la vie quotidienne.

Pareto, V. 1915-19 (1963): The Mind and Society: a Trea­ tise on General Sociology.

Spengler, 0. 1918-22 (1926-8): The Decline ofthe West, 2 vols. Weber, M. 1904 (1949): The Methodology of the Social

lems which two or more persons face when the outcomes of the actions of each one - and so their desirability - depend on the actions of the others. Each is assumed to know the options and desires of all; and moreover that the others have this knowledge. Most of the literature concerns

cooperative

non­

games, in which the players cannot

learn the intentions of others by communicating

Sciences.

MICHEL MAFFESOLI

with them, but must infer them from knowledge

142

DECISION THEORY

only of their situation (their options, desires and

are assumed to derive these decisions by pure

knowledge) and their rationality.

reason from the data of their problems. This is

Utility theory concerns the problem of an indi­

not a chancy business, and it is hard to see what

vidual agent who must choose between two or more

basis the first player could have for ascribing prob­

actions which give rise to 'risky prospects'. A risky

abilities to them. (Decision theory has also con­

prospect for an agent is a set of alternative outcomes

cerned

together with a probability for each outcome, at­

probabilization for another reason - because the

itself

with

uncertainty

which

resists

tached to it by the agent; I, for example, face the

agent is in 'complete ignorance' about which possi­

risky prospect (£25 with probability one-tenth;

bility is or will be realized.)

minus £1 with probability nine-tenths) ifl bet £1

What sort of things are the agent's probabilities

on a horse at odds of 25 to 1 against to whose

in a decision under 'risk'? V on Neumann and Mor­

winning I attach probability of 1 in 10.

genstern supposed them to be objective chances,

Utility theory had its beginnings in Daniel Ber­

like those in games of chance, known to the agent.

noulli's 1738 paper reporting the 'St Petersburg'

But this is not the only possibility. Within decision

curiosum, the fact that no-one is willing to pay

theory there has developed the view of probabilities

more than a few pounds to play a certain game of

as subjective 'degrees of belief revealed in 'pre­

chance, though the expected value of a player's win­

paredness to bet'. It is clear that an agent who

nings is infinite. (The 'expected value' of a risky

prefers a lottery which gives a prize if state S

monetary prospect is the weighted average of the

transpires and a penalty if not-S does to one that

different possible gains, the weights being their

gives the prize if not-S and the penalty if S in some

probabilities.) In explanation Bernoulli conjectured

sense believes more strongly in S than in not-S.Just

that the rational gambler is a maximizer of the

as Von Neumann and Morgenstern 'construct'

expected value not of income but of its utility.

utilities out of the pattern of the agent's choices

V on Neumann and Morgenstern (1944) axiomatize

among lotteries, when these obey certain axioms,

this 'expected utility hypothesis'. They show that if

so Ramsey (1926), Savage (1954) and other subject­

a person ranks risky prospects in a manner that

ivists construct numerical degrees of belief out of

meets certain obvious canons of rationality, ex­

this pattern. They succeed in showing, for agents

pressed in the axioms of the theory, then there is a

obeying their axioms, both that these magnitudes

numerical magnitude associated with each out­

are (mathematically) probabilities, and that the

come, called its utility, such that he or she ranks a

agents choose as if maximizing expected utility

risky prospect above another just if it gives a greater

reckoned according to them. These results have

expected value of this magnitude. For example, I

led to the so-called Bayesian view that all uncertain­

will prefer to make the above bet if and only if

ties that agents face are probabilities and that the

( l . lO)u(£25)+(9/lO)u(£- 1) ::::> 0, where u(£x) de­

expected utility hypothesis provides a comprehen­

notes the utility of winning £x . Some of the axioms

sive theory of rational decision-making.

are uncontroversially true of rational preference:

The expected utility hypothesis has been rep­

for example the Monotonicity Axiom, which says,

eatedly disconfirmed in laboratory studies. The

roughly, that given two outcomes, one (A) pre­

most famous experimental violation is the so-called

ferred to another (B), raising the probability of A

Allais paradox. Another is the 'common ratio effect'

gives a preferable prospect. Others are more con­

demonstrated by Kahneman and Tversky (1979): if

troversial, notably the Independence Axiom, which

a person prefers a moderate prize M to a 50 per cent

says: if an outcome A is at least as well liked as an

chance at a large prize L, according to the theory he

outcome B, then a given chance at A is at least as

or she must also prefer a 10 per cent chance at M

well liked as the same chance at B.

to a 5 per cent chance at L; but subjects standardly

Both game theory and utility theory concern

display the first preference and the reverse of

rational decisions taken in conditions of uncer­

the second. Such findings have provoked diverse

tainty, but the uncertainty is of radically different

reactions: some, who regard utility theory as nor­

kinds in the two theories. In utility theory it is 'risk'

mative and find its axioms entirely compelling,

-uncertainty representable by probabilities. These

conclude that subjects are in error, and in need of

attach, in classical utility theory, to the 'state of

instruction! Others, however, feel that normative

nature'. In game theory, however, the uncertainty

theory should reflect the strength of the intuitive

is about the decisions of other rational agents, who

judgements that provoke such 'reversals', or else

DECONSTRUCTION

143

This has become the word most

regard utility theory as primarily explanatory or

deconstruction

predictive. These attitudes have led to the develop­

currently used to describe the work of the French

ment of 'non-expected utility' theories, somewhat

philosopher Jacques Derrida (born 1930) and those

more complex and/or weaker than utility theory,

who describe themselves as, or are perceived to be,

which are consistent with the recalcitrant observa­

his follows (despite Derrida's own reservations about the term), and 'deconstructionism' is used

tions. In spite of its empirical rough edges, utility

exclusively by critics of this work. In fact there is no

theory has been widely used in explanatory and

unified 'school' or institution ofDerridean thought,

predictive work in the social sciences, and with

although it has inspired a good deal of work, espe­

considerable success. In political science it has

cially in literary theory and philosophy. Decon­

spawned RATIONAL CHOICE THEORY; in economics

struction is still a violently disputed area of

it is ubiquitous, providing a simple and powerful

thought, and Derrida has been involved in a

way of extending to uncertain settings the disc­

number of polemical exchanges,

ipline's central assumption of the efficient pursuit

Michel Foucault, Hans-Georg Gadamer, Ji.irgen

notably with

of self-interest. It has a key role in explaining such

Habermas, J acques Lacan and John Sear!e.

diverse phenomena as insurance, gambling, the

Much of the critical material written about Der­

holding of money, and the stickiness of wages

rida can be shown to rely on inadequate under­

in recessions. In many of these cases it is conjoined

standing, but his work is difficult enough to

with

inspire very basic disagreements of interpretation

the

empirical

hypothesis

that

economic

agents are risk averse, that is, prefer a sum £x

even among supposed experts. It is fashionable and

for sure to a risky prospect whose expected value

convenient to suggest that there are two opposed receptions of Derrida, whether these be favourable

is £x. Decision theory has completed a brilliant half­

or critical: one as essentially a philosopher who may

century in which it has contributed powerful and

incidentally have some things to say about literary

illuminating tools of thought to the social sciences.

studies Gonathan Culler, Rodolphe Gasche, Chris­

Yet it remains in a not wholly satisfying state. As a

topher Norris), the other as almost an antiphiloso­

theory of rational human choice it is, in its classical

pher attacking philosophy from the standpoint of

form, both too strong and too weak: too strong in

something

that its axioms - sometimes because they set im­

Hartman, Richard Rorty); this type of characterisa­

possible standards, sometimes because they fail to

tion can be shown to be fundamentally misguided

like literature

(Habermas, Geoffrey

capture the subtleties of human concerns - are

(Bennington), if only because it relies on a binarist

consistently violated by intelligent subjects. Too

presentation (see below) in a context where binar­

weak because it ignores constraints on what count

ism is perhaps the primary object of suspicion.

as rational beliefs, desires and actions in the specific

Derrida takes as his object no less than the total­

cultural settings to which it is to be applied. It

ity of what he refers to, in the wake of Heidegger, as

remains to be seen how far these shortcomings can

Western metaphysics or onto-theology. His claim,

be repaired without damage to the power and the

still following Heidegger, is that this tradition, at

luminousness of the classical theory.

least since Plato, has attempted to determine being as presence, but that such a determination is dog­

Reading

matic, relying on an 'ethicotheoretical decision'

Bacharach, M. 0. L. and Hurley, S. L. eds 1991: Founda­

rather than any theoretical demonstration, and can

tions ofDecision Theory: Issues and Advances. Gardenfiirs, P. and Sahlin, N.-E. eds 1988: Decision,

Probability and Utility. Jeffrey, R. C. 1965 (1983): The Logic ofDecision, 2nd edn. Luce, R. D. and Raiffa, H. 1957: Games and Decisions:

Introduction and Critical Survey. Nozick, R. 1969: Newcomb's problem and two principles of choice. In Essays in Honor of Curl Hempel, ed. N.

always be shown to fail in a variety of ways. In Derrida's view, Western thought has habitually proceeded in an appositional way, proposing binary pairs of concepts (of which some of the most perva­ sive and general are perhaps inside/outside; good/ bad; pure/impure; presence/absence). While pre­ senting these pairs as neutral and descriptive, it in fact determines one of these terms as primary or

Rescher. Reznik, M. 1987: Choices: An Introduction to Decision

Theory.

privileged, and the other as secondary or derived or inferior or parasitic with respect to it. Derrida's

MICHAEL BACHARACH

early work attempts to show this, improbably, by

144

DECONSTRUCTION alongside the most obviously proposed con­

following the guiding thread provided by the trad­ itional construal of the relationship between speech

tent or doctrine, more or less obvious res­

and writing (in Husserl, Plato, Rousseau, Saussure,

ources which work against that content or doctrine;

Hegel among others). Derrida shows, in a first, exegetical moment, how speech is traditionally val­

2

strated independently of any claim as to what

orized above writing by accruing to itself all the

the author intended;

values of presence, while writing is (dis)qualified as embodying exteriority, materiality, death and

The working of these resources can be demon­

3

The deconstruction is not essentially a critical

absence. In a second moment, Derrida argues

activity brought to bear by the reader from

that, even on their own terms, the authors in ques­

outside the text, but is in a certain sense already 'in' the text.

tion cannot fail to show, in spite of their most apparent arguments, that the predicates habitually

4

In so far as texts escape the control of any

used in the description of writing are in fact essen­

internally proposed reading (point 1 above),

tial predicates of language in general, and therefore

then they do not simply 'deconstruct them­

of speech as well. Philosophers seem to want to

selves' either (this again disqualifies a range of

show that speech is primary and writing derivative:

responses to Derrida, both laudatory and crit­

they end up showing, in spite of themselves, that

ical). Deconstruction happens somewhere 'be­

speech is itself really a sort of 'writing'.

tween', say, Derrida and Plato, but cannot be

The core of the argument is as follows: writing is traditionally described as involving the repeatable

located within the historical schemes of any history of philosophy or ideas.

functioning of a sign in the absence of my animating intention (for example after my death); but without the possibility (the

essential

possibility) of decon­

These consequences would perhaps be of only limited importance (affecting, for example, the his­

textualized repetition (if necessary after my death)

torian or reader of philosophy but not the 'doer' of

speak and fully intend to say,

philosophy) were it not for a further claim drawn

even of those things I

then language would not function at all. The possi­

from this description of how language in general

same, but repeated and to

can work. Deconstruction tends to show how any

identica[) is definitive of language as

attempt to define concepts or meanings as self­

bility of repetition (as the that extent not

a whole, and cannot be confined to writing. The

sufficient is incoherent, and how any attempt to

deconstruction of the classical opposition (here

determine the consequent relationships between

speech/writing) involves the polemical retention

concepts as appositional (or, by extension, dialect­

of the previously devalorized term (here writing)

ical) breaks down. One of deconstruction's most

to name a more general structure which includes

significant claims is that binary and dialectical ac­

the previously valorized term (here speech). This

counts still work towards an undifferentiated unity

term (writing) has undergone a displacement (or

(the 'presence' of metaphysics, precisely). On a

'reinscription') in the process, and has disrupted

deconstructive construal, this relationship must be

the binary opposition in which it was traditionally

thought of as

defined. This displacement immediately disqua­

involving a difference which (contra Hegel) need

differential

but not

appositional,

or as

lifies a whole range of 'textualist' responses to Der­

not become opposition (see DIALECTIC). Meanings,

rida (whether supportive or critical), which assume

or effects thereof (for Derrida believes in 'mean­

that the term retains its old sense. Further, the

ings' as little as do Quine or Wittgenstein) result

displaced concept of'writing' thus elaborated func­

from the multiply differential network in which

solely

tions at one and the same time as the condition of

terms are defined

possibility of LANGUAGE, and as the condition

This network is intrinsically

of impossibility of its ever achieving its traditional

terms are 'present' only through their repeatability

telos

as the same (but non-identical), and is thereby

of self-effacement in the interests of thought.

This 'example' of deconstruction immediately suggests a number of important 'methodological' consequences:

inherently

by their interrelationships.

traditionalistic.

historical

in so far as

The only means for

thought are inherited with this network, and it is naive to expect to be able to think without recourse to it. In the field of philosophical conceptuality, this

Texts

(even

philosophical

texts)

are

not

simple and unified, but habitually involve,

historicity of the network implies that

any use of a

philosophical concept (and in fact of any concept at

DEFINITION

145

all) involves an at least implicit 'reading' of the

to a radical multiplicity or 'dissemination' which

tradition, which thus cannot be ignored.

will always remain relatively disorganized or cha­

This inevitable ambivalent indebtedness to the

otic. This multiplicity implies that deconstruction

tradition is also why Derrida retains the name of

attempts to allow events a singularity they are

the old concept (here 'writing') rather than at­

denied in metaphysical philosophy. Because of

tempting simply to introduce a new one for what

this multiplicity, events in their singularity are

he is attempting to think. Elsewhere, the logic of

undecidable (never quite classifiable in the classical

habit

binary way), and therefore, according to Derrida,

of borrowing the operators of his arguments from

demand ungrounded decisions which are of the

the texts under discussion, thus denying the possi­

order of what is traditionally thought of as politics.

this argument

translates into Derrida's

bility of any clear demarcation of object-language

But if traditional political philosophy attempts to

and metalanguage. This refusal of the traditional

domesticate this undecidable dimension, decon­

philosophical fantasy of achieving a vantage point

struction affirms it, and to that extent cannot be

outside the field of investigation does not, however,

annexed to recognizable political theories or pro­

commit Derrida to a position of pure immanence:

grammes. Undecidability makes the taking of re­

certain terms

sponsible decisions possible (without it ethics and

(pharmakon, supplement, parergon,

and even the notorious neologism 'differance' (an

politics would be reduced to administration and

attempt to name the becoming-different of the

bureaucracy), but makes impossible their secure

differential network; see STRUCTURALISM) by a play­

theoretical or doctrinal gounding. To that extent

ful modification of the key notion of difference)

it is both the resource and the despair of politics in

gain an always limited purchase on the texts in

general.

which they remain nonetheless embedded: this 'quasi-transcendental' status (as formalized espe­

Reading

cially by Rodolphe Gasche) implies an intermediary

Bennington, G. 1994: Legislations. The Politics of Decon­

status between the immanent and the transcendent which perhaps best captures the deconstructive position. One of the consequences of this situation, which

struction. Bennington, G. and Derrida,J. 1991:Jacques Derrida. Culler, J. 1982: On Deconstruction: Theory and Criticism

after Structuralism.

related differences, or, in what became a notorious

(1976): OfGrammatology. --1967 (1978): Writing and Difference. --1972 (1981): Positions. Gasche, R. 1986: The Tain of the Mirror: Deconstruction and the Philosophy of Reflection.

formulation, that 'there is nothing outside the text'.

GEOFFREY BENNINGTON

is no longer philosophical in the traditional sense of the term, is that there is nothing outside the thus radically historical network of multilayered inter­

Derrida,J. 1967

Dif.firance means that differences are never absolute Social

theorists

have

tended

to

(a common misreading of Derrida involves the as­

definition

similation of his

assume that the stipulative or verbal definition of

dif.firance to Hegel's absolute

difference, in an attempt to show how it must revert

terms ('By x I mean abc') is an unproblematic and

to absolute identity), and neither, therefore, are

desirable practice, requiring nothing more than

identities. This radically non-teleological situation

clarity and consistency of usage. This view, ex­

is one offensive to Rationalism (see RATIONALITY

pressed in the late nineteenth and early twentieth

AND REASON), but does not mean that deconstruc­

centuries by Emile Durkheim

tion is thereby irrationalist or nihilistic: reasons

nand Tiinnies

(1895) and Ferdi­ (1899-1900), is still accepted as a

must be given, and Derrida writes much that is

commonplace by most social scientists (see PosiTIV­

recognizable within the norms of philosophical ar­

ISM).

(pace Habermas), but their purchase is

A more complex view can be found in Max

never established. Deconstruction does not say that

Weber's assertion that, for example, a definition of

everything is of equal value, but that establishing

religion can come only at the

values as equal or unequal remains always a ques­

and not at the beginning. Here Weber seems to be

tion; it does not say that there is an infinite number

following Nietzsche's maxim that concepts which

of interpretations or meanings, but that there is not

express a whole historical process resist definition.

one interpretation or meaning (see HERMENEUTICS).

This view, vigorously upheld by Theodor Adorno

Unlike binary thinking, deconstruction thus opens

(see FRANKFURT SCHOOL), tends to go with a stress

gumentation

end of an investigation

146

DE-INDUSTRIALIZATION

on the hermeneutic complexity of social phenom­

meanmgs being carelessly superimposed on each

ena and their intimate relation to VALUES. This

other.

in turn was reinforced from the middle of the

On the one hand, de-industrialization is seen as a

century in the English-speaking world by Wittgen­

natural consequence in the move from early to late

stein's critique of positivism, giving rise in the

(or perhaps to post-) industrial society (see PosT­

work of Winch ( 19 58) and others to an alternative

INDUSTRIAL SOCIETY). The tertiary sector must grow

model of social sciences (see VERSTEHEN). The nor­

if the advanced economies wish to retain their com­

mative relevance of definition was further brought

petitive edge by moving their industries up the

out by Gallie's notion of 'essentially contested con­

product cycle, that is, moving towards ever higher

cepts' in social and political thought (Gallie,

technology goods. There is nothing 'wrong' with such a move. The smaller share of Gross Domestic

1955-6). The decline of positivism into conventionalism,

Product

provided

by

manufacturing

industry

and consequent anxieties over RELATIVISM, have

represents a relative rather than an absolute decline;

prompted supporters of rationalism and REALISM

that is, de-industrialization does not mean a loss

to revive the notion of 'real definition', in which

of affluence. Similarly, there is no reason in

definitions are intended to express the essential

principle why diminished employment in the sec­

nature of an entity - as in the definition of chemical

ondary sector cannot be taken up in the tertiary

substances by their molecular structure. How far

sector.

this is possible for social objects remains controver­

On the other hand, de-industrialization refers to

sial, but it is clear that the more sophisticated con­

economies which are doing less well than they

ception of the nature of social-scientific theory

might for various structural reasons. The British

which has come to predominate in recent decades

economy suffered an absolute decline in manufac­

has brought with it a greater sensitivity to the

turing from 1979 to 1987, and there is ample evi­

problems of the formation of social-scientific con­

dence to show that its relative decline is due to

cepts.

factors other than successful industrialization else­

Reading

becomes whether it had to decline so far below the

Durkheim, E. 1895 (1982): The Rules of Sociological

level of France, Germany and Italy; similar ques­

where. If Britain had to decline, the question then

Method.

Gallie, D. 1955-6: Essentially contested concepts. Pro­ ceedings ofthe Aristotelian Society, NS, 56.

Outhwaite,

W.

1983:

Concept

Formation

in

Social

Science.

Tiinnies, F. 1899-1900: Philosophical terminology. Mind 8 and 9. Winch, P. 1958: The Idea ofa Social Science and its Rela­

tions are now being asked about the United States. A combination of factors is usually held to account for such poor performance: sometimes the creation of comparative advantage by action of the state elsewhere is blamed; more often attention is paid to internal social rigidities of various types. It is probably no accident that decline in Britain and America has been so steep: both have an Anglo­

tion to Philosophy.

WILL!AM OUTHWAITE

Saxon dislike of industrial policy, and both tend to favour finance above industry.

Referring to the contrac­

The political left has been particularly concerned

tion of output and/ or employment in the manufac­

with de-industrialization. This is scarcely surpris­

de-industrialization

turing sector of the economy, the phenomenon has

ing: either form identified here diminishes the im­

received particular attention in the United King­

portance of the manual working class on whose

dom since the late 1970s, although a more recent

activities progressive hopes tend to rest. Most

debate in the United States addresses the same

plans to reverse de-industrialization, however, are

issues. It is insufficiently appreciated that a rather

made defective by not distinguishing between the

different literature exists on the de-industrializing

two senses highlighted here - that is, plans are often

effects of incorporation inside the great European

made to restore manufacturing industry to its full

empires of the nineteeth and twentieth centuries.

former glory, in unawareness of the fact that some

Leaving that aside, the principal characteristic of

de-industrialization is inevitable, perhaps indeed

the recent discussion of de-industrialization has

desirable.

been generalized confusion. This results from two

See also TECHNOLOGICAL CHANGE.

DEMOCRACY

147

tion between the ideas of democracy and equality

Reading Bell, D. 1974: The Coming ofPost-Industrial Society.

(see

EQUALITY AND INEQUALITY).

There is this con­

Blackaby, F. ed. 1979: De-industrialisation.

nection because, apart from anything else, the idea

Gershuny, J. 1978: After Industrial Society.

of the whole people making a decision involves the

Martin, R. and Rowthorn, R. eds 1986: The Geography of

notion of each individual having an equal say (and in particular each person should have one vote).

De-industrialisation.

Singh, A. 1977: UK industry and the world economy: a

Without this there would be a decision by some,

case of de-industrialisation? Cambridge Journal ofEco­

rather than all, of the people. But so close is the

nomics I. 2, 113-16.

connection that equality sometimes becomes cen­

JOHN A. HALL

tral to democracy's very meaning: this gives us the secondary sense where 'democracy' means, roughly

democracy

The meaning of the word 'democ­

racy' is rule by the people'. It was first used in the fifth century

BC

speaking, 'a society in which equality exists'. The meaning of 'democracy' is reasonably clear,

by the Greek historian Herodotus,

but this fact tends to be obscured due to the diver­

demos,

sity of systems that have been called democracies.

combining the Greek words

kratein,

meaning 'the

meaning 'to rule'. Abraham

Indeed, it might sometimes seem that the one

Lincoln's famous definition was 'government of the

common feature in such diversity is the expression

people, by the people, for the people'. By elaborat­

of approval. As approval for democracy is now

ing on the notion of government or rule, the mean­

almost universally expressed, that at least is clearly

people', and

what

ing can be given more precisely: a democracy is a

signified by the use of the term, even if exactly

political system in which the whole people make,

is being approved is not so clear. Indeed, for some it

and are entitled to make, the basic determining

appears that 'democracy' is merely a 'hurrah! word'

decisions on important matters of public policy.

emptied of all descriptive content, meaning no

The notion of being 'entitled to make' the basic

more than 'hurrah! for this political system'. How­

decisions

ever, confusion of this sort can be avoided by

distinguishes

democracy

from

other

systems in which such decisions are in effect deter­ mined by the people-for example, where a weak or ailing dictator gives way to the people's wishes because of the threat of riot or insurrection. In a

because

agreed meaning of 'democracy' -rule by the people-and differing judgements about what is necessary for such rule to exist, and hence which political systems

attending to the distinctions between the

of their entitlement to do so

actually exemplify it. Thus disagreement about

that the people can make the decisions; the entitle­

the application of the word 'democracy'-disagree­

ment derives from a system of basic rules such as a

ment about where there is rule by the people-does

democracy it is

not, in fact, imply that the word lacks an agreed

constitution. The idea of the people making decisions raises the difficulty of how many, different, individual

one collective

meaning and that it merely signifies approval (Hol­ den,

1974, 1993).

deci­

This near universality of approval is a salient

sion. A common response is to conceive of democ­

feature of democracy today. The other key feature

racy as majority rule. The idea here is that where

is that modern democracies are indirect or represen­ tative rather than direct. They are also now predom­ inantly liberal democracies. This, however, is a

decisions can be combined into

unanimity is lacking, that which is preferred by the greater number should be chosen. The greater number is nearer to being the whole: the majority's

recent development (see below), before which

counted as

there were important disagreements, of the sort

decision should be

the decision of the

whole people. There are, however, many difficul­ ties with such an idea. A decision by the

whole

just mentioned,

concerning

the application of

'democracy' to different types of political system.

people amounts to something more than a decision

Although so important today, historically dem­

by the majority and must involve compromise and

ocracy has been relatively unimportant. For many

consensus; and

centuries it did not exist. 'Both as an idea and as a

democracy cannot be properly

equated with majority rule (Holden,

1993).

The primary meaning of 'democracy' has just

practice, throughout recorded history hierarchy has

been

the

1989,

p.

rule,

democracy

52) -although

the

exception'

been indicated, but there is also a secondary mean­

(Dahl,

this state of affairs

ing which stems from the closeness of the connec-

is now being reversed. For a period in classical

148

DEMOCRACY in

it is maintained that key liberal freedoms are neces­

Athens in the fifth and fourth centuries BC. After

sary for democracy to exist at all. Without freedom

that, though, it was not until the late eighteenth and

of speech, association and so on, the people could

the nineteenth century that the idea became im­

not be offered the choices at elections which enable

Greece

democracy

was

important,

notably

portant again; and it was not until the twentieth

them to make the basic political decisions. In short,

century that democracy became properly estab­

free elections are seen as a necessary condition for­

lished in practice. And it was only after World

and liberal democracy as the only possible form of­

War I that a general disapproval of democracy was

democracy.

replaced by widespread approval.

The notion of liberal democracy is usually asso­

The democracy of ancient Greece was direct

ciated with important ideas about the further kinds

democracy: the people ruled by actually assembling

of political structures and processes that are neces­

together and directly making the basic political

sary for limiting governmental power and provid­

decisions (Held, 1996; Sinclair, 1988). This, most

ing electoral choice. Prominent amongst these are

thoroughgoing, form of democracy has continued

the concept of a multiparty system and the associ­

to have a hold on democratic thought; indeed, until

ated idea of parties whose function is to oppose the

the late eighteenth century 'democracy' only re­

government. These can be seen as components in

ferred to this direct form. However, the Greek

the overall idea of PLURALISM. This centres on the

polis, or city-state, was much smaller than a modern

concept of a plurality of political groups (see INTER­

state where it is not possible to assemble the people.

EST GROUP), as well as parties, as being important

The increase in size and complexity of states has,

both for providing sources of power alternative to

then, meant that in the modern world democracy

and limiting that of the government, and for creat­

must be indirect. Here the people only make a few

ing choice for the electorate.

very basic decisions directly, at elections, the rest

Until the downfall of communism in 1989-90

being made by their elected representatives: indir­

liberal democracy was challenged by alternative

ect democracy is representative democracy. There

types of system that were said by their supporters

are differing ideas about the nature and role of

to have a superior claim to be forms of democracy.

representatives in a democracy (Holden, 1993).

These were the one-party systems of the commun­

However, the basic notion is that representatives

ist world and of many Third World countries.

make decisions for, or on behalf of, the people who

The former were referred to as 'people's democra­

elect them, but that in doing so they are, ultimately

cies', and to some extent acted as a model for

at least, subordinate to the people's own decisions

the latter. The claim to be democratic rested on

expressed at the elections. Voting at elections is

the idea that the single governing party could

thus the key democratic process, and it is necessary

best discern and implement what was in the true

for virtually all adults to have the vote for a system

interests of the people: hence it expressed their

to be a democracy. (See also POLITICAL PARTICIPA­

real will.

TION.)

After World War II one-party democracy pro­

The dominant form of democracy today is liberal

vided a powerful challenge to liberal democracy

democracy. It is now widely believed that this is the

until the dramatic events of 1989-90. Then, the

only kind of democracy possible; but, until recently

overthrow

it was held that there were rival forms (see below).

Europe involved the general rejection of the idea

The term 'liberal' applied to governmental systems

of one-party democracy in favour of liberal democ­

of

communist

systems

in

Eastern

usually implies a concern with protecting individ­

racy. And Third World one-party democracies

ual freedoms by limiting the power of the govern­

were discredited too: they were widely rejected in

ment (see LIBERALISM). The typical idea is that the

theory, and quite often in practice. It is true that

power of a government should be limited by sub­

some old-style one-party regimes still exist, most

jecting it to regulation by a constitution or bill of

notably in China. However, essentially the theory

rights. In a liberal democracy, then, the elected

of one-party democracy suffered a mortal blow and

government expresses the will of the people, but

liberal democracy has emerged as the only recog­

its power is nonetheless limited. Hence it is, to an

nized form of democracy. Indeed, liberal democ­

extent, a qualified form of democracy in which the

racy has now spread fairly widely across the world

power of the people - as expressed through their

and is today widely seen as the only legitimate form

government- is limited. At the same time, though,

of government.

DEMOGRAPHY Theories of liberal democracy were developed in the late eighteenth and in the nineteenth centuries,

collective decisions are generated Stokes,

1998

chapter

4).

149

(Carter and

In another, and striking,

though they were much influenced by the political

recent development there has been a growing con­

philosophy of John Locke

cern with the idea and possibility of global democ­

(1632-1704).

These the­

ories are often lumped together and referred to as

racy (Holden,

2000).

Whether there can be a rational grounding for

'traditional democratic theory', though there are in fact some important differences among them. In

the judgement - now so widely endorsed - that

'conventional democratic theory' the people have a

democracy is the best system of government is a

passive role and merely choose 'negatively' from

matter of controversy; nonetheless what many

what candidates have to offer. And the representa­

regard as cogent arguments have traditionally

tives once elected have a large amount of discretion;

been offered in its support (Holden,

though the requirements of subsequent elections

1989).

1993;

Dahl,

Today, however, under the influence of

mean that they are ultimately subordinate to the

relativism and postmodernism it is often main­

voters. The most important theorists here were

tained that there can be no compelling rational

James Madison

justification for democracy (Cater and Stokes,

Stuart Mill

1998,

(1751-1836) in America and John (1806-1873) in Britain. In 'radical

chapter

5;

Benhabib,

1996,

part four). None­

democratic theory' the people have a positive,

theless, there is no doubt that today democracy -

initiating role, and candidates respond to policy

and in particular liberal democracy - commands

initiatives from the people. Moreover, elected rep­

very widespread support and approval.

resentatives are not expected to use their discretion but merely to carry out the instructions of their electors; in a word, they are but delegates. Key theorists were Tom Paine (1737-1809) and Thomas Jefferson

(1743-1826)

and the English utilitarians

(see UTILITARIANISM)Jeremy Bentham and James Mill

(1773-1836).

(1748-1832)

Rousseau also has an

important place, though he was the theorist of'con­

Reading Benhabib, S. ed. 1996:

Democracy and Difference. Liberal Democracy and its

Carter, A. and Stokes, G. 1998:

Critics. Dahl, R. A. 1989: Democracy

and its Critics. Models ofDemocracy. Holden, B. 1993: Understanding Liberal Democracy. Weale, A. 1999: Democracy. Held, D. 1996:

tinental' democratic theory rather than mainstream liberal democratic theory (Holden,

BARRY HOLDEN

1993).

In the latter half of the twentieth century it was contended that traditional theory should be super­

democracy, industrial

See INDUSTRIAL DEMOC­

RACY

seded by more realistic, modern, theories of dem­ ocracy which recognize the complexity of modern

democracy, social

See SociAL DEMOCRACY

political systems and the limited political capacity of the mass of the people. 'Elitist democratic

demography

theory' is prominent here. However, elitist demo­

populations, the term embraces a vast array of

cratic theorists have, themselves, been subject to

work, but at its core are three central concerns:

Describing the study of human

criticism by participatory theorists, who maintain that the former are not really democratic theorists

The size and make-up of populations according

at all and that what is needed for democracy to exist

to diverse criteria (age, sex, marital status, edu­

is extensive PARTICIPATION by the whole people

cational attainment, and so on). In short, cross­

(Pateman,

sectional pictures of a population at a fixed

1970).

Such participation should also

involve INDUSTRIAL DEMOCRACY and extend beyond the political system, as usually conceived, into the

moment in time.

2

workplace and into the economy generally (Pate­ man,

1970;

Dahl,

1985).

ence the composition of populations (fertility,

Later developments in

modern democratic theory include feminist cri­

The different processes which directly influ­ mortality, nuptiality, MIGRATION, and so on).

3

The relationship between these static and dy­

tiques of the nature of representation in liberal

namic elements and the social, economic and

democracy (Carter and Stokes,

cultural environment within which they exist.

1998, chapters 9 and 10; Benhabib, 1996, chapters 7, 9 and 10) and theories of 'deliberative democracy' which focus on

Although there is no strict division, a contrast

rational deliberation as the process through which

is frequently made between formal or technical

150

DEMOGRAPHY

demography on the one hand, and social demog­

raphy one central notion has been the pursuit of

raphy or population studies on the other. The

analysis in terms of cohorts rather than periods.

former is concerned mainly with the collection

Cohort analysis, which considers the experience of

and analysis of data, while the latter implies a

individuals over time, has many theoretical advan­

wider frame of reference drawing in work from

tages over the analysis of events occurring in a given period. This is particularly so where the events in

related fields. From its origins in actuarial studies, demography

question are largely under individual control, as

has been pushed forward by a variety of motiv­

with fertility and nuptiality, and where past experi­

ations. Much of the research carried out in the

ence plays a role in determining current behaviour

early twentieth century had close links to EUGENICS

(Ryder, 1968).

as scholars sought to discover the quantitative di­

Undoubtedly the main contribution of demog­

differentiation.

raphy to quantitative social science has been the life

Following World War II and the abuse of eugenic

table, a detailed description of the mortality of a

mensions

of

social

and

racial

research by Nazism, the motivation waned. How­

population, giving the probability of dying and

ever, the rise of SociOBIOLOGY in the 1970s led to a

various other statistics at each age. The life table

resurgence of interest in demographic studies of

is a powerful tool for the analysis of mortality or any

human biology.

other phenomenon which cannot recur. It has

During the 1930s fertility in many developed

found widespread applications in many areas of

societies fell to unprecedented levels. This inspired

social science as well as in the natural sciences and

both technical analytic developments, such as the

statistics (Shryock and Siegel, 1976).

calculation of gross and net reproduction rates

The statistical techniques employed by demog­

aiming accurately to quantify the scale of the fertil­

raphers are relatively few in number and generally

ity decline, and attempts at a more complete under­

straightforward, though with the advent of com­

standing of the phenomenon, such as the British

puters more statistically sophisticated methods

Royal Commission on Population in the 1940s

have come into use. For most demographers the

(Glass, 1956). Fears of depopulation in Western

heart of the subject lies in the analysis of mortality,

countries became obsolete in the 1950s, however,

fertility and nuptiality, with migration regarded as a

when fertility rose substantially during the so­

separate subdiscipline. This is partly attributable to

called 'baby boom'.

differences in source material and partly to the

From the 1950s on the attention of demograph­ ers switched to population in the Third World,

much greater role of geographers in any form of spatial analysis.

where rapid mortality improvement and persistent

Mathematical demography has been an active

high fertility produced extremely high rates of

sub-branch of the discipline, developing several

population growth. Concern with rapid population

models which combine formal elegance with con­

growth and in particular a desire to promote re­

siderable practical utility. The most important of

duced fertility in developing countries has been a

these is the theory of stable populations. First for­

major undercurrent of demographic research in the

mulated in the eighteenth century by Leonard

second half of the century. Controversy has often

Euler, the theory of the stable population was re­

reigned between competing theorists of social and

invented and popularized by the American demog­

demographic change as they battled for the ear of

rapher Alfred Lotka (1939). The theory enables the

governments

population age-structure consonant with any given

and

funding

agencies

(Hodgson,

1988).

combination of mortality and fertility to be calcu­

The baby boom was shortlived and in the de­

lated, a feature invaluable for the understanding of

veloped world attention has again been focused on

population dynamics. For example, it has been

the issue of low fertility following rapid falls in

possible to demonstrate that demographic ageing

childbearing since the later 1960s. Concern has

is principally the result of low fertility rather than of

been particularly focused on the phenomenon of

longer individual survival (Coale, 1972).

population ageing as societies grapple with the growth of old-age populations.

The most influential concept in social demog­ raphy is the demographic transition. As Demeny

Both formal and social demography have de­

(1972) puts it, 'In traditional societies, mortality

veloped a number of key ideas or models in the

and fertility are high. In modern societies fertility

course of the twentieth century. In formal demog-

and mortality are low. In between there is the

DEPENDENCY demographic transition.' Demographic translt!on

151

some countries can expand through self-impulsion

theory was first developed by American demog­

while others ...can only expand as a reflection of

raphers in the years around World War II and was

the expansion of the dominant countries.' Though

a form of the more general modernization theories

the term can be found in Marxist writings before

then current (Notestein, 1945; Davis, 1945). The

Lenin (as in Otto Bauer), it was given prominence

theory can be broadly divided into three parts:

by Lenin, especially after his 1916 pamphlet on imperialism as 'the last stage of capitalism'. Indeed

2

3

A description of changes over time in fertility

dependency theory is basically a revival of Lenin's

and mortality;

concept of imperialism, shifting the focus to its

The construction of theoretical causal models

effects (to which Lenin paid scant attention) on

explaining these changes; and

underdeveloped economies. Kwame Nkrumah,

Predictions for future trends, especially in the

the Ghanaian leader, consciously echoed Lenin

Third World.

when he said 'neo-colonialism is the last stage of capitalism.'

Attention has been especially focused on the

The idea of dependency was born as a reaction

factors responsible for fertility decline with differ­

against dualist interpretations of Latin American

ent theorists advocating different causal mechan­

backwardness. Stemming from MoDERNIZATION

Isms. Early

theory, dualism used to distinguish between a

work

stressed

urbanization

and

industrialization as prime movers, but this has

modern, progressive sector of the economy and

been

society

questioned following the

discovery

that

changes in these factors were not closely correlated

and

stagnant,

traditional

branches

or

regions, which were labelled precapitalist.Depend­

with fertility change in historical European popula­

ency theorists, by contrast, saw DEVELOPMENT AND

tions. Moreover, many Asian and Latin American

UNDERDEVELOPMENT as functional positions within

countries have experienced significant fertility falls

the world economy rather than stages along an

with only limited concurrent socioeconomic devel­

evolutionary ladder. Previously, Latin American

opment (Freedman, 1982). As a result, recent work

economic thought had been dominated by an out­

has tended to stress cultural factors as playing a

look identified with ECLA (UN Economic Com­

crucial role (Cleland and Wilson, 1987). Many other areas of social thinking have been

mission

for Latin

America). Its

mentor,

the

Argentinian economist Raul Prebisch, believed

influenced by demographic ideas. Research on the

that Latin America's underdevelopment reflected

FAMILY has to take into account the demographic

its peripheral place in the world economy and

constraints within which all family and kinship

resulted from the adoption of free trade policies as

relations take place, while analysis of marriage and

the region's commodity exports suffered from a

divorce rely on demography for their quantitative

secular decline in their prices. Third World pri­

basis.Historical demography has been very influen­

mary producers, unlike grain producers in nine­

tial in the development of social and economic

teenth-century areas of white settlement, were not

history, and the use of demographic methods in

in the long run reaping big profits from free trade.

ANTHROPOLOGY has grown rapidly in recent years.

Dependency theory agreed with Prebisch's diagno­

Reading Pressat, R. 1985: The Dictionary of Demography, ed. C. Wi1son. Ross, J. A. ed. 1982: International Encyclopaedia ofPopu­

tionist,

sis but rejected his Keynesian prescription: protec­

lation.

Woods, R. 1979: Population Analysis in Geography. CHRISTOPHER WILSON

state-fostered

'import

substitution

industrialization' (ISI), which became the prevalent development ideology.The early work of an ECLA economist, the Brazilian Celso Furtado ( 1964), pro­ vided a conceptual transition from Prebisch by stressing that in underdeveloped countries the small size of the domestic market restricts capital formation, and by envisaging the state as a means of

dependency

Dependency theory is a body of

combating structural bottlenecks. A heavy blow to

neo-Marxist thought which arose in Latin Ameri­

dualist pieties and nationalist reformism was struck

can social science in the late 1960s. According to

when a Mexican sociologist, Rodolfo Stavenhagen,

T.dos Santos (1970), 'a relationship of interdepen­

denouncing several 'mistaken theses about Latin

dence ...becomes a dependent relationship when

America' (1968), attacked the 'trickle-down' idea

152

DEPENDENCY spreads overall progress,

sticking to the classical Marxist stress on class

claiming that on the contrary what progress there

structure and social relations. The same point was

was had taken place at the expense of backward

later made by Robert Brenner

areas, and denied (a) that national bourgeoisies

of Immanuel Wallerstein, a neo-Marxist historian

were inimical to landowners, (b) that workers

of capitalism who skilfully blended Frank's outlook

shared interests with peasants, and (c) that the

with Fernand Braudel's geographically minded ac­

that industrialization

middle classes were enterprising and progressive. Dependency theory also changed Latin Ameri­

(1977) in his critique

count of'world economics' shaped by early modern capital (see Wallerstein,

1974). Frank and Waller­

can views on imperialism. Up to the interwar

stein became the best-known sources of depend­

period (as in the thought of Haya de la Torre) the

ency theorizing. (See also

dominant anti-imperialist stance south of the USA

WoRLD-SYSTEM.

)

Dependency theory in political science (see

1973) tried to relate the rise of authori­

blamed underdevelopment on foreign exploitation

O'Donnell,

but not on capitalism as such. But dependency theory

tarianism to the exhaustion of ISI. While early ISI

chose to follow Lenin's momentous reversal of the

concentrated on light, labour-intensive industry,

Marxist conception of capitalism. While Marx had

with a low level of technology and investment

seen it as a fundamentally progressive (however

costs, and production aiming at low-income con­

doomed) historical trend, Lenin came to regard

sumers,

capitalism in its imperialist stage as a decadent,

sive

late ISI produces capital goods or expen­

durable

consumer

goods

requiring

high

obstacle to

technology and costly investment. Consequently

economic and social progress. This view was shared

consumption growth becomes geared to the upper

by 'hard' dependency theorists like A. G. Frank

middle classes and political repression is called on

(1969), Dos Santos, Rui M. Marini and Samir Amin (1970). A 'softer', Gramsci-like approach

to prevent the lower classes from imposing a more

was soon developed by the Sao Paulo sociologist

entered the picture by means of the multinational

F. H. Cardoso, with a milder reformist, structural­

companies, the main providers of capital and tech­

parasitic process which had become an

distributivist pattern via the ballot. Dependency

ist line led by Furtado and the Chilean economist

nology under later ISI. The work of Cardoso and

Osvaldo Sunkel.

Faletto

Gunder Frank initiated the dependency school

1967 by taking up Paul Baran's thesis in The Political Economy ofGrowth (1957) that exploit­

proper in

(1969) was chiefly a seminal typology of

bourgeoisies, classified according to their degree of automony

vis-a-vis the export economy and the

multinationals in several national contexts. Cardoso

ation of the Third World not only went on un­

strongly qualified Frank's original tenets, stressing

abated after the end of colonial rule but became

the dialectic between market forces, class structures

far more efficient, underdevelopment being the

and national political traditions. But the end result

result of the economic capture of backward areas

of his insightful revamping of dependency theory

Frank

has been to blur its outlines as a causal hypothesis;

provided a catchy prase for this process: 'The de­

what was gained in sense of context was lost in

velopment of underdevelopment.' For him, devel­

explanatory power. (cf. Jaguaribe,

by

advanced

metropolitan

capitalism.

1973).

opment and underdevelopment are not just relative

The big unanswered question of dependency

and quantitative but 'relational and qualitative' be­

theory is, how is it that some 'dependent' countries

cause 'structurally different'; the same capitalist

can be so affluent? The Canadian economy is as

mechanisms generate both development at the

dependent on trade with the USA, and far more

centre and underdevelopment of the periphery.

permeated by American capital, than Mexico, yet

'Feudal' areas, in the dualist jargon, are just those

Canada is a developed country and Mexico a plod­

which have suffered most in the process. Thus the

ding developing one. To be sure, the foreign debt

most'archaic' parts of Latin America, such as high­

quagmire has cast many developing nations into the

land Peru or the Brazilian north-east, were previ­

throes of acutefinancial dependency. Nevertheless,

ously the centre of the economic and commercial

while the proximate cause of the debt was the

dynamics of the region.

soaring interest rates of the era of the Reagan presi­

Frank's analysis was quickly challenged. E.

dency in the USA, its root cause was massive free

(1977) chastised him for defining modes of

borrowing dictated by the decision to keep develop­

production, like Paul Sweezy and the dualists, in

ing economies such as Brazil and Mexico as nearly

terms of their relation to the market instead of

autarkic as possible (since the alternative route of

Laclau

DEPRIVATION, RELATIVE

153

attracting more foreign investments could have

including those not seen by a psychiatrist and not

kept their foreign debts at a significantly lower

diagnosed by a general practitioner, psychosocial

level). To a certain extent, therefore, the current

factors probably play a major role in onset and

debt predicament, far from reflecting an original

course, and go far to explain the large social class

situation of dependence, may be deemed a nemesis

differences often present in urban settings. More­

of the will to autarky.

over, certain kinds of early adverse experience, par­

Reading

can also lead to a higher risk of depression in adult­

Amin, S. 1970 (1974): Accumulation on a World Scale.

hood. Fortunately there is nothing inevitable about

Cardoso, F. H. and Fa1etto, E. 1969 (1979): Dependency

such effects since subsequent 'positive' experience,

ticularly involving rejection and abuse by a parent,

and Development in Latin America. Dos Santos, T. 1970: The structure of dependence. American Economic Review 6 0, May. Frank, A. G. 1969 (1971): Capitalism and Underdevelop­ ment in Latin America: Historical Studies of Chile and Brazil.

particularly in terms of a supportive marriage or a new opportunity, can greatly lower risk. Psychiatrists see relatively few of those in the general population who experience a depressive episode, and the task of coming to terms intellec­ tually with what they do see is complicated in

Eurtado, C. 1964: Development and Underdevelopment. Hoogvelt, A. 200 1 : Globalization and the Postcolonial World.

several ways. A good deal of the undoubted bio­ logical dysfunction present once a person is de­

Larrain, J. 1989: Theories ofDevelopment.

pressed could be a consequence of external events,

J. G. MERQUIOR

although there can be little doubt that some depres­ sion is essentially biological in origin. Understand­

depression

A diagnosis of this condition in­

ably

they

quite

often

see

patients

who

are

volves more than a depressed mood, however per­

particularly profoundly depressed. In addition pa­

sistent

tients very often have more than a straightforward

and

severe:

a

certain

number

of

characteristic symptoms must be present, such as

depression. Those with 'acting out' behaviour such

loss of interest, feelings of guilt, sleep and appetite

as suicide gestures are more likely to be referred to

disturbance, suicidal plans, slowing in movement

psychiatrists, as well as those with alcoholism, sub­

and anhedonia (the inability to feel pleasure). But

stance abuse and physical illness, as well as in­

depression is not a unitary phenomenon. Manic

stances where the patient has helped to bring

depression (or bipolar condition), for example, is

about the crisis immediately responsible for his or

distinguishable by genetic involvement, clinical re­

her depression. Indeed, with the increasing use of

currence (often involving manic episodes) and

anti-depressant drugs in general medicine, psych­

responses to specific treatments. However, further

iatrists may well see relatively few 'ordinary' de­

diagnostic divisions have proved more difficult to

pressions.

make, and terms such as 'reactive' and 'neurotic' in

depression seen by psychiatrists a certain scepti­

Given

the

selected

nature

of

the

contrast to 'endogenous' or 'psychotic' are confus­

cism on their part is understandable in response to

ing if taken literally. It is now clear, for example,

simple aetiological explanations. At the same time,

that 'endogenous' conditions (defined by what are

it behoves them to recognize the possibility that the

thought to be characteristic symptoms and thought

depressive phenomenon as a whole may not prove

by some to arise spontaneously within the individ­

to be as complex in its origins as it would appear

ual) can, in fact, be provoked by crises such as a

from the perspective of psychiatric practice.

miscarriage or marital separation.

See also PSYCHIATRY AND MENTAL ILLNESS.

Biological explanations have recently been prom­ inent - especially variations on formulations con­

Reading

cerning deficits in neurotransmitter amines in the

Go1dberg, D. and Hux1ey, P. 1992: Common Mental Dis­

brain. It is also clear that psychosocial stressors, particularly concerning loss and disappointment, appear to be frequently involved in provoking all

orders: a Biosocial Model. Herbst, K. and Paykel, E. 1989: Depression: an Integrative Approach.

GEORGE W. BROWN

forms of depression (leaving aside the relatively rare bipolar condition) and factors such as social support offer some protection. On present evidence, if the

deprivation,

broad range of depressive conditions are taken,

ATION

relative

See

RELATIVE

DEPRIV­

154

DEVELOPMENT AND UNDERDEVELOPMENT

despotism, oriental

See ORIENTAL DESPOTISM

powers or the system in which s3 is formed is open or the process is stochastic. The development

determinism

This is normally understood as

of catastrophe and chaos theory has dealt another

the thesis that for everything that happens there

blow to regularity determinism, illustrating that

are conditions such that, given them, nothing else

non-linear dynamic systems can yield highly ir­

could have happened. In the influential philosoph­

regular (chaotic and unpredictable) results (see

ical form articulated by David Hume and]. S. Mill

also PREDICTION).

it appears as regularity determinism, viz. that for

The relative rarity of deterministic outcomes and

every event x there is a set of events YI ... Yn such

the complexity of agents has implications for the

that they are regularly conjoined under some set of

issue of free will. The dominant position in the first

descriptions. This has generally been assumed to

half of the century was the 'compatibilist' one that

hold true in nature this century, at least until very

free will presupposes determinism. Under the

recently, with the exception of quantum mechanics

influence of Gilbert Ryle, John Austin, the later

(where it appears impossible to determine simul­

Wittgenstein, F. Waismann, P. Strawson and S.

taneously the position and momentum of elemen­

Hampshire, the commonsense view that determin­

tary

ism places our normal concepts of agency (see

particles).

However,

reservations

were

expressed about it in the 1960s by P. T. Geach

AcTION AND AGENCY), choice and responsibility in

and G. E. M. Anscombe; and in the

1970s

jeopardy was most usually reconciled with a con­

more systematically by R. Bhaskar. He argued

tinued commitment to determinism at the physical

that reflection on the conditions under which de­

level in the doctrine that the former concepts oper­

terministic outcomes are actually possible (from

ated at or in a different logical level, language

which determinism as a metaphysical thesis derives

stratum or language game. But once actualism is

its plausibility) suggests that apart from a few

jettisoned, the possibility of a naturalistic revindi­

special - experimentally established or naturally

cation of human agency, of the CAUSALITY of

occurring- closed contexts, laws set limits, impose

reasons and the potential applicability of the predi­

constraints or operate as tendencies rather than

cate 'free' to agents, their actions and their situ­

prescribe uniquely fixed results. In particular they

ations is once more opened up.

have a normic and non-empirical character; and

There was much controversy in the twentieth

they are consistent with situations of dual and mul­

century about whether Marxism is a deterministic

tiple control, multiple and plural determination,

theory in the sense that it holds outcomes to be (a)

complexity, emergence and human agency (for in­

inevitable and/or (b) predictable and/or (c) fated.

stance, in experimental activity). From this per­

This cannot be discussed here (see entry on 'deter­

spective laws are not actual or contingent but

minism' in Bottomore et al., 1983)- save to remark

necessary and real - properties of mechanisms,

that there are good philosophical and historical

not conjunctions of events. And the only sense in

reasons for not treating the Marxist research pro­

which science presupposes determinism is the

gramme as deterministic in any of these senses.

(non-Humean, non-Laplacean) sense of ubiquity determinism, that is, the ubiquity of real (but per­

Reading

haps not necessarily intelligible) causes, including

Anscombe, G. E. M. 1971: Causality and Determination.

causes for differences, and hence the (however

Bhaskar, R. 1975 (1978): A Realist Theory ofScience, 2nd

remote) possibility of stratified explanations. 'De­

edn.

terminism', as normally understood, can then be

Honderich, T. 1993: How Free Are You?

seen to rest on a naive actualist ontology of laws,

Kamminga, H. 1990: Understanding chaos. New Left

and in particular on the error of supposing that because an event was caused to happen, it was bound to happen before it was caused (a confusion of

(ontological)

determination

and

(epistemo­

Review 181.

Melden, A. 1961: Free Action. Polanyi, M. 1967: The Tacit Dimension. ROY BHASKAR

logical) predetermination). Nor is it the case that relations of natural generation are (logically) transi­

development and underdevelopment

tive. Thus it is not the case that because S, pro­

denotes the achievement of economic and social

duced S2 and S2 produced S3 that S1 produced S3-

progress (development) by transforming conditions

if, for instance, either Sz possesses emergent

of underdevelopment (low productivity, stagna-

This

DEVELOPMENT AND UNDERDEVELOPMENT

155

tion, poverty) in countries variously designated as

productive of innovation and growth, while inte­

'poor', 'underdeveloped', 'less developed' or 'de­

gration and its normative system secure social sta­

veloping'. EcoNOMIC GROWTH is a necessary if not

bility.

sufficient condition of social progress, charted in

Underdeveloped countries are characterized by a

the satisfaction of such basic needs as adequate

dual structure of traditional and modern social

nutrition, health and shelter (overcoming absolute

sectors, beliefs and practices. The motor of trans­

poverty), to which can be added further conditions

formation is psychocultural- a 'revolution of rising

of a full human existence such as universal access to

expectations' promoting the diffusion of modernity

education, civil freedoms and political participation

from developed to underdeveloped countries, and

(overcoming relative poverty or deprivation).

within the latter from modern to traditional sectors.

After 1945 the international map was redrawn by

The underlying message is 'follow in the footsteps

anti-colonial movements and the end of colonial

of the West', and 'we will help you' through foreign

empire, by US hegemony in the capitalist world

aid and investment, transfer of technology, and so

and its rivalry with the USSR to win allies among

on. Problems arise when socioeconomic change

the independent states of Asia and Africa. In this

fails to satisfy rising expectations, giving way to

global context, development in the transform­

rising frustrations that require strong 'modernizing

ational and transitive sense outlined became a

elites' which can simultaneously induce accelerated

major goal of governments and of international

development and maintain order.

bodies like the United Nations and International

Modernization theories thus formulate develop­

Bank for Reconstruction and Development (the

ment as a process of diffusion, adoption and adap­

World Bank), and emerged as a field of specializa­

tation from a benign external environment, and

tion in the social sciences.

explain underdevelopment by the barriers of trad­

Intense controversy continues to surround the

ition internal to poor countries. The assumptions

causes of underdevelopment and ways of achieving

and prescriptions of modernization - ethnocentric,

development, reflecting radically different views of

sometimes implicitly racist, often explicitly anti­

the nature of Western and Japanese (industrial cap­

communist - have been vigorously challenged by

italist) development, of the international economy

positions that emphasize global factors in explain­

it created and how it conditions the prospects of

ing underdevelopment.

development in the THIRD WORLD, and of the com­

A historic slogan of this challenge was 'the de­

peting claims of capitalist, socialist and nationalist

velopment of underdevelopment' coined by Andre

solutions to

problems of development.

Social

Gunder Frank

(1969) to argue that underdevelop­

theory concerning development and underdevelop­

ment is not an original or residual condition (trad­

ment is thus 'world historical' in its scope and

ition), but was actively created by the incorporation

complexity, but several central themes run through

of the Third World in the world economy formed

the many debates it has generated.

by European expansion from the late fifteenth century. This capitalist world economy consists of a chain

Societal and globalfactors One pervasive set of issues

of'metropole-satellite' relationships between coun­ IS

the nature and

tries, and regions within them, through which

weighting of internal (societal) and external (global)

dominant metropoles appropriate the economic

factors in explaining stagnation and change. In the

surplus of subordinate satellites, enriching the

MoDERNIZATION theories of American social scien­

former and impoverishing the latter, thereby creat­

tists in particular, 'traditional' society or culture is,

ing and reproducing their underdevelopment. Ap­

in effect, synonymous with underdevelopment (see

parently traditional or precapitalist social forms in

also TRADITION AND TRADITIONALISM) . Abstractly,

satellite countries and regions are thus really capit­

tradition and modernity are delineated by the 'pat­

alist in consequence of their world market integra­

(1951), which

tion. The principal mechanisms of 'surplus drain'

depict modernization as the evolution of social

are unequal exchange in international trade, ex­

tern variables' of Talcott Parsons

systems with a high degree of functional and struc­

patriation of profits from foreign investment, and

tural differentiation and corresponding mechan­

of interest on foreign loans, within an international

isms of integration. Differentiation encompasses a

division of labour that systematically favours the

complex social division of labour and a rationality

metropoles.

156

DEVELOPMENT AND UNDERDEVELOPMENT

This picture of a global system generating devel­

owes much to Frank and even to Parsons, according

opment and underdevelopment as two sides of the

to critics of Wallerstein's functionalist account of

same coin has been enormously influential. It has

'system'.

also been challenged and modified in various ways,

counters Marxism with the argument that proletar­

Unlike

Frank,

Wallerstein

explicitly

as has Frank's principal prescription of autarchy for

ianization, central to its account of capitalist devel­

Third World countries, their 'disengagement' from

opment, has been exceptional rather than universal

the world economy, as a necessary condition of

in the modern world system which harnesses a

development.

variety of forms of labour, neither fully commodi­

Transcending Frank's stagnationist model, the

tized nor 'free', to the imperatives of capital accu­

possibilities and constraints of 'dependent develop­

mulation. Additionally, Wallerstein replaces the

ment' were formulated by Latin American intel­

static dualism of Frank's metropole-satellite struc­

lectuals (Cardoso and Faletto,

ture with a hierarchy of core, semiperipheral and

1969) and then

generalized to the whole of the Third World. As

peripheral locations in the world system, suggest­

with many terms associated with development, 'de­

ing that countries can shift their location in particu­

pendency' is an elastic notion, but it acknowledges

lar moments of change in the DIVISION OF LABOUR,

the possibility of rapid economic growth whose

INTERNATIONAL.

patterns and limits are still mainly determined by

Another response to rapid economic growth in

external dependence, notably on multinational cor­

parts of Latin American and the NICs ('newly

porations for technology, and on international

industrialized countries') of East Asia, was to turn

banks for finance, dramatized in the current Third

the arguments of radical global approaches upside

World debt crisis.

down in the name of reviving an 'orthodox' Marx­

Another approach to theorizing the relationship of internal and external factors is the 'articulation of

ism. In a major polemic, Bill Warren

(1980) main­

tained that capitalism does develop the post­

modes of production'. The key idea here is that

colonial Third World except where inhibited by

rather than destroying other modes of production,

socialist, nationalist or populist policies derived

capitalism often conserves (or even creates) them by

from misconceived notions of imperialism (stem­

articulating or combining them with its own func­

ming from Lenin,

tioning to obtain 'cheap' commodities to sustain

returned full circle to an internal explanation of economic

1916) and dependency. Warren

accumulation. These commodities comprise both

poor

goods from peasant and artisanal production and

world market integration is to be encouraged rather

performance,

suggesting

that

labour power, which are cheap because their ex­

than resisted, and that socialist construction is 'pre­

change value is 'subsidized' by unpaid subsistence

mature' until the stage of capitalist transformation

production. Contemporary pre- or non-capitalist

is complete.

social forms, therefore, neither represent a residual tradition nor are they rendered 'capitalist' simply by their world economy linkages (Frank).

States, plans, markets

This theoretical approach was developed most

Warren's position partly converges with current

systematically by French anthropologists working

neoliberalism, which highlights another pervasive

in Africa, notably Rey

set of issues: those concerning states, plans and

(1976) amd Meillassoux

(1981), although independent 'modes of produc­

markets in promoting development. Capitalist de­

tion' debates, with somewhat different agendas

velopment

focused on the agrarian question, also occurred in

clearly compatible; Gerschenkron

Latin America (Bartra et al.,

1976) and India (Pat­ 1990). Formulated within a Marxist analysis

that for relative 'latecomers' to development the

of capitalism, particularly as interpreted in Rosa

of capital accumulation, or undertaking it in stra­

Luxemburg's theory of imperialism

naik,

and

economically

active

states are

(1962) suggested

state has a central role in establishing the conditions

(1913), articu­

tegic sectors, recalling the 'infant industry' thesis of

lation explains underdevelopment through the ne­

the nineteenth-century German 'national econo­

cessary reproduction within global capitalism of

mist' Friedrich List

pre-capitalist forms supporting a reserve army of labour in impoverished areas and classes. This idea also features in the eclectic 'world system' project of Wallerstein

(1979), which also

(1841).

Certainly post-war economic development was viewed as the responsibility of states, influenced by the comprehensive

planning pioneered in the

USSR, and Western wartime economic manage-

DEVELOPMENT AND UNDERDEVELOPMENT

157

ment followed by European reconstruction under

and civil society which have critical effects for

the Marshall Plan and policies influenced by

how the standard macroeconomic variables of de­

KEYNESIANISM. J. M. Keynes himself participated

velopment policy work in practice, whether ex­

in establishing the Bretton Woods system of insti­

change rate and foreign trade regimes, savings

tutions to regulate the international economy, in­

rates, sectoral investment priorities or the role of

cluding the World Bank, which was centrally

the public sector.

involved in promoting planning (Waterston, 1965)

The initial reasons in the Third World for

until its conversion to an equally ambitious neo­

the primacy of the state in development were

liberal strategy of structural 'reform' in the 1980s.

the experience of colonialism and the fear of

The extent and nature of the state's role in in­

'neocolonial'

domination

after

independence.

vestment, economic management and social provi­

'State' and 'nation' were virtually coterminous

sion, and its relations with the activities of private

in the profoundly national(ist) moment of decolon­

capital, national and international, is a large and

ization.

complex subject in itself, manifested in the very

building' was seen to be as vital a task for the

Creating a cohesive nation or 'nation

mixed record of state-led development in both cap­

state as promoting development, or inseparable

italist and socialist Third World countries. The

from it.

complexities of these different experiences, and of

As the inherited contradictions of underdevelop­

the demands of analysing them, have been short­

ment persisted beyond the triumphal moment of

circuited by the ideological (if not practical) suc­

independence, and new contradictions of uneven

cesses of the neoliberal doctrine of 'rolling back the

development emerged, class analysis became more

state'. This combines a selective core of ideas from

central, often conceiving class structure in periph­

neoclassical economics with an aggressive politics,

eral capitalism by its deviations from 'classic' or

including a rejection of the discipline of 'develop­

core capitalism: dependent or bureaucratic rather

ment economics' on the grounds of its intrinsic

than 'national' bourgeoisies; semi-proletarianized

Keynesianism and statism (Lal, 1983). Moreover,

or marginal masses rather than working classes.

neoliberalism has partly appropriated the ground of

Other approaches aim to transcend this somewhat

widespread popular discontent with state economic

mechanistic conception, addressing the historical

inefficiency, inability to meet basic needs, corrup­

specificities and complexities of class formation,

tion and authoritarianism in many Third World

and how it is enmeshed with other divisions of

countries, and acquired further impetus with the

civil society, notably those of gender.

dramatic collapse of East European state socialism as a perceived alternative to capitalism. Current conditions and prospects as well as eco­

Feminism

has had a

substantial impact on

the analysis of development and underdevelop­ ment, investigating and demonstrating the ways

nomic history cast doubt on the simplistic account

in which their constituent processes - includ­

of virtuous markets and vicious states given by neo­

ing class formation and reproduction - are gen­

liberalism. Even if planning is diminished, state

dered (Agarwal, 1988). It has also contributed to a

enterprises and functions privatized and deregu­

general rethinking by some scholars of the agenda

lated, and external and internal trade liberalized,

of development theory and practice, provoked

the 'leaner' state prescribed has to be much more

inter alia by the convergent critique of the state

efficient as both technocracy and agency of social

from left and right. The emerging agenda focuses

control than hitherto in the Third World. This

on questions of social agency that transcend the

raises issues about the constitution and capacities

conventional dualism of (discredited) state direc­

of states in relation to the deep divisions of class,

tion and the neo-liberal alternative of market

gender, region and culture of the societies whose

individualism, to explore forms of empowerment

development they attempt to direct, as well as in

and

relation to the powerful 'external' forces of the

the capacities of oppressed classes and groups.

world system.

'public action' that express and develop

Thus there are indications of a quest for new solu­ tions to persistent problems of development and

Nation, class and civil society

underdevelopment rooted in the manifestly un­ equal structures of the capitalist world economy

A third set of pervasive issues, then, concerns the

and of the different kinds of societies it encom­

social and

passes.

political processes of nation, class

158

DIALECTIC enables the dialectical commentator to observe the

Reading Dreze, J. and Sen, A. 1989: Hunger and Public Ac tion. Edwards, C. 1985: The Fragmented World. E1son, D . ed.

1991: Male Bias in the Development

process by which categories, notions or forms of consciousness arise out of each other to form ever more inclusive totalities, until the system as a whole is completed. For Hegel truth is the whole and

Process. Hoogvelt, A. 2001: Globalization and the Postcolonial World.

error lies in one-sidedness, incompleteness and ab­ straction: its symptom is the contradictions it gen­

Kay, C. 1989: Latin American Theories ofDevelopment and Underdevelopment.

erates and its cure their incorporation into fuller, richer, more concrete and highly mediated concep­

Patn aik, P. ed. 1986: Lenin and Imperialism. Po st, K. andWright, P. 1989: Socialism and Underdevelop­ ment.

tual forms. In the course of this process the famous principle of sublation is observed: as the dialectic unfolds no partial insight is ever lost. In fact the

Sk1air, L. 1991: Sociology of the Global System. Toye, J. 1987: Dilemmas ofDevelopment: Reflec tions on the

Hegelian dialectic progresses in two basic modes:

Counter-revolution in Development Theory and Policy.

by bringing out what is implicit, but not explicitly

Wo1pe, H . ed. 1980: The Articulation ofModes ofProduc­

articulated, in some notion; or by repairing some want, lack or inadequacy in it. 'Dialectical', in

tion.

HENRY BERNSTEIN

contrast to 'reflective'

(or analytical), thought

grasps conceptual forms in their systematic inter­ deviance

See CRIME AND DEVIANCE

connections, not just their determinate differences, and conceives each development as the product of a

dialectic

In its most general sense, dialectic has

previous, less developed phase, whose necessary

come to signify any more or less intricate process of

truth or fulfilment it is; so that there is always

conceptual or social conflict, interconnection and

some tension, latent irony or incipient surprise

change, in which the generation, interpenetration

between any form and what it is in the process of

and clash of oppositions, leading to their transcend­

becoming.

ence in a fuller or more adequate mode of thought

At the beginning of the century the absolute

or form of life, plays a key role. But dialectic is one

idealisms of F. H. Bradley and]. McTaggart in

of the oldest, most complex and contested concepts

Britain and]. Royce in the USA were influential.

in philosophical and social thought. Controversy in

Benedetto Croce developed a form of Hegelianism

the twentieth

in Italy during the interwar years. The humanistic

century has, however,

revolved

around the nineteenth-century figures of Hegel

readings of A. Kojeve and Jean Hyppolite, espe­

and Marx.

cially of Hegel's Phenomenology of Spirit, in the

There are two inflections of the dialectic in

1930s helped to form a whole generation of, in

Hegel: (a) as a logical process; (b) more narrowly,

particular French, intellectuals, including Jean­

as the dynamo of this process.

Paul Sartre.]. Findlay in the 1950s and Charles

(a) In Hegel the principle of idealism, the specu­

Taylor in the 1970s were important in preparing

lative understanding of reality as (absolute) spirit,

the ground for a re-reception ofHegel in the heyday

unites two ancient strands of dialectic, the Eleatic

and aftermath of the positivist philosophical he­

idea of dialectic as reason and the Ionian idea of

gemony in the Anglophone world.

dialectic as process, in the notion of dialectic as a

self-generating,

self-differentiating

and self­

Four main issues have dominated intellectual controversy about dialectic in the Marxist tradition:

particularizing process of reason. This actualizes

(a) the difference between the Marxian (materialist)

itself by alienating itself, and restores its self-unity

and Hegelian dialectics; (b) the role of the dialectic

by recognizing this alienation as nothing other than

within Marx's work, and more broadly in any

its own free expression or manifestation- a process

Marxist social science; (c) the compatibility of dia­

which is recapitulated and completed in theHegel­

lectics with formal LOGIC , materialism, scientific

ian System itself.

practice and rationality generally; and (d) the status

(b) The motor of this process is dialectic more

ofEngels's attempt to extend Marx's dialectic from

narrowly conceived, the second, essentially nega­

the social realm to encompass nature and the whole

tive, moment of 'actual thought', which Hegel calls

of being generally.

'the grasping of opposites in their unity or of the

The three most common emphases of the con­

positive in the negative'. This is the method which

cept in the Marxist tradition are as: (a) the method,

DIALECTIC

159

most usually scientific method, instancing epistemo­

dictions between the use-value and value of the

logical dialectics; (b) a set of laws or principles,

commodity, and between the concrete useful and

governing some sector or the whole of reality, onto­

abstract social aspects of the labour it embodies.

logical dialectics; and (c) the movement of history,

These contradictions, together with the other

relational dialectics. All these are to be found in

structural

Marx. But their paradigms are Marx's methodo­

ground, are both (a) real inclusive oppositions, in

and

historical

contradictions

they

logical comments in Capital, the philosophy of

that the terms or poles of the contradictions exist­

nature expounded by Engels in Anti-Duhring, and

entially presuppose each other, and (b) internally

the 'out-Hegeling Hegelianism' of the early Gyiirgy

related to a mystifying form of appearance. Such

- texts

dialectical contradictions do not violate the principle

which may be regarded as the founding documents

of non-contradiction, for they may be consistently

Lukacs in History and Class Consciousness

of Marxist social science, DIALECTICAL MATERIALISM

described; nor are they scientifically absurd, for the

and Western Marxism respectively.

notion of a real inverted- or otherwise mystifying­

There is a remarkable consistency in Marx's criticisms of Hegel from

1843 to 1873. These

misrepresentation of a real object, generated by the object concerned, is readily accommodated within a

turn, formally, on Hegel's subject-predicate 'inver­

non-empiricist,

sions', his principle of identity (involving the re­

thought is included within reality, not hyposta­

stratified,

ontology,

in

which

duction of being to thought) and his logical

tized.

mysticism (involving the reduction of science to

The three most common positions on the dia­

PHILOSOPHY); and, substantively, on Hegel's failure

lectic are that it is unintelligible nonsense, that it is

to sustain the autonomy of nature and the histor­

universally applicable and that it is applicable to the

icity of social forms. But a definite positive re­

conceptual and/or social, but not the natural

evaluation of Hegelian dialectic occurs from the

domain. Engels stamped his authority on the

time of the Grundrisse

second, universalist position. There is no problem

(1857-8) on. Unfortunately

Marx never realized his wish 'to make accessible to

about this for Hegel for whom reality is thought,

the ordinary human intelligence, in two or three

and dialectical logic onto-logic. But it would seem

printers' sheets, what is rational in the method

that any such equation must be problematic for a

which Hegel discovered and at the same time mys­

realist committed to the notion of the existence of

tified'. The evidence, however, seems to indicate

nature independently of thought and for a materi­

that Marx thought it possible to extract part of the

alist committed to the notion of its causal primacy.

Hegelian dialectic without being compromised by

Yet

Hegel's idealism - against both the neo-Fichtean

nevertheless took dialectic in its essentially Hegel­

Engels,

underwriting

both

commitments,

view of the Young Hegelians and Engels that a

ian sense and sought to apply it to being as a whole.

complete extraction of method from system is

While Marx never repudiated Engels's cosmology,

viable, and the position of positivistically minded

his own critique of political economy neither pre­

critics from Eduard Bernstein to Lucio Colletti that

supposes nor entails a dialectics of nature, and his

the dialectic is inseparable from idealism.

critique of a priorism implies the a posteriori and

Marx understood his dialectic as scientific, be­

subject-specific character of claims about the exist­

cause it set out to explain the contradictions in

ence of dialectical, as other types of, processes in

thought and the crises of socioeconomic life in

reality.

terms of the particular contradictory essential rela­

The very supposition of a dialectics of nature has

tions generating them; as historical, because it was

appeared to a line of critics from Lukacs to Sartre as

both rooted in, and (conditionally) an agent of, the

categorically mistaken, inasmuch as it involves

changes in the very relations and circumstances it

anthropomorphically

described; as critical, because it demonstrated the

retrojecting on to nature categories, such as contra­

(and

hence

idealistically)

historical conditions of validity and limits of ad­

diction and negation, which only make sense in the

equacy of the categories, doctrines and practices it

human realm. Such critics do not deny that natural

explained; and as systematic, because it sought to

science, as part of the sociohistorical world, may be

trace the various historical tendencies and contra­

dialectical; what is at stake is whether there can be a

dictions of capitalism back to certain structurally

dialectic of nature per se. Obviously there are differ­

constitutive contradictions of its mode of produc­

ences between the natural and social spheres. But

tion. The most important of these are the contra-

are these specific differences more or less important

160

DIALECTIC

than their generic similarities? In effect the problem

Certainly there were good materialist credentials

of the dialectics of nature reduces to a variant of the

(as well as political motives) for these moves. The

general problem of NATURALISM, with the way it is

negation of the negation is the means whereby

resolved depending on whether dialectics is con­

Hegel dissolves determinate being into infinity.

ceived sufficiently broadly and the human world

On the other hand, as Maurice Godelier pointed

sufficiently broadly and the human world suffi­

out, dialectical materialists rarely appreciated the

ciently naturalistically to make its extension to

differences between the Marxian unity and the He­

nature plausible. Even then one should not neces­

gelian identity of opposites. Within this tradition

sarily expect a unitary answer - there may be

Mao is noteworthy for a potentially fruitful series

dialectical

oppositions

of distinctions - between antagonistic and non­

in nature, but not dialectical intelligibility or

antagonistic contradictions, principal and second­

reason.

ary contradictions, the principal and secondary

polarities

and

inclusive

In both Engels and Lukacs 'history' was effec­

aspects of a contradiction and so on - and stressing,

tively emptied of substance - in Engels, by being

like Lenin and Trotsky, the 'combined and uneven'

'objectivistically' interpreted in terms of the cat­

nature of their development.

egories of a universal process; in Lukacs, by being

Throughout its long and complex history, five

'subjectivistically' conceived as so many mediations

basic strands of meaning in dialectic stand out, all

or moments of a finalizing unconditioned act of

occupying the foreground at different times in the

self-realization, which was its logical ground. Des­

twentieth century:

pite these original flaws, both the dialectical materi­ alist and the Western Marxist traditions in the

Dialectical contradictions, involving inclusive

twentieth century have produced some notable

oppositions

dialectical

ongms;

figures.

Within

Western

Marxism,

besides Lukacs's own dialectic of historical self­

forces

of

non-independent

2

Dialectical argumentation, oriented to the pur­

3

Dialectical reason, which encompasses a spread

suit of groundable ideals;

consciousness or subject-object dialectics, there are Antonio Gramsci's theory/practice, Herbert

or

Marcuse's essence/existence and Colletti's appear­

of connotations ranging from that imaginative

ance/reality contradictions, all of more or less dir­

and conceptually flexible thinking which, under

ectly Hegelian provenance. In Waiter Benjamin

the discipline of empirical, logical and context­

dialectic represents the discontinuance and cata­

ual constraints, plays such a crucial role in

strophic aspect of history; in Marc Bloch it is con­

scientific development, through enlightenment

ceived as objective fantasy; in Sartre it is rooted in

and demystification to the depth rationality of

the intelligibility of the individual's own totalizing

emancipatory PRAXIS;

activity; in Henri Lefebvre it signifies the goal of

4

de-alienated humanity. Among the more anti­

Dialectical process, involving a scheme of ori­ ginal unity, historical diremption and eventual

Hegelian Western Marxists (including Colletti),

return, which is a recurrent and deeprooted

the Della Volpean dialectic consists essentially in

motif in Western thought; and

non-rigid, non-hypostatized thinking, while the

5

Dialectical intelligibility, comprehending both

Althusserian dialectic stands for the complexity,

the teleologically (in Hegel) or causally (in

preformation and overdetermination of whales.

Marx) generated presentation of social and cul­

Poised between the two camps, Theodor Adorno

tural forms (including beliefs) and their ex­

emphasizes, on the one hand, the immanence of all

planatory critique.

criticism and, on the other, non-identity thinking. Meanwhile, within the dialectical materialist tradition, Engels's third law (the negation of the negation) was unceremoniously dropped by Stalin from the official ideology of the USSR and the first law (the transformation of quantity into quality and vice versa) relegated by Mao Zedong in China to a

Reading Adorno, T. 1966 (1973): Negative Dialectics. Althusser, L. 1965 (1969): For Marx. Anderson, P. 1976: Considerations on Western Marxism. Bhaskar, R. 1993: Dialectic. Colletti, L. 1975: M arxism and the dialectic. New Left Review 93.

special case of the second (the interpenetration of

Luk:ics, G. 1923 (1971): History and Class Consciousness.

opposites), which from Lenin onwards increasingly

Rosen, M. 1982: Hegel's Dialectic and its Criticism.

discharged most of the burden of the dialectic.

Smith, T. 1993: Dialetical Social Theory and Its Critics.

DIALECTICAL MATERIALISM

Stedman Jones, G. 1973: Engels and the end of classic German philosophy. New Left Review 79.

161

ition is seen to be obtainable outside the realm of thought. Human ability to use theory to produce

Taylor, C. 1975: Hegel. ROY BHASKAR

something predicted by that theory means that some aspects of that theory constitute knowledge of its objects.

dialectical materialism

First developed by G.

'Development' is often understood with the help

Plekhanov and Lenin in the context of the revolu­

of dialectical concepts (named 'categories of dia­

tionary struggle in Russia to denote Marxist phil­

lectics'): difference, opposition, conflict, contradic­

osophy as a whole, the term is also used to designate

tion, quality and quantity, essence and appearance,

Marxist metaphysics and theory of knowledge but

condition and cause, actual and possible, and so on.

excluding 'historical materialism' (social philoso­

The set of categories is an open one. Usually, con­

phy), aesthetics and ethics. There was a further

cepts discussed by Aristotle and Hegel were in­

ritualistic use of the term, as a seal affixed to any

cluded, but Marxist philosophers were constantly

philosophical writing approved by or claiming

trying to add new ones. The categories are seen as

approval from the authorities in the USSR, the

corresponding to some aspects of reality; thus one

Chinese People's Republic and East European 'so­

speaks of objective dialectics (development of the

cialist' countries (what was 'approved' or 'official'

real world), subjective dialectics (development of

varied from country to country and over time). The

ideas) and dialectics as a 'theory' (a mode of under­

basic tenets of dialectical materialism are philo­

standing development), see also DIALECTIC. The

sophical materialism, possibility of knowledge, ac­

word 'metaphysics' was ordinarily used as a name

ceptance of development (and, thus, the acceptance

for modes of thought that reduce development to

of emergent properties and the irreducibility of

change, or do not accept that the distinctions drawn

some differences).

by human thought between objects of thought are

'Materialism' assumes that matter or body has

at once relative and real; in other uses it was re­

'primacy' with respect to mind or spirit. 'Primacy'

placed by 'ontology'. The concept of development

means that minds are not able to exist without

is not necessarily applied to the world as a whole

bodies while bodies can exist without being con­

and there is no need to accept a unilinear story of

tinuously dependent on minds as a sufficient condi­

development.

tion of their existence. Marx assigned thinking to

Nobody has actually succeeded in producing a

the category of bodily activities (thinking being the

specific and systematic theory which nontrivially

activity of brain, while walking involves some other

marries dialectics and materialism. Gyiirgy Lukacs,

parts of the body). The terms 'matter' and 'object­

Della Volpe and many philosophers in the USSR

ive reality' are fully interchangeable. Feedback re­

produced Hegelian reasons for such a theory. M.

lationships between bodies and ideas are accepted.

Cornforth interpreted dialectical materialism as a

Materialism is taken to be a basic assumption of

research programme or a set of paradigmatic con­

modern science and the success of technological

straints and enabling conditions. Some British and

uses of natural sciences is considered to provide

Soviet Marxists opposed 'dialectics of nature' and

practical grounds for supporting materialism. Ac­

sometimes

ceptance of primacy of matter over mind is seen not

social philosophy. These positions imply that phil­

restricted

dialectical materialism

to

only as a result of proof but also as a result of

osophies can be dialectical and materialist, but that

personal choice that logically precedes philosoph­

there cannot be a dialectical materialism. Thus,

ical reasoning.

some analytical philosophers can be labelled as dia­

Marxists use the words 'agnosticism' and 'scep­ ticism' to denote philosophies that deny the possi­

lectical

and

materialist

while

other

analytical

writings can be dialectical and idealist (apart from

Marxists

borderline cases and eclecticism). Many Soviet

described their own position as a variety of realism,

treatises about dialectics confined themselves to

while Soviet philosophers did not apply any label to

giving examples of application for some dialectical

bility

of

knowledge.

Many

Western

describe their own position within the THEORY OF

concept, although this use was publicly condemned

KNOWLEDGE. The majority position was that every­

even by its practitioners. There were 'laws' of dia­

thing can be known in principle provided evidence

lectics. Georges Politzer listed four (dialectical

is available, but absolute knowledge is unattainable

change, reciprocal action, contradiction, transform­

by particular individuals. The proof of this propos-

ation of quantity into quality), Stalin named two

162

DICTATORSHIP

(unity and struggle of opposites, transformation of

Hegel provides the ideal paradigm of how one

quantiative changes into qualitative ones), but a list

should philosophize. In the USSR and Poland,

of three became generally accepted since 1960s

the theory of knowledge was often analytical,

(negation of negation was added to Stalin's two,

using logic as a major tool. There were numerous

with reference to Engels). The laws were never

critiques of non-Marxist philosophers. For phil­

clearly formulated as statements and the use of the

osophers in the 'socialist' countries, these critiques

word 'law' was ambiguous.

often provided a ritualistic way of substituting the

Karl Marx tried to substitute a materialist phil­

philosophy supposedly under criticism for dialect­

osophy for Hegelian idealism in 1843-4. From

ical materialism. Western analytical Marxists (since

about 1845 or 1846, he began to assign philosophy

the 1970s) discarded dialectical essentialism and

to 'IDEOLOGY', that is, a form of thought used to

reliance on the traditional concepts of dialectics.

discuss real issues as issues within that form of

Their writings were dialectical in a wide sense in

thought (the substitution is made unconsciously).

which all modern analytical philosophy is dialect­

Ideological forms were the only ones available to

ical; their major interests were concentrated upon

humanity before capitalism. Marx now claimed that

social philosophy. The demise of the Soviet Union

ideology had to be replaced by empirical science.

produced a collapse of dialectical materialism out­

Neither Marx nor his principal collaborator Engels

side China and North Korea.

were interested in building up a systematic theory of knowledge and they did not think that to be an important part of philosophy. It was Russian writers of the late nineteenth and early twentieth century (Plekhanov, A. M. De­ borin, Lenin) who developed dialectical material­ ism. After the Bolshevik revolution, paid positions for philosophers accepting dialectical materialism came into existence and their writings became more numerous. Between 1930 and 1955, philosophical discussions among Marxists were stifled, the publi­ cation of books and articles became virtually non­

Reading Callinicos, A. 1983: Marxism and Philosophy. Cornforth, M. 1980: Communism and Philosophy: Contem­ porary Dogmas and Revisions ofMarxism. Della Vo1pe, G. 1950 (1980): Logic as a Positive Science, trans. J. Rothschi1d. Graham, L. R. 1987: Science, Philosophy, and Human Behaviour in the Soviet Union. Scan1an, J. P. 1985: Marxism in the USSR: a Critical Study of Current Soviet Thought. Wartofsky, M. W. 1979: Models: Representation and the Scientific Understanding.

EERO LOONE

existent, and the teaching of philosophy in the USSR was greatly reduced. Soviet philosophy re­

This is today commonly under­

emerged from obscurity between 1955 and 1970.

dictatorship

The theory of knowledge became a major part of

stood to be a highly oppressive and arbitrary form

philosophy and developed into a kind of pragmatic

of rule, established by force or intimidation, which

realism, dealing with modern science. Other major

enables a person or group to monopolize political

subjects were the ontological status of the mind,

power to the detriment of society at large. However,

mind-body relationships, and the meaning and

this very general, almost colloquial definition, cap­

scope of dialectics. The most influential Soviet

tures only one of the term's key meanings. True,

writers were Kedrov, Kopnin, Lektorski and Ilien­

'dictatorship' resonates with ideas of illegality,

kov. Polish and East German philosophers played a

domination, the rule of the MILITARY and totalitar­

major part in those developments. Adam Schaff and

ianism. But it has also often been employed in

Georg Klaus have been the most notable among

'democratic' settings to characterize, for instance,

East European philosophers. Italian, French and

the ascendancy and might of the executive arm, and

English-language writings have developed since

the inability of parliament to control it. For this

1945 (with some exceptions, they were scarcely

twin meaning to be understood, it is necessary to

known in the USSR or Eastern Europe). British

examine the term's historical roots and context.

and US writers have tried to produce a dialectical

In the constitution of the Roman Republic

materialist and analytical theory of knowledge

(c.509-31

(M. W. Wartofsky, R. Bhaskar, A. Callinicos).

someone, but was conferred on him as an extraor­

BC), a dictatorship was not arrogated by

Hegelianism was strong in the USSR, while

dinary, albeit perfectly legal, office Uolowicz, 1967,

Bachelard and Michel Foucault were popular

pp. 53-5). The dictatorship was a magistracy whose

among those who had outgrown the view that

incumbent (usually an ex-Consul) was appointed

DICTATORSHIP by the Senate for purposes of crisis management particularly in times of foreign war or civil strife, when decisive action was required and when the rule of one person was felt to be better adapted to

163

that by

202 BC the dictatorship in its original form 1967, p. 55). Later figures -like Sulla (c. l 38-78 BC) and Caesar (10044 BC) -may have assumed the title of dictator for was effectively dead Uolowicz,

deal with the emergency than the more cumber­

reasons of legitimation or expediency, but they

some collegiate governmental system (cf. Machia­

ruled as

velli,

the Republic, the office of dictatorship was a consti­

1531 (1965), pp. 189-90). The dictator was

de facto autocrats. By the twilight years of

temporarily empowered with wide-ranging civil

tutional sham, employed to mask the bloated ambi­

and military prerogatives (Rossiter,

tion, and sanction the virtual omnipotence, of

1948, pp.

15-28). For instance, he was freed from the re­

military overlords. (It is sobering to note that,

straints of the tribunician veto; could raise on his

according to the Elder Pliny (cited by Gelzer,

own authority more than four legions - a right denied, in normal times, to a military commander

1969, p. 284), 1,192,000 people died in the wars Caesar prosecuted-and that this figure excludes the

without the express permission of the Senate; and

number of Roman citizens who fell.)

was generally possessed of formidable rights of

This historical background allows us to locate, and render comprehensible, the two main (and

arrest and execution. However, the powers vested in the dictatorship

somewhat entangled) strands of twentieth-century

were never absolute or unqualified. The dictator's

usage, one drawing on the usurpatory, coercive,

imperium - military and jurisdictional authority

militaristic dimension of dictatorship, as found,

with a

for instance, in Caesar's almost unbroken occu­

Moore,

broad

discretionary remit

(Brunt and

1967, pp. 83-5) - was normally limited to

a period of six months' duration; he had no author­

pancy of the office from

49 BC till his murder in 44

BC; the other referring to the older sense and sub­

ity to interfere in civil cases, declare war or tamper

stance of dictatorship implying legality or legitim­

with the constitution; while, by

300 BC, the dicta­ tor's powers had become subject to provocatio- the

acy, even if combined with the exercise of powers

right of a citizen 'to appeal against a capital sen­

range and intensity.

tence'

(Oxford Classical Dictionary, 1970, pp.

deemed in some manner extraordinary in their The first usage is evident in those currents of social thought which

892-3).

contrast dictatorship with

The constitutional legality of the Roman dicta­

democracy, and which strongly associate dictator­

torship, together with its circumscribed timespan

ship with militarism, the politicization of CIVIL

and jurisdiction, has prompted some writers to

SOCIETY, the extirpation of the rule of law and the

be wary about applying the concept to twentieth­

subordination of the individual to the leadership

century conditions. Roy Medvedev

(1981, p. 41)

has thus remarked that the

principle. From this perspective, dictatorship may be studied as one of the historical routes to mod­ ernity manifested in, say, German and Japanese

Franco, Somoza, Duvalier and Stroessner are re­

1967, esp. pp. 43352); or the concept may be applied to the post­

ferred to not by the name of tyranny, despotism or

World War II military regimes of the 'parliamen­

various regimes of Mussolini, Hitler, Salazar,

fascism but as 'dictatorships'. All of these, inci­ dentally, avoided any time limit. Some of them were transferable by heredity from father to son, and, although the dictatorships of Hitler, Musso­ lini, Salazar-Caetano and Somoza did not go on forever, they came to an end not because the dictator himself abdicated 'on the expiry of the

FASCISM (Barrington Moore,

tary semi-periphery', emergent in Argentina (in

1966), Greece (in 1967) and Chile (in 1973) (Mou­ zelis, 1986, esp. p. 97; see also Poulantzas, 1976). Soviet-type societies have also received the label of dictatorship

or,

in

conjunction

with

fascism/

Nazism, that of 'totalitarian dictatorship' (Neu­

specified period' but because he was overthrown

mann,

by war or revolution.

Shapiro,

1957, pp. 243-56; cf. Arendt, 1958, and 1972). However, both designations are

controversial (see ToTALITARIANISM), and were so However, as Medvedev also goes on to say, the

even

conflation of these terms (tyranny, despotism, fas­

gramme and the revolutions of

prior to

Gorbachev's liberalization pro­

cism, dictatorship) is unsurprising given the vio­

Central Europe. Thus a number of writers have

lence and exceptional powers that attended Roman

insisted that Soviet-type societies must be seen as

dictatorial rule. Equally, it is important to recall

a mode of domination unique in human history: for

1989 in Eastern

164

DISCOURSE

instance, as a 'dictatorship over needs' (Feher, Hel­

than in descriptions of British 'cabinet autocracy'

Ier and Markus, 1983), or as a 'post-totalitarian'

(Hobson, 1909, p. 12), with the Prime Minister's

system - conformist, atomized, mechanical, ma­

office at its apex. The premier's extensive powers of

nipulative and built on systematic self-deception

patronage, ability to reduce Parliament to a rubber

and bad faith - which the classical notion of dicta­

stamp of policy decided elsewhere, and plebiscitary

torship is far too weak to convey (Havel, 1987).

relation to the masses via the party 'machine', have

In the second main strand of thinking on our

often in our century been identified as 'dictatorial'.

subject, dictatorship is portrayed as compatible

Indeed, that epithet links the political thought of

with democracy

(defined in various contested

early twentieth-century writers such as Low (1904,

ways), even to be an integral part or necessary

pp. 156-8), Hintze (1975, p. 266) and Weber ('Pol­

condition of it. This variant has itself at least four

itics as a vocation', in Weber, ed. Gerth and Mills,

permutations. One is apparent in descriptions of

1970, pp. 106-7) to the more recent commentary on

Bonapartist and Caesarist regimes, which, while

'elective dictatorship' (Hailsham, 1976; cf. Ash,

repressive in certain respects, nonetheless claim to

1989, p. 288, and Hirst, 1989, p. 82).

derive their authority directly from the sovereign

Corresponding to the two main diverging analyt­

People, and seek the latter's acclamation through

ical treatments of dictatorship outlined above is also

mass plebiscites (see BONAPARTISM, CAESARISM,

a difference in the locutionary force carried by the

PoPULISM; also Weber on 'plebiscitary democracy',

term. In the former, 'dictatorship' is usually uttered

1978, p. 268). Another is the Leninist reading of

with loathing and horror. In the latter, the tone may

Marx's notion of the 'dictatorship of the proletariat'

be condemnatory, yet is just as often resigned or

- with the twist that the concept of democracy,

approvmg.

important for Marx, tends to be collapsed into that of (class) dictatorship rendering the very dis­

Reading

tinction illusory (Marx, 1850, p. 123; Marx's letter

Baehr, P. 1989: Weber and Weimar: the 'Reich President'

to Weydemeyer in Marx and Engels, Selected Cor­ respondence, 1975, p. 64; Lenin, 1918, pp. 44-67; also Medvedev, 1981.) A third permutation on the democracy-dictator­ ship theme, closest to the classical Roman sense, arises from the analysis of 'constitutional dictator­ ships' (Rossiter, 1948). While the 'dictatorship of

proposals. Politics 9, 20-5. Birch, A. H. 1964: Representative and Responsible Govern­

ment: an Essay on the British Constitution. Bobbio, N. 1989: Democracy and Dictatorship: the Nature

and Limits ofState Power, trans. P. Kennealy. Bracher, K. D. 1971:

The German Dictatorship: the

Origins, Structure and Effects of National Socialism, trans. Jean Steinburg.

the proletariat' - whether Marxist or Leninist in

Cobban, A. 1939: Dictatorship: Its History and Theory.

conception - was always envisaged as the instru­

Conquest, R. 1971: The Great Terror: Stalin's Purge ofthe

ment of revolutionary transformation, this third sense of dictatorship focuses on the potentially restorative, reparatory attributes of particular crisis regimes. In this usage, 'constitutional dictatorships' emerge during periods of rebellion, war and eco­ nomic depression to pilot the legitimate social and political order through the emergency. The drastic powers assumed by these regimes to deal with the extremity are mostly relinquished once the crisis

Thirties. Crossman, R. H. S. 1963: Introduction. In W. Bagehot,

The English Constitution. Keane, J. 1988: Dictatorship and the decline of parlia­ ment. Car! Schmitt's theory of political sovereignty. In

Democracy and Civil Society. Medvedev, R. 1981: The dictatorship of the proletariat. In

Leninism and

Western Socialism,

trans.

A. D. P.

Briggs. N eumann, F. 19 57: Notes on the theory of dictatorship. In

has passed. (Cf. Schmitt's contrast between 'sover­

The Democratic and the Authoritarian State, ed. H.

eign'

Marcuse.

and

'commissionary'

dictatorships,

m

Schmitt, 1928, esp. pp. 2, 137-9.)

Schmitt, C. 1928: Die Diktatur.

PETER BAEHR

The three previous usages of dictatorship in a 'democratic' context share a notable feature: they

The concept is most usually equated

all depict societies which are confronting excep­

discourse

tional circumstances. In contrast, our fourth and

with language 'in use', taking account of actually

final sense of dictatorship refers to the more

occurring text/texts in a genuine communicative

normal, everyday workings of 'democratic' govern­

context. Discourse has thus played a role in a

ment. Nowhere has this usage been more evident

number of disciplines, and various subdisciplines

DISCOURSE

165

of LINGUISTICS: in textlinguistics, as a way of de­

ceptability, informativity, situationality and inter­

scribing the way propositions are linked together to

textuality. Together these seven standards are

form a cohesive linguistic

constitutive

unit

larger

sentence (see Beaugrande and Dressier,

than a

1981;

Hal­

of

textual

communication. 'User­

centred' standards have to account for the fact

in systemic linguistics

that the 'meaning' of discourse is not contained

(see SEMIOTICS) , as a way of linking the linguistic

within the linguistic forms as such, but that readers

liday and Hasan,

1976);

organization of discourse to particular systematic

or listeners have actively to construct meaning by

components of situation types; in psycholinguis­

inferences. Levinson

tics, to account for the cognitive strategies which

(1983,

eh. 6) limits discourse analysis

language users employ in CoMMUNICATION, includ­

to the formulation of rules for discourse structure,

ing the activation of world knowledge (see Van Dijk

as expressed in text grammars (see Van Dijk,

and Kintsch,

and speech-act based theories (Labov and Fanshel,

1983).

Since discourse is concerned

Coulthard and Montgomery,

1972)

and op­

with the meaning of the 'utterance' rather than

1977;

the 'sentence', it is related to pragmatics, though

poses this to conversation analysis practised by

1979),

linguistic pragmatics cannot account for all aspects

ethnomethodologists in a strictly empirical fashion

of discourse in its fullest sense. Concepts of dis­

(Sacks et al.,

course thus range from the most narrow textlin­

broadly based discourse concept would, however,

guistic description, where

subsume CONVERSATION ANALYSIS and other socio­

discourse is simply

1974;

Schenkein,

1978).

A more

'a continuous stretch of ... language larger than

logical approaches to communicative interaction as

the sentence' (Crystal,

one of the methods for approaching discourse (see

1985,

p.

which may

96),

be spoken or written, or both, single authored or

Gumperz,

theoretically ideological

clusters

or

'discursive

1982).

In literary theory the concept of discourse signals

dialogic, to macroconcepts which attempt to define

a way of breaking up the divisions between literary

formations' which systematically organize know­

and nonliterary texts. The special status of the

ledge and experience, and repress alternatives

poetic text is replaced by a continuum of linguistic

In

practices which are more or less context dependent.

this context questions arise as to how discourses

The difference between 'discourse in life and

can be challenged from within and alternative

discourse in poetry' (Volosinov,

discourses

comes a matter of degree, not an absolute. Acc­

through their dominance (see Foucault,

emerge. Such

debates

1969).

continue

in

1926)

thus be­

many fields, including feminism and poststructur­

ording to Volosinov, discourse is ideological in

alism.

that it arises between socially organized individuals,

Discourse has become one of the most widely

and cannot be understood outside its context. 'Dis­

and often confusingly used terms in recent theories

course, taken ... as a phenomenon of cultural inter­

in the arts and social sciences, without a clearly

course ... cannot be understood independently of

definable single unifying concept. Discourse and

the social situation which engendered it' (ibid.,

text are often used interchangeably. Where a dis­

p. 8). The ideological nature of discourse is most

tinction is made, it is sometimes one of methodo­

transparent in

logical

perspective

(text= material

product;

authoritative discourse [which] demands our un­

discourse= communicative process) or to account

conditional allegiance. Therefore authoritative discourse permits no play with the context

for the interlinking of texts in dialogue.Beaugrande and Dressier

(1981)

make text coterminous with

framing it ...It is indissolubly fused with its au­ thority - with political power, an institution, a

discourse for as long as it has a single producer, but refer equally to discourse as the sum of inter­

person - and it stands and falls together with

linking texts. To define text as communicative

that authority. (Bakhtin, 1934-5, p. 343)

occurrence, they propose seven standards of textu­ ality. Cohesion and coherence are so-called 'text­

The concept of discourse of Volosinov, Bakhtin,

centred' criteria. They refer both to grammatical

and other writers of the Bakhtin circle, and related

forms marking the connections between sentences

concepts in recent writing in social semiotics, thus

inside a text, and to the conceptual links through

provide a link to macroversions of discourse found

connected propositions, which do not necessarily

in

appear in specific grammatical forms. In addition

(1977), and especially to Foucault's 'discursive for­ mations' (1969).

there are 'user-centred' criteria: intentionality, ac-

Bourdieu's

definition of

'linguistic capital'

166

DIVISION OF LABOUR Except in the religious or legal context, the term

Reading Beaugrande, R. de and Dressier, W. 1981: Introduction to Textlinguistics.

is used infrequently in the social sciences; but near synonyms make a frequent appearance. Robert K.

Foucault, M. 1969 (1974): The Archaeology of Knowledge.

Merton, for example, distinguishes between devi­

Gumperz, J. J. 1982: Discourse Strategies.

ant behaviour engaged in for personal gain, which

Halliday, M. and Hasan, R. 1976: Cohesion in English.

he terms 'aberrant behaviour', and 'nonconforming

Howarth, D. et al. eds 2000: Discourse Theory and Political

behaviour', which is engaged in by individuals or

Analysis. Mills, S. 1997 The New Critical Idiom: Discourse. Schenkein,J. ed. 1978: Studies in the Organisation of Con­ versational Interaction. Van Dijk, T. and Kintsch, W. 1983: Strategies of Discourse Comprehension. Volosinov, V. N. 1926 (1983): Discourse in life and dis­

groups that reject prevailing norms and values in the name of alternative guides to conduct for en­ hancing the quality of life and the common good. He argues that the frequent lack of differentiation among those categories of activities, all of them simply classed as 'deviant', leads to the incapacity

course in poetry. In Bakhtin School Papers: Russian

to distinguish analytically between a common high­

Poetics in Translation, vol. 10, ed. Ann Shukman.

way robber and Jesus Christ (Merton and Nisbet,

ULRIKE MEINHOF

1961,

eh.

1).

While conservative analysts tend to consider dis­ dissent

The verb 'to dissent' refers to activities

sent a sickness of the hod y social, liberals and rad­

that differ from or disagree with the majority in

icals are more likely to conceive of it as a prime

belief and opinion. The noun dissenter refers to a

engine of social change. They argue that social

person who engages in such behaviour and holds

structures that depend on precedent and habit are

dissenting views.

bound to ossify and to be unable to respond to the

The verb and the noun were used originally to

challenge of novelty. Without the virtues of dissent,

refer to religious organizations and their adherents

they argue, modern bureaucratic societies are likely

who differed from the doctrine and the teachings of

to go the way of ancient Egypt and imperial China.

the

Church of England.

Baptists, Methodists,

Quakers and similar Protestant sects and denomin­ ations outside the Church of England were histor­ ically discriminated against after the Restoration of

1660 and refused access to

key positions in Britain.

Most of these restrictions were abolished in the nineteenth century, but the long history of discrim­ ination has led members of dissenting sects to take unpopular positions in non-religious fields as well as in the specifically religious domain. It is

Reading Coser, L. A. 1988: The functions of dissent. In A Handful of Thistles: Collected Papers in Moral Convic­ tion. Erikson, K. T. 1966: Wayward Puritans: a Study in the Sociology of Deviance. Merton, R. K. and Nisbet, R. eds 1961 (1976): Contem­ porary Social Problems, 4th edn. Morison, S. E. et al. 1970: Dissent in Three American Wars.

LEWIS

in this vein that Edmund Burke referred to the

A.

COSER

American colonists on the eve of the revolution as Basically the term refers to

the Protestants of Protestantism, the dissenters of

division of labour

dissent.

the differentiation of tasks involved in the produc­

The other major context in which the term dis­

tion of goods and services and the allocation of

sent appears frequently is the law, especially the

individuals and groups to them. A commonly

common law. Here it refers to those members of a

employed distinction is between the technical and

jury or those judges in a law case who dissent from

the social division of labour, the former referring to

the view of their colleagues. Since dissenting opin­

specialized tasks in the production process, the

ions are frequently formulated with great care and

latter to differentiation in society as a whole.

exhibit a high degree of legal sophistication, they

Throughout the twentieth century there has

are often consulted by lawyers or judges in later

been particular concern in social thought with ana­

cases and their influence on subsequent judicial

lysing the impact of increasing specialization on:

decisions may be as great as or greater than the majority decision against which they were initially

The

directed. Yesterday's dissents may well become

manual workers confined to repetitive tasks

working experience

and

responses

of

today's established verities. (See also CoNSENSUS. )

lacking the need for skill and denuded of the

DIVISION OF LABOUR

2

3

4

5

167

opportunity for knowledge and control related

overlain by disagreements about the extent to

to the labour process, a theme usually referred

which the subdivision of tasks and the differentia­

to as the ALIENATION of the worker;

tion of related control structures is primarily

The forms in which divided labour and espe­

an outcome of 'neutral' processes of technological

cially the development of professionalization

development (or biological characteristics, in the

relate to the social distribution of knowledge

case of the sexual division of labour) and the extent

and so contribute to relations of power and

to which they result from the design of work pro­

domination (see PROFESSIONS);

cesses to perpetuate relations of social and politi­

The class structure, especially by way of the

cal domination that are amenable to transformation,

growing significance of the separation between

especially under conditions of socialist produc­

'mental' and 'manual' labour (Sohn-Rethel,

tion.

1978) and the growth of a 'new middle class'

The major twentieth-century contributions to

of white collar, professional and managerial

the understanding of the division of labour are

workers (see CLAss);

related in complex ways to the writings of the

The growing bureaucratization of economic

ancient Greeks, the writers of the eighteenth­

and political administration, a process emerging

century Scottish Enlightenment, especially Adam

partly from the need to coordinate and manage

Smith and Adam Ferguson, and the nineteenth­

societies and organizations characterized by in­

century figures Karl Marx and Auguste Comte

creased complexity and interdependence (see

(Rattansi,

BUREAUCRACY);

tions have come from (a) Marxism; (b) Emile Durk­

The

possibilities

of

self-management

and

1982). In this century the main contribu­

heim; (c) functionalist sociology; (d) feminism.

workers' control over the production process (see WORKERS' COUNCIL); and

6

The sexual division of labour and relations of domination and subordination between men and women (see GENDER).

Marxism The concept of division of labour is central in Marxism because of the importance given to labour as a category, underlining the significance of

In Britain in the period since World War II there

nature-transforming productive activity as the

has been an increasing focus on the processes

foundation on which rests the creation of wealth,

whereby racist exclusionary practices against mi­

the existence of social classes and the state, the

grant

operation of ideologies and the future promise of

and

second

generation

ethnic

minority

workers have led to a racialization of the division

the abolition of scarcity. Divided labour increases

of labour (see RAciSM) and the formation of a dis­

productivity, which is said to give rise to surpluses

tinct 'underclass' and racialized 'fractions' of other

which are appropriated by a dominant class which

1982); the issue of the specific

owns and controls the means of production. How­

impact of racialization on ethic minority women

ever, stemming in part from differences between

classes (Miles, workers

has also

been addressed (Phizacklea,

Marx's own earlier and later writings on the subject

1982) and also from the structural devel­

1983) and debates continue on how these processes

(Rattansi,

relate to the articulation between 'race', class and

opment of capitalist and state socialist societies,

1983). Latterly,

Marxist social thought has been characterized by

important debates have focused on the recomposi­

significant divisions of view on the effects of the

tion of the working class in a 'postindustrial' phase

development of the division of labour. Some see it

of capitalism, the possibilities for a new division of

primarily in terms of a tendency to polarize the class

gender (Anthias and Yuval-Davis,

labour based on minimizing time spent on work in a

structure of capitalism between a mass of largely

1982; Hyman,

unskilled manual workers and a small class of

'postindustrial' socialism (Gorz,

1983), and new forms of the

INTERNATIONAL DIV­

ISION OF LABOUR.

However, there is confusion in usage because the

owners and the way in which the capitalist trans­ formation of the division of labour gives rise to a more or less permanent new middle class (Carter,

term variously conflates divided tasks, specialized

1985); others see it primarily as the outcome of

workers, hierarchies of authority in the workplace,

technological development rather than processes

differentiated sectors of the economy and general

of class domination, the more technologically de­

structural complexity in industrial societies. This is

terministic view surfacing for example in Lenin's

168

DIVISION OF LABOUR

attempt in Russia in the 1920s to import what he

of what he called'abnormal' forms of the division of

regarded as class-neutral techniques of 'scientific

labour, connected with lack of solidarity and moral

management' to boost productivity, while a con­

regulation to govern behaviour. Especially, he

trary view is contained in Braverman's influential

wrote of the 'anomic' and 'forced' divisions of

analysis (1974), building on insights in Marx's Cap­

labour, transitional states consequent on rapid in­

ital, that scientific management epitomizes the ten­

dustrialization in which, because of the absence of

dency of the capitalist class to structure work

appropriate economic, political, and moral regula­

processes in a manner which denies most workers

tion for the division of labour and exchange rela­

any capacity for exercising control or intellectual

tions, the economy became subject to fluctuations,

skills (see

Marxists also disagree

class conflict intensified, specialization and inequal­

about the extent to which it is possible to abolish

ities were unrelated to natural talents and workers

the division of labour, confusion about the various

engaged in specialized tasks were unable to under­

meanings of the term becoming particularly evident

stand how their work was essential to the mainten­

here (Rattansi, 1982). Nevertheless, Western Mar­

ance of society as a whole. Durkheim prescribed

xism in particular has been unified by a concern to

state intervention in the economy and the abolition

challenge the loss of workers' control that is en­

of inherited privileges in access to positions in the

demic in the design and operation of fragmented

division of labour, or what would now be referred to

work processes dominated by small groups of tech­

as equality of opportunity. Increasingly, he empha­

nical and managerial workers, whether in capitalist

sized the role of'corporations' or professional asso­

or state socialist societies. In common with most

ciations in mediating between the individual and

non-feminist modes of social thought Marxist the­

the state and in creating the types of economic and

orizing has been especially weak in grasping the

moral regulation required by a complex technical

significance of male domination in the division of

and social division of labour. However, there is

LABOUR PROCESS ) .

labour, although various attempts have been made

disagreement about the extent to which Durkheim

to provide Marxist-feminist accounts of the sexual

envisaged the possibility of a fundamental trans­

division of labour (Barrett, 1988).

formation of the division of labour in some form of socialist society. Gane (1984) and Pearce (1989)

Emile Durkheim (1858-1917)

have emphasized the potential radicalism of his political vision while others (Gouldner, 1962)

Durkheim's first book, De la division du travail

have interpreted his views as only allowing for

social, translated as The Division ofLabour in Society

limited possibilities.

(1893), which drew on themes in the work of Comte, remained central to his thinking and has been an influential source for the sociological analy­ sis of the division of labour, especially functionalist

Functionalist sociology Following Comte, Durkheim and others, the em­

analyses of structural differentiation (see DURK­

phasis in this sociological tradition is on division of

HEIM SCHOOL) .

labour as

He deployed the term to include all

forms of specialization of social function, thus

SOCIAL DIFFERENTIATION

linked to the

evolutionary specialization of function, especially

extending its meaning well beyond the economic

as a consequence of industrialization. A limited

sphere. Durkheim saw forms of division of labour

number of functions required for the reproduction

as intrinsically connected with types of social order

of society-such as socialization and the production

or 'solidarity'. He contrasted 'mechanical solidar­

of goods and services -are said to be performed by

ity', based on the simple division of labour of more

an increasing range of specialized institutions,

elementary societies, with the'organic solidarity' of

while formerly multifunctional institutions such

industrial societies, based on individualism and ties

as the family, which in preindustrial societies per­

of dependence and exchange created by complex

formed both socialization and economic production

functional differentiation in which a great many

functions, become confined to the socialization of

specialized economic, political and cultural insti­

children. A major weakness of functionalist ac­

tutions were involved. Population growth and

counts of the division of labour has been their

intersocial contact were identified as the main

technological determinism, allied to a neglect of

motors of change towards more complex forms.

the relations between the division of labour, class

Durkheim continually wrestled with the problem

domination and women's subordination.

DIVISION OF LABOUR, INTERNATIONAL

169

Wilson, W. 1980:

Feminism

A key contention here is that much social thought,

The Declining Significance of Race: Blacks and Changing American Institutions, 2nd edn. ALl RATTANS!

by concentrating on the public domain and by defining 'work' as paid employment, has taken sexual inequalities in the division of labour for granted (Stacey, 1981), failing to analyse women's DOMESTIC LABOUR in the home and its relation

to women's subordination in the economic and political order. Some feminist analyses see male domination as rooted primarily in family relations, while others argue that male exclusionary practices in the workplace provide the key to understanding the sexual division of labour (Walby, 1986). Other debates have focused on the benefits accruing to private capital accumulation, to the state and to individual men of women's childcaring and labour-reproducing work in the home and their segregation into part-time, low-paid employment, and the extent to which the sexual division of labour is an effect of relations of class domination and therefore requires the abolition of social classes before enabling a major transformation of sexual inequalities. Biological reductionisms, feminist and non-feminist, which portray the sexual division of labour as a 'natural' outgrowth of male-female differences have been an important target within the majority of feminisms which have maintained that male domination within the sexual division of labour is primarily the outcome of social relations of male control over women's fertility and labour power.

division oflabour, international

At this scale,

the principles of the DIVISION OF LABOUR are extended from the national to the global level. The development of international communications cuts the cost of exchange and allows many activities to be controlled from a single centre. This means growing interdependence, first between local com­ munities to create nation-states, subsequently be­ tween nation-states to create international systems. In societies based on the division of labour, goods and services are produced and distributed through specialization and exchange. In societies based on self-sufficiency, however, they are produced within the family, so that specialization is very limited. The differences between such societies are of fun­ damental importance in explaining basic aspects of social structure and economic and political capabil­ ity. Thus many theorists have associated the emer­ gence of economic and social systems based on the division of labour with the process of moderniza­ tion itself. 'Traditional' societies were seen as highly self-sufficient, so that each individual or family produced their own food, clothing and hous­ ing, educated their own children and took part directly in the political, cultural and other processes involved in community life. In such societies com­ plex economic activities are impossible, while the degree of interaction and cooperation between in­

Reading Abercrombie,N. and Urry,J. 1983:

dividuals can only be very limited.

Capital, Labour and

the Middle Classes. B eechey,V. 1987: Unequal Work. Giddens,A. and Mackenzie,G. eds 1982: Social

Modern societies are then said to be based on a complex and extended division of labour in which

Class and

the Division ofLabour. 1973 (1976): The Division of Labour: the Labour Process and Class Struggle in Modern Capit­ alism.

Gorz, A. ed.

Horton,J. 1964: The dehumanization of alienation and anomie: a problem in the ideology of sociology.

individuals perform increasingly specialized roles, and differentiated institutions emerge to perform the functions required to sustain social cooperation. Thus in the economic sphere individuals specialize in the production of particular commodities and exchange them for all of the other necessities of

British

life; many individuals can then be brought together

Journal ofSociology 15,283-300. The Rise ofProfessionalism. Littler, C. and Salaman, G. 1984: Class at Work: the Design, Allocation and Control ofJobs. Lukes, S. 1967: Alienation and anomie. In Philosophy, Politics and Society, ed. P. Laslett and W. G. Runciman. 1973: Emile Durkheim. Rueschemeyer,D. 1986: Power and the Division ofLabour. Westwood, S. and Bhachu, P. eds 1988: Enterprising Women: Ethnicity, Economy and Gender Relations.

to produce each commodity, with each being re­

Larson,M. S. 1977:

--

sponsible for only a single aspect of the produc­ tion process.

Thus differentiation of function

and specialization of task go hand in hand with the necessity for higher and higher levels of ex­ change and more and more complex forms of organization. In such communities the principle is applied not only to economic processes, but also to all others.

170

DIVISION OF LABOUR, INTERNATIONAL

Political, cultural, religious and other sorts of or­

dense and interdependent system of global ex­

ganizations are created and run by specialists who

change to be managed.

devote their working lives to performing the neces­

The existence of a division of labour can be

sary tasks on behalf of the rest of the community,

identified in the earliest accounts of humankind's

who then come to depend on them for the satisfac­

social interaction, but it is especially associated with

tion of their social needs. Thus societies based on

the rapid expansion in production and trade in­

the division of labour require higher levels of skill,

duced by the capitalist revolution from the six­

autonomy and cooperation than those based on

teenth century. This has led to great inequality at

subsistence and self-sufficiency.

the global level (the richest dozen countries control

At the international level, the term is most often

more than 80 per cent of the world's trade) and

applied to the economic sphere, to describe the

intense competition between companies, countries

process through which producers in particular

and regions. This has produced strong local resist­

countries choose, or may be constrained, to special­

ance to external economic and political penetration

ize in the production of particular commodities for

and attempts by nation-states to limit freedom of

which their environment or resources are particu­

trade and assert sovereign rights as against those of

larly suited - those in which they have a 'compara­

other countries or international agencies.

tive advantage'. Thus some countries are mainly

It also produced a political revolt against the

involved in the export of manufactured goods,

dominant capitalist form assumed by the inter­

others of primary products, while the most de­

national division of labour manifested in the devel­

veloped countries are now coming to specialize in

opment of the socialist bloc beginning with the Russian revolution in 1917 and covering Eastern

the exchange of services of various kinds. This process involves the exchange of goods and

Europe, China and several less developed coun­

services across national boundaries by independent

tries. But international exchange continued be­

producers, but it has also involved an increasing

tween both blocs so this limited and altered the

tendency for actual producers to be organized as

tendency, but did not block it altogether. These

global companies and to operate on an international

countries have been unable to produce goods of

scale. The largest all operate across national bound­

comparable quality to those produced in the West,

aries with subsidiaries in many countries. They

or to generate equivalent levels of output and con­

have a powerful impact on levels of economic activ­

sumption. This failure played a major part in the

ity in host countries, and are often able to dominate

recent collapse of these statist systems, and of the

foreign markets and suppress domestic competi­

current attempt to integrate these economies fully

tors. Associated with this is a GLOBALIZATION of

into the international division of labour.

technological processes and possibilities. In an in­

Thus, despite these countervailing tendencies,

creasingly unified world market, all producers must

the post-war period has witnessed an immense

adopt the most efficient new technology in order to

growth in global interdependence, an extension of

survive,

the influence of international organizations like the

while

the

largest

producers

are

able

to promote their products internationally, leading

International Monetary Fund, the World Bank and

to homogenization of patterns of consumption as

the European Community, and a corresponding

well as of production processes.

weakening of the capacity of particular countries

The economic side of the division of labour is

or communities to insulate themselves from the

dominant at the international level because of the

powerful impact of the international division of

ease with which goods and money can be moved

labour.

across borders, but it is also associated with the development of specialized cultural and political

See also INTERNATIONAL RELATIONS; DEVELOP­

MENT AND UNDERDEVELOPMENT.

agencies at that level. The beginnings of capitalism were associated with a global extension of political control by the leading countries which produced

Reading Brett, E. A. 1985: The World Economy since the War.

the imperial system. More recently political author­

Grubel, H. G. 1981: International Economics.

ity has been returned to former dependencies, but

Mill,]. S. 1900: Principles ofPolitical Economy, book 3, eh.

there has been a proliferation of specialized inter­ national agencies designed to allow the increasingly

17. E. A. BRETT

DIVORCE

171

As one of a number of different ways in

Many argue that these new 'no-fault' rationales

which MARRIAGE can end, divorce differs from its

not only made divorce easier but produced greater

alternatives-abandonment and death-in that it is

difficulties for the women left behind. Those hus­

divorce

the legal dissolution of marital bonds: as in annul­

bands who left them now had their innocence de­

ment, neither party has obligations, other than per­

clared by the state, in whose eyes the absence of

haps financial, to the adult left behind. Although

moral wrongdoing was associated with the absence

divorce has been permitted at various times and

of financial obligation. Divorcing husbands could

places, it is only in the twentieth century that it

now seek a new wife with no financial obligations to

has become the common way to dissolve a marriage

their old one. This left many women poor, contrib­

in most of the West (Ireland is an exception; it still

uting to what some have called a new 'feminization

does not permit divorce). In contrast, Murdock

of poverty'. By creating so much immiseration of

(1950) found in his classic study of non-Western

women

societies - most of them preliterate and small -

remaining economic basis of marriage that many

divorce rates have historically exceeded those in

believed had lost its force.

and

children,

divorce highlighted

the

the West. In the majority of preindustrial settings,

This state of affairs has led a number of commen­

divorce is equally available to women and men

tators to argue that, in effect, marriage has finally

(Whyte, 1978). In many tribal communities in

become a voluntary contract to be abandoned at the

India, divorce is common and accomplished simply

will of either spouse. In turn, they argue, divorce is

by an individual publicly walking up to a man or

no longer stigmatized, but rather a commonplace

woman other than her or his spouse. Today, in

experience that shares much with the act of mar­

Muslim societies, where divorce rates have been

riage itself. However, divorce is still stigmatized if

extremely high, a man can divorce one of his

by 'stigmatization' we mean that its participants

wives simply by repeating 'I divorce you' three

may be excluded from community activities and

times before credible witnesses (Islamic law does

made to feel blamed for living apart. Moreover,

not give women the same right to divorce). But

like death, divorce still often brings psychological

even in many settings outside the USA or Western

trauma. This trauma is all the more intense for

Europe, whether Bangladesh or Indonesia, Colom­

those who divorce because it is so often unexpected

bia or Mexico, the former USSR or China, divorce

and private rather than anticipated and social.

is on the rise.

Unlike death, divorce has no ritual, no community

For the first time in the history of the West,

event to confirm it. It takes places in the courts and

during the mid-1970s in the USA and England,

participants' minds rather than in the wider arena

the

divorce

of social life. Both ex-husband and ex-wife seek an

number

of

marriages

ending

in

widowhood. While

account - a story - to explain to themselves and

spouses have always lived apart, only recently

others what happened and why. In doing so, they

have they legitimated that separation through the

tend to discover that what is often thought of as a

legal apparatus of divorce. Divorce, unlike separ­

private set of troubles turns out to be a public issue.

exceeded those ending

in

ation, means that those who obtain it can legally

The experience of divorce, like that of marriage

take another spouse. Today, that has become easy

itself, is shaped by gender as well as race. Just as

in most parts of the world. Andrew Cherlin ( 1982),

there is a 'his' and a 'hers' in marriage, so, too, there

a demographer of the family in the USA, estimates

is a his and hers in divorce. White women tend to

that if recent trends persist, about half the people

suffer economically when they lose a spouse; black

getting married today will see those marriages end

women less so if only because they can depend on

in divorce. Lawrence Stone (1977), a historian of

husbands less for a family wage. But white and

the family, estimates that in England over a third of

black men alike suffer socially and emotionally.

current marriages will 'end in the divorce courts

While women who lose a husband often lose a

rather than in the funeral parlor'. (England and the

breadwinner who made their material way of life

United States have the highest divorce rates in the

possible, men who lose a wife lose not only a partner

Western world, apart from Scandinavia.) Begin­

in a division of labour but a companion and con­

ning in the 1970s, in the United States spouses

fidante who ties them to other kin and friends.

could attribute 'no-fault' in the court and in doing so end their spousal (though not family) ties.

With the upswing in divorce, some now argue that marriage is coming to an end, that individuals

172

DOMESTIC LABOUR

no longer seek the support of the church to validate

categories used for the analysis of wage labour also

their personal ties, that we are finally seeing the

applied to domestic labour. Thus, for example,

demise of the FAMILY- at least as we have known

some protagonists argued that domestic labour

it. To be sure, the family and marriage are different

was another form of commodity production be­

from what they were during the previous century.

cause its output was the commodity labour power.

In fact, these institutions are changing more rapidly

Others argued however that it did not produce any

than any had predicted. The question remains: are

commodity; its products were use values that never

they disappearing? At least for now, few would

reached the market and entered directly into the

answer in the affirmative. Instead, demographers,

household's consumption, only indirectly aiding

sociologists, psychologists and economists - albeit

the reproduction of labour power.

for very different reasons-suggest that individuals

All sides agreed that domestic labour was not

no longer necessarily seek the support of the church

subject to the same relations of production as com­

to validate their personal commitments, obligations

modity production. In particular, the forms of con­

or ties. But they do, and must, seek the support of

trol of domestic labour were different; instead of the

the state. No state support, no marriage; no mar­

law of value, which applies to capitalist commodity

riage, no divorce. And divorce, like marriage, is still

production, whereby similar commodities have to

very much with us. It is, in the words of one critic:

be made in comparable times for the firms produ­

'For better or worse, here to stay.'

cing them to remain profitable, standards and amount of time spent in domestic labour could vary widely. The form of control is more indirect,

Reading Cherlin, A. 1982: Marriage, Divorce, Remarriage.

housewives are in day-to-day control of their own

Murdock, G. 1950: Family stability in non-European

labour process but have to arrange their work to fit

cultures. Annals of the American Academy of Political

in with the needs of other members of their house­

and Social Science 5.227, 195-201.

hold and the demands of other social institutions,

Stone, L. 1977: The Family, Sex and Marriage.

to standards which are disseminated in a variety

Whyte, M. K. 1978: The Status of Women in Preindustrial

of indirect ways, through familial ideology, for

Societies.

NAOMI R. GERSTEL

example. Similarly, the contractual situation is different; rather than by a specified wage-labour contract that is relatively easily terminated, the

It was modern feminism and

allocation of labour within the home is regulated

the development of gender studies which made the

by customary gender roles and although the mar­

human activity of housework visible within social

riage contract is no longer seen as binding for life it

domestic labour

thought. It was initially brought into prominence

is relatively difficult to change. This applies to the

by Marxists influenced by feminism who wished to

form of remuneration too: for wage-earners a pre­

uncover the material base of women's oppression

viously specified wage is paid, whereas for domestic

under capitalism. Previous Marxist analysis of

labour no wage is given and housewives have to find

gender divisions, or the Woman Question as it

their own subsistence out of the monetary income

had been known, had tended to locate the oppres­

provided for the household as a whole, by their own

sion of women purely in their disadvantaged place

or other members' wage labour. This also has

in the labour market, which could be explained by

effects on the timing of work: while a wage-worker

women's primary responsibilities in the home.

works for clearly specified periods of time and

However, such domestic relations tended to be

usually in a place distinct from his or her place of

seen as superstructural with mainly ideological

leisure, a housewife's work is quite literally 'never

effects and not therefore as fundamental as class

done' and she has no physical or temporal separ­

relations which derived from the mode of produc­

ation between work and leisure time. Further,

tion and thus formed part of the economic base (see

unlike capitalist commodity production, house­

MODE OF PRODUCTION; MATERIALISM).

work tends to be done in isolation, with little or

By analysing domestic labour as a set of produc­

no specialization or cooperation.

tion relations located within the economic base, it

Another area of debate concerned the role do­

was hoped to give the oppression of women a com­

mestic labour played in the reproduction of capital­

parable status within Marxism to class exploitation.

ist production relations. Did it produce its own

Much of the debate turned on which of Marx's

surplus value to be appropriated either by a house-

DURKHEIM SCHOOL have

subsequently

been

173

wife's husband or by his employer? Or did it con­

extensions

tribute to the production of surplus value indirectly

which incorporate notions of patriarchy, this is

suggested

by lowering the wage that members of the house­

just to add on another structure which in itself

hold needed to be paid to maintain a customary

needs explanation. Without recognizing that do­

standard of living? Or was its role in the reproduc­

mestic labour is more than just another form of

tion of capitalist relations more indirect still, pro­

work, but has a specific connection to human re­

viding the home comforts which made work under

production, where, of course, the differences be­

capitalist conditions bearable, and absorbing those

tween the sexes are crucial, the study of domestic

areas of use-value production, such as childcare,

labour can never provide a complete analysis of

that could for some reason not be taken into capit­

sexual oppression.

alist production? Did domestic labour form a sep­ arate mode of production articulated with the capitalist mode or should the definition of the cap­ italist mode of production be expanded to include the relations of domestic production? (Himmelweit and Mohun, 1977, surveys these debates.) Side by side with these debates within Marxism,

Reading Fox, B. ed. 1980: Hidden in the Household: Women's Do­ mestic Labour under Capitalism. Himmelweit, S. and Mohun, S. 1977: Domestic labour and capital. Cambridge Journal of Economics, I. Molyneux, M. 1979: Beyond the domestic labour debate. New Left Review 116, 3-38.

a number of empirical studies of housewives and

Oakley, A. 1974: The Sociology ofHousework.

housework were carried out (see, for instance,

Seccombe, W. 1974: The housewife and her labour under

Oakley, 1974). Historical studies were done of the

capitalism, New Left Review 83, 3-24.

SUSAN

development of domestic labour and domestic tech­

F.

HIMMELWEIT

nology, which compared time budgets to show that although the content of domestic labour had

domination

See AUTHORITY

changed significantly over the last century, the advent of labour-saving devices had barely reduced

drama

See THEATRE

the amount of time spent on it, suggesting that the less economistic Marxist explanations of its persist­

Durkheim school

ence might have more in them than those which saw

collaborators and disciples of Emile Durkheim,

This is the name given to the

its role purely in terms of its contribution to the

who flourished in France between the late 1890s

production of surplus value (see Base, 1979).

and World War II. They began as a remarkably

As part of the Marxist theoretical project of

effective research team, applying, refining, de­

explaining the material base of women's oppres­

veloping and sometimes modifying Durkheim's

sion, the domestic labour debate must be con­

ideas across a wide variety of disciplines. They

sidered a failure. The specific production relations

were organized around the remarkable journal, the

of domestic labour were analysed through the

Annee sociologique, 12 volumes of which appeared

debate and this together with subsequent empirical

between 1898 and 1913. It published reviews,

work made domestic and other informal work not

monographs and editorial notes across a very wide

only more visible within social science, but more

range, written for the most part by the Durk­

recognized within society too; for example, insur­

heimians, but not exclusively: the Annee also pub­

ance companies now quantify the value of a house­

lished Georg Simmel. As Marcel Mauss recalled,

wife's work in assessing the value of her productive life. However, the debate failed to explain why it was largely women who work under these particular production relations. In other words it recognized that capitalist society depends on a division of labour between waged commodity production and unwaged domestic labour, but failed to explain why

A good laboratory depends not only on the person in charge but also on the existence of reliable participants, i.e. new and old friends with a lot of ideas, extensive knowledge and working hypoth­ eses, and who, most importantly, are ready to share these with one another, to join in the work of the longer standing members and to launch the

that division coincided with a sexual division of

works of the newcomers. We were such a team. (In

labour. This was not surprising given the failure

Besnard, 1983, p. 140)

to incorporate into the analysis concepts other than those developed by Marx for the analysis of wage

The Annee sociologique established what came to be

labour, which were inherently sex-blind. Although

called 'the French school of sociology'. After World

174

DURKHEIM SCHOOL

War I, which decimated the Durkheimians, and

second volume of the Annee states in its preface the

Durkheim's own death in 1917, the survivors con­

general principle that religious, juridical, moral and

tinued to produce many significant individual

economic phenomena must always be related to a

works, though no longer as a working group

particular social milieu, and that their causes must

(though the Annee appeared twice in the 1920s

always be sought in the constitutive features of the

and the Annates sociologiques briefly in the 1930s).

type of society to which that milieu belongs (Dur­

They came to occupy important positions in

kheim, 1858-1917, p. 348).

French higher education - at the Sorbonne (Celes­

The Durkheimians pursued this imperialistic

tin Bougie, Paul Fauconnet, Maurice Halbwachs,

programme, across the disciplines of the social sci­

Georges Davy), at the College de France (Mauss,

ences, including history, 'incorporating', as Marcel

Fran<;ois Simiand, Halbwachs), at the Ecole nor­

Mauss put it, 'facts within a sociological frame­

male superieure (Bougie) and at the Academie de

work, and simultaneously organising them and dis­

Paris (Paul Lapie). They influenced a whole gener­

secting the raw data provided by the descriptive

ation of specialists in several disciplines, and for a

branches of our sciences' (in Besnard, 1983, p.

time they achieved some influence over the training

143), but always through an intense engagement

of secondary school teachers throughout France. In

with current scholarship and often in combat with

1920, Paul La pie, an editor of and contributor to the

prevailing academic traditions. Their goal was to

Annee and the director of primary education in

dissolve arbitrary barriers between academic fields

France, introduced as part of a new programme

and establish a new perspective on their subject

for the Ecoles normales primaires, a course entitled

matter. Who, Durkheim asked, would until quite

'sociology applied to morality and education'. Its

recently have supposed 'that there are relationships

goal was to introduce teachers to 'the objective

between economic and religious phenomena, be­

study of social facts' which, Lapie argued, 'suggests

tween demographic adaptations and moral ideas,

an appreciation of their value, and consequently, far

between geographic forms and collective manifest­

from leading to a form of indifference, it ends by

ations, and so on?' (Durkheim, 1858-1917, p 348).

solidly justifying our moral practices' (quoted in

They were rationalists and positivists: they believed

Besnard, 1983, p. 121). But the course was much

in the explanatory power of clear and distinct ideas

attacked and its content was diluted. By 1930 the

methodically applied through the division of aca­

ideology of the Durkheimians was already out­

demic labour. They stood for an Enlightenment­

moded. Moreover, as a 'school' they did not sur­

inspired vision of the reorganization of all the vari­

vive. Other, incompatible, intellectual influences

ous specialized branches of scientifically established

such as Marxism, phenomenology and existential­

knowledge which would then furnish a solid basis

ism prevailed after World War II in France (though

for social progress, which they interpreted to mean

there was a marked continuity within social anthro­

movement towards a planned industrial social order

pology), while Durkheimian ideas were taken up

anchored in common beliefs and sentiments en­

elsewhere, notably in Anglo-Saxon social anthro­

lightened by social science.

pology and SociOLOGY.

Most were socialists (sympathetic toJeanJaures,

Durkheim's driving preoccupation was to study

not revolutionaries and certainly not Marxists) but

social life as an objective reality, in all its aspects,

they drew a sharp line between their scientific and

currently divided up into academic disciplines, yet

their political work. Like the Comteans and the

all amenable, he thought, to the sociological mode

Saint-Simonians before them, the Durkheimians

of enquiry. This required a comparative method,

thought of religions as offering a mystifying ac­

involving the classification of societies into types,

count of the social world, which social science

and an insistence on seeking social (as opposed to

would render clearly, but they saw themselves nei­

individual or psychological or material) causes,

ther as the priests of a new secular religion nor as

even, indeed perhaps especially, for what might

the practical entrepreneurs of a new industrialism.

seem least amenable to such explanation: hence

Rather they were, above all, practising social scien­

his famous study of suicide, and his interest in the

tists who sought, through their research and tea­

sociology of religion, knowledge and morals. It also

ching, to strengthen the secular and reformist

involved a focus on what he called representations

ideology of the French Third Republic. Like Durk­

collectives - collective beliefs and sentiments that

heim himself, they were, for the most part, evolu­

prevail in a given social milieu. Accordingly, the

tionary optimists, relatively blind to those elements

DURKHEIM SCHOOL

175

in social life that Weberians and Marxists stressed­

ing definitions of 'needs' in relation to social class,

above all mechanisms of domination and conflicts

and of budgets and consumption patterns.

of interests. Nor were they alive to the demonic,

Ce!estin Bougli� was in charge of the section of

irrational forces a modern society could harbour

'general sociology' and was particularly interested

and which erupted in Nazi Germany.

in the place of psychology in the study of social

Three central figures contributed most to the

phenomena. He also studied the social precondi­

Annee sociologique, as both editors and contributors:

tions of the growth of egalitarian ideas, the evolu­

Durkheim, Marcel Mauss and Henri Hubert.

tion of values and the Indian caste system (Bougie,

Mauss was Durkheim's nephew and the closest to

1908).

him, and contributed importantly to the latter's

the sections on 'criminal sociology and moral stat­

Suicide (1887) and The Elementary Forms of the Religious Lift (1912). A specialist in ethnology and

examined forms of responsibility as socially deter­

the history of religions, he edited, with Hubert, the

mined, analysing its conditions, nature and func­

section on 'religious sociology' and wrote major

tions. The brothers Hubert and Georges Bourgin

studies of primitive classificatory systems (with Durkheim:

Durkheim

and

Mauss,

1903),

of

sacrifice and of magic (with Hubert: Hubert and Mauss,

1899;

Mauss and Hubert,

1904),

a remark­

Paul Fauconnet (who with Durkheim edited

istics' and 'the study of moral and legal rules')

edited the section on 'economic sociology'. Fran­ <;ois Simiand, the group's economist, investigated the determinants of wages and prices, of economic fluctuations and of the value of money, and the

able study of prayer, of reciprocity and gift-giving

origin, evolution and role of money, as well as

1925) and of the very notion of the person (in 1938: see Carrithers et al., 1985). Of all

writing extensively about the methodology of the social sciences. Henri Beuchat, who worked in

the Durkheimians, Mauss was undoubtably the

American archaeology and philology, also collabor­

most important and influential figure. His work

ated with Mauss in their important study of the

has stood the test of time and remains fundamental

impact of 'social morphology' or structure on the

(Mauss, or 'self

The Gift.

Moreover, he was an inspir­

seasonally varying legal, moral, domestic and reli­

ational teacher of whom it was said that out of his

gious life of the Eskimos (Mauss and Beuchat,

- above all,

ideas others wrote theses and books. He devoted

1906), Georges Davy studied the rise and evolution

much of his volatile energy to collaboration and to

of contract and, with the Egyptologist Alexandre

the publication of work by colleagues lost in World

Moret, published a study of the origins of Egyptian

War I. Tragically, after World War II, he lost his

civilization 'from clans to empires'. There were also

reason.

Gaston Richard, whose early work was on the social

Hubert, apart from his collaboration with Mauss,

origins of the idea of law but who eventually became

published an important study of the representation

a sharp critic of Durkheimian sociology, and Paul

of time in religon and magic, and also wrote on the

Lapie, whose work in educational sociology, and in

theory of folk religion and on historical archaeology.

particular on the determinants of educational suc­

Hubert's Polish pupil Stefan Czarnowski also made

cess, on schooling and delinquency and on educa­

important contributions to the sociology of folk

tion and social mobility, was path-breaking and far

religions, notably his study of Saint Patrick and

ahead of his time (see Besnard,

the cult of heroes in Celtic legends. Robert Hertz

1983).

Ater the group's effective dissolution, individuals

wrote brilliant studies of the collective conception of

within and close to the Durkheimian circle carried

(1907) and of the sym­ left ( 1909) that have had

its influence into their respective fields. Among them were the great comparative linguist Antoine

considerable subsequent influence, but he also in­

Meillet, the eminent sinologist Marcel Granet

death in primitive societies bolic dualism of right and

1922),

vestigated the Alpine cult of Saint-Besse (in a work

(Granet,

that is of all these Durkheimian studies the closest to

Paul Huvelin, and the pioneering scholar of Ancient

the jurists Emmanuel Levy and

ethnographic field work) and folklore gathered from

Greek

infantrymen in World War I (which claimed his

Doutte, the historians Georges Bourgin, Georges

life). Maurice Halbwachs not only extended Durk­

Lefebvre, Albert Mathiez, Marc Bloch and Lucien

heim's theory of suicide in very interesting ways, he

Febvre (through Bloch and Febvre the Durk­

also investigated the social framework of memory (Halbwachs,

1980)

and explored the social deter­

minants of differential standards of living and vary-

law Louis Gernet,

the arabist Eduard

heimians powerfully influenced the Annates school of historians- see ANN ALES

SCHOOL),

the psycholo­

gists Charles Blonde!, Georges Dumas and Henri

176

DURKHEIM SCHOOL

Wallon, the economic and social geographer Albert Demangeon, the philosopher-sociologist Lucien Levy-Bruhl, and a whole generation of French eth­ nologists trained or influenced by Marcel Mauss, notably Claude Levi-Strauss and Louis Dumont. Reading Besnard, P. ed. 1983: The Sociological Domain: the Durk­

heimians and the Founding ofFrench Sociology. Durkheim, E. 1858-1917 (1960): Emile Durkheim 18S8-

1917: a Collection of Essays, with Translations and a Bibliography, ed. K. Wolf.

Durkheim, E. and Mauss, M. 1903 (1963): Primitive

Classification, trans. and ed. R. Needham. Hertz, R. 1907 (1960) Contribution a une etude sur la representation collective de la mort. In Death and

The Right Hand, trans. R. Needham and C. Needham. Hubert, H. and Mauss, M. 1899 (1964): Sacrifice: Its

Nature and Function, trans. W. D. Hall. Mauss, M. 1925: (1954) The Gift, trans. I. Cunnison. Mauss, M. and Hubert, H. 1904 (1972): A General Theory

ofMagic, trans. R. Brain. STEVEN LUKES

E ecology

Etymologically derived, like the word

insight of ecology, of more or less stable patterns of

'economic', from the Greek oikos or 'household',

association between populations of different species

the modern use of the term 'ecology' is generally

of animals and plants, together with geological,

credited to the nineteenth-century German evolu­

topographical and climatic conditions, necessitated

tionist, Ernst Haeckel. However, the concept was

a holistic approach to both field studies and theor­

already present in the eighteenth-century idea of an

etical explanation. F. E. Clements's controversial

'economy of nature'. According to this view, each

concept of an ecosystem as a 'superorganism' is not

living species was assigned its own proper place in

now defended within scientific ecology, but various

nature; its own specific type of food, geographical

forms of holistic 'systems' approaches are retained.

range, and population, within a harmonious pattern

Modern ecology is centrally concerned with the

of interdependence between the different species.

cycling of nutrients through ecosystems, and with

Recognition of the widespread phenomenon of ex­

patterns of energy flow and interchange. The eco­

tinction led to a weakening of the idea of providen­

nomic metaphor by which the 'functions' of differ­

tial design and rational harmony in the nineteenth

ent groups of organisms within an ecosystem are

century, while Darwin's concept of natural selec­

classified- 'producers' (mainly green plants), con­

tion relied on the assumption of a competitive

sumers (herbivores and their predators) and de­

struggle for existence both among organisms and

composers (mainly micro-organisms) - carries a

between them and their physical conditions of life.

clear resonance of the earlier notion of an 'economy

Nevertheless, the idea of a harmonious economy of

of nature'. Increasingly there has developed a rec­

nature is not entirely lost in Darwin, since the

ognition that the different ecosystems are them­

mechanism of natural selection has as its outcome

selves interrelated. Of fundamental importance

an ever closer fit, or adaptation, between organisms

for contemporary social thought about human ecol­

and their conditions of life. Although Darwin and

ogy has been the synthesis (Cole, 1958) of the

other evolutionary biologists of the nineteenth cen­

concept of the biosphere (the totality of all living

tury did carry out detailed studies of associations

things on the earth) with that of an ecosystem to

between interdependent species (Darwin's own

yield the concept of the 'ecosphere': the planet

studies of the pollination of orchids by insects are

considered as an immensely complex global system

a famous example), there were few attempts to

of ecosystems. This concept provides the basis for a

integrate such studies systematically into a discip­

study of human social and economic activity from

linary specialism until the 1890s.

the standpoint of its global ecological conditions

The pioneering work of E. Warming, A. Schim­

and impacts.

per and others in synthesizing plant geography with

Recognizably ecological influences on European

physiology led to a focus on the ecology of plant

social and political thought were licensed by the

communities and their succession through time.

emphasis in the eighteenth and nineteenth centur­

Notable early work on plant ecology included the

ies on human malleability and 'perfectibility'. Mon­

studies of prairie ecology by groups at Nebraska

tesquieu attributed a significant role to geographical

and Chicago in the USA and the botanical ecology

and climatic factors in the shaping of social and

of A. G. Tansley in Britain. Despite the early (1881)

cultural diversity and the variety of forms of gov­

establishment of physiological animal ecology by

ernment, while Malthus used the idea of a shortage

the German K. C. Semper, and the still earlier

of means of subsistence relative to the 'power' of

focus on insect pollination, the general develop­

population growth as a weapon against proposals

ment of animal ecology proceeded more slowly

for radical social change. Western industrialism of

than plant ecology. The recognition, as a central

the nineteenth and early twentieth centuries gave

178

ECONOMETRICS

rise to successive waves of romantic nostalgia for a

Malthusianism', soon gave way to a multiplicity of

lost harmony with nature, and many socialist

attempts to incorporate an ecological perspective

writers saw a transformed relationship with nature

into social and political theory. B. Commoner,

as central to the post-capitalist future.

A. Gorz and others attempted to reconstruct the

The

dominant traditions of Western social

Marxian critique of capitalism in terms of its eco­

been

logically destructive consequences, while feminists,

founded on a dualistic opposition between nature

such as C. Merchant, linked together modern sci­

thought

in

the

twentieth

century

have

and society or culture. But in seeking to resist

ence, patriarchy and ecological destruction in a

SociAL DARWINISM and other forms of biological

distinctive tradition of 'ecofeminism'. In environ­

determinism, these traditions of thought also cut

mental social philosophy, a distinction is drawn

themselves off from a potentially productive en­

between

counter with newer developments in the life sci­

1989). In the former case, concern for the environ­

'shallow' and

'deep'

ecology

(Naess,

early

ment is based on an enlightened recognition of its

exception to this was the sociology of the Chicago

importance for human wellbeing, whereas in the

ences,

especially

ecology.

An

important

school in the 1920s and 1930s. The work of R. E.

latter intrinsic value is attributed to the environ­

Park and E. W. Burgess, especially, was premised

ment, quite independently of specifically human

on an opposition between those forces which oper­

interests. Allegedly reactionary and misanthropic

ate in and on social life independently of the con­

social movements may be associated with deep

sciousness and agency of social actors, and the

ecology.

significance assigned to these forces and processes

See also ENVIRONMENTALISM; GREEN MOVEMENT.

by the actors involved. Explicity drawing on the work of Warming and Clements in plant ecology

Reading

and the pioneering animal ecologist C. Elton, Park

Bahro, R. 1982:

and Burgess referred to the former class of social

Bramwell, A. 1989:

forces as an 'ecological' order. This analogy be­ tween plant and animal ecology and the unwilled dimension of human social life was most fully de­ veloped and applied in the field of urban sociology, where Park and Burgess analysed the effects of competition for scarce resources between individ­ uals and groups, and the resulting 'selective' pres­ sures, adaptive responses and diversions of labour. In these terms could be understood the shifting distributions and patterns of temporal 'succession' of ethnic groups, subcultures, specialized activities and so on as between geographically defined natural

Socialism and Survival. Ecology in the Twentieth Century: a

History. Enzenberger, H. M. 1988: A critique of political ecology. In

Dreamers of the Absolute. Ecology as Politics.

Gorz, A. 1980:

Lowe, P. D. and Rudig, W. 1986: Political ecology and the

British Journal of Political Science 16, 513-50. Matthew, F. H. 1977: Q}test for an American Sociology: Robert E. Park and the Chicago School. Meadows, D. H. et al. 1972: The Limits to Growth. Merchant, C. 1980: The Death ofNature: Women, Ecology and the Scientific Revolution. Ryle, M. 1988: Ecology and Socialism. social sciences: the state of the art.

TED BENTON

areas or 'zones' in the city. The shift from metaphorical to direct, literal application of ecological concepts to human social

econometrics

life was established only in the 1960s, following the

cation of statistical techniques to economic data in

Normally regarded as the appli­

globalization of the ecological perspective in the

order to investigate economic problems, economet­

form of the concept of the 'ecosphere'. The dra­

rics more inclusively defined would encompass

warnings of Paul Ehrlich,

the entire array of measurement problems in eco­

Edward Goldsmith, the authors of Limits to Growth

nomics. Such a definition could include problems

and others writing at the end of the 1960s and early

of operationalizing a concept, testing a theory,

matic 'doomwatch'

1970s resulted from attempts to extrapolate current

gathering data and building specific models (see

global trends in population, pollution and resource

MoDEL). Though the term was first used in the

depletion into the future, setting them against the

twentieth century by early practitioners like Ragner

ecological recognition of a finite global 'carrying

Frisch, the tradition of a statistical-mathematical

capacity'.

approach to social phenomena goes back to seven­

The first wave of 'ecological politics', often designated,

somewhat

misleadingly,

as

'neo-

teenth-century political arithmetic. The origin of econometrics in this century is tied up with efforts

ECONOMETRICS

179

to resolve the theoretical disputes between the mar­

1968 in order to create a system of models. LINK

ginalists and their critics by resorting to empirical

models consist of national, regional and world trade

testing of the marginal productivity theory of dis­

models.

tribution by economists such as H. L. Moore.

Recently R. E. Lucas has pointed out that the

Moore tried to demonstrate the validity of]. B.

parameters of such models will change as a result of

Clark's theory of wages by using the methods of

policy announcements. Theoretically, the point is quite valid though its relevance for a macroecono­

correlation. From such crude beginnings econometrics de­

metric model in practice remains an empirical issue.

veloped into a rigorous discipline through the

Many recent models embody the assumption of

efforts of pioneers such as R. Frisch and]. Tinber­

rational expectations introduced by ]. F. Muth

gen in Europe and researchers in the USA at the

and R. E. Lucas. A different approach advocated

Cowles Foundation. After World War II the field

by C. A. Sims is to use empiricist techniques such

expanded rapidly with the invention of the high­

as vector autoregression methods.

speed computer. Today it is more appropriate to

In a different way English econometricians such

speak of the various branches of econometrics than

as D. F. Hendry recognize the problems of exo­

of econometrics as a single field.

geneity assumptions in solving the identification traditionally

problems of macroeconometric models. However,

focused on building statistical models germane to

Hendry still recognizes the value of econometrics

the testing of economic theories. The classical

for testing economic theories. His work in this area

Theoretical

econometrics

has

linear regression model has been extended by in­

falls within the rubric of model selection proced­

vestigating the violation of various assumptions

ures.

regarding the error term. A distinct contribution

In the area of model selection and in the ap­

by econometricians has been the development of

proach to econometrics in general the Bayesian

simultaneous equation models. More recently work

approach has been a contender with the classical

on qualitative dependent variables, distributed

approaches described above. In contrast with the

lags, dynamic models and a number of other topics

classical frequentist approach, the Bayesian ap­

has enlarged the repertoire of theoretical economet­

proach is concerned with how new information

ncs.

modifies a researcher's beliefs about parameter tools,

values. It also eschews the need for justifying the

many theoretical propositions in all areas of Eco­

estimating procedure by appealing to the awkward

have been subjected to empirical tests.

classical concept of the performance of the estima­

These range from consumer demand theory and

tor in hypothetical repeated samples. However,

Using NOMICS

these

continuously

developing

efficient market hypothesis in microeconomics to

philosophically the acceptance of the Bayesian ap­

the testing of exchange rate determination theories

proach commits one to a subjectivist view of prob­

in international economics.

ability that clashes with the objectivist view of

Another important area in the development of

probability as emerging from features of the world

econometrics has been the formulation and valid­

independent of the observer. Therefore, classical

ation of macroeconometric models. Starting with

and Bayesian approaches have distinct and opposed

early work by Elmer Working on identification of

ontological commitments.

the demand and supply curves from economic data,

Given the diversity of contributions and view­

the work of Frisch and Tinbergen in Europe ad­

points in modern econometrics, any summary view

vanced the frontier of econometrics considerably.

is apt to be misleading. At the moment several new

Later work at the Cowles Foundation led by ].

developments have begun to recognize the need for

Marschak and T. C. Koopmans produced a solid

more data generation, diagnostic tests, inclusion of

analytical foundation for estimating simultaneous

degrees of belief and the use of models which rec­

equation models. The actual estimation of such

ognize data limitations. At the same time more

models for a real economy was pioneered by Klein

emphasis is being placed on nonlinear and dynamic

and Goldberger (1955) and continues in ever more

model building.

sophisticated forms with large numbers of equa­ tions in many countries. Internationally, this ap­

Reading

proach

Aigner, D. and Zellner, A. eds 1988: Causality. Journal of

resulted

in

the

LINK

project,

an

international, cooperative study group started in

Econometrics 39. 1-2.

180

ECONOMIC GROWTH

Hendry, D. F. 1987: Econometrics methodology: a per­

wealth to strengthen the nation-state and underpin

sonal perspective. In Advances in Econometrics, Fifth

'great power' ambitions; Bismarckian Germany ex­

World Congress, vol. 2, ed. T. F. Bewley.

hibited both characteristics most clearly, but not

Klein, L. and Goldberger, A. 1955: An Econometric Model

ofthe United States: 1929-1952. Learner, E. E. 1987: Econometric metaphors. In Advances

in Econometrics, Fifth World Congress, vol. 2, ed. T. F. Bewley.

uniquely. The political ideas germinating then have, a cen­ tury later, become a universal feature of official politics in capitalist and socialist states. In the dis­

Pesaran, M. H. 1987: The Limits to Rational Expectations.

course of Western democracies, the principal meas­

Sims, C. A. 1987: Making economics credible. In Ad­

ure of national strength is the country's relative rate

vances in Econometrics, Fifth World Congress, vol. 2, ed.

of growth. The absolute level of its wealth is treated

T. F. Bewley.

as having little significance compared to the dyna­

Tinbergen, J. 1939: Statistical Testing of Business Cycle

Theories, 2 vols. Zellner, A. 1983: Statistical theory and econometrics. In

Handbook of Econometrics, Z. Griliches and M. D. lntriligator. HAIDER ALl KHAN

economic growth

The experience and the pro­

spect of economic growth have profoundly shaped twentieth-century discourse; their effect on culture and reasoning has been quite different from the effects in other epochs although periods of extraor­ dinary growth have been experienced previously. From 1820 to 1980 the total product of today's 16 leading capitalist economies grew 60-fold; their output per capita grew 13-fold. One outstanding period, from 1950 to 1973, is regarded as a Golden Age, since the rate of growth of their output then was more than twice as high as in previous decades. In the twentieth century, the state-directed socialist system of the Soviet Union also experienced

mism of output growth (or lack of dynamism). Although the United States is the world's richest major country, its political identity and direction has been shaped in recent years by doubts over its rate of growth (compared to Japan's in particular), and party political contests in European democra­ cies have been informed by comparisons of eco­ nomic growth under different governments. The Soviet Union's political ambitions were defined partly in relation to economic growth since Lenin's day. In modern times, the role of economic growth in superpower rivalry was repre­ sented most sharply by Khrushchev's claim that Soviet growth would enable his country to win the Cold War by overtaking US income levels in two decades (Halliday, 1983); while, on the other hand, the political crisis that actually overtook the Soviet system in the 1980s is widely conceived as the result of a slowdown in the rate of growth (rather than absolute poverty).

high rates of output growth, as did some Third World countries, especially after 1960. In the course of that experience, ideas concerning eco­ nomic growth and ideas shaped by it have had a key role in modern conceptual structures. They may be summarized in five, non-exhaustive cat­ egories - growth conceptualized in relation to: na­ tional politics; social transformation; expansion of output; Third World development; and its envir­ onmental or other costs.

National politics

Growth as social transformation Associated with the political salience of economic growth is a conception of it as more than a quanti­ tative category, or growth of output. In the twenti­ eth century, social scientists and social historians established economic growth as a leading object of enquiry;

and from

that perspective economic

growth is conceived as a process of fundamental social transformation. Modern views of growth as a continual process of social transformation were, effectively, initiated by Karl Marx's analyses of the

The European system of national politics con­

genesis and progress of capitalism, and the ideas

structed in the nineteenth century developed an

derived from his work have shaped debates over

expansionist dynamic at an early stage. This polit­

both capitalist growth and socialist growth.

ical expansionism derived in part from the adoption of economic growth as a characteristic of nation­

Capitalist growth

hood. It was marked by external expansion in the

standing of capitalist growth, or accumulation,

form of imperialism with its national rivalries, and

from this perspective revolved around three central

by ideals of expanding domestic production and

problems: the nature of the transformation from

The twentieth century under­

ECONOMIC GROWTH

181

feudalism to capitalist growth; the role of crises in

nomic growth under capitalism is marked by trans­

capitalist growth; and the historical transform­

formations of capitalism - distinct phases, in each

ations of the capitalist system itself. Marxist analy­

of which a different social-economic structure

sis of the historical transformation from feudalism

dominates (for example, a laissez-faire stage, a

to capitalism in England has been the basis for

monopoly capital stage, and a stage of state monop­

important analyses of modern economic growth in

oly capitalism) (Fine and Harris, 1979; Mandel,

the specific circumstances of two capitalist soci­

1975; Uno, 1980). Kondratiev originated the idea,

eties: Japan and Britain. In Japan, debates since

taken up by Schumpeter, that economic growth

the 1920s focused on whether growth since the

under capitalism proceeds in a succession of LONG

1868 Meiji restoration was capitalist or whether

WAVES each of which can be seen as a distinct 'age';

the full transition from feudalism occurred later,

in its subsequent development the theory empha­

even as late as the land reform imposed in the

sizes the role of technological innovations in growth

1940s. At issue was an understanding of the specific

and the role of crises in promoting them, and it

character of capitalist growth in Japan, and, in

achieved renewed prominence during the instabil­

that respect, the debate is similar to that initiated

ity and slow down of growth in the West after 1973.

by Anderson (1964) who sought to explain the

As a theory it reflects the widespread general view

specific character of Britain's growth over recent

that growth is a reflection of scientific and technical

centuries by the character of the transition from

development, although in most versions it locates those within definite social conditions (Kondratiev,

feudalism. Economic growth under capitalism has been

1926; Kondratiev, 1935; van Duijn, 1983).

Marx

The instability of the last quarter of the twenti­

claimed to explain. The economic crisis identified

eth century also stimulated the development of a

characterized

by

regular

crises,

which

with the 1930s has entered consciousness as the

new Marxist perspective on the stages of capitalist

exemplar, one which stimulated divergent analyses

growth. Within the general framework of this

of the character of capitalist growth. A widespread

'regulation school', writers have concentrated on

view was that it was an indication that capitalism

the analysis of the transformation of capitalism in

had exhausted its potential for economic growth

the late twentieth century from a 'Fordist' to a

and was doomed to stagnation or a social upheaval

'post-Fordist' regime of accumulation. The in­

that would install socialism (Strachey, 1935);

stability marks a crisis of Fordist accumulation,

another, which became dominant, was the Keynes­

and the bases for post-Fordist renewed capitalist

ian view that the crises hitherto endemic to capital­

growth are to be located in changes in the inter­

ism could be eliminated by changed social and

national division of labour and the capitalist labour

political structures (see KEYNESIANISM). A third

process itself (Aglietta, 1979; Lipietz, 1987).

interpretation, promulgated by Joseph Schum­ peter, was that crises are a 'process of creative

Socialist growth

destruction', a process of transformation which,

of social transformation received its greatest prom­

The idea that growth is a process

instead of heralding stagnation, was the precondi­

inence in the seminal debate over planning growth

tion for renewed economic growth under capitalism

in the socialist society of the Soviet Union, the great

(Schumpeter, 1942). This line of reasoning had

INDUSTRIALIZATION debate of the 1920s. The social

parallels with Marx's theory of the relation between

transformation considered necessary was to be in­

growth and crises, for the devaluation of capital it

dustrialization, the building of a dynamic industrial

entailed can lay the conditions for renewed accu­

sector under state ownership and regulated by cen­

mulation notwithstanding Marx's view that capit­

tral planning. However, different routes to indus­

alist accumulation had its eventual limits. There is

trialization were promoted, with corresponding

no doubt that the Marxist and Schumpeterian view,

differences in the character of social change; espe­

that global crises are adjustments which are gener­

cially at issue was the pace and character of rural

ally functional for capitalist economic growth, is

transformation, relations between the state and

supported by experience; it is now embedded in

other sectors, and, indirectly, the political measures

the prevalent view that, however deep a recession,

appropriate to industrialization.

it will be followed by a boom.

The leading arguments of N. Bukharin and E.

The idea that crises are a period of adjustment in

Preobrazhensky differed on the pace of industrial­

the growth process is linked to the idea that eco-

ization and on the degree of imbalances in the

182

ECONOMIC GROWTH

development of agriculture, light industry, and

Neoclassical models, simplified

following Solow's

presentations

(Solow,

and

heavy industry. In terms of the balance of output,

Swan's

1956;

the arguments concerned the allocation of resources

Swan, 1956), have shown that by changing the

to the production of consumption goods and capital

assumption of a fixed capital-output ratio - by

goods respectively. They also differed on the mech­

postulating that, with a given level of technology,

anisms through which the state sector should relate

the economy can smoothly move towards more

to the others, and the extent to which resources

capital intensive or more labour intensive tech­

should be forcibly transferred from other sectors

niques of production - and assuming that saving

to finance state industrialization (Bukharin, Selected

is equal to investment, the capitalist economy will

Writings, 1982; Preobrazhensky, 1926). This debate

be on a stable equilibrium growth path. Unless

twentieth-century

technological change occurs, output will grow at

thought, partly because of its importance for under­

the same rate as the labour force. This basic neo­

standing the genesis of Stalinism, but also because

classical model has been expanded in a number of

had

enormous

influence

on

it influenced the conception of economic growth

directions to deal with the puzzles its simplifica­

implemented in China and other centrally planned

tions leave unanswered. One is the problem of how

economies in the 1950s. (See also

technical innovation can be introduced into the

NOMIC PLANNING.

NATIONAL ECO­

)

Growth as expansion of output

model:

which types of technical progress are

consistent with an equilibrium growth path and how

does

technical

change

(learning)

occur?

Writers on economic growth as a process of social

Another simplification in the Solow-Swan model,

transformation have not been in the mainstream of

that it is a one-sector model which does not distin­

Western economic theory. Since the seminal essays

guish between the sector producing consumer

of Roy Harrod (1939) and Evsey Domar (1946) a

goods and the capital goods-producing sector, has

profusion of articles on the pure economic theory of

been addressed by the development of two-sector

growth have been concerned with a number of

growth

questions related to the problem of whether stable

(1961) contribution. (See also

models,

especially

economic growth is possible. The models used

NOMICS.

following

Uzawa's

NEOCLAS SICAL ECO­

)

abstract from social structures, conceiving eco­

Writers of the Cambridge school replace the

nomic agents as undifferentiated individuals and

Harrod-Domar assumption of a fixed savings ratio

treating growth simply as the expansion of output

with the assumption that changes in the distribu­

of commodities. The Harrod-Domar model is best

tion of total income between wages and profits

known for its concern with whether capitalist econ­

cause changes in society's saving ratio since capital­

omies can achieve a rate of growth at which the

ist and workers have different saving ratios (Kaldor,

growth of demand for output matches the expan­

1955-6; Pasinetti, 1961-2). Consequently, the rate

sion of productive capacity. The question turns on

of economic growth is directly connected to the

the balance between aggregate saving and aggregate

balance between wages and profits and the model

investment in a growing economy, and on the

thereby addresses one of the key problems of

difference between the rate of growth warranted

growth in actual economies. This model's analysis

by that balance and the rate of growth of productive

of income distribution is in sharp contrast to that of

capacity. The model engendered pessimism on

the neoclassical model, and the debate over this

the possibility of stable full employment growth

difference involved a substantial critique of the

being achieved automatically, and acted as a stimu­

logical basis of the concept of the aggregate capital

lus to the adoption of Keynesian ideas about the

stock used in one-sector models such as Solow's

necessity for state intervention to promote invest­

(Robinson, 1956).

ment. The Harrod-Domar model was based on special simplifying assumptions: that saving is a constant proportion of income and that the ratio of capital to

Third World Development The problem of achieving high rates of economic

output is also constant. Substituting those two

growth in Third World countries, in order to over­

axioms with alternative assumptions led to two

come absolute poverty and close the gap between

directly opposed schools: neoclassical and Cam­

them and industrialized countries, is firmly rooted

bridge.

in late twentieth-century discourse. The concepts

ECONOMIC HISTORY

183

designed to analyse growth in capitalist or centrally

(or policies to make market signals work better)

planned economies do not directly address the

can ensure a growth path which optimally takes

problem of achieving high rates of growth in

those costs into account (Pearce and Turner,

1990).

Third World economies which have a 'mixed econ­

A more intractable and unacceptable cost of eco­

omy' approach to policy and an economic base with

nomic growth may be human rights. In its sharpest

different technological and social conditions in

form a debate over whether economic growth 're­

different sectors. The exception is the Harrod­

quires' acute suppression of human rights at certain

Domar model which provided the basis for (largely

stages has focused on the question 'Was Stalin

unrealized) national development plans of the

necessary?' (Nave,

newly independent nations in the wake of the mid­

pression of human rights under both capitalist­

century wave of decolonization, and on the basis of

oriented and socialist-oriented growth regimes has

1964). More generally, the sup­

which techniques for estimating foreign aid re­

underpinned social movements that reject eco­

quirements were developed. A number of'develop­

nomic growth.

ment economics' models have been formulated to address the problem of growth in the special cir­

Reading

cumstances of the Third World. The most influen­

Maddison, A. 1982:

tial theoretical innovation has been the surplus

Schumpeter, J. A. 1942

labour model of W. Arthur Lewis

(1954). Lewis

described a simple dual economy characterized by a

Phases of Capitalist Development. (1987): Capitalism, Socialism and

Democracy. Sen, A. 1970:

Growth Economics. LAURENCE HARRIS

traditional and modern sector, and, in a classical tradition derived from Ricardo, demonstrated the centrality for development of the disposition of the economic surplus. (See also

DEVELOPMENT AND

UNDERDEVELOPMENT.)

economic history

Described by one of its earli­

est practitiOners as 'not so much the study of a special class of facts as the study of all the facts of a nation's history from a special point of view' (W.]. Cunningham), economic history does not have

Costs ofgrowth

rigidly defined frontiers but spills over into social

The modern dominant concept of economic growth is benign, but an undercurrent of thought has ar­ ticulated the negative side of growth and stimulated an anti-growth sentiment (or at least a sentiment for more modest and less capital intensive growth) with considerable popular appeal. One strand is the ar­

and political history as well as into economics. Its principal concerns, though, are the analysis of eco­ nomic growth and decline, and the relating of economic change to social welfare.

Origins

gument that the growth of material output involves

The subject has its roots in the period in which the

major social costs not fully borne by the individual

importance of the economic factor for the political

producer or consumer. In an essentially conserva­

strength of nations was first fully realized - that of

(1967)

'mercantilism'. The new preoccupation engen­

tive argument against high growth Mishan

demonstrated the power that external diseconomies

dered its own literature, by the so-called 'political

such as congestion have to undermine the claim

arithmeticians', of which the best-known English

that output growth is welfare enhancing. A second

Natural and Political Observations on the State and Condition ofEngland of 1688.

strand is the view that economic growth involves unsustainable depletion of the earth's resources

example was Gregory King's

which, apart from producing external costs (such

The Enlightenment, with its belief in systems

as the effects deforestation has on rainfall and soil

and in human affairs following rules of nature,

erosion), will quickly produce an insuperable limit

gave rise to a more theoretical approach. In this

to growth as those resources become exhausted

development the writings of the 'physiocrats' (lit­

(Meadows,

1972).

erally 'rule of nature') in France and of participants

However, proponents of the view that markets

in the 'Scottish Enlightenment' stand out in par­

can provide the wellspring of growth, which has

ticular. The former gave priority to agriculture in

become hegemonic in the last quarter of the twen­

their theory, arguing that it was the only source of

tieth century, have countered those antigrowth

'net product', and categorizing industry as a 'sterile

views with the argument that price adjustments

art'. Their leading figures were Fran<;ois Quesnay

184

ECONOMIC HISTORY

(1694-1774) and A. R.]. Turgot (1727-1781). Tableau economique, published in 1758,

Quesnay's

of David Ricardo (1772-1823) (Burrow, 1966, pp. 59-64). The historical approach had a reverse ex­

was instrumental in diffusing the physiocratic idea

perience in France. The extent of social and polit­

that the economy functioned according to natural

ical disruption generated reflection on history and a

rules. Turgot combined the role of economic the­

concern to establish a new basis for social consen­

On Universal

sus. This was the task which positivism set itself,

orist and politician, writing a work

History in 1750-1 which introduced a new basis for

aiming to reconcile the scientific approach with the

the periodization of history in terms of economic

requirements of social order.Economic history had

stages, and attaining the position of Controller

a part in this- Saint-Simon

General in

1774, from which he attempted unsuc­

(1760-1825) developed (1743-1794)

the insights of Turgot and Condorcet

cessfully to remodel the French economy on

into a materialist theory of history, incorporating a

physiocratic principles.

revolutionary element and anticipating Marx- but

(1735-1801) and Adam Smith

its role was a subordinate one. Saint-Simon's pur­

(1723-90) were the two participants in the Scottish

pose, unlike Smith's, was not primarily to provide a

Enlightenment whose work had most significance

model for economic growth, but rather political, to

for the development of the subject. Smith, in his

induce acceptance of a new type of society domin­

Wealth ofN ations (1776), reacted against the exces­

ated by industrialists and scientists.

John

Millar

sive deductivism and the agricultural bias of the

The turning point was less marked inGermany,

physiocrats. Like them he believed that there was

where Herder's (1744-1803) emphasis on 'national

a natural and ideal pattern according to which an

character' already contrasted with the ahistorical

economy developed and in which agriculture had

universalism of Enlightenment writers, but it

primacy, but his knowledge of history, and his

clearly reinforced the existing tendency; Ranke's

observations in Scotland itself and on his travels,

(1795-1886) emphasis on seeing the past from the

had shown him that it was rarely conformed to.

inside, in its own terms, is judged to have provided a

Although distinct national traditions have been

basis for a 'Berlin revolution in historical studies'

1970, pp. 34-40). The combination of

detected in the Enlightenment, its overriding char­

(Marwick,

acteristic was an exceptional international unity in

this historical tradition with the fact of Germany's

the priority which it attributed to reason and in its

relative backwardness and political division, which

optimism concerning the future. The substantial

caused it to have difficulties achieving an early in­

divisions in national intellectual traditions are best

dustrialization from a free-trading situation, gave

seen, therefore, as having their sources in the two

rise to the emergence of a school of 'historical eco­

revolutions of the 1780-1815 period.These were to

nomics', with an emphasis on relating the study of

mark economic history as they did other academic

economics to the development of economic systems.

disciplines. First, the Industrial Revolution des­

National contexts were not totally impervious but

troyed some of the basic assumptions of Smith's

they did become the predominating influences on

theory of economic growth, and in particular his

the development of economic history until after

belief that there was a natural ceiling to the process

1945. Various trajectories for the subject need there­

set by a society's natural resources. It also gave rise

fore to be traced before the impact of the recent,

in the short term to an increase in economic in­

more intense intellectual exchange is described.

equality - with Britain achieving an extraordinary lead over the rest of the world by

1850 - which

made the attainment of international consensus on economic theory and history much more difficult to

The German tradition The precursor of German 'historical economics'

history was most interesting that the subject re­

(1789-1846), a campaigner for The National System of Political Economy of 1841, which put

ceived its most severe setback.England's very eco­

forward an infant-industry argument against free­

achieve. Curiously it was in the country whose economic

was Friedrich List

German national unity and author of

nomic success, combined with the fact that history

trading theory.Its earliest practitioners were Bruno

had become (in the face of the challenge of the

Hildebrand

rationalism of the French revolution) the arm of

(1812-1878), Wilhelm Roscher (18171894) and Karl Knies (1821-1898); it can be said to

conservatism, contributed to the development and

have emerged as a distinct 'school' under the influ­

acceptance of the deductive, ahistorical economics

ence ofGustav von Schmoller

(1838-1917) and his

ECONOMIC HISTORY

185

disciples, who included Werner Sombart (1863-

In 1900 the Revue de Synthese Historique was

1941) and Max Weber (1864-1920). It was distin­

founded and it was in its pages that Lucien Febvre

guished by the political commitment of its members

(1878-1956) and MarcBloch (1886-1944), the prin­

to social reform and it rejected both the French

cipal promoters of the new history, found an early

Comtean tradition and the English commitment to

outlet for their ideas. Lucien Febvre's thesis Phil­

laissez-faire. Its political position was one of social

ippe If et le Franche-Comte of1912 provided an early

conservatism. Its methods were eclectic - drawing

example of one aspect of the approach- it is a move

on the whole range of social sciences - and it pro­

towards a'total history' in which the social, cultural

moted extensive historical research, particularly in

and economic as well as political life of a region

political archives. In so far as it developed an eco­

is revealed. Marc Bloch's Les Caracteres originaux

nomic theory, it was one of a predominantly prag­

de l'histoire rurale franyaise of 1931 is even more

matic kind based on the analysis of historical

clearly Durkheimian, using the most concrete

examples. Although Schmoller was to publish a

of evidence, field patterns drawn from old cadastral

theoretical work of synthesis, it was the relative

surveys, as well as aerial photography, as its princi­

weakness of this theoretical side of the school's

pal source. In 1929 the journal Annates d'Histoire

work which was the ground for the METHODEN­

economique et sociale was founded, which was to

STREIT during the 1880 s. The dispute, though, did

provide a name for the new approach- the ANNALES

little to shake its hegemony - Schmoller had de­

SCHOOL. The journal was renamed Annates: Econ­

veloped an unchallengeable institutional position,

omies, Sociites, Civilisations in 1946 , and the school,

directing Germany's principal publication series in

whose origins had been in provincial universities,

the social sciences, and intervening in most profes­

acquired a power base in 1947 with the establish­

soral appointments in economics. This held back

ment of the Sixth Section of the Ecole Pratique

the development of economic theory in Germany,

des Hautes Etudes, an interdisciplinary centre for

but also, in the long run, it tainted economic history;

teaching and research in the social sciences. Leader­

following World War I there was a backlash and the

ship of this section, and thus of the 'school', was

subject was neglected for many years, history

assumed on Febvre's death in 1956 by Fernand

limiting itself to the study of the political 0- A.

Braudel (1902-85).Braudel's thesis, The Mediterra­

Schumpeter, 1954 , pp.501-10).

nean and the Mediterranean World in the Age ofPhilip If (1949) was influential in promoting a form of

The French tradition

geographical determinism, in the way it distin­ guished between different concepts of time and in

The French tradition developed later than the

its dismissive attitude to events. The best practition­

German, lasted longer and was to exercise great

ers of the Annales approach have been Emmanuel

influence. Its origin lay in a reaction against the

Le Roy Ladurie and Pierre Goubert, both of whose

conservatism of history, in terms of its concentra­

backgrounds as historians, like so many Annalistes,

tion purely on political events and its penetration

lie in regional history, that of the Languedoc and

by German historicist attitudes, as it was studied in

that of theBeauvaisis. More recently it has attracted

France during the Third Republic. The main intel­

criticism, particularly from Fran<;ois Furet, for its

lectual influence on it was positivism - the thought

lack of theory and neglect of politics ( Iggers, 1975 ,

of Auguste Comte, with its emphasis on the simi­

pp. 43-79).

larity of the human to the natural sciences, and hence on the possibility of generalization and ex­ planation; and above all that of Emile Durkheim,

The British tradition

with its rejection of psychological explanations for

The strength of the reaction against the historical

social change in favour of the study of'social facts',

approach had been such that its reintroduction

and his belief that objectivity was achievable by the

from the Continent was necessary. The main agents

treatment of these as 'things'. It was not so much

for this were John Stuart Mill (1806-1873) and

economic history which was being established but a

H. S. Maine (1822-1888), who were influenced

new definition of history as a subject, in which the

respectively by Comte's progressive view of the

economic in conjunction with the social and cul­

historical process, and German philology ( Collini

tural was given particular importance and the pol­

et al., 1983 , pp. 210-11). It was the establishment of

itical event demoted.

history as a university subject which provided the

186

ECONOMIC HISTORY

first openings for economic history. It was taught

The Economic History Review in 1926 (Harte, 1971,

and examined as part of the new History tripos at

pp. xxiv-xxx; Coleman, 1987, p. 94).

Oxford, initially in conjunction with political econ­ omy and later on its own. It received an additional boost as historians themselves broadened their ap­

Character ofthe subject

proach to include economic, legal and social ques­

A fourth and major tradition in the subject is the

tions (Harte, 1971, pp. xviii-xix; Kadish, 1989, pp.

Marxist one. Marx's belief that inherited economic

3-13). Once established, its progress was rapid. It

structures were the determining influence on all

could benefit from a tradition of industrial histories

levels of human existence, and that competition

and the compiling of statistical data which had

between social classes was the motor of history,

never been interrupted, and soon was to experience

clearly gave priority to the study of the economic.

a growing popular demand for its wares from a

Marx's theory, though, was the only approach in

public in need of professional qualifications for

which economic history was given the status of a

which the study of economic history proved par­

matrix subject. In the others, as emphasized above,

ticularly apt. It was clearly a practical activity and a

its status was effectively a subordinate one, its de­

relevant one, too, in a country whose history had

velopment being a by-product of larger intellectual

been so heavily marked by the economic. This

or political forces, and its character was marked by

popular identification with the subject was to

this. Thus in Germany the subject's subordination

remain a principal mainstay (Harte, 1971, pp.

to the desire for a historical economics, and the

xxiii-xxiv).

connection of this with nationalism, caused an em­

The subject emerged to prominence as a conse­

phasis in particular on different forms of economic

quence of a British 'Methodenstreit', one in which

system. In France its development within a positiv­

situations were the reverse of those in Germany,

ist current - opposing the role of individuals and

with theoretical economics the established ap­

political events - while giving it the status of pos­

proach, and historical economics the challenger.

sibly the most important causal layer in a 'total'

principal advocates were Arnold Toynbee

historical process, made it neglect the problem of

(1852-1883), W.]. Ashley (1860-1927) and W.].

economic development in favour of an emphasis on

Cunningham (1849-1919). All were influenced by

continuities - not surprisingly the best Annates

the German school, using its technique of carrying

studies have been on the preindustrial economy.

Its

out historical studies of different epochs in order to

Finally, the focus of the English approach initially

undermine the pretensions of classical economics to

tended to be predominantly partisan, addressed to

universality. The attack was ultimately unsuccess­

highlighting what it regarded as the particular

ful, principally because Alfred Marshall (1842-

abuses of laissez-faire capitalism. In the USA, too,

1924) had brilliantly reformulated economic theory

where the subject had emerged towards the end of

in his Principles ofEconomics (1890), broadening its

the nineteenth century, it was deployed in connec­

definition to include much of what concerned his­

tion with issues of particular national relevance -

torical economists (Collini et al., 1983, pp. 267-71).

Frederick Jackson Turner (1861-1932) developed

Failure with respect to its major ambition, however,

the frontier thesis as an explanation of specific

effectively favoured the development of economic

characteristics of American society, and Charles

history as a discipline, since its study had been

A. Beard (1874-1948) argued for the decisiveness

given sufficient momentum to

ensure that it

of economic interests for the character of the

obtained a foothold as an independent university

American constitution and nineteenth-century pol­

subject. The teaching of economic history was

itics.

prominent in the London School of Economics

From the 1930s, economic history in the USA

(founded 1895). Its first director, W. A. S. Hewins

and Britain has made greater use of economic

(1865-1931), was an economic historian and the

theory. In the British case,]. H. Clapham (1873-

first lectureship specific to economic history was

1946) and T. S. Ashton (1889-1968) were the prin­

created there in 1904. The first chair in the subject

cipal architects of the change. From the mid-1950s

was at Manchester in 1910. Others followed at

the links have become yet closer with the develop­

London in 1921, Cambridge in 1928 and Oxford

ment of 'new economic history' or 'cliometrics' in

in 1931. Further landmarks were the establishment

the United States, where economic history tended

of the Economic History Society and the journal

to be taught in economics departments, and they

ECONOMICS

187

campaigned for a more explicit use of economic

history to Marx's which, though judged erroneous,

theory and of quantitative methods in the subject.

gave rise to the general diffusion of terms such as

This approach spread to England in the 1960s

'take-off' and 'age of high mass consumption' as

and more widely afterwards (McCloskey, 1987,

well as to imitative studies; A. Gerschenkron's Eco­

pp. 77-84).

nomic Backwardness in Historical Perspective (1962)

With increased concern with economic growth

which launched comparative economic history by

since 1945, as well as a general expansion in higher

developing a model accounting systematically for

education and the study of the social sciences, the

the contrasting character of industrialization in

subject has grown rapidly in recent years. By the

different countries, and Sidney Pollard's Peaceful

1970s there were some 24 professors of economic

Conquest: The Industrialization of Europe, 1760-

history and nearly as many economic history depart­

1960 (1981) which undermined the very founda­

ments in British universities, and membership of

tions of the national approach by arguing that Euro­

the Economic History Society had risen to over

pean industrialization was an international process

5,000. The American Economic History Associ­

in which the dynamic of growth took place at the

ation experienced a similar rate of growth after

regional level. It is the extension of this cornparative

1945, attaining 3,600 subscribers in the mid-1970s

approach which will ensure that the achievements

(Harte, 1971, pp. xxiv-xxx; Coleman, 1987, p. 94).

of economic history within national frameworks are

In addition, the subject has spread internationally

consolidated and built on, and that the subject will

with a Scandinavian Economic History Review being

be of service in a world more than ever in need of a

founded in 1953, an Australian in 1967, and particu­

historical viewpoint.

larly rapid development in Japan. Japan's unique industrialization pattern and its concern with catch­

Reading

ing up caused an early interest in the subject - there

Blaug, M. 1986: Economic History and the History ofEco­

were nearly 1,000 scholars specializing in it by the mid-1980s (Sin-Ichi Yonekawa, 1985, p. 107). The foundation of the International Economic History Association in 1960 created an organization specifically committed to the spread of the subject.

nomtcs.

Burke, P. 1990: The French Historical Revolution: the Annales School1929-89.

Cannadine, D. 1984: The past and the present in the English industrial revolution, 1880-1980. Past and Pre­ sent 103, 131-72.

It has organized international conferences at four­

Coleman, D. C. 1987: History and the Economic Past: an

yearly intervals, and these, as well as the general

Account of the Rise and Decline of Economic History in

intensification in international, intellectual con­ tacts, and the common stimulus of a greater resort to economics, have resulted in a growing inter­ action between the different national approaches to the subject. Examples of this are Fernand Brau­ del's collaboration with Immanuel Wallerstein, a development economist who switched to working on the economic history of the early modern period. This influenced Braudel's approach in his Civiliza­ tion and Capitalism 15th-18th Centuries (3 vols, 1967, 1979, 1981- 4) and gave rise to the foundation

Britain.

Harte N. ed. 1971: The Study of Economic History: Col­ lected Inaugural Lectures, 1893-1970.

lggers, G. 1975: New Directions in European Historiog­ raphy.

Koot, G. H. 1987: English Historical Economics, 18701926: the Rise ofEconomic History and Neomercantilism.

Schumpeter, J. A. 1954: History ofEconomic Analysis. Tribe, K. 1988: Governing Economy: the Reformation of German Economic Discourse 1750-1840.

Tuma, E. H. 1971: Economic History and the Social Sci­ ences: Problems ofMethodology.

of the Fernand Braudel Centre for the Study of

J.

K.

J. THOMSON

Economies, Historical Systems, and Civilizations at

Binghamton

University

in

1977.

It

also

influenced the introduction into England of French

economic planning

See NATIONAL ECONOMIC

PLANNING

techniques of demographic research, with the foun­ Described as a social science con­

dation of the Cambridge Group for the Study of

economics

Population and Social Structure in the 1960s. In

cerned with the production and allocation of

addition various path-breaking publications in the

goods and services and with their consequent

subject have contributed to

impact on the material wellbeing of human beings,

eroding frontiers.

Among these are W. W. Rostow's Stages of Eco­

economics is, as ought to be expected with a one­

nomic Growth (1960), a provocative rival theory of

line definition, that and more. Further, its contours

188

ECONOMICS

are continuously expanding in response to new

'political economy'. The founding work on margin­

research and our changing concerns.

alism was done by, among others, Lean Walras

nomics was phenomenal. It stepped out of the

(1834-1910), StanleyJevons (1835-1882) and Carl Menger (1840-1921). If one had to choose a

groves of academe into the world of law, national

founding date for this new approach, which, as

policy making and international organization.

the cornerstone of 'neoclassical economics', would

In the twentieth century the progress of eco­

John Maynard Keynes, one of the most influen­

be immensely influential, one would probably have

19 February 1860 on the basis of a 1953).

tial economists of the last century, once suggested

to settle for

that economics would become redundant in the

euphoric entry inJevons's diary (La Nauze,

long run because it would solve the major problems

The central idea that struck Jevons was that

confronting the economy. That has not happened;

the value of a good is not the amount of resource

its success has not been so spectacular. There were

that goes into its production. The value is the

others who felt that economics, the dismal science,

price that people are willing to pay for it. Of course,

would wither away because its failures would be too

this would

marked. That did not happen either. Fortunately

duce the good but it would also depend on demand

for economics, and more so, I suppose, for econo­

and utility. Thus for the same good, say silk shirts,

mists, the performance of the subject was some­

the value would rise if, for some reason, its supply

depend on the resources needed to pro­

where in between the two predictions; and with the

fell, or fashion went in its favour, because that

increasing complexity of the world - international

would ensure that the utility to consumers from

debt crises, currency unions and more- economics

each silk shirt would be greater. This would be

is here to stay. There are still reasons for introspec­

true even if the resource content of each silk shirt

tion and criticism, but advances in this century have

remained unchanged. With

established economics as an indispensable discip­ line with an immense intellectual lure.

this

discovery, Jevons's research

got

(somewhat disproportionately) focused on con­

The next few pages briefly traverse the chron­

sumer theory. The heart of it was the law of dimin­

ology of the subject through the last century, de­

ishing marginal utility, which asserts that as a

scribe the major achievements, and argue that the

consumer gets more and more of a good the utility

marginalist mode of analysis is in the process of

from the last unit becomes less and less. The law of

being replaced by what may be described as 'stra­

diminishing marginal utility and its counterpart in

tegic analysis'. This is a difficult terrain because for

production analysis, the law of diminishing mar­

marginalist analysis we could borrow techniques

ginal

from the natural sciences, whereas for strategic

happens to utility or output as, respectively, con­

analysis there are no precursors; the route of intel­

sumption or input increases by a tiny amount, made

lectual pilferage is unfortunately not open.

economics extremely amenable to the use of calcu­

Looking back over the years, it appears that an

productivity,

with

their

focus on what

lus and, in particular, differentiation. Physicists

important achievement of economics has been its

were already using a great deal of calculus. This

internal intellectual coherence. Abstract logical

seemed a boon and a lot of early economic theory

exercises in economic theory (and I am distinguish­

grew by imitating the methods of the physical

ing this from mathematical economics, which has

sciences.

often shown a tendency to get mired down in tech­ nicalities) are today conducted at a level of ex­ cellence comparable to any other discipline. Its most major failures have been on the practical side.

Early concerns Attention having shifted to prices, it was natural to ask: how is price determined? Whereas for each good considered in isolation, the answer may be easy, it turned out that if we wanted to know how

Antecedents

prices of all goods get determined in a system where

Economists at the turn of the last century had

the outcome in the market for one good influences

inherited a new technique: marginalist analysis

that for another, the problem is much harder and

(see AUSTRIAN ECONOMICS; MARGINALIST ECONOM­

requires very different methods. This was the heart

ICS) . This would soon become their

leitmotif, the

mark distinguishing 'economics' from its ancestor,

of

general equilibrium analysis, begun by Walras.

Walras's work raised questions that were suffi-

ECONOMICS

189

ciently hard and important to be a major theme of

essential? The answer turned out to be no. John

research in the twentieth century.

Hicks (1905-1989) drawing on the earlier work of

In a nutshell the problem was as follows. It had

Vilfredo Pareto (1848-1923) set out to show that

been known for a long time that the price of a good

the theorems of economics were based on fewer

depends on its demand and supply. Thus if the

assumptions (and, therefore, were more robust)

demand for gas were to exceed its supply, we

than

would expect the price in equilibrium to be higher.

Blaug, 1962).

appeared

under

Marshall's

scheme

(see

But this may cause a problem elsewhere. If the price

In fact, an agenda got set for basing economics -

of gas rises, it is natural to expect the demand for

not just consumer theory - on fewer and fewer

kerosene (or any other gas substitute, for that

assumptions. The laws of the margin were getting

matter) to rise. Hence, it is possible that as the

replaced by requirements of convexity; cardinal

price of gas moves towards its equilibrium level,

utility was being deposed by ordinality; and finally

the petrol market will get thrown into disequilib­

Paul Samuelson's influential work led to utility

rium. A price configuration such that in all markets

itself being replaced by preference relations and

demand equals supply is known as a general equilib­

axions of consistency.

rium. But under what circumstances will a general

Around the same time that all this was happening

equilibrium exist? What are its properties? These

a more dramatic revolution was occurring which

questions were investigated by Walras but defini­

would wrench economics out of its quietude into

tive answers would not be possible till well into the

the world of public affairs and policy. I am referring

twentieth century because of the want of a math­

to the work of John Maynard Keynes (1883-1946).

ematical instrument - the fixed point theorem. The fixed point theorems of Brouwer and Kakutani, which would subsequently become ubiquitous in

The Keynesian revolution

several areas of economics, were used by Kenneth

Keynes's work has been analysed, diagnosed and

Arrow and Gerard Debreu to demonstrate the con­

developed more than that of any other economist in

ditions under which general equilibrium would

this century; but no-one could do a better job of

exist (see Debreu, 1959).

advertising it than Keynes himself. Using literary

But as the refinement of abstract theory grew, so

panache,

his

immense

intellectual

reputation,

did the economist's ambition to solve the problems

which was established well before the appearance

of the world. The scope of marginalist analysis for

of the General Theory, and even a certain amount of

addressing practical questions of taxation, indus­

obfuscation, Keynes thrust his economics beyond

trial policy and land tenure was highlighted in the

the ivory tower. He was helped by the times. By the

works of several economists, such as Alfred Mar­

late 1920s the Great Depression had set in. With

shall (1842-1924) and Francis Edgeworth (1845-

industrial production stagnating, unemployment

1926). In particular, Marshall's Principles, which

soared. In 1931 in Germany 5 million out of a

first appeared in 1890 and went into several editions

labour force of 21 million were unemployed; in

(see Marshall, 1890), bolstered the confidence of

the USA unemployment was 25 per cent; and

economists in facing the world. Indeed, Marshall,

these countries were no exceptions. In 1932 the

who was openly dismissive of abstraction like that

volume of industrial output in the US was just a

of the Walrasian system, was consciously trying to

little above 50 per cent of the level in 1929 (Routh,

harness economics to the needs of the world. But,

1975, pp. 263-4).

unwittingly, having exhibited the full strength of

The initial governmental reaction to this was the

economic analysis, Marshall was opening up a new

natural one, encouraging people to save as one

theoretical agenda. One grouse which many obser­

should in bad times and to practise thrift. But,

vers had against neoclassical economics, and which

according to Keynes, that was exactly the opposite

was the cause of some discomfiture even among

of the right prescription. If all individuals practise

some mainstream economists, was that many of its

thrift, then everybody can become worse off be­

theorems hinged on the ability to measure numer­

cause effective demand in the economy would fall

ically phenomena that were not amenable to such

and this would cause a shrinkage in total produc­

quantification. Utility and welfare were obvious

tion, and that would cause an even smaller demand

candidates. But was the quantification of utility

and so on. This was the 'paradox of thrift'. It meant

190

ECONOMICS

that a cure to the problem lay in boosting effective

indeed be Pareto optimal. The second theorem

demand.

asserted that given certain conditions, every Pareto

The

government

could

achieve

this

through a larger fiscal deficit. This, reversing the

optimal state can be attained as a competitive

above argument, would have several rounds of ex­

market equilibrium if a suitable redistribution of

pansionary impacts

- the so-called 'multiplier

the initial endowments of agents could be effected.

It is true that the 'right policies' had been

economics. Unabashed believers in the free market

effect'.

These must be the most misused theorems in had

ignored the proviso 'given certain conditions', and

been ingested. But unlike the ad hoc policies de­

effected

even

before

Keynes's

economics

treated the theorem as a verdict for zero interven­

vised hurriedly by bureaucrats and politicians,

tion.

Keynes had provided a whole framework, a frame­

but the conditions. In reality the theorems showed

Hardened interventionists saw little else

work of planned intervention by the government to

that the goodness of the market can neither be

keep the free market well oiled. Keynes's econom­

ignored nor presupposed.

ics ensured that we would not have such a deep depression again - at least not of the same kind.

The macroeconomic concerns of Keynes and some subsequent writers and the microeconomic

Keynes was not a theorist; and, I believe, his

theorems of general equilibrium were on a conver­

work would not have had as large an effect on theory

gent route. It was all but inevitable that these two

if it were not for some of the subsequent elucidators

researches would meet and we would begin to lay

of Keynes. The most influential work was a classic

the foundations of macroeconomics on rigorous

article of John Hicks (Hicks,

microtheory. This happened most clearly in the

1937).

This gave birth

to the famous IS-LM curves and via these to

fix-price models of the 'French school' that tried

modern macroeconomics, and macroeconometric

to categorize Keynesian and classical descriptions

modelling. The latter is a staple instrument now­

of the economy as different kinds of fix-price (and,

adays for most governments to plan their policies

in that sense, non-Walrasian) equilibria.

and forecast the future.

Concurrent themes Reassessing the Invisible Hand The old discovery, attributed to Adam Smith

If it is true that in all subjects theoretical advances move ahead of empirical work, in economics this

that individual selfish behaviour,

was surely being practised as high art. While the use

acting through the 'invisible hand' of the market

of anecdotal evidence and piecemeal data was

( 1723-1790),

mechanism, can result in the social good acquired

common, econometrics, that is, the systematic stat­

some special significance in the light of Keynes's

istical analysis of data, was lagging behind. This

work. The latter was an analysis of market failure,

was not surprising because some of the leading

something which individual rationality had failed to

lights of the day, including Keynes, were pessimis­

prevent. What brought the law of the invisible hand

tic about the value of econometrics. But if econom­

under closer scrutiny was, also, the newly emerging

ics was to take its place in the pantheon of scientific

models of imperfect competition, on the one hand,

disciplines, it needed formally to test its laws.

and research on the welfare properties of general

Given the great importance of econometrics today

equilibrium, on the other. Under what conditions

the subject must have grown faster than the rest of

would individual rationality result in social optim­

economics.

ality? To answer this, economists used Pareto's

Econometrics took the message of economics to

definition of optimality (see WELFARE ECONOMICS)

the outside world. Along with input-output analy­

and gave us the precise relation between a free­

sis, it became the major vehicle for large corpor­

market equilibrium and optimality. This was eco­

ations

nomic theory at its best. It had summed up in two

changes in variables and plan their activities.

neat theorems - known as the fundamental the­

Econometrics had to face major intellectual chal­

orems of welfare economics - a relation which had

lenges because this was the first time that highly

been the source of debate and speculation since

sophisticated statistical methods were being used

The first theorem stated that, given

in the study of society. Among other things this

Smith

(1776).

and

national

governments

to

forecast

certain conditions (such as continuity and no exter­

meant that if we wanted to know how x had

nality), a competitive market equilibrium would

influenced y we did not generate the relevant data

ECONOMICS through experiments designed to find this out. In­ stead we had to use whatever data arose naturally through time and sift out the relation between x and Y from a morass of available evidence (see EcoNo­

METRICS). Another very different kind of'practical concern' also reared its head in the late 1940s and 1950s. As nations in the Third World emerged from the shadows of colonialism, economists became aware t��t a �ajority of human beings were chronically hvmg m conditions which, if the industrialized nations had to suffer them for a few months would be considered a crisis. Chronic condition

�

do not make news and are therefore likely to be overlooked. Moreover, for scientists to get inter­ ested in a problem it is not enough for the problem to be serious. It is essential that the problem poses an intellectual challenge. But the plight of nations in Asia, Africa, Latin America and even parts of Europe did pose a

�

�u�zle. T ese nations were tucked away deep ms1de their production possibility frontiers, that is, within what would be feasible through a full utilization of resources. If the Walrasian market system broke down in the developed countries in the 1930s, it had never taken off in more than half the world. Why? This question was at the heart of enquiries by, among several others, Ragnar Nurkse (1907-1959),

Maurice

Dobb

(1900-1976)

and

Arthur Lewis (1915-1991). The enquiry linked up with experiments being actually conducted and written about in the Third

�orld. India had begun experimenting with plan­ mng, and Prasanta Mahalanobis (1893-1972) and others were writing about it. From Latin America was emerging a literature on inflation and the terms of trade, with Raul Prebisch (1901-1986) being its main courier to the industrialized world. In recent decades, development economics, which had got left by the wayside during the heyday of the neo­ classical revolution, has been drawn into main­ stream theoretical and econometric research. Another concurrent research which occurred in the 1950s resulted in what is, in my view, the most momentous single paper (it was published as a booklet) that has emerged from economics. It had tremendous consequences for political scientists, welfare economists and decision theorists. This was Arrow's impossibility theorem published in 1951; and it provoked a large literature and the new subdiscipline of welfare economics (see also SociAL

CHOICE.

191

Current developments It is arguable that we are living in the midst of a paradigm shift as dramatic as the one which oc­ curred in the late nineteenth century. Ever since its inception, marginalist analysis has been the subject of attack from many sides. Some of the more compelling critiques came from Marxist or neo-Keynesian economists like Piero Sraffa (1898-

?

1 83) andJoan Robinson (1903-1983). The analy­ sis of how output is distributed, for instance, among entrepreneurs, landlords and workers, was always a weak point of mainstream economics, and the 'Cambridge' critique was directed mainly against this. The measurability of capital as a factor of production was challenged, and critical questions were raised about the foundations of marginal productivity theory. What Sraffa's work tried to show was, in Joan Robinson's somewhat unre­ strained words (1961, p. 13), 'that the marginal productivity theory of distribution is all bosh'. In response, marginalist theory had to abandon some of its claims to realism; but by refining its theorems and creating a more sparse framework it held its ground in terms of abstract consistency. In more recent times, however, marginalism has been beginning to give way, but as a consequence of what is best described as inhouse research. It is being replaced by strategic analysis, based on the

�

met ods of

GAME THEORY. Though game theory (Von Neumann and

had Its beginning in the 1940s

Morgenstern, 1944), its impact on economics was for many years marginal. This has changed sharply over the last two decades. Even though pure game theory may yet fall into the chasm between the abstract elegance of mathematics and the practical concerns of the social sciences, the game-theoretic

mode of analysis will be with us for some time to come. One of the reasons for the long gap between the birth of game theory and its applications is that the theory of

extensive-form games (that is, games

played over time) was lagging behind. In industrial organization theory, where the application of game theory has been the largest, strategic interactions do not occur in the twinkling of an eye. These are 'games' played out over long stretches of time and it may be worthwhile for 'players' to sacrifice im­ mediate profit for reputation. For this we need extensive-form games. Though the origin of exten­ sive-form games goes back to the work of Harold Kuhn in the early 1950s, it was only in the 1960s

192

EDUCATION AND SOCIAL THEORY

and 1970s that the analysis of extensive-form games

economy, socialization of the

emerged as a full-blown subject.

TION OF THE ECONOMY

See SociALIZA­

There is a risk that research will get caught up in the labyrinth of minor mathematical and technical

education

discoveries, while the larger conceptual problems

SociALIZATION to refer to the sum of practices by

and social

theory

that confront us are left to languish. But such

which new individuals are made into members of

tendencies have appeared in the past and invariably,

existing societies, then 'education' is that subset

If one

takes

in the long run, the works dealing with larger social

of practices which have as their intended outcome

concerns, blending logic with economic realism,

particular kinds of more or less reflected-upon

have survived and dominated. With the rise of

shaping. More narrowly still, 'education' is used

strategic analysis, economics is armed to resurrect

as a synonym for schooling, specific institut­

some of the larger issues of political economy which

ional provision for the transmission of knowledge

have been raised throughout its long history but

and skills, the development of competences and

have had to be abandoned for want of more appro­

beliefs.

priate tools of analysis. Social and political norms,

There is a pervasive background assumption in

for instance, play critical roles in the functioning of

modern social thought that socialization is the right

economies. But where do norms come from and

way to characterize what transpires between new

how exactly do they interact with our economic

individuals and their societies, and that individuals

functioning? We are at a stage where we can ser­

are plastic to an indefinite number of kinds of

iously attempt to answer such questions. And this,

shaping.

in turn, could enrich our understanding of the role

appear to have the straightforward descriptive task

Against this

background,

sociologists

of the state, the raison d'etre of firms and the nature

of characterizing how different societies socialize

of international economic relations.

individuals, and what they socialize them into. But if there are failures of socialization, as there are, it

Reading

becomes hard( er) to sustain the idea of plasticity (cf.

Arrow, K. J. 1951: Social Choice and Individual Values.

Hollis, 1977; Wrong 1977). For example, if individ­

Hicks, J. R. 1939: Value and Cap ital.

uals do differ biologically in intelligence this will

Keynes, J. M. 1936: The General Theory of Employment,

limit the possible success of any schooling system

Interest and Money.

Samuelson, P. A. 1947: Fo undations of Economic Analy­ sts.

Schumpeter, J. A. 1954: A History ofEconomic Analysis. Sraffa, P. 1960: Production of Commodities by Means of Commodities.

KAUSHIK BASU

which provides equality of treatment in the expect­ ation that this will produce equality of achievement. Political commitments to achieving equality of opportunity, treatment and/or outcomes in­ spired (and funded) innumerable research pro­ grammes

and

projects

m

twentieth-century

sociology (see also EQUALITY AND INEQUALITY). economics, Austrian economics, Chicago

See AUSTRIAN ECONOMICS See CHICAGO ECONOMICS

For example, in the context of a commitment to the view that schooling ought to enable social mo­ bility by identifying talent and/or effort independ­ ently of social origins - thus making talent and effort available (as 'merit') as identifiable discrimin­

economics, Keynesian

See KEYNESIANISM

ators for occupational selection- there have been a large number of studies of why origins and destin­

economics,

marginalist

See

MARGINALIST

ECONOMICS

ations remain obstinately linked, despite at least formal meritocratic commitments. Three kinds of resultant explanation may be distinguished, which

economics,

neoclassical

See

NEOCLASSICAL

ECONOMICS

can be labelled determinist, demystifying and voluntarist. The explanations are not mutually exclu­ sive, though often presented as such.

economics, socialist

See SociALIST ECONOMICS Determinist explanations

economy, evolutionary processes in the EVOLUTIONARY PROCESSES IN THE ECONOMY

See

There are two kinds of

determinists. First, those who argue that individ­ uals differ biologically in intelligence and/or that

EDUCATION AND SOCIAL THEORY

193

groups (blacks, females, as against whites, males)

the formal requirements of national and local gov­

differ on average in biologically determined intelli­

ernments, and informally shaped by the pressures

gence and this explains outcome differences. The

exerted by parents, governors and local commerce

literature on this kind of determinism is both vast

or industry. The conjunction of formal require­

and vastly overrated, since very few if any policy

ments and informal pressures actually conspires to

conclusions are clearly derivable from it, whatever

ensure that the recognition and reward of individ­

the truth of the matter is. For example, suppose

ual merit is only one of several conflicting goals

some children just are cleverer than others. What

which schools pursue. Schools also have a 'hidden

1971)

follows about their education and the education of

curriculum' (Snyder,

those who are less clever? Absolutely nothing, since

rewards conformity to its norms of good behaviour

which recognizes and

1990).

the most obvious consequent question is this:

and acceptable self-presentation (see Ball,

should those who are cleverer get more/better edu­

These norms are not neutral as between groups,

cation (to benefit the rest indirectly) or less (since

but instead systematically discriminate by class and

they don't need it)? And nothing in the mere fact of

gender. So, to take a less than obvious example, at

differences helps settle this question. Most educa­

secondary school level the norm of neat handwrit­

tional systems tacitly acknowledge difference and

ing would seem systematically to favour girls,

and on

though the 'reward' is actually acceptability for

those who are notably handicapped and identified

work which has low rewards, and moderate status,

spend more

both

on those who are cleverer

such as clerical and secretarial employment. No girl

as having special educational needs. The second kind of determinist argues from society, rather than biology, showing how children

in her right mind should allow herself to have neat hand writing.

come to school advantaged or burdened by their

In general, says the demystifying sociologist,

social (class, educational, status) background. Con­

schools are not 'neutral' social locations, helpless

sequently, relative success and failure in school is

in the face of'external' social determinations. Their

determined by the assets or burdens children bring

own institutionally embedded practices shape out­

with them, and schooling itself cannot compensate

comes differentiated by class, gender and other

for society - the school is a causally less powerful

irrelevant discriminators, such as ethnicity.

agent than home or community (see Halsey et al.,

1980).

Voluntarist explanations

The actual mechanisms of social determination

Both the determinist and

the demystifier are, in effect, assuming not only the

are many and various. If at home there are no books,

plasticity but also the passivity of the school pupil.

nowhere to study, no wordprocessor facility to pro­

But it may be that children are themselves active in

duce elegant coursework, mum and dad are always

shaping their own destinies, and from an early age.

arguing, the baby doesn't sleep, and your mates are

They have their own perceptions of their origins

always knocking on the door for a game of football­

and aspirations towards social distinction: they

well, what chance a good exam result in history?

want to be doctors, nurses and pop stars. They do

(See also

RELATIVE DEPRIVATION).

or do not want to follow dad down the pit. In this context, teachers may or may not represent a status

Demystifying explanations

Schools are themselves

or set of values with which pupils can identify or to

social institutions, staffed by teachers whose pre­

which they can aspire. And this is important be­

cise social class or status has been the subject of

cause it can shape an orientation to the whole busi­

1981).

ness of learning. In an influential study, Paul Willis

considerable debate (see Ozga and Lawn,

The reality of schools may, and in fact does, diverge

(1977)

from their rhetoric. So, for example, a formal com­

the fact that working-class kids get working-class

has argued that part of the explanation for

want

mitment to equality of opportunity does not guar­

jobs is simply that they

antee that a teacher treats girls and boys in such

tively reject the more 'white-collar'

such jobs; they posi­

ways that both have equal chances of succeeding in

school, which is not that of their families of origin.

that teacher's classroom. Indeed, the evidence is,

The way teachers behave and live (a subject of some

overwhelmingly, that teachers- male and female ­

fascination to most pupils) does not strike them as

discriminate in their treatment of boys and girls in

something to be copied or sought after.

CULTURE of the

1983).

Whatever mix of explanations is the right one,

In addition, schools are shaped as institutions by

working-class kids get working-class jobs and girls

educationally significant ways (Stanworth,

194

ELITE THEORY

end up doing women's work. Social and sexual

succeed in the most unlikely circumstances. There

mobility is always much less than anyone commit­

are very few schooling systems which cannot boast

ted to equality of opportunity can be satisfied with.

their poor boys made good, and a biographical

Detailed sociological work on the reproduction of a

approach to the study of their success may highlight

stratified labour force is offered within the British

factors overlooked in macrosociological approaches

tradition by Halsey et al. (1980) and from an Ameri­

to the study of education. (For rather different uses

can Marxist perspective in Bowles and Gintis

of a biographical approach, see Hoggart,

(1976).

Lacey,

1957, and

1970.)

Some have sought to ensure that schooling be­ comes a more powerful influence than origin, for example by lengthening the period of compulsory schooling, by ensuring that each school takes in some pupils at every level of ability, and by down­ grading the culture of 'useless' knowledge (Latin

Reading Bowles, S. and Gintis, H. 1976: Schooling in Capitalist America. Halsey, A. H., Heath, A. and Ridge, J. M. 1980: Origins and Destinations: Family, Class and Education in Modern Britain.

and Greek, for example), the main motive for the

Illich, I. 1971: Deschooling Society.

acquisition of which is, or would be, the desire to

Willis, P. 1977: Learning to Labour.

mark social distinction (see Bourdieu,

1979).

TREVOR PATEMAN

Others have become critical of the institution of schooling itself. From the NEW

LEFT,

Ivan

elite theory

The word elite was used in France in

Illich argued in the very influential Deschooling

the seventeenth century to describe goods of par­

Society

(1971) that schools privilege certification

ticular excellence, and somewhat later was applied

over actual competence, unreasonably restrict the

to superior social groups of various kinds, but it was

domain of what counts as worth learning, and pre­

not widely employed in social and political thought

scribe restrictive and unhelpful modes of learning­

until the end of the nineteenth century, when it

as I write that last phrase, it occurs to me that

began to be diffused through the sociological theor­

tomorrow my daughter will put on a new collar

ies of elites propounded by Vilfredo Pareto (191619) and, in a somewhat different form, by Gaetano Mosca (1896). Pareto began with a very general

and tie without which she will not be allowed to learn anything. It is her first day at an ordinary English comprehensive school. The N EW

RIGHT

definition of the elite as those people who have the

has adapted to its own purposes

highest indices of ability in their branch of activity,

some of the themes of the New Left critique of

whatever its nature, but then concentrated his at­

schooling, expressed as the idea of producer­

tention on what he called the 'governing elite',

capture: teachers have set their own agendas for

contrasted with the nongoverning masses. This

schools when it should be parents who set agendas

conception owed something to Mosca - the first to

for teachers.The New Right then argues for break­

attempt the construction of a new science of politics

ing up schooling monopolies and for enfranchizing

based on the distinction between elite and masses -

the consumer.

who summarized his general conception by saying

Both New Left and New Right thinking is

that in all societies one obvious fact stands out;

at odds with those central, social democratic and

namely, that 'two classes of people appear - a class

liberal democratic conceptions - such as John

that rules and a class that is ruled.'

(1966) - which see schooling as a leading

The elite theories were directed against socialism

institution in the creation of a just, democratic and

(especially Marxist socialism) and to some extent,

unified society. And within the Marxist tradition,

notably in the case of Pareto, against democratic

Antonio Gramsci expresses positive approval of the

ideas. They contested the Marxist concept of a

Dewey's

kind of traditional schooling system of which he

'ruling class' whose political power was based on

1979).

the ownership of the means of production, by argu­

Gramsci's case should also serve to make us aware

ing that ruling groups were characterized by super­

was an individual beneficiary (Entwistle,

that while sociologists have generally occupied

ior abilities and by being 'organized minorities'

themselves with explaining why children fail at

whose 'dominion ...over the unorganized majority

school, there is also another interesting research

is inevitable' (Mosca,

question which asks why certain children who

was pursued further by denying that a 'classless

ought by all sociological accounts to fail actually

society' as envisaged by most socialists, or democ-

1896, p. 50). The argument

ELITE THEORY

195

racy in the sense of 'government by the people',

rules politically, but unlike Aron he conceived this

could ever be attained. Mosca, however, eventually

elite as unifying three separate groups in American

developed a more complex theory in which he rec­

society (the heads of business corporations, political

ognized the importance of property ownership in

leaders and military chiefs) and his analysis seemed

constituting the organized minority (or 'political

to lead to a reassertion, in a qualified form, of the

class'); the influence on government of diverse

ultimate determining force of property ownership.

'social forces', representing different interests in

Much of the extensive research on elites since

society; the importance for political stability of a

World War II has been concerned with the recruit­

subelite comprising, in effect, the 'new middle

ment and the social role of particular elite groups -

class'; and the possibility in a parliamentary democ­

political leaders, company executives (especially in

racy for the unorganized majority, through its rep­

large corporations), high-ranking officials, military

resentatives, to have some control over government

chiefs, and intellectuals - in different societies, and

policy.

it has been an important element in studies of social

The works of Pareto and Mosca had a pervasive

mobility (Heath, 1981). More generally, elite the­

influence. Max Weber, in a similar way, rejected the

ories have been at the centre of controversies about

idea of government by the people and redefined

the relation between elites and democracy. Karl

democracy as 'competition for political leadership',

Mannheim, who had originally connected the elite

in which he was later followed by]. A. Schumpeter

theories with fascism and with anti-intellectualist

(1942); and in his arguments against socialism he

doctrines of 'direct action', later argued that dem­

emphasized the relative independence of political

ocracy and elites were not necessarily incompatible:

power, asserting that a socialist revolution was more

in a democratic society there would be 'a new mode

likely to establish the dictatorship of officials than

of elite selection and a new self-interpretation of the

the dictatorship of the proletariat (Weber, 1918).

elite', together with a reduction of the distance

From another aspect, Weber's close associate

between the elite and the rank-and-file (Mannheim,

Roberto Michels, in his study of political parties,

1956, p. 200). In the 1960s, however, the left-wing

argued that all of them (including socialist parties)

radical movements renewed the attack on elitism in

an oligarchical structure,

their advocacy of 'participatory democracy', and

resulting in domination by the leading officials.

although some of these movements have declined

inevitably

developed

Both Weber and Michels attributed primary im­

during the past decade their criticisms of elite rule

portance in political leadership to elites as well as

are still influential in the green parties and among

'charismatic' individuals (Beetham, 1981; Momm­

the advocates of self-management.

sen, 1981 ), and their ideas had a considerable influ­

In post-war social thought the theory of elites has

ence on later social thought. Raymond Aron (1950)

become less an alternative to the theory of classes

attempted a synthesis of 'class' theory and 'elite'

than a complement to it, especially in analysing the

theory through an analysis of the relation between

nature of political domination in socialist countries

SOCIAL DIFFERENTIATION and political hierarchy in

(themselves involved since the end of the 1980s in a

modern societies, and followed Weber in arguing

process of radical change in which both classes and

that 'inequality in political power is in no way elim­

elites play a part). What now seems most important

inated or diminished by the abolition of classes, for

is the relation of elites to democracy, and the new

it is quite impossible for the government of a society

issues posed by more recent versions of elite theory

to be in the hands of any but a few'. In this text and

for conceptions of the further evolution of democ­

elsewhere (Aron, 1964) he also used the elite con­

racy in the advanced industrial societies (Albertoni,

cept to make a distinction between the 'plurality of

1987, part 2).

elites' in democratic capitalist societies and the 'uni­ fied elite' in 'classless' societies (and more specifi­ cally in the USSR); and these writings were a major contribution to the controversies about the emer­ gence of a new ruling class or dominant elite in the

Reading Albertoni, E. 1987: Mosca and the Theory ofElitism. Aron, R. 1950 (1993): Social structure and the ruling class. In Aron, Power, Modernity and Sociology, 2nd edn.

socialist countries. C. Wright Mills (1956), much

Bottomore, T. 1964 (1993): Elites and Society.

influenced by Weber, also used the term 'power

Mannheim, K. 1956: Essays on the Sociology of Culture.

elite' in preference to 'ruling class', which he

Michels, R. 1911 (1962): Political Parties.

thought assumed too easily that an economic class

Mills, C. W.: 1956 The Power Elite.

196

EMBOURGEOISEMENT

Mosca, G. 1896

(1939): Elementi di scienza politica (2nd

revised and enlarged edn 1923). The English version edited by Arthur Livingston under the title

The Ruling

Class conflates these two editions. (1963): A Treatise on General Soci­ ology, 2 vols. Schumpeter, J. A. 1942 (1987): Capitalism, Socialism and Democracy, 6th edn. Pareto, V. 1916-19

TOM BOTTOMORE emancipation

Used in the nineteenth century

to refer to the freeing from legal restrictions of European Jews, Russian serfs and American slaves, the terms 'emancipation' and 'liberation' have retained links with the imagery of slavery. Along with motifs from the French revolution and the workers' movements, these formed the rhetoric of

Reading Bhaskar, R. 1986:

Scientific Realism and Human Emanci­

pation. Easlea, B. 1973

(1981): Liberation and the Aims ofScience. An Essay on Liberation.

Marcuse, H. 1969:

WILL! AM OUTHWAITE

embourgeoisement

This term refers to the al­

leged process by which sections of the working class are incorporated into the middle classes (or bour­ geoisie). Embourgeoisement really represents a col­ lection of ideas and may be assessed by comparing the situations of the working class with that of the lower middle class along the following three dimen­ siOns:

anti-colonial 'national liberation movements' (see

Market situation. How do rates of pay, hours of

Fanon, 1961).

work, promotion prospects and pension and

Mary Wollstonecraft (1792) had pointed to the similarities between the condition of women and

holiday entitlements compare? 2

that of slaves, and women's movements have

'emancipated' woman was associated with an un­

conventional lifestyle.) (See also WoMEN's MOVE­

situation. For

example,

do

manual

workers have a similar degree of autonomy to

traditionally used the terms emancipation and liberation. (Outside these movements, too, the

Work

that enjoyed by, say, clerical workers? 3

Aspirations, status, politics and mores. Are members

of

the

working

class

adopting

middle-class values, for instance?

MENT. )

In other areas of radical thought, these terms are

Historically, the last of these dimensions has

often used as alternative or complementary to a

commanded most interest. Engels, for example,

vocabulary of social revolution, notably in critical

referred to the way that English workers craved

theory (see FRANKFURT SCHOOL) . Herbert Marcu­

respectability and thought politically in the same

Essay on Liberation (1969) extended traditional

way as the bourgeoisie. Later on in the 1930s, Max

socialist conceptions of liberation to incorporate

Adler bemoaned the presence of petit bourgeois

se's

ideas from the student and hippy movements, and

ideals which made workers abandon the prospect

from women's and gay liberation.

of revolutionary transformation in favour of grad­

Ji.irgen Habermas's more austere concept of a

ual social improvement. Theodor Geiger similarly

'knowledge-guiding interest' in emancipation char­

argued that the class structure of the twentieth

acterizing 'critical' sciences such as psychoanalysis

century was changing as workers became more

and the Marxist critique of ideology was also ex­

petit bourgeois in their habits.

tremely influential as an alternative to the ideal of

More recently the notion of embourgeoisement

value freedom (see VALUES) . In Habermas's model,

was extensively discussed in British sociology in the

emancipatory sciences combine the study of causal

period after World War II, chiefly under the influ­

processes to be found in empirical science with the

ence of the important study,

transformation of our understanding of ourselves to

(Goldthorpe, Lockwood, Bechhofer and Platt,

The Aifluent Worker

be obtained from HERMENEUTics; they involve the

1969). Goldthorpe and his colleagues set out to

identification and removal of causal obstacles to

test the claim that as the living standards of many

understanding such as psychological blocks and

manual workers were rising, so they adopted

dominant social ideologies. The existing links be­

many middle-class habits and lifestyles. Broadly,

tween science and domination and the possible

the authors did not find this but discovered instead

contribution of science (including social science)

important areas of common social experience which

to human emancipation have been an important

were distinctively working class. However, the

theme in critical theories of science (Easlea, 1973). See also FREEDOM.

study also pointed towards a process of normative convergence between certain manual and non-

EMPIRICISM manual groups, which meant for the former a shift

197

is, necessary connections in nature- and thence to a

away from a community-oriented form of social life

problem about the status of laws). Characteristic of

towards the importance of the conjugal family, a

PosiTIVISM generally, empiricism has been the

definition of work in terms of material reward, and a

dominant epistemology and theory of science for

certain lessening in class consciousness. Although the concept of embourgeoisement

most of this century; but it has also extended its influence into ethics (as emotivism), linguistics and

refers specifically to the erosion of the boundary

psychology (as behaviourism) and social science

between the upper reaches of the working class and

generally. In its perhaps most influential phase it

lower elements of the middle class, it is also clearly

assumed the shape of the logical empiricism of the

part of a wider debate about the significance of class

Vienna circle of the 1920s and 1930s, which initially

boundaries and class struggle in advanced societies.

married Ernst Mach's sensationalist epistemology

So the debate about embourgeoisement is related to

with Russell and Wittgenstein's logical atomism,

the parallel argument concerning the alleged prole­

and whose leading members were M. Schlick, R.

tarianization of certain middle-class occupations,

Carnap and Otto Neurath.

such as clerical and retail work. Ironically some Marxist sociologists, in arguing that the position

The structure of empiricist epistemology over the last century is squarely based on:

of clerical workers is becoming more like that of the working class, are effectively saying that class

P�, the principle of empirical-invariance, viz. that

boundaries are becoming less well defined.

laws are or depend upon empirical regularities; and Pz, the principle of instance-confirmation (or falsifi­

See also CLASS.

cation), viz. that laws are confirmed (or falsified) by their instances.

Reading Goldthorpe, J. H., Lockwood, D., Bechhofer, F. and Platt, J. 1969: The A.f!luent Worker in the Class Structure.

The definition of the instances may be ostensive or

Marshall, G., Newby, H., Rose, D. and Vogler, C. 1988:

operational (P. W. Bridgman); and if ostensive,

Social Class in Modern Britain. Wright, E. 0. 1985: Classes. --

either physicalist (Neurath) or phenomenalist the dominant response to problem (a), on which

2000: Class Counts. NICHOLAS ABERCROMBIE

objects were analysed as actual or possible sense­ data, but which came under damaging criticism from Wittgensteinians and the Oxford school of

empiricism

An ensemble of theories of explan­

LINGUISTIC PHILOSOPHY led by John Austin and

ation, definition and justification of our concepts

Gilbert Ryle after mid-century. PI is susceptible

and/ or knowledge is denoted here, to the effect that

of descriptivist and instrumentalist (Ryle) inter­

they are derived from and/ or to be explicated (and/

pretations; and of transcendental idealist as well

or justified) in terms of sense-experience (or intro­

as strictly empiricist ones. Pz is susceptible of

spection).

inductivist

Typically empiricists have assumed

(Carnap)

and

falsificationist

(Karl

knowledge to be established by induction from (or

Popper) interpretations; and of conventionalist as

tested by adversion to) incorrigible, or at least unin­

well as positivist ones. Flowing from PI and Pz are

ferred, observation statements. This has always

theories of the explanation of events, laws, theories

raised problems about the status of mathematical

and sciences - deductivism - of the symmetry of

propositions (argued by]. S. Mill and, in the late

explanation and prediction, and of the develop­

twentieth century, David Bloor, to be empirical),

ment of science as monistic, and of confirmation

apparently synthetic a priori principles, such as the

or corroboration and falsification, and of scientific

uniformity of nature (conceded by Bertrand Russell

rationality (see Bhaskar, 1975, appdx to eh. 2).

to be a limit to empiricism) and of empiricism itself

Philosophy of science during the third quarter of

(is it analytic, and therefore in John Locke's phrase

the century called into question the sufficiency of

'trifling', as Wittgenstein was prepared to concede;

PI and Pz; while in the final quarter of the century

or merely empirical, and therefore subject to in­

the work of Bhaskar questioned the necessity of PI

ductive doubt?). Moreover in its canonical Humean

and Pz as well, replacing the underlying ontology of

form, empiricism readily leads to scepticism about

empirical realism with the stratified and differen­

the existence of (a) objects independently of our

tiated ontology of transcendental realism and pro­

perception of them and (b) natural necessity (that

viding a realist counter to empiricist problem (b) in

198

EMPIRICISM

a defence of the idea of the necessity and universal­

cist model had led hermeneuticists and dualists

ity (analysed as non-empirical transfactuality) of

(such as Habermas) to exaggerate the differences

laws. Transcendental realism made possible a

between the social and natural sciences. Particular

non-Kantian sublation of empiricism and rational­

attention was paid to the limits to measurement

ism, in which it was shown how, in the develop­

and quantitative investigations in the social sciences

ment of science, we could come to have knowledge

and to the effects of empiricism (for instance, in

of natural necessity a posteriori.

generating interactionist and reductionist regresses

It is worth going into the demise of twentieth­

in the search for closure) in the social sciences.

century empiricism in some detail. To some extent

Behaviourist psychology came under a fusillade

logical empiricism collapsed under the weight of its

from a variety of quarters, including Erving Golf­

own internal aporiai (see KNOWLEDGE, THEORY OF) .

man, Harold Garfinkel's ethnomethodology, and

N. R. Campbell in the 1920s had already argued

social psychology formed in a Wittgensteinian and

against the sufficiency of the deductivist theory of

Vygotskian mould. The empiricist model of lan­

explanation, maintaining that models were indis­

guage learning, associated particularly with B. F.

pensable to intelligibility in science. His legacy was

Skinner, and language generally, came under heavy

taken up by philosophers such as Scriven, who

attack from Noam Chomsky's rationalist and deep

launched a major assault on the idea of the sym­

structuralist linguistics. The international recep­

metry of explanation and prediction, S. E. Toul­

tion in the 1970s of the ideas of V olosinov and

min, M. B. Hesse and especially Rom Harre, who

Bakhtin (first formulated in the 1920s) and the

argued that models could denote generative mech­

development of structuralism from Ferdinand de

anisms and causal structures which could come to

Saussure through Claude Levi-Strauss led to the

be empirically established - either by a direct per­

emergence of semiotics - or a structural science of

ceptual or an indirect causal criterion - as real, a

signs - in the hands of practitioners as varied as

surmise readily supported by the history of sciences

Roland Barthes and M. Pecheux. All this was per­

such as physics and chemistry. At the same time the

ceived as involving a critique of the subject-object

work of Popper, Thomas Kuhn, I. Lakatos and P.

identity, isomorphism or correspondence assumed

F eyerabend undermined the credibility of the asso­

by empiricism.

ciated monistic theory of scientific development,

In the 1980s there was a partial resurgence

registering the magnitude of the scientific changes

of empiricism in the work of writers such as B.

which had occurred in the twentieth century. The

van Fraassen and N. Cartwright. More usually,

reductionism and atomism implicit in the entailed

empiricism tended to mutate (Outhwaite, 1987a,

theory of scientific language came under fire from

eh. 2) into some form of conventionalism, pragma­

W. V. 0. Quine, W. Sellars, N. R. Hanson and

tism such as represented by Richard Rorty, or

others. They argued that observational predicates

even super-idealism as in the varieties of poststruc­

were attached to the object world in a much

turalism and postmodernism generally, on which

more complicated, nonisomorphic and theory­

criteria of objectivity, truth and human need tended

dependent way than empiricists had typically as­

to get altogether lost. Meanwhile a spin-off of

sumed.

the critical realist critique of empiricism was a

Meanwhile the champions of hermeneutics -

reassessment of Marx's work as antiempiricist

most notably perhaps H.-G. Gadamer and P.

but not (contrary to the characteristic Western

Winch - had questioned the applicability of the

Marxist interpretation) antiempirical and of dia­

empiricist model to the social domain. Both the

lectical materialism as itself involving a form of

theory and practice of empiricist social science

objectivistic empiricism. As the century draws to a

have been criticized by antinaturalist and anti­

close, among the topics under investigation are the

empiricist naturalist writers concerned to stress

conditions of the possibility and effects of empiri­

the specificity of the human sciences. Particularly

cism itself (with its reification of facts and tacit

influential here was Ji.irgen Habermas's argument

personification

that positivism, in its preoccupation with the ob­

breakdown of the fact-value and theory-practice

(humanization)

of

things);

the

servable and manipulable, reflected a form of tech­

distinctions (at least in the social domain) with

nical-instrumental practice embodying only one

which empiricism has characteristically been asso­

limited human interest. At the same time critical

ciated; and the renewed possibility of realism

naturalists such as Bhaskar argued that the empiri-

in ethics.

ENLIGHTENMENT

199

served scientifically could only be the subject of

Reading Bhaskar, R. 1975 (1978): A Realist Theory ofScience, 2nd edn.

speculation and conjecture. A final assumption of the Enlightenment was that the universe had been created by a beneficent Providence, that scientific

Bloor, D. 1976: Knowledge and Social Imagery. Chomsky, N. 1959: Review of B. F. Skinner's Verbal

laws had been designed with a view to human happiness. Rational action therefore meant con­

Behaviour. Language 35, 26-58. Habermas, J. 1968 (1971): Knowledge and Human Interests.

formity to a system that was morally self-validating.

Harre, R. and Madden, E. 1975: Causal Powers: a Theory

The 'invisible hand' of Providence ensured that

ofNatural Necessity. Lovibond, S. 1983: Realism and Imagination in Ethics. Scriven, M. 1962: Explanation, prediction and laws. In Minnesota Studies in the Philosophy ofScience vol. 3, ed. H. Feigl and G. Maxwell. Volosinov, V. N. 1929 (1973): Marxism and the Philosophy ofLanguage.

ROY BHASKAR

the individual's pursuit of enlightened self-interest would always be conducive to the welfare of society as a whole (see also UTILITARIANISM). The science that underpinned these beliefs was mainly physics; in other words, the study of forces acting in a timeless present. Biology, with its emphasis on growth and change, did not begin to make substan­ tial progress until the second half of the eighteenth

Enlightenment

The Enlightenment was more

century. The thought of the Enlightenment conse­

a way of thinking than a movement. Broadly speak­

quently tended to be somewhat static, in its pre­

ing, it was a consequence of the 'scientific revolu­

occupation with how things worked, rather than

tion' of the late seventeenth century that had

with how they had become what they were. Alex­

transformed most educated people's conception

ander Pope's Essay on Man, of 1733, offers a con­

of the world they inhabited. In the first place,

venient summary of the collection of attitudes to

Nature was thought to be regulated by an interlock­

which most of the men of the Enlightenment sub­

ing system of universal laws, of which gravitation

scribed.

was a prime

example.

Hitherto

it had

been

These

common

assumptions

took

different

regarded as a collection of unrelated phenomena,

forms when Enlightened thinkers addressed them­

often the product of divine intervention, and hence

selves to the problems of the specific societies in

as a source of moral lessons to 'Man'. Secondly,

which they lived and in which they were welcomed

Man, despite possession of an immortal soul, in

or proscribed. This is particularly evident in the

which most of the writers of the Enlightenment

matter of religion. Whatever else it might imply,

continued to believe, was in all other respects

the Enlightenment stood for religious toleration

a part of Nature. Human society was therefore

and the assumption that whatever was conducive

regulated by general laws - such as those of eco­

to human happiness was also in accordance with the

nomics or sociology - which corresponded to the

will of God. On the whole, the Protestant churches

scientific laws that controlled the material universe.

assimilated themselves to what then tended to

Man's understanding of himself and of society

become a new orthodoxy. In the process the con­

could only be achieved by the scientific methods

ception of God and of Man's place in the world held

of observation and deduction that enabled him

by the clergy evolved in ways that tended to reduce

to grasp the principles that governed the behaviour

the distance between the secular and the spiritual.

of matter. He was admittedly exceptional in his

This was broadly true of Lutheran Germany and of

possession of a highly developed intelligence that

Anglican England. In Scotland the Enlightened

enabled him to engage in abstract thought and

attitudes of the educated - and Anglicized - laity

even to think about thinking, but, as John Locke

had a harder fight against Calvinist doctrine. In

claimed to have demonstrated, ideas were not

Catholic Europe on the other hand, the Enlighten­

the product of a special sense or of divine inspir­

ment fell foul of a more dogmatic church and of

ation. They were induced by Man's capacity to

political regimes that were more inclined to equate

process the information that he received through

political stability with intellectual and religious uni­

his senses.

formity.

The Enlightenment was therefore both liberat­

Although Enlightened attitudes pointed towards

ing and restricting. It offered the prospect of the

some general conclusions, for example, to eco­

indefinite expansion of knowledge while at the same

nomic liberalism and the belief that the type of

time denying metaphysics. What could not be ob-

government best suited to a particular state was

200

ENTREPRENEURSHIP

determined by its size, economic structure and

tuted the truths of emotion for those of reason, and

geographical situation, the proponents of the En­

to a revival of traditional religion.

lightenment were sometimes welcomed by their

See also RATIONALITY AND REASON.

governments and sometimes seen as threatening them. This in turn affected the political conclusions

Reading

that they drew from their theories. Montesquieu

Becker, C. L. 1932:

and Burke had a great deal in common but the former was one of the oracles of the French Revo­ lution and the latter one of its leading intellectual opponents. Belief that economic matters were best left to the beneficent operation of Providential laws in­ spired an almost universal conviction that economic liberalism was a scientific law. Where politics was concerned there was no such consensus. To some extent this was due to divergent views of human

The Heavenly City of the Eighteenth­ century Philosophers. Cassirer, E. 1951: The Philosophy of the Enlightenment. Gay, P. 1967-9: The Enlightenment, An Interpretation, 2 vols.

Hampson, N. 1968: Hazard, P. 1935

The Enlightenment. (1953): The European Mind,

trans.

J. Lewis May. --

1946 (1954): European Thought in the Eighteenth

Century,

trans. J. Lewis May.

Yolton, John W. et al. eds 1991:

Blackwell Companion to

the Enlightenment.

nature that emphasized either the rationality of

NORMAN HAMPSON

people or the extent to which they were conditioned by the society in which they grew up. The Enlight­ enment could opt for either autocratic rule by a government dedicated to the pursuit of scienti­ fic policies, which was assumed to be the case in the Prussia of Frederick II, or for making political power reflect the opinions and beliefs of the population as a whole, or at least of its property­ owners, as allegedly happened in Great Britain. During the second half of the eighteenth century the Enlightenment was challenged by a revulsion against what was seen as a mechanistic conception of the universe, a denial of the truths of insight

entrepreneurship

Alertness

to

opportunities

for pure profit is the essence of the entrepreneurial function. In speaking about entrepreneurship we are not talking about specific individuals, that is, entrepreneurs, but rather the function of entrepre­ neurship and its analytical importance in under­ standing the nature of the competitive market process.

Economic man and homo agens Human action consists of the continuous attempt to

and emotion and an evasion of the conflict between

substitute an imagined better future state of affairs

inclination and duty. Jean-Jacques Rousseau in

for the current unsatisfactory state. Human beings

particular, although he shared some of the assump­

must arrange and rearrange their means to obtain

tions of the Enlightenment,

based his theory

the ends sought in a more effective manner. The

of popular sovereignty on a concept of the moral

notion of economizing, that is, the allocation of

regeneration of the individual by society that de­

scarce means among competing ends, captures

rived its dynamism from conscience and an intui­

only a small aspect of human action. There is an

tive morality. Although the Enlightenment was

element of human action which cannot be analysed

nowhere identified with a programme of political

within the economizing and maximizing mode

revolution, it contributed to the belief that all polit­

and eludes our understanding if we try. That elem­

ical problems admitted of rational solutions. The

ent is the entrepreneurial aspect of all human action.

men who found themselves in control of France

Within the standard model of economic behav­

(homo oeconomicus)

in 1789, in their overwhelming majority, shared

iour, rational economic man

its assumptions. The subsequent history of the

maximizes his utility in a framework of given ends

French Revolution,

and means. Such mechanical instrumental ration­

culminating in

the Reign

of Terror, was widely, if not altogether logically,

ality, however, limits the analysis to the allocation

assumed by its opponents to be the punishment

problem that follows from the juxtaposition of

for human presumption. As a prevailing orthodoxy

scarce means and competing ends. Within this per­

the Enlightenment expired during the Revolution­

spective, the choice-making process is simply a

ary and N apoleonic period, giving way to more

problem of applied mathematics. Human action,

collectivist conceptions of society, whether socialist

though, encompasses much more than the compu­

or idealist, to a Romantic movement that substi-

tation of a solution to a maximizing problem. It also

ENTREPRENEURSHIP

201

encompasses the perception of the ends and means

competition should not assume what it sets out to

framework within which economizing activity is to

explain- namely the tendency toward equilibrium.

transpire. Homo agens (the 'human actor') not only

Standard economic analysis of competitive equilib­

possesses the propensity to pursue goals effectively,

rium, however, does just that by postulating an

once ends and means are clearly identified, but also

equilibrium state that an adequate explanation of

possesses the alertness to identify which ends are to

the competitive process ought to explain as a con­

be sought and what means are available.

sequence of this process. If, on the other hand, we

Only within an open-ended framework of means

study the dynamic market as a competitive process

and ends can we begin to understand the nature of

of learning and discovery, then the crucial role of

the entrepreneurial element evident in all human

entrepreneurship in economic coordination can be

action and the entrepreneurial market process that

understood. The entrepreneur responds to the cur­

follows. On the other hand, if we simply view

rent disequilibrium situation,

human choices within a given framework of means

missed opportunities, in a manner which prods

characterized by

and ends, as much of neoclassical economics in the

the system towards the mutual adjustment and

twentieth century tended to do, then the entrepre­

coordination of previously discordant elements. In

neurial role is not so much misunderstood as simply

this manner, the entrepreneur exercises alertness to

ignored and the vision of the market is one of a

opportunities for pure profit and in so doing moves

static equilibrium state and not the dynamic market

the system towards the hypothetical state of equi­

process we sought to understand and explain in the

librium. Of course, before the system attains this

first place. In competitive general equilibrium there

equilibrium state, changes in the underlying eco­

is no role for entrepreneurship by definition.

nomic reality reveal new inefficiencies. But, only by

As long as economists focus their attention on the

recognizing the human propensity to learn from

mechanical allocation of scarce means among com­

experience in the market and to adjust expectations

peting ends within a given framework, the dynamic

and alter plans accordingly, can we begin to answer

nature of market activity will elude their under­

the crucial questions concerning the forces that

standing. The entrepreneurial role only becomes

bring about changes in the buying, selling, produ­

important to our understanding of economic life

cing and consuming decisions that compel the

in a world of uncertainty and continuous change,

multitude of individuals within economic society

a world outside of equilibrium.

to act in concert with one another. The very existence of current inefficiencies mo­

Two views of entrepreneurship

tivates the entrepreneurial market process. By being alert to possible opportunities to arrange

There are basically two views of the function of

better or rearrange resources for the satisfaction of

entrepreneurship in economic activity. One view,

ends, the entrepreneur coordinates economic activ­

associated withJoseph Schumpeter, maintains that

ity. The entrepreneur is an endogenous force

entrepreneurship is the catalyst for innovation

within the market which eliminates inefficiency.

in economic life. The innovative entrepreneur dis­

The discrepancy between the existing array of

turbs the existing equilibrium, initiates change and

inefficient prices and the imagined future array

creates new opportunities. Although the system

motivates alert economic actors, in search of pure

settles into a new equilibrium after each burst

profit, to discover better and more effective ways

of entrepreneurial innovation, the Schumpeterian

to satisfy consumers (or achieve ends). The com­

entrepreneur is fundamentally a disequilibrating

petitive market process is a process of learning

force in economic activity. Thus, in Schumpeter's

and discovery and its logic depends crucially on

analysis, the entrepreneur is introduced as an ex­

understanding the coordinating role of entrepre­

ogenous force of change to prod the economy from

neurship.

one equilibrium to another. The other view, associated with Ludwig von

See also SOCIALIST CALCULATION; COMPETITION; AUSTRIAN ECONOMICS.

Mises and his student Israel Kirzner, emphasizes the equilibrating role of the entrepreneur in eco­

Reading

nomic life. The real world of pervasive ignorance,

Baumol, W. J. 1968: Entrepreneurship in economic

uncertainty and change is incapable of settling into an equilibrium position. Any analysis of market

theory. American Economic Review 58. Buchanan, J. M. 1979: What Should Economists Do?

202

ENVIRONMENTALISM

Kirzner, I. 1973: Competition and Entrepreneurship.

Dewey. Dewey's philosophy was continuous, in

--

1979: Perception, Opportunity and Profit.

its emphasis on human malleability, with the

--

1985: Discovery and the Capitalist Process.

Schumpeter, J. 1911 (1961): The Theory ofEconomic De­ velopment. --

1942: Capitalism, Socialism and Democracy.

von Mises, L. 1966: Human Action: a Treatise on Econom­ ics, 3rd rev. edn. PETER

environmentalism

J.

BOETTKE

In its broadest sense this

may be defined as any perspective which empha­ sizes or values the role of external conditions and forces, as against inner structures and processes, in

broad Western tradition stemming from the En­ lightenment. Watson and the behaviourists con­ centrated their fire against the concept of the 'instincts', vigorously asserting the role of learning and the environment in individual development, while the cultural anthropologists selected specifi­ cally sociocultural process as the pertinent environ­ mental focus in the shaping of beliefs, values and personality. Though

these

controversies

have

persisted

throughout our century, the term 'environmental­

shaping the growth and development, capacities

ism' has acquired more specific connotations since

and activities of beings -especially human beings.

World War II. In this sense, 'environmentalism'

Biological theories of evolution, for example, can be

covers a range of social and political movements

divided into those which represent the historical

and value perspectives which share a concern to

emergence of new species as an unfolding of poten­

protect or improve the quality of the rural, urban,

tials already present in the earliest forms of life, as

domestic or working contexts of modern social life.

against those (such as Darwin's) which explain the

Modern anxiety about environmental deterioration

formation of new species as an effect of external

can be linked to the historical processes of industri­

conditions of life on populations of organisms. The

alization and urbanization, and in particular to suc­

history of embryology has been marked by a related

cessive waves of romantic cultural repugnance at

opposition between preformationist and epigenetic

their effects. It is commonly argued that the ebb and

theories. The post-Darwinian concern with the

flow of popular support for environmental move­

mechanism of biological inheritance led, in the

ments is linked closely to patterns of economic

decades around the turn of the present century, to

expansion. With relatively high levels of material

an intense dispute between advocates of 'nature'

affluence, attention is turned to issues -such as the

as against 'nurture' in the formation of individual

preservation of wilderness, the aesthetic appeal of

human attributes. Hereditarian views, advocated

the countryside and the physical squalor of the

by Francis Galton and Karl Pearson in Britain

urban environment - which reflect our interest in

and by C. B. Davenport in the USA were strength­

the quality of life. This hierarchy of policy prior­

ened by the emergence of the modern genetic

ities, according to which material affluence, na­

theory of inheritance and were quickly transformed

tional security and so on must be assured before

into popular movements for eugenic programmes

relatively low-priority questions of environmental

of'race improvement'. Controversial economic and

policy can enter the public agenda, is itself closely

social inequalities were explained and implicitly

connected with a widespread view of human needs

justified in terms of the biological inferiority of the

as also hierarchically ordered. Only when physical

lower classes, women, and non-European races,

and then emotional or relational needs are met is

while the talents and genius of prevailing elites

self-actualization through aesthetic and spiritual

were likewise attributed to hereditary superiority.

experience sought.

Measures to increase the reproductive rates of the

An aesthetic and spiritual valuation of nature and

better human stock and diminish the inferior, to­

a preference for an arcadian rural life in harmony

gether with outright support for genocide, were

with the countryside informed much of the envir­

advocated by many of these early twentieth-century

onmentalism of the twentieth century. Until the

hereditarians. More or less simultaneous environmentalist

1960s at least, this established a deep gulf between environmental conservationists, on the one hand,

manifestos appeared in anthropology, psychology

and a wide spectrum of'progressive' opinion which

and philosophy, in the shape of the cultural anthro­

favoured technological advance, economic growth

pology of Franz Boas, G. H. Mead, R. H. Lowie

and development and a scientific-rational approach

and A. L. Kroeber, the behaviourism of W. B.

to policy, on the other. Environmentalism was seen

Watson and the pragmatist philosophy of John

by many as an attempt to protect both a privileged

ENVIRONMENTALISM

203

style of life and an elite set of cultural values. But

agriculture, food, health, energy, transport and in­

against that one-sided view has to be set the contri­

dustrial development, and some having a 'single­

bution of a 'progressive' environmentalism which

issue' focus on such questions as countryside access,

had, since the nineteenth century, denounced the

wildlife preservation or environmental health.

environmental degradation of working-class resi­

This continued presence of environmentalism

dential districts, pointed out the links between en­

on the political agenda has been sustained by three

vironmental pollution, poverty and ill health, and

main conditions. First, a series of very high-profile

argued for environmentally informed approaches to

specific environmental disasters - at the Bhopal and Seveso plants and the 3-Mile Island and Cher­

architecture and urban planning. Since the 1960s the terms of debate concerning

nobyl nuclear reactors, and the Exxon Valdez oil

the environment have been radically transformed

tanker spillage -together with an increasingly en­

by two principal developments: the integration of

vironmentalist understanding of 'natural' disasters

scientific EcoLOGY into social and political thought,

such as famine and flooding linked to desertification

and the recognition of survival-threatening global

and deforestation. Second, the effect on the quality

impacts of human social and economic activity.

of life experienced by influential, educated and

Several highly influential texts of the early 1970s

articulate sectors of the population in the Western

put both of these issues high on the agenda of public

societies from the impact of rapid and unregulated

debate. Currently prevailing rates of resource de­

industrial and agricultural development (industri­

pletion, pollution impacts and population growth

alization and urbanization of the 'rural idyll';

were shown to be unsustainable in the long run,

adulteration, infection and chemical poisoning of

given a finite global 'carrying capacity'; worldwide

food; noise, pollution and congestion from general­

economic and population 'overshoot', and conse­

ized use of the private car; and so on). The spatial

quent catastrophe, was, sooner or later, inevitable

and social distribution of these costs is such that

unless radical changes were urgently implemented.

they cannot easily be evaded by the affluent or

'Environmentalism' had come to mean, not just

influential as could the by-products of earlier

concern at the loss of hedgerows or of rural tran­

phases of economic development. Third, increas­

quillity, but widespread panic at the prospect of

ingly well-publicized evidence of global environ­ mental impacts of actual or forseeable human

global annihilation. Despite methodological criticism of this wave of

activity - the 'nuclear winter', ozone depletion,

environmental tracts, and a certain reassertion of an

global warming and acid rain. These are, generally,

optimistic faith in technological 'fixes' for the en­

not directly experienced, but are increasingly intel­

vironmental side-effects of continued global eco­

ligible to educated publics.

nomic growth, environmental issues have not been

A link may be made between all these forms of

far from the headlines since the early 1970s, and

environmentalism in their common recognition

environmental protest and pressure groups have

of the dependence of humans for their personal

continued to grow in size, influence and diversity

fulfilment, physical, moral, intellectual and aes­

throughout the world.

thetic development, as well as mere survival, upon

As an organized social force, environmentalism

a complex web of interconnected social, economic

has taken three main forms: as 'ginger groups' or

and biophysical conditions and processes. Environ­

tendencies

reform

mentalists in the more specific, recent sense of the

within one or other of the dominant political

term have concentrated on the need consciously to

pressing

for

environmental

parties; as political parties in their own right, giving

regulate human activity with a view to the sustain­

a central place to environmental regulation and

ability of the conditions for it, especially the bio­

sustainability across the whole range of policy

physical conditions. Depending on the other moral

issues;

pressure

and political perspectives with which environmen­

groups. These latter are very diverse, some concen­

talism is combined, the perception of this need may

and

as

politically

nonaligned

trating on high-profile actions to raise awareness

be related to an analysis of the conditions for mere

and mobilize opposition to environmental abuses,

survival, to the aim of living a fulfilled, emancipated

authoritative

and convivial communal life, or to a 'deep eco­

'expert' advisers in official planning processes,

logical' commitment to the wellbeing of the bio­

some attempting to bring an environmental per­

sphere as a value in its own right.

spective to the whole range of policy fields such as

See also GREEN MOVEMENT.

some

seeking

'insider'

status

as

204

EQUALITY AND INEQUALITY efforts, abilities and free choice. This immediately

Reading

rules out formal discrimination such as the barring

Carson, R. 1972: Silent Spring. Cotgrove, S. 1982: Catastrophe or Cornucopia: the Environ-

of people of a particular sex, race or religion from careers or public offices. But many have thought

ment, Politics and the Future. Meadows, D. H. et al. 1972: The Limits to Growth.

that equal formal access is not enough to secure

O'Riordan, T. 1981: Environmentalism, 2nd edn.

genuine equality of opportunity. People must be

Passmore, J. 1974: Man's Responsibility for Nature.

given an equal start, especially through a common

Pepper, D. 1986: The Roots ofModern Environmentalism.

education system which gives each child an equal

Rose, S., Kumin, L. J. and Lewontin R. C. 1984: Not in Our Genes. Stocking, G. W. 1968: Race, Culture and Evolution.

TED BENTON

chance to develop his or her talents. Furthermore barriers can take the form of unspoken prejudices and psychological expectations which deter people who belong to a particular category from, for in­ stance, applying for university places or entering

The belief that soci­

careers. A fiercely debated issue is whether affirma­

eties should aspire to treat their members more

tive action policies that seek to encourage women

equally, in both a formal and a material sense, has

and racial minorities to take such opportunities

equality and inequality

a central place in modern thought. The idea that

(and in some cases weight the entry requirements

human beings are fundamentally equal to one an­

in their favour) are inconsistent with equality of

other is, in contrast, a very old one. But for centur­

opportunity, or are the best means of achieving it.

ies this idea found expression primarily in religious

Equality of opportunity says nothing directly about

belief, in the notion that everyone is equal in the

how wide or narrow the range of outcomes that

eyes of God. It was only when the relatively rigid

people may achieve should be, although radicals

social hierarchies of the ancien regime broke down,

like R. H. Tawney have argued that it cannot be

and mobile and fluid societies centred on the

properly realized without greater equality of condi­

market economy emerged in their place, that equal­

tion (Tawney, 1931).

ity became a social ideal with practical force. In the

Turning now to equality of outcome, there are

eighteenth and nineteenth centuries the ideal mani­

three aspects that need to be considered. The first is

fested itself in demands for equal rights before the

'equality of what?' - if people are to be made ma­

law, and equal rights to participate in politics. In the

terially equal, in what respects should their condi­

twentieth century, equality of these kinds was taken

tion be equalized? The second is the issue of

for granted (in theory if not always in practice) in all

measurement: how should we judge how egalitarian

advanced societies, and attention was focused on a

or inegalitarian a particular distribution of benefits

new demand: for social equality.

is? The third is the ethical issue: should we value

By social equality is meant the idea that people

equality of outcome, and if so why? Most empirical

should be treated as equals in all the institutional

research on equality has focused on equality of

spheres that affect their life-chances: in their edu­

income and wealth and equality of access to social

cation, in their work, in their consumption oppor­

services (see, for instance, Atkinson, 1983; Le

tunities, in their access to social services, in their

Grand, 1982). The aim has been to compare differ­

domestic relations, and so forth. But what does it

ent societies in these respects, and in particular to

mean to be treated equally? Broadly speaking there

see how far government policies have succeeded in

have been two answers to this highly controversial

bringing about greater material equality (see SociAL

question, which we may label equality ofopportunity

WELFARE). From a more theoretical perspective,

and equality ofoutcome respectively.

however, this focus is open to criticism: two people

Equality of opportunity holds that everyone

may enjoy the same income, but if one has special

should have an equal chance to achieve the various

needs or responsibilities that the other lacks, are

benefits and rewards that a society makes available,

they really equal in the sense that counts? This

that there should be no artificial barriers holding

suggests that we should look behind external re­

some people back, and no special privileges giving

sources to see whether people enjoy equal welfare

others an unfair advantage. The place that a person

or wellbeing. But, apart from the serious practical

gets to in a society - the job he or she holds, the

problems involved in making interpersonal com­

income he or she earns, the partner he or she

parisons of welfare, this also seems open to objec­

marries - should depend only on that person's

tion: equality of welfare would require us to give

EQUALITY AND INEQUALITY

205

those who have cultivated expensive tastes extra

tious. Many socialists have argued for greater equal­

resources to satisfy those tastes (for a discussion

ity of material condition, rather few for complete

see Dworkin, 198la, 198lb; Miller, 1990). A third

equality. Indeed the latter idea is part and parcel

suggestion is that people should enjoy equal basic

of COMMUNISM.

capabilities: resources should be distributed in such

In their full-blown form, communist ideas have

a way that each person is able to exercise the same

been practised in the twentieth century only within

set of capacities (for instance, is physically mobile,

small communities, and never at the level of the

can feed and clothe himself or herself) (Sen, 1982).

nation-state. The best-known examples are the

This proposal has the advantage that it is sensitive

kibbutz settlements in Israel, whose internal ar­

to differences in individuals' needs but not to their

rangements are strongly egalitarian: income is dis­

tastes; but it fails to offer a comprehensive concep­

tributed equally, and members are provided with a

tion of equality in the sense that it sets a minimum

range of goods and services in common. In contrast,

standard that everyone should achieve rather than

even those societies formally committed to com­

identifying an overall distribution.

munism as a long-term goal, including the former

It appears that there is no agreed answer to the

Soviet Union and its satellites, never sought either

question 'In what respect should people be judged

in practice or in theory to eliminate all material

more or less equal?' The same applies to the ques­

inequality. Although their income distributions

tion of measurement. Suppose we have to decide

did not mirror exactly those found in Western

which of two income distributions is the more

capitalist societies - different types of work at­

egalitarian: what criterion should we use? Should

tracted the highest pay - the overall extent of

we consider the range, the dispersion from the

income inequality was roughly the same. The jus­

mean, etc? (For a discussion, see Sen, 1973.) In

tification that was offered for this was that a socialist

particular, how far, if at all, should our measure

society should reward people according to the value

reflect our concern about the welfare implications

of their labour; Stalin, for example, famously dis­

of inequality: should we give greater weight to

missed equality as a 'petty-bourgeois' idea.

inequalities at the bottom end of the distribution

Socialists in the Western democracies have also

than to those at the top, on the grounds that the

been somewhat guarded in their advocacy of equal­

former matter more than the latter? This shows that

ity: their aim has been to narrow the distribution of

the measurement issue is not merely a technical

income and wealth rather than to flatten it com­

one, but reflects disagreement about the precise

pletely. It may be most fruitful to see this modest

idea of equality that any proposed measure ought

egalitarianism as stemming from two sources. On

to capture.

the one hand, it arises from a concern with JusTICE

Whereas equality of opportunity is a widely

and the avoidance of

ExPLOITATION:

socialists

shared ideal in modern thought - differences oc­

would claim that unreformed capitalism throws

curring less over the ideal itself than over the pol­

up a set of inequalities that cannot be justified

icies that are required to achieve it - equality of

in terms of people's differing efforts and abilities.

outcome, in any of its versions, is inherently con­

On the other hand, it arises from a concern with

troversial. Conservative critics allege that the pur­

community or fraternity: a society marked by large

suit of equality is incompatible with FREEDOM, that

disparities in standards of living is inevitably also a

it destroys the incentives on which the market

society in which people are divided from one an­

economy relies, and that it is ultimately futile

other by barriers of class and prevented from

since new forms of inequality will inevitably emerge

understanding and sympathizing with each other's

to replace those that have been suppressed (see

predicament. On this reading, strict equality of

Flew, 1981; Letwin, 1983). Liberals give greatest

outcome is not a fundamental value even for those

weight to equality of opportunity, and generally

who are most egalitarian in outlook. They may

endorse equality of outcome only in the form of a

instead be committed to an ideal of social equality

minimal level of provision to which each person is

which has the following elements: the differential

entitled (though there may be different views of

rewards people receive should correspond to real

ways of setting this minimum, see PoVERTY and

differences in effort and ability; no-one's standard

RELATIVE DEPRIVATION). It is only within the social­

of living should fall below a prescribed minimum;

ist tradition that equality of outcome has become a

and the range of inequality should not be so great as

fundamental value. But even here we must be eau-

to give rise to class divisions.

206

ETHICS

There remains the question whether even a mod­

and duties that govern individual action. However,

erate idea of equality of this kind is feasible for an

there are grounds for holding that morality in this

advanced industrial society. Assuming that the

sense is a peculiarly modern institution, and that

market continues to play a central role in the pro­

the term'ethics' should be understood more widely

1985).

duction and distribution of goods and services, it

(Williams,

seems inevitable that substantial inequalities will

at three different levels: (a) different systems of

Ethics can appear in social theory

continue to arise from people's relative success and

ethical belief and conduct can form the object of

failure in market competition, and such inequalities

study of social theory; (b) social theories can make

are very difficult to control directly. The most viable

metaethical claims about the logic and epistemo­

strategy may be that suggested by Michael Walzer's

logical status of ethical utterances; and (c) social

(1983) argues

theories can commit themselves to substantive eth­

notion of'complex equality'. Walzer

that a modern society incorporates a number of

ical standpoints. (See VALUES.)

spheres of distribution in which different goods are

Metaethical debates in social theory have focused

allocated each by its own independent criterion.

on the relationship between ethical and descriptive

Provided the boundaries between spheres are re­

claims. Defenders of value freedom argue that de­

spected, one person's pre-eminence in, say, the

scriptive and ethical claims are logically independ­

sphere of money may be offset by another's higher

ent, and commit themselves to the value position

social prestige and a third's success in holding polit­

that while doing social science the social theorist

1904).

ical office. In this way social pluralism may lead to a

ought to make no ethical claims (Weber,

kind of equality in which no-one decisively outranks

Critics of value freedom either reject this value

1964) or deny the logical inde­ 1953).

anyone else. The practical problem here is one of

position (Gouldner,

containing the influence of economic position,

pendence of fact and value (Strauss,

which in present-day societies has a marked influ­ ence on a person's ability to obtain the other goods in

Substantive

ethical

argument

within

social

theory has been dominated by two broad ethical

1990; Sen 1973);

Walzer's catalogue, such as reputation, political

perspectives: utilitarian ethics (Glover,

power, education, and health care (see SociAL

and Williams,

STRATIFICATION). But if we follow Walzer's sugges­

and RIGHTS-based ethics with Kantian or contrac­

tion, the cause of social equality may now be best

tarian foundations.

1972;

Smart and Williams,

promoted not by attacking market-based economic

Classical utilitarianism has two components:

inequalities directly but by strengthening those in­

consequentialism - the rightness of an action is to

stitutions, public and private, which allocate goods

be judged by its consequences; and hedonism - the only thing good in itself is happiness conceived of as

on a different basis.

pleasure and the absence of pain. The best action is Reading

that the consequences of which maximize happi­

Baker, J. 1987: Arguing for Equality.

ness. Some later varieties of utilitarianism have

Berlin, I. 1978: Equality. In Concepts and Categories.

rejected the hedonistic component of the classical

Gutmann, A. 1980: Liberal Equality.

doctrine. The most influential variety is preference

Le Grand, J. 1982: The Strategy ofEquality: Redistribution

utilitarianism according to which the best action is

and the Social Services.

that which maximizes preference satisfaction of

Letwin, W. ed. 1983: Against Equality. Lukes, S. 1974: Socialism and equality. In The Socialist

Idea, ed. L. Kolakowski and S. Hampshire. Miller, D. 1990: Equality. In Philosophy and Politics, ed. G. M. K. Hunt. Phelps Brown, H. 1988: Egalitarianism and the Generation

affected parties. This ethical principle appears in the guise of an efficiency principle in modern WEL­ FARE ECONOMICS. In both neoclassical economics and Austrian economics values are treated as ex­ pressions of subjective preferences (see VALUE). In cost-benefit analysis the weights of such prefer­

ofInequality. Weale, A. 1979: Equality and Social Policy.

DA VID MILLER

ences are taken to be measurable by a person's willingness to pay for their satisfaction. The stand­ ard efficiency criterion it employs is the potential

ethics

In its broadest sense, ethics refers to the

Pareto improvement criterion: a proposal is efficient

normative appraisal of the actions and character of

if preference satisfaction is greater than preference

individuals and social groups. It is often used inter­

dissatisfaction, so that gainers would be in a pos­

changeably with MoRALITY to refer to obligations

ition to compensate losers and still be better off

ETHICS (Kaldor,

1939;

Hicks,

1939).

This 'efficiency' cri­

(1974)

is Nozick

207

who simply starts from the as­

terion embodies a substantive ethical position, pref­

sumption that individuals have certain rights, and

erence utilitarianism: the most 'efficient' of a group

proceeds to defend a minimalist state within a free­

of proposals is that which maximizes preference

market economy. (See also Gauthier,

1986).

An account of ethics which makes no use of the

satisfaction over dissatisfaction. However, it is claimed that it is compatible with a central doctrine

idea of a contract, but shares with Rawls a Kantian

of much of recent liberal political theory - that the

heritage and a commitment to principles of justice

state should be neutral between different concep­

neutral between different conceptions of the good,

tions of the good. Since it takes values to be expres­

is that of Ji.irgen Habermas

sions of preferences and takes these as given, it

mas attempts to found ethics in 'communicative

remains neutral between different values.

reason'. In performing a

(1986,

p.

speech act

170).

Haber­

a speaker com­

While utilitarianism remains central to liberal

mits herself to the meaningfulness of her utterance,

economic theory, within political theory liberalism

and to the claims that it is true, that she is sincere

has tended to be of a deontological variety. To hold a

and that she has rights to speak as she does. While

deontological ethic is to deny consequentialism and

particular speech acts often fail to meet the claims

to claim that moral reasons are grounded in certain

they implicitly make, these claims must be in

duties, such as a duty not to torture. Where the

principle justifiable or 'redeemable'. They invoke,

utilitarian allows the welfare of an individual to be

Habermas argues, an 'ideal speech situation', char­

overridden if this leads to the maximization of hap­

acterized as one in which individuals arrive at con­

piness or preference satisfaction, the deontological

sensus without force or deception, and where each

liberal argues that individuals have rights which

has the means and opportunity to participate in the

embody moral claims that cannot be thus overrid­

dialogue through which the consensus is achieved.

den. Individual rights are trumps in ethical and political argument (Dworkin,

1977,

p. xi). Rights

The normative principles presupposed by commu­ nicative acts provide for Habermas the basis of a

based ethics give primacy to principles of JusTICE

reconstituted Kantian ethic. (See Habermas,

which utilitarianism, as an aggregative principle,

and

1983;

Benhabib and Dallmayr,

1981

1990.)

treats as derivative. The conflict between utilitarian

Both utilitarians and Kantians share a common

and rights-based ethical perspectives dominates

assumption that ethical appraisal is founded on

both theoretical and policy debates. (For a good example of the latter see Glover et al.,

1989.)

principles that are universal, that is, they apply to all, and impartial, that is, they are based on the

Rights-based ethics appeal for their foundation

prescription that individuals or their interests are

either to a Kantian conception of respect for per­

to be given equal respect. This assumption has been

sons, according to which persons should be treated

questioned by particularist conceptions of ethics

'always as ends in themselves and never merely as a

which argue that such principles are unable to

means', or to a contractarian account of ethical

account for ethical appraisal that takes place in the

principles according to which defensible ethical

context of particular relations to others. This point

principles are those to which self-interested indi­

lies at the heart of the

viduals would agree in ideal conditions, or, as is the

liberalism that liberalism presupposes a view of the

(1971),

self as unencumbered by particular commitments

case with John Rawls, to both. For Rawls

other

individuals,

communitarian

traditions,

criticism of

defensible principles of justice are those to which

to

self-interested individuals would agree in condi­

conceptions of the good. Against this view the

practices

and

tions of ignorance concerning their particular social

communitarian asserts that an agent's identity is

position, characteristics, capabilities and concep­

constituted by such specific commitments which

tions of the good. Agents under a veil of ignorance

form the starting point for ethical appraisal and

would arrive at two basic principles; the Equality

debate (Maclntyre,

principle, according to which each has equal rights

1975,

part

4).

1981;

Sandel,

1982;

Taylor,

A similar criticism has emerged

to basic liberties, and the Difference principle,

from a different direction in Gilligan's work on a

according to which social and economic inequalities

female ethic (Gilligan, 1982; Kitay 1987). Gilligan's work stems from

are justified only if the worst off are better off than

and Meyers, a critique of

they would be in conditions of equality. The first

Lawrence Kohlberg's Piagetian account of moral

principle has priority over the second. Another

development which conceives of the child as

influential proponent of rights-based liberalism

moving towards a 'post-conventional' stage of

208

ETHNIC CLEANSING

moral maturity characterized in Kantian terms.

contractarian views of ethics. Each of these per­

Moral maturity is understood in terms of a 'justice

spectives presupposes a particular account of the

perspective' in which morality consists in the ap­

boundary to the class of being to which direct

plication of universal, impartial and abstract prin­

ethical consideration is due. Kantians and contrac­

ciples.

work

tarians extend ethical considerability to persons.

describes a specifically 'male' path of ethical devel­

Classical utilitarianism extends it further to all

Gilligan

argues

that Kohlberg's

opment, and she suggests that there is a distinctive

capable of feeling pain and pleasure and hence

'female' pattern of development in which moral

includes in its ethical constituency nonhuman sen­

maturity is understood in terms of 'a care perspec­

tient animals (Singer, 1977). Proponents of an en­

tive' in which ethics consists of care for specific

vironmental ethic maintain that nonhuman beings

individuals to whom the agent stands in particular

have intrinsic value, and have extended the bound­

relations, for instance as friend, child, parent.

aries

Some defenders of a particularist conception of

of ethical considerability

to include for

example nonsentient living things and ecosystems

ethics, most notably Maclntyre, have also rejected a

(Goodpaster, 1978; Naess, 1973; Routley and Rout­

second assumption shared by both utilitarians and

ley, 1979). Such an extension of the constituency of

Kantians, that ethics is primarily concerned with

ethical concern would require a radical revision of

the actions of agents and answers the question 'how

existing ethical theory.

ought I to act?' Against this assumption proponents of a virtues ethic have revived the classical Aristotel­ ian view of ethics according to which ethical ap­ praisal is primarily concerned with the character of agents and answers the question 'what sort of person should I be?' Virtues, understood as dispos­ itions of character which are necessary conditions of the good life for individuals, replace duties as the central evaluative concepts of ethical vocabulary. The issue of what it is to lead a good or flourishing life, which in much liberal discourse is treated as a matter of personal preference, regains centre-stage in ethical debate. Similar points are to be found in recent work in Marxist ethics. This addresses a central paradox in Marx's writings on morality - that on the one hand he condemns morality as ideological and illusory and states that communists preach no morality, while on the other his work abounds with ethical criticism of capitalism. The most promising reso­ lution to this paradox is the argument that when Marx criticizes morality he is not rejecting all eth­ ical claims about human life, but, rather, a distinct­ ive form of ethical argument and appraisal which appeals to the quasi-legal moral concepts of rights

Reading Gilligan, C. 1982:

In a Different Voice.

Goodpaster, K. 1978: On being morally considerable.

Journal ofPhilosophy 75. Gouldner, A. 1964: Anti-Minotaur: the myth of value­ free sociology.In

The New Sociology, ed.I.Horowitz. 1989): The TheoryofCommuni­

Habermas,J.l981 (1984,

cative Action, vol. I. Hicks,].R.1939: The foundations of welfare economics.

Economic Journal 49. Kaldor, N.1939: Welfare comparisons of economics and interpersonal comparisons of utility.Economic

Journal

49. Lukes, S.1985:

Marxism and Morality. (1985): After Virtue, 2nd edn.

Maclntyre, A.1981

Naess, A. 1973: The shallow and the deep, long-range ecology movement: a summary.Inquiry 16. Nielsen, K.and Patten, S.eds 1981:

Marx and Morality. of Philosophy 7. Rawls,J.1971: A TheoryofJustice. Smart, J.and Williams, B. 1973: Utilitarianism: For and Against. Taylor, C. 1975: Hegel. Weber, M. 1904 (1949): The Methodology of the Social Sciences. Williams, B. 1985: Ethics and the Limits of Philosophy. Suppl.to Canadian Journal

' JOHN O NEILL

and duties. his own ethical arguments against cap­ italism, notably of the alienation and exploitation it involves, appeal to a set of nonmoral goods which

ethnic cleansing

are necessary for individuals to lead a flourishing

originating in the war in Bosnia in 1992, a transla­

'Ethnic cleansing' is a term

human life. (Different versions of this claim are

tion of a Serbian term describing their systematic

defended by Lukes, 1985; Miller, 1984; Skillen,

practice of terrorizing, degrading and expelling

1977; see also Nielsen and Patten, 1981; Geras,

Muslim inhabitants of the areas they occupied in

1985.)

Bosnia-Herzegovina. 'The United Nations Com­

Recent work on environmental ethics has pro­

mission of Experts, in a January 1993 report to the

vided another challenge to utilitarian, Kantian and

Security Council, defined "ethnic cleansing" as

ETHNIC CLEANSING "rendering

an

area

ethnically

homogeneous

by using force or intimidation to remove persons

209

An example of (a) is the pressure to force Jews to leave Germany and Austria between

1938

and 1941,

1999,

when the 'Final Solution' was officially emigration,

representatives

which helped save the lives of German Jews who

of the Federal Republic of Yugoslavia (FRY) ex­

emigrated to the West; an example of (b) is the

of given groups from the area"' (Cohen, p.

136).

In the spring of

pelled over

850,000

during the

1999,

ethnic Albanians from Kosovo

intervention

against the

FRY

by

deportations within Poland to concentrate the Jewish population in ghettoes between

1939

and

the North Atlantic Treaty Organization (NATO);

1941,

the success of NATO enabled the latter to return

mination camps and their mass murder; and an

later.

example of (c) is the deportation of Armenians in

Ethnic cleansing has often been related by

1915

which facilitated their later transfer to exter­

to the desert, where most died of starvation,

scholars and observers to the German practice

dehydration, and fatigue, after being subjected to

that preceded the Holocaust of expelling Jews

terror and rape.

from the Reich to make such territory 'judenrein'.

The cases of the largest and legally authorized

(2000) has shown how German plans for GENOCIDE emerged in 1941 from a complex of

expulsion in the twentieth century (apart from the above) appear to be instigated by other motives

policies involving ethnic cleansing of Poles and

than fulfilling a racial ideology or creating ethnic

Browning

relocation of ethnic Germans in the newly acquired

homogeneity, although the latter appears to have

territories in Poland, plans for 'demographic engin­

been a reinforcing element in some instances.

eering' based on 'racial imperialism' that are often overlooked in discussing the origin of the Final

Between

1937

and

1948 (principally during 1941-4) Stalin ordered

World War II in the period

the deportation of Soviet citizens from fifteen

Solution. In subsequent use, ethnic cleansing has been

groups, mostly from Crimea and the Caucasus, to

used to describe an array of modern and historical

Siberia and to other Soviet Western Asian republics.

cases of expulsion, forced removal and deportation

The victims included Armenians, Balkars, Bulgars,

and population transfers since antiquity. These

Chechens,

cases include religious expulsions motivated by

Finns, Germans, Ingush, Kalmyks, Karachays,

Crimean

Greeks,

Crimean

Tatars,

the desire for religious homogeneity (such as that

Koreans, Meshketian Kurds, Khemzils and Turks.

of Jews and Moors from Spain and Protestants

The deportation of about

from France in the fifteenth and sixteenth centur­

tween 1941 and 1948 resulted in the deaths of at least

million persons be­

ies), the removal of indigenous peoples to the west

378,000

in the US (nineteenth century) instigated by com­

because of the killings preceding deportation, the

petition for land, and the population transfers, ex­

lack of food during transit, abysmal conditions of

pulsions and deportations of the twentieth century,

transportation, lack of preparation and facilities in

often justified by ethnonationalist ideologies and

the regions in Siberia and the east to which they were

(1999)

people

(11.5

3.3

per cent of those deported)

emphasizes that the

sent. Such conditions were typical of the disregard

grounds for population cleansing (as he puts it) -

for human life exemplified in deportations of polit­

conflict. Bell-Fialkoff

another euphemism including mass killing as well

ical prisoners without provision of food and shelter

as expulsion- reflect the prevalent basis of collect­

in the Soviet Union between 1917 and 1951 (Werth,

ive self-definition or social organization: citizens of

1999).

the empire versus noncitizens (conquered peoples),

cleansing (as he put it) was part of Stalin's 'security

Pohl

(1999)

concluded that such ethnic

religious communities, class and ethnic groups in

policy', designed to pre-emptively remove groups

different eras and places.

who might cooperate with aggressors and groups

Expulsion and deportation (forced removals) has

which had previously rebelled against Soviet rule

been viewed by several theorists as a way less vio­

and replace them with 'more reliable national

lent than annihilation of nullifying intergroup

groups'- Russians, Georgians and others. In some

differences within society on a continuum going

cases in the Crimea and Caucasus, militias recruited

from assimilation or emigration under pressure

from

toward genocide. In practice, such forced removals

Germans. After Stalin's death, the injustice to

these

groups

had

fought

alongside

the

may be (a) an alternative to genocide; (b) a prelude

these groups was denounced by Nikita Khrushchev

or functional step towards genocide; or (c) a means

(1956) and most groups were released and officially

of genocide.

rehabilitated (charges withdrawn).

210

ETHNIC CLEANSING

14.6 million ( Volksdeutsche)

The other great expulsion was of citizens of German ethnic origin

In both these cases, expulsions were punish­ ments or pre-emptive moves based on attribution

and

of collective responsibility to the victimized group.

Hungary in the years following World War II,

There is disagreement between de Zayas and Pohl

from

Czechoslovakia,

Poland,

Yugoslavia

93 per cent of whom were resettled in West (the

(on the one hand) and Bell-Fialkoff on the other as

majority) and East Germany. The expulsions from

to whether either case should be considered geno­

Czechoslovakia and Poland were approved by the

cide under the

Allies at the Teheran Conference in Potsdam in

1943 and at

1945 as a concomitant of the redrawing

1951 United Nations Genocide

Convention (UNGC), the former affirming this possibility. Pohl

(1999) notes that the UNGC

of borderlines of the USSR, Poland and Germany

defines genocide in Article II as 'any of the

which included a large German minority in Poland

following acts committed with intent to destroy,

who had never been Poles. Expulsions were ap­

in whole or in part, a national, ethnic, racial, or

proved in order to make population coincide with

religious group ... [and these includeJ ...Delibe­

nationality and avoid minority problems of the

rately inflicting on the group conditions of life

interwar years. German ethnic nationalism was be­

calculated to bring about its physical destruction

lieved to have caused the dissolution of Czechoslo­

in whole or in part,' (p. 3). This issue remains to be

vakia. Both the governments and citizens of these

legally argued and tested.

countries viewed the expulsion of their ethnic German citizens as a just collective punishment for

1945, transfer of populations was con­

privileges

group conflicts. Transfers between Turkey and

Volksdeutsche, under German occu­

Bulgaria and Greece (voluntary and involuntary)

prewar and

enjoyed by the

Before

sidered a legitimate tool to deter and regulate inter­

wartime disloyalty,

pation, and the massacres, persecution and depriv­

took place between

ation inflicted on the Slavic peoples during German

Kingdom's

occupation. They began expelling the

Volksdeutsche

in Czechoslovakia and Poland at gunpoint before

1913 and 1923. The United in 1937 recom­

Peel Commission

mended transfer of both Arabs and Jews in order to partition Palestine.

the Potsdam conference. Because of a lack of pro­

However, post-war international humanitarian

tection from the local law enforcement agencies

and human rights laws (e.g. Fourth Geneva Con­ of

1949) generally invalidate transfer

(who generally did not deter and sometimes partici­

vention

pated in the killing, looting and raping of the volks­

during war and occupation. Provisions affirming

deutsche), the terrible conditions in many labour

the right of people to retain their homes and na­

and transport camps, the often inhuman conditions

tional identity are found in the Universal Declar­

of transit, and the homelessness while awaiting

ation of Human Rights, the International Covenant

transit, led to deaths from cold, hunger and disease;

on Civil and Political Rights but only the European

and there were some mass suicides by people an­

Convention for the Protection of Human Rights

ticipating these conditions. According to German

explicitly bans mass expulsions.

records (in

1967) an estimated 2.1 million or 14.4

per cent of deportees died or were killed during

Yet expulsions have

recurred

in the post­

World War II era (sometimes mutual expulsions

their flight and resettlement, but more recent stud­

or expulsions preceded by pogroms against the

ies cite lower estimates.There was also a population

expeller)

exchange

groups

between

Poland

and

the USSR of

Ukrainians to the USSR and Poles to Poland and

by in

governments

conflict

with

representing

ethnic

contending

group

a

over the same land: in Rwanda and Burundi,

a subsequent military campaign or ethnic cleansing

Azerbaian and Armenia, the states of what was

in

1947 to remove the remaining 140,000 Ukrain­ ians to the USSR, during which 5,500 people (3.9

Yugoslavia and within Serbia (including Kosovo),

per cent) were killed.

Postcolonial

The western Allies in ate the

conditions

of

1946 attempted to regul­ expulsion

but

did

not

and Israel (of the Palestinians in its 1948 territory). expulsions

took

place

in

Algeria

(against French settlers) and in Zaire (against Bel­ gian

colonizers).

The

reciprocal

massacres

always succeed. Russian and other sources tell

and forced flight of religious minorities in India

how

and Pakistan at the time of partition

brutalities

and

rape by Russian

soldiers

phenomenon

but

one

not

(1948) are a

against German women in Germany and Eastern

related

Europe were not only sanctioned but officially

directed by governments. This is far from a com­

apparently

instigated.

prehensive list.

ETHNICITY Three repeated and interrelated contexts sur­

211

STRATIFICATION) and estate, but also how it interacts

round such acts: war (and wartime fears of disloy­

with them in the formation of groups and social

alty), division of land and transfer of power, and

systems.

post-war retribution for disloyalty. Expulsions usu­

It is important to distinguish ethnicity from

ally involve violence or the threat of violence for

racial differentiation. Whereas the latter is in terms of physical differences thought to be biologic­

noncompliance in reprisal. Expulsions with separation or transfer of popu­

ally inherited, ethnic differentiation is in terms of

lations in conflict are still advocated by some (see

cultural differences which have to be learned. The

1999) to save lives in irreconcilable

distinction is confused in nonscientific racist theory

Bell-Fialkoff,

conflicts but opponents argue that such would be

which assumes that cultural behaviour as well as

impossible to execute peacefully due to the frequent

physical characteristics are biologically inherited.

checkered demographic

of groups in

One of the characteristics of ethnicity and the

regions in conflict. Some right-wing parties in sev­

ethnic groups to whose formation it contributes is,

eral states (including democratic states) advocate

however, that ethnic characteristics are shared by

mixture

unilateral transfer of minorities or foreign workers,

those who are biological kin. The learning process

but the expulsion of citizens is likely to be seen by

through which culture is acquired takes place be­

the international community today as a violation of

tween biological parents and children, and not sur­

international law.

prisingly,

therefore,

races

and

ethnic

groups

Opinions vary on the utility of ethnic cleansing as

sometimes overlap. A race may also be an ethnic

a concept. Mine is that 'ethnic cleansing', and the

group and an ethnic group may consist exclusively

concept of 'cleansing' itself, is often a euphemism

of individuals of the same race. Nonetheless races

for murder, deportation and gross violation of

are much wider groups, and ethnic groups involve

human rights. The term adds little and may indeed

subtle differentiations of behaviour so that within

blur the issue of what happened (pogroms, inter­

any of the major races or subraces of the world there

communal massacres, state terror or decree), why it

may be a great deal of internal ethnic differentia­

happened, and to what level of crime we should

tion. It is also possible for individuals of different

assign such deeds: war crimes, crimes against hu­

race to become members of the same ethnic group

manity or

GENOCIDE.

in so far as the cultural behaviour of an ethnic group may in principle be learned and is not de­

Reading

pendent on biological inheritance. The Jews in

Bell-Fialkoff, A. 1999: Ethnic Cleansing. Browning, C. R. 2000: From 'Ethnic Cleansing' to Geno­ cide to the 'Final Solution': the Evolution of Nazi Jewish Policy, 1939-1941. In C. Nazi Policy, Jewish

Workers, German Killers.

Germany

were

wrongly

represented

by

Nazi

ideologists as being a race, whereas in fact they were an ethnic group with a distinctive religiously based culture.

Cohen, R. 1999 Ethnic Cleansing. In Crimes of War:

Social classes are collectivities the individual

What the Public should Know, eds R. Gutman and D.

members of which are united in the first place

Rieff.

by shared interests. In this respect they are distinct

De Zayas, A.-M. 1994: A Terrible Revenge: the Ethnic

Cleansing ofthe East European Germans, 1944-1950. Naimark, N. M. 2000: Fires ofHatred: Ethnic Cleansing in

Twentieth-Century Europe. Pohl, J.

0. 1999: Ethnic

Cleansing

in

the

USSR,

1937-1949. Werth, Nicholas 1999: A State Against its People: Vio­ lence, Repression, and Terror in the Soviet Union. In

from ethnic groups for whom shared interest is not a basic defining characteristic. For classes to become collective actors, however, it is necessary that they should become united by bonds of a shared organization, shared culture and shared conscious­ ness. It may be the case, that a 'class' which can rely on ethnic bonding will be stronger and more

The Black Book of Communism: Crimes, Terror, Repres­

capable of collective action than one which develops

sion, eds Stephane Courtois et al.

a new organization and consciousness around

HELEN FEIN

shared interest. On the other hand ethnic groups

This is one of the principal socially

a system of interests. Very often the bonds of eth­

relevant characteristics of human beings. To un­

nicity lie latent and may not even lead to group

derstand it we must show how it is to be distin­

formation unless the individuals become activated

might be transformed by their interaction with ethnicity

guished from

RACE, class, status (see SociAL

by the sharing of common interests.

212

ETHNICITY

Status groups, like ethnic groups, are based on the

shared

cultural

characteristics

of

their

define ethnicity reference has been made not to the characteristics of ethnicity in itself but to the

members. Unlike ethnic groups, however, it is in

structural

the nature of status groups that the cultural charac­

which ethnicity is expressed.

differentiation

and

grouping

within

teristics which define the group are based on invidi­

Classical attempts by anthropologists to define

ous distinction between one group and another. As

ethnicity have divided into 'primordial' theories

Weber says in Economy and Society, status group­

associated with the name of Clifford Geertz

ings are based on the 'differential apportionment of

and 'situational' theories associated with the name

(1963)

honour'. A single status group cannot exist on its

of Frederick Earth

own; it must form part of a hierarchical system of

ethnicity and ethnic grouping are 'primordial'

groups. While ethnic groups may become status

factors in the sense that they are given in the very

groups when individuals compare and evaluate

conditions of human existence. These givens in­

(1969).

According to Geertz,

their own cultural characteristics as against those

clude what he calls 'contiguity' and 'live connec­

of other groups and while ethnicity may be one of

tion' (that is, connections deriving from territorial

the evaluated characteristics in a status system, this

proximity or kinship) but beyond these 'the given­

type of status ordering is not of the essence of

ness that stems from being born into a particular

ethnicity. In practice what we often find, however,

religious community, speaking a particular lan­

is the combined operation of an ethnic and status

guage or even a dialect of a language and following

order. It should also be noted that both ethnicity

particular social practices'. Geertz continues:

and status may be transmitted in kin groups from parents to children. Neither, however, are as strongly determined by inheritance as are racial groups. It is possible for individuals of diverse parentage to be united by ethnicity and, in a status system, mobility is possible from one status group to another. An estate system is a more complex from of social

These continuities of blood, speech, custom and so on have an ineffable and sometimes overpower­ ing consequence in and of themselves. One is bound to one's kinsman, one's neighbour, one's fellow-believer ipso facto as a result not merely of personal attraction, tactical necessity, common interest of incurred moral obligation, but at least in great part by virtue of some unaccountable

organization, and one with which ethnicity may

absolute import attributed to the very tie itself.

become involved. Like a status system it involves

(1963,

p.

109)

a differential apportionment of honour, but has the additional features of functional specialization by

Here Geertz develops an ideal type of ethnicity

the different estates and legal and political inequal­

in itself. He distinguishes it very clearly from class

ity between the estates, as in the classical estate

and class-like groupings which are based on 'tac­

system of medieval Europe and in colonial societies.

tical necessity' and 'common interest'; from the

In the colonial case, the groups which are differen­

liking and disliking and perhaps honouring and

tially incorporated may well be ethnic groups. So­

dishonouring characteristic of status systems; and

cieties of this kind, characterized by the differential

from the intergroup obligations which perhaps

incorporation of different ethnic groups, are what

characterize estate systems. He does, however, in­

and

clude biological relatedness in his list of primordial

1974). According to the terminology adopted here a

factors and would seem at first to be confusing race

plural society is a society in which diverse ethnic

and ethnicity. It might be argued, however, that

groups are organized into an estate system.

physical features come to be evaluated along with

sociologists call plural societies (Smith,

1963

Ethnicity and ethnic grouping, it would seem,

purely cultural ones and so become a part of cul­

rest on the cultural differentiation of individuals

ture. What is most interesting about Geertz's defi­

and on the creation of social bonds between those

nition, however, and what adds something to what

who share a common CULTURE. In an ideal typical

has been said above, is that certain evaluated fea­

sense it is possible to posit a society which consists

tures of human appearance and behaviour are

of such groups and of such groups only. In practice,

evaluated not as a matter of arbitrary choice but as

however, ethnicity becomes involved in and is ap­

part of the very conditions of existence.

parent through the interaction of races, of classes,

Situational theories of ethnicity relate it closely

of status groups and estates. Not surprisingly,

to the pursuit of interests. The primordial factors

therefore,

which Geertz refers to are seen as remaining latent

when

attempts have been made to

ETHNOMETHODOLOGY unless the situation makes them relevant to the

213

without such an analysis it would be impossible to

attainment of ends. In this case they may be re­

show how members of the social world engage in

sources which are important for the cooperation

realistic, concerted courses of action. His central

necessary to attain ends. On the other hand, the

innovation was to establish an account of the prop­

various factors involved in ethnicity might consti­

erties of commonsense knowledge, shared under­

tute a stigma and a liability in relation to the attain­

standings and ordinary social action that could be

ment of ends. Here it would seem the situational

developed into a coherent programme of empirical

theorists are drawing attention to the tactical neces­

research.

sities and shared interests which Geertz excludes. I

Ethnomethodology developed in the 1960s from

have also excluded them from the ideal type of

the phenomenological writings of Alfred Schutz

ethnicity, although noting that in the real world

(1962-6) who argued that commonsense knowledge

ethnic groups become deeply intertwined with

is patchy and incomplete, is held in a form that is

social class formations. At the same time, the notion

typified, approximate and revisable and that shared

of stigma draws attention to the development of

understandings between persons are contingent

invidious distinctions as a system of ethnic groups

achievements based on this knowledge. Using a

becomes intertwined with the status order.

series of quasi-experimental procedures (known as

All in all, we can see that ethnicity, understood as

'breaching experiments') to create basic departures

primordial in Geertz's sense, is one factor among

from taken-for-granted social expectations, Garfin­

several involved in the basic ordering and structure

kel (1967) was able to demonstrate the significance

of human society. Stated in another way we may say

of these ideas. The experimental departures engen­

that pure ethnicity is an ideal type, an analytic

dered deep confusion and moral indignation in

abstraction of the social scientists. Such ideal

their subjects. They indicated that shared under­

types, however, are essential to social science and

standings, social actions and, ultimately, social

there is no way in which a complete account of

institutions are underpinned by a complex body

social structure can be given which ignores the

of presuppositions, tacit assumptions and meth­

element of ethnicity.

ods of inference - in short, a body of methods or methodology - that informs the production of

Reading Earth, F. 1969:

Ethnic Groups and Boundaries. Geertz, C. 1963: Old Societies and New States: the Q}test for Modernity in Asia and Africa. Smith, M. G. 1963: The Plural Society in the British West lndies. --1974: Corporations and Society. Warner, W. L. 1936: American class and caste. American Journal ofSociology, 42, 234. Weber, M. 1921-2 (1967): Economy and Society, vol. 2, eh. 9.

JOHN

culturally meaningful objects and actions and that also informs understandings of them. It is these methods of commonsense reasoning and their properties that are the subject matter of ethno­ methodology. Methods of commonsense reasoning are funda­ mentally adapted to the recognition and under­ standing

of

events-in-context.

In

Garfinkel's

analysis, ordinary understandings are the product of a circular process in which an event and its

REX

background are dynamically adjusted to one an­

sociology

scribed this process, following Karl Mannheim, as

other to form a coherent 'gestalt'. Garfinkel de­ ethnomethodology

investigates knowledge

the and

This

field

functioning practical

of

of

commonsense

reasoning

in

social

'the documentary method of interpretation' and argued that it is a ubiquitous features of the recog­

contexts. In contrast to perspectives that view

nition of all objects and events from the most mun­

human behaviour in terms of external causal factors

dane features of everyday existence to the most

or

ethnomethodology

recondite of scientific or artistic achievements. In

stresses the active, reasoned and knowledgeable

internalized

motivations,

this process, linkages are assembled between an

character of human conduct. Its founder and

event and its physical and social background using

leading theorist, Harold Garfinkel, argued that a

a variegated array of presuppositions and inferen­

theory of social action and organization would

tial procedures. The documentary method em­

be incomplete without an analysis of how social

bodies the property of reflexivity: changes in an

actors use shared commonsense knowledge and

understanding of an event's context will evoke

reasoning in the conduct of their joint affairs. For

some shift or elaboration of a person's grasp of the

214

ETHNOMETHODOLOGY

focal event and vice versa. When it is employed in a

Garfinkel's fundamental theorizing has been

temporally dynamic context, which is a character­

employed in a diverse body of empirical sociological

istic of all situations of social action and interaction,

studies. Important among these have been a range

it forms the basis for temporally updated shared

of investigations into the symbolic and practical

understandings of actions and events among the

construction of particular, circumscribed social

participants.

worlds (Wieder, 1974) and into the underlying

The inherent contextuality of the documentary

reasoning through which persons' joint sense of a

method is associated with other properties of prac­

shared reality is managed and sustained (Pollner,

tical reasoning and practical action. A central prop­

1987). Other studies have taken up the theme of the

osition of ethnomethodology is that all objects and

approximate fi t between descriptions and real

products of practical reasoning- concepts, descrip­

world events. Most notable in this context have

tions, actions and so on- have indexical properties.

been investigations of the organizational creation

This means that the sense of these objects is elab­

of the statistical data that many sociological studies

orated and particularized by the contexts in which

rely on. Here, it has been argued - particularly in

they appear. Although this property is a recognized

relation to statistics of crime, deviance, suicide and

obstacle to the formal analysis of language and

so on, that the practical reasoning of organizational

action (and is so treated in the literature of logic

personnel has built theoretical assumptions about

from which the term 'indexical' derives), it is not an

the causes of these phenomena so deeply into stat­

obstacle to the conduct of practical action. In fact,

istical data that the results are unusable for socio­

social actors regularly design their conduct so as to

logical research (Cicourel, 1968; Atkinson, 1978).

use local contexts to elaborate and particularize the

Other significant products of the ethnomethodo­

sense of their talk and actions. They thus exploit the

logical programme have embraced studies of social

indexical

practical

interaction (most prominently CoNVERSATION AN­

reasoning. Conversely, however, these particular­

ALYSIS) and major initiatives in the sociology of

ities cannot be sustained out of context. There is an

science (Lynch, 1985).

properties

of

action

and

particular

During the course of its development, ethno­

events and their more general representations in

methodology has alternated between 'constructive'

descriptions and mathematical formulations and

and 'deconstructive' tendencies. In the process,

this fi t can only be achieved through a range of

new fields of research in sociology and related dis­

approximating interpretive activities which Garfin­

ciplines have been created and new perspectives on

kel terms 'ad hoc practices'. These practices are

traditional problem areas have emerged. Over and

inherently

approximate

fit

between

thus crucial to the processes through which social

above the specific areas in which ethnomethodology

actors sustain the coherence, normality and reason­

has been an important source of innovation, how­

ableness of their everyday circumstances and activ­

ever, it is clear that it has also had a major and

ities.

continuing impact both on basic sociological theory

The ethnomethodological programme of re­

and on the ways in which many types of empirical

search is based on these basic observations. Its

research problems are addressed. This influence

central dynamic arises from the view that shared

has extended into the adjacent fields of SociAL

understandings of all aspects of the social world rest

PSYCHOLOGY, LINGUISTICS and ARTIFICIAL INTELLI­

on a highly complex body of tacit methods of

GENCE. In all of these ways, it is a dynamic force in

reasoning which are socially shared and procedural

contemporary social thought.

in character. Just as these methods of reasoning are used to recognize objects, events, persons and to

Reading

understand descriptions of all of these, so they are

Atkinson, J. M. 1978: Discovering Suicide: Studies in the

equally relied upon to produce features of the social world that are recognizable and describable or, to use Garfinkel's term- accountable. The fact that the same set of reasoning procedures is employed both to recognize social events and produce them is the underlying basis on which the members of a culture can come to inhabit a fundamentally shared social world.

Social Organization ofSudden Death. Cicourel, A. V. 1968: The Social Organization ofJuvenile

Justice. Garfinkel, H. 1967: Studies in Ethnomethodology. Heritage, J. 1984: Garfinkel and Ethnomethodology. Lynch, M. 1985: Art and Artifact in Laboratory Sci-

ence. Pollner, M. 1987: Mundane Reason: Reality in Everyday

and Sociological Discourse.

ETHOLOGY

215

Schutz, A. 1962-6: Collected Papers, 3 vols.

the most striking ethological discoveries, such as

Wieder, D. L. 1974: Language and Social Reality.

imprinting in birds, have been made in artificial

JOHN HERITAGE

conditions and have markedly influenced how be­ haviour has been interpreted.

ethology Konrad Lorenz and Niko Tinbergen are commonly regarded as the founders of modern

When observed in handreared birds, the elabor­ ate sequence involved in building a nest is not easily

ethology, the biological approach to the study of

explained in terms of a series of! earned actions each

behaviour. For their pioneering achievements, they

triggered by a particular stimulus from the environ­

shared the Nobel prize with Karl von Frisch in

ment. None the less, the readiness to consider what

1973. Lorenz and Tinbergen treated behaviour in

a particular behaviour pattern might be for in the

the same way as any other aspect of an animal in the

natural environment has been distinctive of the

sense that behaviour patterns often have a regular­

subject. When this approach was coupled with

ity and consistency that relates to obvious needs of

comparisons between animals, the easy assumption

the animal. Moreover, the behaviour of one species

that all animals solve the same problem in the same

often differs markedly from that of another. This

way was quickly shown to be false. The compara­

insight was a crucial step in bringing the study of

tive approach continues to be an important charac­

behaviour into the Darwinian synthesis that was

teristic of broad ethology.

being forged in the 1930s. Impregnated as their

Tinbergen pointed to four broad but separate

thinking has been with the Darwinian theory of

problems raised by the biological study of behav­

evolution, ethologists repeatedly speculated on the

iour. The issue of how a behaviour pattern is con­

adaptive significance of the differences between

trolled deals with the internal and external factors

species. The interest in biological function has led to

that regulate its occurrence and the way in which the underlying processes work. Study of the devel­

many excellent studies of animals in natural condi­

opment of behaviour is concerned with the genetic

tions. A captive animal is usually too constrained by

and environmental influences on the assembly of a

its artificial environment to provide a complete

behaviour pattern in the lifetime of the individual

understanding of the functions of the great variety

and with how the developmental processes work.

of activities which most animals are capable of

The problem of behavioural function is about the

performing. Studies in unconstrained conditions

way a behaviour pattern helps to keep the animal

of animals, and increasingly of humans, have been

alive and propagate its genes into the next gener­

an important feature of ethology and played a major

ation. Finally, evolutionary studies of behaviour are

role in developing the distinctive and powerful

concerned with the ancestral history and with the

methods for observing and measuring behaviour.

ways in which a behaviour pattern evolved. These

Even so, it would be a mistake to represent etholo­

four areas of research are distinct. However, the

gists as nonexperimental and merely concerned

ethological stance is that they should not be too

with description. Tinbergen was a master of elegant field experi­

strongly divorced from each other. By placing a particular question in a broader conceptual context,

ments and the fine tradition he established has

greater understanding is achieved, whatever the

continued to the present day. Tape recordings of

central question may have been. The functional

predators or conspecifics (such as offspring or po­

approach has certainly helped those who are inter­

tential mates) are played to free-living animals in

ested in the study of mechanism and the study of

order to discover how they respond. Dummies of

the development and integration of behaviour has

different designs have similarly been used to gauge

provided important insights into the pressures and

responsiveness to a particular shape or colour, such

constraints which have operated in the course of

as the pecking of gull chicks at different objects

evolution.

more or less resembling the bills of their parents.

Certain key concepts and theories were associ­

These and many other examples make the point

ated with ethology at one time. They no longer

that even mainstream ethology involves a great

form such a central part of ethological thought,

deal more than passive observation. Moreover, a

although they were important in its development.

great many ethologists have devoted much of their

Two basic concepts were the 'sign stimulus' and the

professional lives to laboratory studies of the con­

'fixed action pattern'. The notion of the sign stimu­

trol and development of behaviour. Indeed, some of

lus, such as the red breast of a robin releasing an

216

ETHOLOGY

attack from an opponent, was productive in leading

ship, caring for young and so forth. Consequently,

to the analysis of stimulus characters that select­

more and more emphasis is being placed on shared

ively elicit particular bits of behaviour. Fixed action

mechanisms of perception, storage of information

patterns (or modal action patterns as they are

and control of output. As this happens, the interests

perhaps better called) provided useful units for

of many ethologists are coinciding to a greater and

description and comparison between species. Be­

greater extent with the traditional concerns of

havioural characters were used in taxonomy and the

PSYCHOLOGY.

zoological concern with evolution led to attempts to

OLOGY.)

formulate principles for the derivation and ritual­ ization of signal movements.

(See

also EVOLUTIONARY PSYCH­

Modern work has also eroded another belief of the classical ethologists that all members of the

Both the concept of sign stimulus or releaser

same species of the same age and sex will behave in

and that of the fixed action pattern played import­

the same way. The days are over when a field

ant roles in the early ethological attempts to develop

worker could confidently suppose that good de­

systems models of behaviour. Lorenz's lavatory

scription of a species obtained from one habitat

cistern model was a flow diagram in more than

could be generalized to the same species in another

one sense and provided a generation of ethologists

set of environmental conditions. The variations

with a way of integrating their thinking about

in behaviour within a species may, of course, reflect

the multiple causation of behaviour, both from

the pervasiveness of learning processes. However,

within and without. However, the model was

some alternative modes of behaviour are probably

seriously misleading and in some systems of behav­

triggered rather than instructed by prevailing en­

iour, notably aggression, performance of behaviour

vironmental conditions. In the gelada baboon,

makes repetition

likely, not less as the

for instance, many adult males are much bigger

more

model predicts. Another systems model has stood

than females and once they have taken over a

the test of time rather better. It was developed

group of females, defend them from the attentions

by Tinbergen and was concerned with the hierarch­

of other males. Other males are the same size as

ical organization of behaviour. Here again, though,

a female and sneak copulations when a big male

its major role lay not so much in its predictive

is not looking. The offsetting benefit for the small

power but in helping ethologists to bring together

males is that they have much longer reproductive

evidence that would otherwise have seemed unre­

lives than the big ones. It seems likely that any

lated.

male can go either way and the particular way in

A classic ethological concern was with the inborn

which it develops depends on conditions. Examples

character of much behaviour and the subject was

such as this are leading to a growing interest in

strongly associated with the development of a

alternative tactics,

theory of instinct. However, even the founders of

and the nature of the developmental principles

their functional significance

the subject did not deny the importance of learning.

involved.

On the contrary, they gave great prominence to

Modern ethology abuts so many different discip­

developmental processes like imprinting, which

lines that it defies simple definition in terms of a

specifies what an animal treats as its mother or its

common problem or a shared literature. It overlaps

mate, and song learning that specifies the way a male

extensively with the fields known as behavioural

bird sings a different dialect from another male of

ecology and SociOBIOLOGY. Moreover, those who

its own species. Even so, Lorenz saw adult behav­

call themselves ethologists are now to be found

iour as involving the intercalation of separate and

working alongside neurobiologists, social and de­

recognizable 'learned' and 'instinctive' elements.

velopmental psychologists, anthropologists and

Few people share this view any longer and the

psychiatrists, among many others. Ethologists are

work by the developmentally minded ethologists

accustomed to think in ways that reflect their ex­

has been important in illustrating how the processes

perience with free-running systems that both influ­

of development involve an interplay between in­

ence and are affected by many things about them.

ternal and external factors. After the early abortive

These skills have enabled them to understand the

attempts to classify behaviour in terms of instincts,

dynamics of behavioural processes and are prized

attention has increasingly focused on faculties or

by those people with whom they collaborate. At one

properties of behaviour that bridge the conven­

time ethology looked as though it might succumb to

tional functional categories such as feeding, court-

its sister disciplines. However, it has re-emerged as

EUGENICS an important subject that will continue to play an

217

the science of genetics was barely in its infancy at

important integrative role in the drive to under­

the time, and because racialist theories seemed self­

stand what behaviour patterns are for, how they

evidently true to many advocates of eugenics, racial

evolved, how they developed and how they are

and

controlled.

targeted for sterilization.

Reading

crimes committed under the influence of Nazi

Alcock, J. 1989: Animal Behaviour, 4th edn.

ideology, racialist theories were repudiated by

Hinde, R. A. 1982: Ethology.

most Western intellectuals, and the eugenics move­

ethnic

minorities

were

disproportionately

Following revelations of the enormity of the

lmmelmann, K. and Beer, C. 1989: A Dictionary of Eth­

ology. Jaynes, J. 1969: The historical origins of 'ethology' and 'comparative psychology'. Animal Behaviour 17, 601-{). McFarland, D. 1985: Animal Behaviour. Manning, A. and Dawkins, M. 1992: An Introduction to

ment, because of its association with those theories, went into eclipse. Compulsory sterilization laws were repealed and efforts to improve the human race by application of the principle of selective breeding all but abandoned. Such laws are opera­ tive today only in a few isolated areas, as, for

Animal Behaviour. Martin, P. and Bateson, P. 1986: Measuring Behaviour. Slater, P. J. B. 1985: An Introduction to Ethology. Slater, P. J. B. ed. 1986: The Collins Encyclopedia of Animal

Behaviour.

example, in parts of China. Despite the demise of the eugenics movement in its original form, efforts to improve the genetic heritage of the human race have begun anew in a

PATRICK BATESON

radically different form. During the second half of the twentieth century, the science of genetics has

science that

made extraordinary advances, and one consequence

seeks to improve the genetic heritage of the

of this is that many serious human diseases have

human race, the term also refers to a social move­

been shown to be genetically transmitted (for in­

eugenics

Describing an applied

ment that seeks to popularize the principles and

stance, diabetes and sickle cell anaemia). Couples at

practices of the science. The word was adapted

risk

from the Greek in the late nineteenth century by

screening

the English scientist, Francis Galton (1883, p. 17).

remaining childless or to abort a foetus diagnosed

Prior to its advocacy by the Nazis in the 1930s,

are

now

encouraged

and

to

to

consider

undergo genetic

the

possibility

of

as having a serious genetic defect.

the idea of eugenics enjoyed widespread support in

Comparing the older and newer phases of the

liberal as well as conservative circles in many coun­

eugenics movement, one sees a shift from involun­

tries. This reflected a complex mix of influences

tary to voluntary actions by the individuals affected,

and concerns. In part, it reflected the growth of

and from a concern with poorly understood mental

rationalist thought and the growing interest in

disabilities to a limited set of clearly understood

social engineering. It also reflected an awareness

physical disabilities. Because of these changes,

that certain forms of social disability had a heredi­

public support for the new eugenics movement

tary basis. And, finally, it reflected the influence of

has increased in recent years, but many remain

racialist theories (see RACISM).

cautious, and some are actively hostile to all efforts

In the early decades of the century, proponents of eugenics focused their concern on the costs to

to alter the genetic heritage of our species. See also SociAL DARWINISM.

society of mental retardation and illness and moral degeneracy. This led to the advocacy of sterilization

Reading

as a means of preventing the carriers of such traits

Haller, M. 1963: Eugenics: Hereditarian Attitudes in Ameri­

from transmitting them to future generations. In the United States, more than 60,000 individuals were sterilized under state laws providing for compul­ sory sterilization of the mentally ill and retarded. In

can Thought. Kevles, D. J. 1985: In the Name of Eugenics: Genetics and

the Use of Human Heredity. Ludmerer, K. M. 1972: Genetics and American Society: a

Historical Appraisal.

Nazi Germany, a system of special eugenics health

Osborn, F. 1951: Preface to Eugenics.

courts ordered the sterilization of more than half

Pickens, D. K. 1968: Eugenics and the Progressives.

a million individuals who were judged to be suffer­

Searle, G. R.

ing from physical deformities, mental retardation, schizophrenia, epilepsy and other illnesses. Because

1976: Eugenics and Politics in Britain

1900-1914. GERHARD LENSKI

218

EVOLUTION

everyday life

In the attempt, which we in­

herited from the nineteenth century, to subordinate

of living in the present, a 'presentism' whose full potential has yet to be explored.

everything to reason and to find a reason for every­

Social existence is never one-dimensional; it is in

thing, we seem to have forgotten, in Silesius' beau­

many respects monstrous, fragmented, and never

tiful expression, that 'the rose does not have a

where one thinks it has been pinned down. It is

reason'. Epistemologically speaking, by insisting

animated by a pluralism which it must be the task of

so much on what is 'said' in social relations, we

the sociology of everyday life to uncover and exam­

have forgotten that they also depend on what is

ine. Beyond the rationalizations and legitimations

'not said' -a vacant space overflowing with possi­

to which we have become accustomed, social exist­

bilities. Exploring daily life in this way can bring us

ence is shaped by ill-defined feelings and emotions,

to the very formulation of a concrete form of soci­

by those 'unclear moments' which we cannot ignore

ality which has a consistency of its own and must

and whose impact on our lives is palpably growing.

not be seen simply as the reflection of our ideas.

One must bear in mind that it is above all what

This is a piece of basic common sense (one which

we take for granted (as A. Schi.itz has pointed out),

the discursive intellect finds hard to acknowledge,

what is self-evident, which underpins all intellec­

partly because it feels relativized by it) which regu­

tual constructions. As an example one only has to

larly returns both in everyday life and in intellectual

think of popular sayings and proverbs, which Emile

debate. One could even say that if there is a general

Durkheim saw as 'the condensed expression of a

disaffection with overarching and abstruse ideolo­

collective idea or feeling' (Durkheim,

gies, it is because we are witnessing the emergence

everyday conversation, which sometimes contains

of a multiplicity of new ideologies lived out day by

a more elaborate philosophy of life and a greater

day and based on familiar values. This feeling for

sense of the problems which the future holds in

1893),

or

the concreteness of existence can therefore be in­

store than many academic discussions. They are

terpreted as the expression of a healthy, robust

quintessential cultural phenomena in that they

vitality. This vitalism engenders an organic way of

are what society is built upon. It follows that every­

thinking, with all the characteristics of this type of

day life is an epistemological issue which lies at the

thought, namely an insistence on intuitive insight

forefront of sociological debate.

as a way of perceiving things from within, on understanding as an all-embracing, holistic grasp of the different elements of situations, and on ex­ perience as something which, lived through in common with others, is felt to constitute empirical

Helier, A.

1970 (1984): Everyday Life. 1968 (2000): Everyday Life in the Modern

Lefebvre, H.

World.

1979: La Conquite du Present: pour une sociologie de la vie quotidienne. --1985 (1996): Ordinary Knowledge. --1989: The sociology of everyday life. Current Sociology 37.1. Moore, G. E. 1925 (1959): A defence of common-sense. In Contemporary British Philosophical Papers, ed. J. H.

Maffesoli, M.

knowledge. Some authors, albeit very few, have insisted on the primacy of this organic way of thinking: W. Dilthey, of course, but also the thinkers inspired by Nietzsche who prioritize everyday life and its tactile, emotional, collective, unifying aspects.

G. E. Moore's 'Defence of common-sense'

Reading

(1925)

also stresses the truths concealed in everyday

Muirhead. MICHEL MAFFESOLI

life; Moore elegantly noted that 'most philoso­

In the most general sense evolution is

phers ... go against the very common-sense which

evolution

they also share in their everyday life'. Other authors

an extended process of change or transformation of

similarly concentrate on topics which are close to

populations or systems in which later states of an

hand, for instance sociological phenomenologists

entity develop by degrees out of earlier states.

such as Alfred Schi.itz, Peter Berger and Thomas

Social and cultural evolution, therefore, are special

Luckmann, who discussed a range of major epi­

cases of a much more general phenomenon.In all its

stemological issues from this perspective (see PHE­

various manifestations, evolution is usually con­

NOMENOLOGY). In fact what we may call vitalism

ceived of as an irreversible process, though rare

and this 'common-sensology' are closely related,

exceptions may occur.

and combining them allows us to emphasize the

The concept of evolution today is the basis of

intrinsic quality of the 'here and now', the value

important paradigms in sciences ranging from

EVOLUTION astrophysics to zoology and is applied to entitles

on

ranging from the cosmos itself to populations of

scientists.

microscopic organisms. The astrophysicist I. D.

theological grounds,

but also

many

219 social

Social scientists have advanced at least four

p. xiii), for example, defines cos­

reasons to justify their rejection of evolutionism.

mology as 'the study of the structure and evolution

First, many assume that the concept implies a belief

of the Universe'.

in moral progress and an inevitable betterment of

Novikov

(1983,

In pre-Darwinian usage, evolution meant an

the human condition. Second, many reject the idea

unfolding or developmental process whereby the

of evolution on the grounds that it implies some

successive states of an entity were predetermined

form of biological reductionism. Third, social sci­

by inherent attributes or potentialities, as when a

entists with a humanistic bent reject all generalizing

flower unfolds or an organism develops from foetus

explanations of human history and insist on the

to adulthood. Biologists today, however, refer to

importance of contingent factors in shaping the

such processes as development, reserving the term

outcome of every event. Finally, many reject evolu­

evolution for processes involving populations of

tionism because of its sometime association with

organisms in which the outcome is the product of

SociAL DARWINISM.

interaction between a population and its environ­

Although there has been substantial justifica­

ment, as in intergenerational transformations of

tion for these objections in the past, newer evolu­

plant and animal populations. In the social sciences,

tionary

however, the terms evolution and development are

the problems raised. Thus, the newer evolutionism

thought

has

generally

responded

to

often used interchangeably. The former tends to be

explicitly denies both the inevitability or universal­

used when referring to changes over centuries or

ity

millennia that involve the entire human population,

human condition (Lenski and Lenski,

of moral progress and betterment

in

the

1987,

pp.

Progress (or directionality) is seen in

the latter to changes over shorter periods that in­

399-406).

volve individual societies.

human history only in morally neutral matters,

Although the concept of evolution refers primar­

such as growth in the store of useful cultural infor­

ily to a process of change, it incorporates a recogni­

mation, in the scale of organization, in inter- and

tion of the fact of continuity. This is because it is

intraorganizational

predicated on the assumption that the entities that

power of humans to manipulate the biophysical

differentiation,

and

in

the

change are populations or systems made up of mul­

environment. Even in

tiple components. Thus, although such entities

is evident only in the human population considered

these matters, progress

may be drastically altered in the long run (thus

as a whole, not in each and every individual

mammals are descendants of single-celled organ­

society.

isms), many components persist unchanged for

Second, the newer evolutionism explicitly rejects

extended periods (for instance, the genetic codes

biological determinism, identifying culture as the

of all species have apparently employed pairs of the

dynamic mechanism in social change. Although

same four nucleotides for billions of years). In the

the new evolutionism asserts that all cultures reflect

shorter run, moreover, continuity is usually far

the genetic heritage of our species, it sees this

more evident than change. This ability to synthe­

heritage as explaining only the most basic charac­

size two such fundamental but seemingly contra­

teristics of the evolutionary process (such as the

dictory features of the empirical world is obviously

universal use of symbol systems), not its specifics.

one of the great attractions of the evolutionary

This is very different from the simplistic reduction­

concept in the various sciences.

ism of some of the older evolutionism and of much

The evolutionary concept is also attractive be­

contemporary sociobiology.

cause it directs attention to the important linkages

Third, newer evolutionary theories are formu­

between past, present and future. Rene Dubos

lated in probabilistic terms, not in the deterministic

a noted biologist, expressed this

mode to which humanistic critics object. Their

well when he wrote, 'The past is not dead history;

aim is to define and describe the nature of the

(1968, p.

270),

it is living material out of which man makes himself

field of forces that influence the actions of individ­

and builds the future.'

uals and

societies

under

specified

conditions,

Despite its attractions, the concept of evolution

and thereby provide a basis for estimates of the

has not been without critics. These have included

probability of various outcomes - not predictions

not only creationists, who reject evolutionism

or explanations of outcomes in individual cases.

220

EVOLUTIONARY PROCESSES IN SOCIETY

Finally, despite the association of evolutionary

open ambition of becoming a new form of secular

thought with social Darwinism, the link seems

religion. Even today the term 'evolution' is still,

largely fortuitous. One need only recall Marx's

although less often, used in its pre-Darwinian

great appreciation of Darwin's work, or Engels's

sense as a synonym for development and progress

graveside eulogy for his friend, to appreciate the

and almost all critics think of such approaches as

diverse nature of the political implications of evo­

their target (Nisbet, 1986). To avoid such criticism

lutionism (Berlin, 1939, pp. 247-8; Harris, 1968, p.

the more recent post-Darwinian attempts conceive

68). One would suppose that its critics will eventu­

of an evolutionary process in a more limited and

ally come to see that social evolutionism does not

operationally specified way (Toulmin, 1972, pp.

provide firm undergirding for any single political

319-56). To observe an evolutionary process one

agenda.

has to distinguish between a mechanism of blind

See also EVOLUTIONARY PROCESSES IN THE ECON­

variation and a mechanism of selective retention.

OMY; EVOLUTIONARY PROCESSES IN SOCIETY; NAT­

Only this distinction allows us to recognize a social

URAL SELECTION; NEO-DARWINISM.

process as being evolutionary and not merely some kind of self-unfolding development. Most sociologists today restrict themselves to

Reading Calvin, M. 1969:

Chemical Evolution: Molecular Evolu­ tion Towards the Origin of Living Systems on the Earth. Dobzhansky, T. 1962: Mankind Evolving: the Evolution of the Human Species. Harris, M . 1968: The Rise ofAnthropological Theory. Holland, H. 1984: The Chemical Evolution of the Atmos­ phere and Oceans. Laszlo, E. 1987: Evolution: The Grand Synthesis. Lenski, G. and Lenski, J. 1987: Human Societies: an Introduction to Macrosociology, 5th edn. Lewontin, R. C. 1968: The concept of evolution. In Inter­ national Encyclopedia of the Social Sciences, ed. D. L. Sills, vol. 5.

Mayr, E. 1982: The Growth ofBiological Thought. Novikov, I. D. 1983:

Evolution ofthe Universe, trans. from

Russian by M. M. Basko. Simpson, G. G. 1949:

The Meaning ofEvolution: a Study ofthe History ofLife and ofits Significance for Man. Tax, S., ed. 1960: Evolution After Darwin: the University of Chicago Centennial, vol. I: The Evolution ofLife; vol. 2: The Evolution ofMan. Tax, S. and Callender C. eds 1960: Evolution After Darwin: the University of Chicago Centennial, vol. 3: Issues in Evolution. GERHARD LENSKI

meaning-systems and their communicative realiza­ tion. They are most cautious about the possible wider interplay between biological and social evo­ lution and regard those matters as irrelevant for the analysis of society. However, this was certainly different during the earliest stages of human evolu­ tion and a number of biologists and anthropologists have started to focus more closely on the coevolu­ tion and structural coupling between genetic and cultural inheritance systems or levels of selection (Boyd and Richerson, 1985). Evolutionary processes, to a certain- but often underestimated - degree, cannot be calculated in advance. Any sociological theory trying to observe them can at best estimate their range of future possibilities and types of potential breakthroughs, while the definite outcome will necessarily be a matter of chance. By perpetuating random vari­ ations evolutionary processes give chance a chance. They may create a new temporarily stable order based on the selection of such random variations, while this new order again changes and perhaps enhances the probability for the selection of events, which before that order came into being had to be considered altogether impossible. Every selec­

These are

tion of a new variation conditions the range of

changes within the social structure which are

admissible future possibilities. An evolutionary

evolutionary processes in society

brought about by a selective retention of deviant

process is not necessarily directional and is never

random variations. The explanation of evolutionary

unidirectional. Evolution does not imply the inevit­

processes has become an all-encompassing interdis­

able selection of the more complex (Axelrod, 1984)

ciplinary endeavour of modern science. In the social

nor does it tend towards environmental adaptation.

sciences is has only lately freed itself from a provi­

There is no control of standards against which it

dentialist, unilinear notion of human history which

would be evaluated in advance although such stand­

dominated

ards may exist in the eye of the beholder or be

nineteenth-century

social

thought

(Auguste Comte, Karl Marx, Herbert Spencer).

superimposed on the data after the fact (Weick,

This kind of evolutionism had the sometimes

1979; Luhmann, 1982).

221

EVOLUTIONARY PROCESSES IN THE ECONOMY The accelerating evolution of modern world so­

forcing their recursive reproduction. These subsys­

ciety can be estimated by considering the increasing

tems gain new degrees of freedom which were not

differentiation among the basic mechanisms of evo­

open to them before this process of evolutionary

lution itself, that is the separation of variation,

decoupling had taken place. The differentiation of

This

society into several more or less autonomous sub­

evolution of evolution within society, that is within

systems stabilizes the selective procedures of their

selection and retention (Luhmann,

1982).

a system of communication, cannot be adequately

different media and thereby provides them with a

understood by looking for people (see SociAL DAR­

mechanism of retention.

WINISM) or ideas as the elements of selection. A

Since their evolutionary take-off the several sub­

variation within the process of communication

sytems of modern world society have become more

must be a difference that makes a difference in the

and more autonomous and unpredictable, not only

context of further communications. It can be iden­

for one another but even for themselves. The evo­

tified as a deviant communication, that is, one that

lutionary processes in society differentiate and ac­

does not conform to the prevailing pattern of ex­

celerate and with this evolution of evolution modern

pectations. These acts can be characterized as blind

society becomes centreless and less and less conser­

or random because their justification always comes

vative. What a theory of social evolution has to offer

only after they have been generated and tested

is a better understanding of those evolutionary pro­

(Weick,

Usually such acts will be

cesses which make up the modern world society. It

punished, but the experience of deviant acts of

can demonstrate the improbability of its evolution­

communication might also cause a change within

ary drift, and reflect the several risks of different

1979,

p.

123).

the structure of expectations and eventually be

distinctions which might operate as guidelines for

incorporated into it.

the self-description of society. However, evolution

Every communication can be negated, and a

will continue as an undirectable process.

deviant communication especially runs the risk of being rejected. The acceptability of deviant com­

See also EVOLUTION; HISTORICISM; OPEN SOCI­ ETY; SOCIAL DIFFERENTIATION.

munications, that is their selection into the general pattern of expectations, is highly improbable within a social structure that is bound by the constraints of face-to-face interaction.

These limitations

dis­

solved historically with the expansion of communi­ cative possibilities beyond

the

range

Reading Luhmann, N. 1982: The differentiation of society. In

The

Differentiation ofSociety. Schmid, M. and Wuketits, F. eds. 1987:

Evolutionary

Theory in Social Science.

of such

KAY JUNGE

interaction, as a result of the invention of writing, of phonetic writing systems or their equivalents, the printing press, and to a not yet observable

evolutionary processes in the economy

degree the invention of electronic media. These

emergence and destruction of economic relations

facilities made possible a decoupling of the evolu­

can be described as evolutionary if they are due to

tionary mechanism of variation and stimulated the

the selective retention of innovations. Evolutionary

The

evolution of symbolically generalized media of

models taken from biology started to attract the

communication as new mechanisms for selection.

attention of economists as a viable alternative to

These media, for example, money, symbolic power,

the unrealistic abstractions of equilibrium models.

scientific truth, or romantic love, make deviant

The latter claim that at a certain price supply and

communication acceptable as long as it sticks to

demand will balance, but they cannot explain how

the specific standards of behaviour defined by one

equilibrium prices actually come about. The pos­

of the different codes of these media. If so, then it

sibility of equilibrium prices depends on several

can be expected that for example the monetary code

and often only implicitly made assumptions: all

will succeed in spite of local customs and moral

participants in the economy must have perfect

warnings, political power will set up its own ethical

knowledge and complete foresight, they have to

standards apart from religious concerns, scientific

maximize profits and utility, and there has to

truth will free itself from immediate political influ­

be

ence, love will be successful in spite of status obli­

models were set on a rigorous mathematical foun­

unlimited

competition.

When

equilibrium

gations and so on. Such media codes facilitate the

dation and these implicit assumptions became ex­

autonomy of specific subsystems of society by en-

plicit, the application of such models to actual

222

EVOLUTIONARY PSYCHOLOGY

economic systems turned out to be less enlighten­

1981, p. 526). Any innovation within such a context

ing than most economists had expected (Hahn,

will at least partly destroy the existing ecology of

1981). The rather unlikely preconditions for the

niches and give it a new shape. Innovations become

existence of an economic equilibrium impose severe

successful through an evolutionary process of 'cre­

constraints on a meaningful application of equilib­

ative destruction' (Schumpeter, 1942). Evolution­

rium models.

ary processes in the economy are processes of

By reversing the whole theoretical framework

drifting that gather a history of their own by

evolutionary models tackle the basic problem of

selecting random variations. There can be no ad­

economic order anew. They incorporate incom­

vance assurance that some of them will not end up

plete information and uncertain foresight as axioms

in disaster. However, although they are built up on

and dispense with the classical idea of economic

the unreliable grounds of randomness these pro­

man as the profit and utility maximizing agent. In

cesses nevertheless supply temporarily stable and

a pioneering article (1950) A. A. Alchian outlined

reliable structures which can orientate economic

the basic principles of an evolutionary model. He

behaviour.

identifies the economic counterparts of the bio­

To observe the economy as a system structured

logical mechanisms of evolution - mutation, nat­

by evolutionary processes has the advantage of

ural selection and genetic heredity -as innovation,

grasping more of the crucial aspects of economic

the making of positive profits and imitation.

life than most of the other equilibrium models

Alchian focuses on the selective mechanism of the

could handle. Until recently this advantage could

economy as a social system where individual motiv­

only be had at the price of verbal vagueness, but this

ations are no longer essential. Whatever individual

is now compensated to an increasing degree by the

motivation might be like and even if economic

building and testing of computer models aiming to

decisions were completely random, only those par­

simulate the stochastic processes of economic evo­

ticipants realizing positive profits would continue

lution.

in the economic process. As long as such economic behaviour is taken as random or as trial and error it

See

also

DIVISION

OF

LABOUR;

ECONOMIC

GROWTH; EVOLUTION; RATIONAL CHOICE THEORY.

cannot account for more than blind variation. Which variation finally turns out to be an innov­ ation, be it consciously pursued or not, can be discovered only when it has actually been success­ ful. Innovations can only be identified a posteriori, after they have been selected. Into this model,

Reading Foster, J. and Metcalfe, J. S. eds 2001: Frontiers ofEvolu­

tionary Economics. Nelson, R. R. and Winter, S. G. 1981: An Evolutionary

Theory ofEconomic Change. KAY JUNGE

working with variation and selection, Alchian in­ corporated a further mechanism to account for the

In 1872 Charles Dar­

observed uniformity among the selected and suc­

evolutionary psychology

cessful variations in the actual economy. This

win published The Expression of the Emotions in

mechanism can be taken as a mechanism for reten­

Man and Animals. His central argument was that

tion. It works on the basis of imitation. The imita­

facial expressions are universal. Expressions of

tion of those patterns of action associated with past

people feeling fear, anger, disgust, sadness and

successes seems to serve as a good strategy for

enjoyment were, he showed, almost exactly the

actors facing an uncertain and too complex environ­

same in different cultures. Furthermore, these ex­

ment.

pressions had close similarities with those observed

In a similar vein H. C. White (1981) has sug­

in other animals. Human sneering, he argued, is a

gested that the differentiation of markets can be

version of a dog or other beast snarling. The impli­

understood in terms of the observation and imita­

cation was clear. Such similarities in humans and

tion of successful behaviour. This kind of orienta­

between humans and nonhumans have derived

tion generates self-reproducing cliques of firms. A

from common evolutionary descent. But Darwin

market then is no longer understood as being

was cautious. He recognized, for example, that

defined by a set of buyers, but can be seen as a

facial expressions of terror or surprise in humans

historically shaped structure of roles among a stable

could be similar and could be confused with one

set of producer firms, or as an 'ecology of niches

another. Darwin's book was a bestseller in its day

among a crowd of competing organisms' (White,

but it has only recently been fully recognized in

EVOLUTIONARY PSYCHOLOGY

223

our own era. It can be seen as one of the first

ized modules, these having evolved to achievement

examples of what is now called Evolutionary Psych­

of distinct goals. These organs thus preprogramme a range of capacities, such as the ability to learn a

ology (EP). Human behaviour, EP suggests, can be largely

language and interpret the world in certain ways.

explained by reference to our evolutionary past.

EP's central claim is very considerable. It is

The human mind is described by one leading con­

to have found an underlying, evolved, human

temporary protagonist

nature. Thus underneath the vast variety of cultural

as a

'neural

computer'

It is a machine fitted by natural

differences there remain key underlying unities.

selection to reason about plants, animals, objects

Evolutionary design therefore underlies recurring

and people. It is driven by goals and motives that

patterns of courtship, friendship, morality, gender­

(Pinker,

1997).

served biological fitness in ancestral environments,

differences, politics and even aesthetic preferences

specifically the environments encountered in the

(see Pinker,

Pleistocene world of hunter-gatherers. Most im­

tempts

portantly, these evolved drives continue to deeply

females' reproductive capacities are 'evolved solu­

affect human behaviour and may well be unsyn­

tions to the adaptive problems of male reproductive

chronized with or inappropriate for contemporary

competition and potential misdirection of paternal

norms and values (Ashworth et al.,

investments in species with mistakable paternity'

1996). The slow

by

1997

for details). For example, at­

modern

male

humans

p.

to

regulate

process of human evolution means we are still

(Wilson and Daly,

hunter-gatherer people. But we are living in a

lence, the tendency of stepfathers to abuse and even

modern environment.

kill their genetically unrelated children to a greater

1992,

289).

As regards vio­

Attempts have for some time been made by ex­

extent than genetically related parents is again seen

plain the behaviour of humans and other animals

as part of our evolutionary inheritance (Daly and

via the mechanism of evolutionary change (see

Wilson,

SociOBIOLOGY) . These, like EP, have often focused

are genetically related.

1994).

We are less likely to kill those who

on genes and their reproduction into future gener­

EP, despite its attempts to avoid the weaknesses

ations. Thus cooperation between genetically re­

of early sociobiology, raises a number of hackles

lated

by

amongst the social scientific community. Some of

sociobiology as cooperation which will facilitate

these objections are of a factual or statistical nature.

organisms

has

been

explained

the reproduction of 'selfish genes'. Similarly, co­

(Most stepparents, for example, do not abuse or kill

operation between unrelated individuals is con­

their stepchildren; Rose,

ducted on the 'you scratch my back, I'll scratch

tists also resist the level of explanation adopted,

yours' principle. What looks like altruism is again

specifically the genetic determinism associated

2000.)

Many social scien­

a means towards ensuring evolutionary success;

both with sociobiology and evolutionary psych­

that is, getting your genes replicated.

ology. Similarly, EP's attempts to understand the

EP comes from the same intellectual stable as

complexities of social life through the lens of a

sociobiology. Genes, their reproduction and repli­

single discipline strikes many social theorists as

cation, remain the key explanation of social life in

intellectually imperialist and wilfully neglectful

humans. Some practitioners of EP admit, however,

of the contributions of neighbouring disciplines.

that evolutionary change is not the only mechanism

This, despite the fact that many practitioners of

underlying natural selection and that not all genetic

EP claim to be unifying the biological and social

change and behavioural traits are adaptive (see, for

sciences (see, for example, Cosmides et al.,

example, Barkow et al.,

Furthermore, the attempt to understand complex

1992).

Such modifications

1992).

to sociobiology have in part been developed to avoid

whales, their behaviour and their relations to the

critiques of that discipline, which suggested that it

environment through disassembly into small com­

is composed of a series of 'just-so' stories -almost

ponents is for many social scientists mechanistic

any form of behaviour being explained as develop­

and methodologically unsound. EP seems largely

ing because it was, or is, 'adaptive' (Gould and

innocent of many of the key categories of analysis

Lewontin,

used by social scientists. Understandings of class,

1979). EP also tends to differ from socio­

biology insofar as it shifts emphasis away from

gender, race, power, exploitation, state, ideology

behaviour per se and towards psychological mech­

and so on cannot, it is argued, be simply derived

anisms, the 'mind' and 'mental organs'. The mind

from underlying biological propensities. EP is

is seen as composed of a complex series of special-

further

criticized as

an

attempted

'theory

of

224

EXISTENTIALISM

everything', one with semireligious overtones and one which has come to replace such 'old' explana­ tory metadiscourses as Marxism (Nelkin, 2000). EP appears to be ideology-free but it can also accused of legitimating the status quo; of explaining prob­ lematic social relations (such as those between men

Barkow, ]., Cosmides, L., Tooby, J. 1992:

The Adapted

Mind. Benton, T. 1999: Evolutionary psychology and social sci­ ence. In

Advances in Human Ecology 8, 65-98.

Alas, Poor Darwin. Arguments Against Evolutionary Psych­ ology, eds H. and S. Rose.

--2000: Social causes and natural relations. In

and women or adults and children) in terms of our

Cosmides, L., Tooby, J. Barkow, J. 1992: Introduction:

biology rather than power and property relations.

Evolutionary psychology and conceptual integration.

Nevertheless, as Singer

In J. Barkow, L. Cosmides, J. Tooby, The Adapted Mind. Evolutionary Psychology and the Generation of Culture.

(1999) argues, there is no

reason why evolutionary thought should be re­ cruited by conservative forms of politics. Darwin­ ism, he suggests, shows that human beings are 'born co-operators' and this insight could be used by a 'Darwinian Left'. Despite such criticisms, EP raises important issues for the social scientist and, in particular, for the relations between the social and natural sci­ ences. Many social scientists still operate with a 'blank sheet' view of humans insofar as human biology and the human mind are concerned. If EP

Daly, M., Wilson, M. 1994: Homicidal tendencies. In

Matters ofLife and Death, eds J. Ashworth et al., 1996. (1965): The Expression ofthe Emotions in Man and Animals. Dickens, P. 2000: Social Darwinism. Linking Evolutionary Thought to Social Theory. Darwin, C. 1872

--2001: Linking the social and the natural sciences. Is capital modifying human biology in its own image?

Sociology 35, I. Gould, S., Lewontin, R. 1979: The spandrels of San

tends towards disciplinary imperialism, so do many

Marco and the Panglossian paradigm: a critique of the

branches of social thought. Critiques of the social

adaptationist programme. Proceedings ofthe Royal Soci­

sciences by EP have important corrective value, even if often relying on caricatures or sociological 'straw men' (Benton,

2000).

EP is a young and emergent discipline and its links to neighbouring disciplines have still to be

ety B205, 581-98. Nelkin, D. 2000: Less selfish than sacred? Genes and the religious impulse in evolutionary psychology. In

Alas,

Poor Darwin, eds H. and S. Rose. Pinker, S. 1997: How the Mind Works.

logical explanations have done much to retain, is

Alas, Poor Darwin, eds H. and S. Rose. Singer, P. 1999: A Darwinian Left. Politics, Evolution and Cooperation.

still not adequately resolved by this discipline. Re­

Wilson, M., Daly, M. 1992: The man who mistook his

satisfactorily

forged.

The

dichotomy

between

'nature' and 'culture' which evolutionary and socio­

ducing social relations or culture to genes or biology remains a highly problematic way of addressing the

Rose, H. 2000: Colonising the social sciences. In

wife for a chattel. In

The Adapted Mind, eds J. Barkow

et al.

PETER DICKENS

culture/nature divide. One important way ahead might be to recognize different levels of analysis (Benton,

1999). Genes and, more importantly,

exchange theory

See SOCIAL EXCHANGE THEORY

complexes of genes can certainly be envisaged as An influential twentieth-century

important causal mechanisms. Contemporary biol­

existentialism

ogy and epidemiology shows that these may have

European philosophy, deriving from PHENOMEN­

major implications not only for longterm evolution

OLOGY, existentialism's distinctive doctrine is one

but for the lifetime development of all humans and

of radical human freedom. The term was coined

other species. Ways need to be found of combining

during World War II as a name for the emerging

the insights of EP with longer-established areas of

ideas of Jean-Paul Sartre and Simone de Beau voir.

social thought, including psychology (Dickens,

The label was extended first to such friends of

2000, 2001). EP reminds us that the social sciences

theirs as Maurice Merleau-Ponty, and it was then

need to make themselves more open and sensitive to

applied to the work of other philosophers, notably

the biological and evolutionary bases of social life.

Martin Heidegger and Karl Jaspers, who had influenced Sartre. Few of those labelled 'existen­

Reading Ashworth, J., Cronin, H., Curry, 0. eds 1996: Matters of life and death: the worldview from evolutionary psych­ ology.

Demos {htarterly I0.

tialist'

appreciated

this,

being

understandably

concerned at too close an association with Sartre's particular views. Existentialism as a philosophy should be distinguished from the cult among

EXISTENTIALISM Parisian youth in the 1940s and 1950s which

225

situation cannot compel my choices, since they are

borrowed the title. This 'cafe existentialism' may

partly constituted by choices and interpretations.

well have been an expression of post-war 'spiritual

My fatigue, for example, is a motive for stopping

dishevelment' (in the phrase of the Oxford Com­ panion to French Literature, 1959, p. 261), whereas

rather than for pressing on with extra effort only in

the philosophical claims are of perennial rele­

Since the values I use to justify my actions are also

vance.

the light of ambitions I have or have not adopted. 'projected' through my aspirations, and are fur­

Existentialism is a fusion of two themes: the idea,

nished neither by Nature nor by God, then my

traceable to Kierkegaard, that human existence is of

freedom is a moral one too. My decisions allow for

a unique kind; and the central insights of phenom­

no final, objective 'foundations'; hence the sense of

enology. Human existence is distinguished, first, by

'absurdity' to which Sartre refers (1943, p. 479).

the unique capacity of people for self-awareness

Freedom, in these aspects, means that a person is

and self-concern. Human being is an 'issue' for

totally responsible for his actions. He cannot excuse

itself (Heidegger, 1927, p. 67); it is being 'For­

them by pleading compulsion, or palm off the

itself, as against the being 'In-itself of mere things

values which inform his choices as anything but

(Sartre, 1943, p. lxiii). Second, and relatedly, what

his own commitments. There remains, however, a

authenticity: the full, lived rec­

a person becomes cannot be explained by any given

moral imperative of

constitution or essential characteristics, but only by

ognition of one's responsibility, whose antithesis is

the choices he or she makes in resolving the 'issue'

the 'bad faith' indulged in by most of us for most of

of his or her life. Thus a person's 'existence pre­

the time, as when, for example, we put our failings

cedes [his or her] essence' (Sartre, 1946, p. 28); or,

down to some inexorable force called 'character'.

as Ortega puts it, 'existence is the process of realiz­ ing the aspirations we are' (1941, p. 113). A main insight inherited from phenomenology was into the priority of what Edmund Husserl

Existentialism impinges on social thought at sev­ eral places. For one thing, it provides an important version of the view that,

pace

FUNCTIONALISM,

social behaviour is intelligible only in terms of

Lebenswelt, 'the world for all of us', over

people's own perception and understanding of

the specialized 'worlds' abstracted by scientists. We

their situations. Second, it engages with issues

relate to the world, fundamentally, not as natural

of ALIENATION. People's sense of an alien, 'disen­

called the

objects causally interacting with others, but 'inten­

chanted' world is primarily due to a failaure to

tionally'- that is, by encountering it as a network of

appreciate the phenomenological insight that ours

meaning and significance, through which alone

is a 'human world', from which the neutral universe

things can stand out for us. Existentialists crucially

of the scientist is an artificial abstraction. Existen­

depart from Husserl, however, in insisting that we

tialists are acutely aware, however, that the em­

are not pure, disembodied egos, but active 'beings­

phasis on the freedom to 'choose and refuse'

in-the-world' who experience that world as 'equip­

threatens to alienate the individual from his fellows:

ment' (Heidegger, 1927, p. 97), as a 'world of tasks'

for, as Jaspers says, I can and should put up 'inner

and 'projects' (Sartre, 1943, p. 199).

resistance' to the 'social I imposed upon me' (1932,

The two themes are intimately connected. It is

vol. 2, p. 30). This leads, third, into discussions of

because we are always 'on the way' to realizing

relations with 'the Other', which are regarded by

aspirations that the world is revealed as a field of

most existentialists as potentially inimical to the

meanings- as obstacles and opportunities, say. And

attainment of authenticity. For Heidegger, the an­

it is because we relate to things 'intentionally', and

onymous 'They'

are not 'in' the world in the natural manner of

lizes' the individual into passive acceptance of

stones or fish, that we must recognize ourselves as

'Their' 'average' ways and opinions (1927, p. 222),

(Das Man) seduces or 'tranquil­

creatures to whom things matter, ones whose exist­

while for Sartre the danger comes from 'the Look'

ence can become an 'issue'.

(le regard) of the Other, his power to categorize and

These themes converge to produce Sartre's rad­

reify me (1943, p. 263; cf. de Beauvoir's account in

ical account of FREEDOM, which is at once a meta­

The Second Sex, 1949, ofhow the Other, in the shape

physical and a moral concept. It denotes, first, the

of men, manages to constitute women's understand­

absolute independence of choice from causal con­

ing of themselves). 'Hell is other people,' writes

straint; a freedom directly experienced, allegedly,

Sartre- not because they are evil, but because they

Angst. My character, motives and

can dispossess me of a sense of my freedom (1947, p.

in the mood of

226

EXPLANATION

182). Personal relations inherently tend, therefore,

ments, for example that the explanans includes an

towards the agonistic, with each person attempting

axiom or a self-evident truth or a natural law or an

to reduce the freedom of the other by way of a pre­

empirically true description of an invariable se­

emptive strike against the threat which this poses. In

quence of events. Here, the emphasis is on the

his more optimistic moments, however, Sartre en­

formal conditions for explanatory success and con­

visages a community in which people appreciate

sequently recipients can be considered to have an

that 'the oppressor oppresses himself, and that the

explanation even if they cannot see it.

only route to authentic self-understanding is via a

Views about the relation linking the explanans

firm recognition of the reciprocal character of free­

and explanandum also include some that stress

dom among human beings

(1983, p. 443). His Crit­ ique ofDialectical Reason (1960, 1986) also engages

formal requirements, for example, that the relation

fundamentally with Marxism in developing a theory

contradictory to accept the truth of the explanans

be one of entailment, where it would be self­ but reject the truth of the explanandum. Others

of political action.

insist that the relation be causal; this introduces further diversity into the notion of explanation

Reading Cooper, D. E. 1990

(2000): Existentialism: a Reconstruc­

tion. Heidegger, M. 1927 (1962, 1970): Being and

Time, trans.J.

Macquarrie and E. Robinson. Jaspers, K. 1932

(1969, 1970, 1971): Philosophy,

trans. E.

B. Ashton, 3 vols. MacDonald, P. ed. 2000: Merleau-Ponty, M. 1945

tion,

The Existentialist Reader. (1962): Phenomenology ofPercep­

connection (see

CAUSALITY).

Modern attempts to analyse explanation have largely attended to the formal conditions to be attached to the explanans and linking relation, es­ pecially when considering explanations in the nat­ ural sciences, which command attention because they seem especially authoritative. Hempel and

trans. C. Smith.

Sartre,J.-P. 1943

(1957): Being and Nothingness: an Essay on Phenomenological Ontology, trans. H. Barnes. --1946 (1966): Existentialism and Humanism, trans. P. Mairet.

(1948) deductive-nomological or

covering law model was particularly influential in the mid-twentieth century. According to this, a deduced from an explanans which contains the

Sprigge, T. L. S. 1984:

Theories ofExistence. Existentialism.

DAVID E.

Oppenheim's

phenomenon is explained when its description is

--1983 (1992): Notebooksfor an Ethics. Warnock, M. 1970:

because of the variety of characterizations of causal

statement of a set of initial conditions together COOPER

with a law or laws

(nomos being Greek for law). (1965) examples, why the

To use one of Hempel's

underwater part of a straight oar appears bent up­ explanation

This involves relating what is to be

explanandum) to something other (the explanans)- but it is unlikely that even such a

explained (the

wards is explained by reference to the laws of re­ fraction and the initial condition that water

IS

optically denser than air.

general definition as this can embrace the wide

The deductive-nomological schema has come

variety of explanations we find acceptable in our

under sustained criticism, of three types. First,

everyday and scientific pursuits. In part, the variety

internal difficulties; for example, the laws in the

arises from alternative views about the nature of the

explanans must be universal if they are to guarantee

explanans and about the nature of the relation

the explanation, yet there are practical difficulties in

linking the explanans and explanandum.

establishing universal empirical truths and logical

Views about the explanans fall broadly into two

difficulties in characterizing them - either as laws of

types. First, some articulate pragmatic or psycho­

nature or as scientific laws representing nature.

logical requirements, for example that the expla­

Second, arguments that the schema cannot account

nans be known or familiar or previously assented to

for all types of explanation in the natural sciences;

by the recipient of the explanation. What is

for example, statistical explanations, where there is

common here is that the explanans is selected so

only a probability and not certainty that the event

as to remove perplexity in the explanation's audi­

described in the explanandum will occur, such as

ence: explanatory success is relative to its recipi­

the likelihood that a very heavy smoker will get lung

ents, who must see the explanation before they can

cancer, and realist explanations where occurrences

be considered to have it. Second, there are views

are explained by identifying the underlying work­

about the explanans that stress analytic require-

ings that are causally responsible for them, such as

EXPLOITATION

227

the movement of the hands around the face of a

them to take advantage of others. Exploitation

clock being explained by revealing the spring and

always has some connotation of unfairness; how­

cogs that drive them (see REALISM). Third, criti­

ever schools of thought vary as to what constitutes

cisms that the schema cannot be extended to the

such an unfair advantage and under what structural

social sciences and humanities. Important in these

conditions it occurs.

disciplines are intentional explanations which ex­

For Marxism, exploitation is a relation between

plain actions by appeal to the reasons and motives of

classes. In any society where not all available labour

the actors involved, narrative explanations which

time is needed to provide for the direct consump­

explain actions and institutions by tracing the his­

tion needs of the population,

torical sequences of events that produce them, and

around the production and control of surplus

classes develop

functional explanations which explain actions and

labour time. One class is 'exploited' because it

institutions by identifying the part they play in

produces more than it consumes, whereas another

maintaining the whole society. Whether inten­

'exploiting' or ruling class maintains its power

tional, narrative and functionalist explanations are

through its control of that surplus product. Differ­

distinct from causal explanations, and whether real­

ent modes of production and the classes within

ist explanations can be extended from the natural to

them are defined by the specific way in which

the social sciences, continue to be matters of dis­

exploitation takes place. Thus for Marxism exploit­

SCIENCE.

ation is the basic relation of any historical epoch

Whether the deductive-nomological schema or

around which classes themselves are defined (see

variations on it can embrace probabilistic and realist

MODE OF PRODUCTION).

pute

in

the PHILOSOPHY

OF

SOCIAL

causal explanations continue to be matters of debate

Under capitalism, exploitation is hidden by the

in the PHILOSOPHY OF SCIENCE. Postmodernists turn

apparent freedom and equality of the exchange

away from these debates, portraying them all as part

process in which workers freely sell their ability to

of the same mistaken modernist project concerned

labour, their labour power, for a wage of equivalent

to progressively subjugate the natural and social

value (Marx,

worlds to universal rational enlightenment, and

ploited because the working day is longer than that

question whether any generally applicable notion

necessary to produce their wages and the remainder

1867).

Nevertheless, workers are ex­

of explanation is achievable or desirable, preferring

of their day is spent producing a surplus as profit for

to celebrate the diversity of local practices - in the

their capitalist employer.

sciences and in everyday life - each with its own

the freedom of exchange is double-edged; since

cultural logic. This returns attention to the prag­

workers have no other access to the means of pro­

This occurs because

matics of explanation, the local circumstances

duction they have only the choice between the

which enable people within them to 'see' particular

freedom to sell their labour power to some em­

explanations.

ployer or the freedom to starve. However, it is not the exchange relation which is exploitative under capitalism, for workers are paid the value of their

Reading

Halfpenny, P. 1982: Positivism and Sociology: Explaining Social Life. Harre, R. 1970: The Principles ofScientific Thinking. Salmon, W. C. 1998: Causality and Explanation. Taylor, C. 1964: The Explanation ofBehaviour. Van Parijs, P. 1981: Evolutionary Explanation in the Social Sciences. Wright, G. H. von 1971: Explanation and Understanding. PETER HALFPENNY

labour power, but the fact that having purchased it employers can then use that labour power to pro­ duce more than they had to pay for it. Indeed that is the motive for their employment, for without ex­ ploitation employers would make no profi t s. Thus for Marx exploitation occurs in production and is the common condition of all workers employed by capitalist firms. By contrast, in N EOCLASSICAL ECONOMICS ex­ ploitation occurs only if workers are paid less by

Although it can also refer to the

their employer than their marginal revenue prod­

way people make use of natural resources, political

uct, the marginal addition in profits their employ­

situations or moral arguments, 'exploitation' is a

ment makes possible. A profit-maximizing firm

exploitation

term most frequently applied to relations between

will employ workers up to the point at which the

people or groups of people in which one group or

marginal cost of their employment equals their

individual is structurally in a position enabling

marginal revenue product. A firm facing a competi-

228

EXPLOITATION

tive labour market will not be able to influence

strate how his methods fail to capture the essential

wage levels, so its marginal cost of employing an

differences between Marxist and neoclassical ap­

extra worker will just equal the wage, and profit

proaches: that for the former exploitation depends

maximization

that

on production relations and is intimately bound up

product

with the existence of the two main classes of capit­

equal to their wage. Exploitation in the neoclassical

alism, while for the latter it is a contingent relation

workers

simply

produce

a

involves

marginal

ensuring

revenue

sense is therefore an impossibility for a fully com­

between individuals dependent on specific market

petitive firm (see, for instance, Gravelle and Rees,

conditions.

1981,

p.

Exploitation has also been used in various radical

382).

However a firm with monopsony buying powers

social critiques to refer to the relations between

in the labour market will be able to influence wage

other groups in society. For example, some femi­

levels; its profit maximizing level of employment

nists describe relations between men and women as

will therefore be one at which workers are hired at

exploitative. This can be either, by direct analogy

wages lower than their marginal revenue product,

with the Marxist concept, that husbands, their em­

resulting in their exploitation. So for neoclassical

ployers or even the capitalist system as a whole

economics, exploitation is not the common condi­

benefit from women doing more work than is

tion of the whole working class, but a specific char­

required to provide for their own consumption or,

acteristic of some individual workers, those that

in a more nebulous sense, it may be sexual or

work for firms with monopsony buying powers in

reproductive practices which are seen as exploit­

the labour market. Further, instead of being a char­

ative.

acteristic of capitalist production relations it is an attribute of particular market conditions.

Reading

More recently, the school of analytical Marxism has used some of the methods of neoclassical eco­ nomics to explore further the conditions under which

exploitation

can

occur.

Roemer

(1988)

shows that 'Marxist' exploitation is a result of un­ equal distribution of productive resources rather than the specific relations of production. For him

Braverman, H. 1974: Labor and Monopoly Capital: the Degradation of Work in the Twentieth Century. Lebowitz, M. 1988: Analytical Marxism. Science and So­ ciety 52.2. Marglin, S. A. 1974-5: What do bosses do? The origins and function of hierarchy in capitalist production. Review of Radical Political Economics 6.2, 60-112; 7.1, 20-37.

this means that Marxism should see inequality

Marx, K. 1867 (1976): Capital, vol. I.

rather than exploitation as its basic critique of cap­

Roemer, J. 1988: Free to Lose; An Introduction to Marxist

italism. His critics (see, for instance, Lebowitz,

1988),

however, use this result instead to demon-

Economic Philosophy. SUSAN F. HIMMELWElT

F Fabianism

This term identifies an argument not

Fabianism saw democracy as the exercise of the

so much for the moral desirability of socialism, as

political function of the people as a whole. Within

for its likelihood as the logical continuation of the

this structure, individuals would participate in their

principles visible in the existing direction of gov­

various roles as citizens, workers, parents etc., con­

ernment and politics. Socialism was to be an exten­

tributing by their efforts to the common good from

sion of democracy from the political into the social

which they would benefit. But their principal con­

and economic sphere, and was thus summed up in

tribution would be the provision, and checking, of

the term SociAL DEMOCRACY. This view of socialism

information, rather than the exercise of dispersed

was developed by the Fabian Society, and in par­

power. Forms of direct popular power such as

ticular by its three leading members, Beatrice and

referendums or legislative intiatives were con­

Sidney Webb, and George Bernard Shaw between

demned as promoting discontinuity and irration­

1884 and the outbreak of World War II. Society was to be collectively organized for the

ality. What were considered as the sectional and potentially selfish self-government of groups or­

general good by the state, nationally and locally,

ganized on the basis of production in various

acting on behalf of an electorally enfranchised

forms of workers' control were opposed as incon­

people. The characteristic Fabian method and ex­

sistent with democracy. Fabianism's stress on the

pectation were summed up in the phrase 'the inev­

collective and the public led it to ignore problems

itability of gradualness'. Critics of Fabianism have

such as the nature of work or the divisions of

picked up the second part of the phrase, but the first

gender.

part was equally important. Hard work, persuasion,

RODNEY BARKER

and research rather than class war would slowly but inevitably continue the movement of society in a

Reading

socialist direction. In the ideal Fabian state, trained

Beilharz, P. and Nyland, C. eds 1999. The Webbs, Fabian­

intelligence would play a central part, and its rec­ ognition and use in a meritocratic public service would be one of the features that would mark off socialism from capitalism. Far from the hierarchies of capitalism being replaced by equality of power, they would be refined by a system of democratically accountable elites, staffed by the most capable,

ism and Feminism.

McBriar, A. M. 1996: Fabian Socialism and English Politics 1884-1914.

Pugh, P. 1984: Educate, Agitate, Organize: 100 years of Fabian Socialism.

Shaw, G. B. 1889 ed. (1962): Fabian Essays. Webb, S. and B. 1920: A Constitution for the Socialist Commonwealth of Great Britain.

whereas capitalism's elites had been staffed only by the most fortunate. There was often a high

family

moral tone here, praising the ascetic dedication of

pologists have for some time pointed to enormous

Although many historians and anthro­

the professional, and being dismissively patroniz­

variation among families, others have nonetheless

ing about what Beatrice Webb referred to as the

sought to identify it as a universal institution with

'average sensual man'. The high responsibility

universal characteristics. Malinowski, the anthro­

given to trained intelligence in national politics

pologist, first convinced social scientists that the

was exported in Fabianism to become an advocacy

family was a universal human institution (Mali­

of the right and duty of the advanced industrial

nowski, 1913; Collier et al. 1992). In the middle of

nations of Western Europe to administer to the

the twentieth century, the anthropologist George

less-developed parts of the world and bring them

Murdock (based on his analysis of 500 societies)

up to the same socialist heights which were to be

ventured a universal definition and argued that

attained at home.

'the family' was a 'social group characterized by

230

FAMILY Economic ties among black families do not

common residence, economic cooperation and re­

2000).

production. It includes adults of both sexes, at least

disappear altogether. Rather they are reconstituted

two of whom maintain a socially approved sexual

along different lines, emphasizing extended and

relationship, and one or more children, own or

fictive kin rather than conjugal ties.

adopted, of the sexually cohabiting adults' (Mur­ dock,

1949, p. 1).

A large body of research in the US and Britain

For many years, Murdock's defi­

shows that even the middle class rarely lives in a

was the standard definition - cited in

nuclear household isolated from kin. Today, most

numerous textbooks and scholarly essays - ap­

keep in touch with kin, even those who live at a

plauded for its applicability to developing countries

distance from them. Modern technology provides

as well as the developed West. That definition can

them with the ability to stay in touch routinely,

nition

no longer be applied accurately even to the West. Though widely cited, Murdock is now equally

wherever they are. At the same time, growing numbers of affluent dual-career couples (Gerstel

often challenged on each criterion that he advanced:

and Gross,

for his conflation of household and family (this

often working-class, dual-earner families (Hondag­

1984)

have joined those immigrant,

criterion excludes both spouses who live apart and

neu-Sotel and A vial,

that wide range of nonhousehold kin and fictive kin

as parents and children spend much of their time in

that are likely to be counted as family, especially but

separate residences instead of sharing a single

not only among peoples of colour); for the assump­

home. They forfeit claims to a residentially intact

tion not only of economic dependence but of eco­

family, yet they too avail themselves of the new

nomic cooperation among family members (this

technologies that make possible new definition

overlooks the finding of much recent research that

and

many families do not pool income but keep separate

proximate spouses (or parents) are no longer the

budgets and accounts); for the presumption that

sina qua non of family life.

understandings

2001) in which spouses as well

of

family.

Geographically

only units containing two adults of both sexes

Certainly for many women, men and children

'counted' as family (which overlooks not only single

alike, the family has remained an institution based

parents residing with or apart from their children

on economic dependence. Despite women's world­

but also the heated political debates in much of the

wide and unprecedented entry into the labour

West over the rights of gays and lesbians to claim

force, many women continue to depend financially

marriage and family); for the conception that 'own'

on their husbands. Despite men's apparent finan­

children not only make a family but distinguish that

cial independence, most depend on wives not only

family from those who adopt (an assumption that

for unpaid household and care work but also for the

makes family 'ownership', if not relationship, rest

income provided by the wives' paycheques. Despite

on biological ties). All of these are now contested

children's growing assertion of independence, most

criteria.

offspring still depend on their parents for current

His conflation of household and family is, at best,

and future class position just as they increasingly

researchers

take jobs in the expanding service economy and

show how poor US

share their income at home. At the same time,

blacks, for example, rely on extensive kin; these

such economic cooperation seems to have become

class and (Stack,

race specific.

1974;

Newman

Numerous

1999)

families also turn friends into 'fictive kin'. Family

voluntary; the domestic division of labour trivial­

becomes kin because they can be counted on to

ized. Even the economic glue, then, of which Mur­

exchange money, goods and services, not simply

dock wrote may be in the process of dissolving.

love. Family becomes local network - not house­

This transforms the historical gender bargain on

hold or neighbourhood. Overall, then, the eco­

which earlier forms of the family (and work) were

nomic bonds of black families, at least among the

premised and makes visible many family forms.

poor, differ from those of white families, at least the

To be sure, a politically powerful right wing, in

nonpoor. Simultaneously, the character of such

many parts of the world, seeks to restore the he­

family connections is highly gendered. Thus, re­

gemony of the heterosexual couple, permanently

search suggests that disadvantaged black men are

wed, in which the husband is the primary (better

unable to provide women with economic security

yet, sole) breadwinner and household head, the wife

(Edin and Lein,

It is disadvan­

a homemaker and mother, and the children (there

taged black women who turn to kin and fictive kin

are always some) nurtured (especially by mothers)

for support (Collins,

and subject to the control of parents (especially

1997; Wilson, 1996). 1990;

Sarkisian and Gerstel,

FASCISM

(1982) argue

231

fathers). But in many ways this political pro­

ies.' Mittrauer and Sieder

gramme, while clearly powerful, does not represent

as the end of the Middle Ages the German language

that as late

the majority view nor does it address the predomin­

had no word for the private groups of parents and

ant structural trends in family life.

children that many currently call family. Some

Changing empirical and political realities, how­

well-respected scholars even suggest that it is only

ever, have not been the only challenge to the mono­

from around the fifteenth century that Europe sees

lithic concept of the family. Equally importantly,

the rise of a new concept: 'The concept of the

feminist scholars have challenged the belief that

family'. The arrangement was present, Aries con­

'any specific family arrangement is natural, bio­

tended in his groundbreaking work, but 'the family

logical, or "functional" in a timeless way' (Thorne

existed in silence; it did not awaken feelings strong

More importantly, recent

enough to inspire poet or artist. We must recognize

scholarship suggests that the search for a universal

the importance of this silence: not much value was

'family' hides historical change as it sets in place or

placed on the family' (Aries,

and Yalom,

1992,

p.

2).

reproduces an ideology of'the family' that obscures

1962,

p.

364).

Nowadays, given these new meanings and forms,

the diversity and reality of family experience in any

some reject 'the family' while others lay claim to it.

place and time. For example, colonial Americans

Simultaneously, political rhetoric in many soci­

defined family membership in terms of productive

eties, on the left and the right, puts centre-stage

contributions and household membership. Thus,

some broad call for 'family'. But many of these

servants who lived and worked in one household,

claims and political slogans obscure the actual con­

but were often not related by blood, were typically

ditions of modern families. The very concept -

viewed and treated as family members by those

'The Family'- cannot capture the range of ideolo­

with whom they shared that home. That is, they

gies and practices associated with it. The family is a

provided labour as they were taught productive

cultural tool, an ideological and social construct.

skills, religious doctrine and moral values. They

Any attempt to define it as a bounded institution

were family members because they shared the

with characteristics universal across place or time

work of a household and were subject to the author­

necessarily fails.

ity of its head, not because they were treated with nurturance, love or affection. Numerous scholars have argued that the defining characteristic of the 'modern' family (with its roots in the privileged classes of the nineteenth century) are altogether different: at least in ideology, this family is formed on the basis of affection and love; it operates on the behalf of the personality to pro­ vide psychic security; and its spouses are compan­

Reading Aries, P. 1960 (1962): Centuries of Childhood. Gubrium, J.

F.

and Holstein, J.

A.

1990:

What is

Family? Litwak, E. 1965: Extended family relations in an indus­ trial society. In Social Structure and the Family: Gener­

ational Relations, ed. E. Shanas and G. Strieb. Mitterauer,

M. and Sieder, R.

1982:

The European

Family.

ions and its parents (or at least mothers) are

Murdock, G. 1967: Ethnographic Atlas.

emotional and nurturing to their innocent children.

Parsons, T. and Bales, R. 1955: Family Socialization and

Moreover, whereas the agrarian family was all but indistinguishable from the community, some scholars suggest that relations within the contem­ porary family have become more greedy and valued; both as consequence and cause, relations outside of it have become more remote, specialized, rational and tenuous. As Gubrium and Holstein (1990, p.

17) write: 'Indeed,

it has become increas­

ingly clear that "family" and related "domestic" concepts as we know them are relatively recent developments. Many of the distinguishing features

Interaction Patterns. Pine, F. 1982: Family structure and the division of labour: female roles in urban Ghana. In Introduction to the

Sociology of Developing Societies, ed. H. Alavi and T. Shanin. Rapp, R. 1978: Family and class in contemporary Amer­ ica: notes toward an understanding of ideology. Science

and Society 5 .42, 278-300. Stack, C. 1974: All Our Kin. Thorne, B. and Yalom, M. eds 1982: Rethinking the

Family. Wilson, W. 1988: The Truly Disadvantaged.

of contemporary family discourse - in particular

NAOMI R. GERSTEL

the notions of privacy and sentiment- were either Used generically, fascism is a term for a

absent from or unimportant to the discourse of

fascism

primary social relations prior to the last few centur-

singularly protean genus of modern politics inspired

232

FASCISM

by the conviction that a process of total political,

from view because of the extensive social engineer­

social and cultural rebirth (palingenesis) has become

ing

essential to bring to an end a protracted period of

terror) undertaken by the self-appointed new elite

DECADENCE, and expressing itself ideologically in

of both countries in the bid to turn the utopia of a

(involving

intensive

propaganda

and state

revolutionary and forms of deeply antiliberal and

homogeneous and revitalized national community

mythically charged NATIONALISM (ultranational­

into a reality. Furthermore, the revolutionary dy­

ism) which may often embrace overt notions of

namic of the regimes is obscured by the scale of

racial superiority. Confined to publicistic writings

aggression and destruction it involved, especially in

and groups of activists on the margins of political

the case of the Third Reich. Indeed, fascism is

life prior to the outbreak of World War I (protofas­

bound to fail in achieving its goals because its

cism) and since the end of World War II (neofas­

success depends on its small natural constituency

cism), fascism provided the rationale for the

of believers implementing its vision of the new

formations and political parties of the ultra-right

order as the exclusive value system for the whole

which surfaced to combat liberalism, socialism and

of a modern, and hence pluralistic society. When­

conservatism in practically every European country

ever such an ideology is adopted as the basis of a

between 1918 and 1945. Significant ones appeared

regime it leads inevitably to systemic oppression

in Austria, Belgium, Britain, Finland, France, Ger­

and even to systematic inhumanity in some form

many, Hungary, Italy, Romania, and Spain, as

of TOTALITARIANISM.

well as further afield in South Africa, Chile and

This definition of fascism is inevitably conten­

Brazil. Though some of these temporarily broke

tious since it is an IDEAL TYPE of a term which has

through to become the nucleus of popular move­

been the subject of considerable debate since it first

ments, or to play a part in collaborationist regimes as

came to be used generically in the early 1920s for a

part of the Third Reich's 'New European Order',

new form of populist, anti-Marxist nationalism.

only in Italy and Germany did particular conjunc­

However its use here is consistent with a partial

tures of events enable fascism to seize power

consensus which has been gaining ground since the

through a combination of legality with violence,

1990s. This sees fascism as a revolutionary form of

giving rise to Mussolini's Fascist State (1925-43)

nationalism bent on regenerating a nation's political

and Hitler's Third Reich (1933-45) (see NATIONAL

culture and create a 'new man' in order to help

SOCIALISM).

resolve a pervasive crisis in contemporary history

These two regimes exhibited the marked con­

(Griffin, 1998). However this shared ideological

trasts both in the surface ideology and the potential

matrix can generate a wide range of specific theor­

for ruthless brutality in the pursuit of domestic and

ies, policies, forms of organization and tactics. For

foreign policy which distinguish different permu­

one thing, being ultranationalist in inspiration, each

tations of fascism. However, their drive to regener­

fascism will inevitably draw on the history and

ate the whole nation through a popular reawakening

culture of the country in which it arises so as to

set both apart generically from the many contem­

legitimate its assault on the status quo, as exem­

porary authoritarian states of the ultra-right which,

plified in the Nazi vision of Germany as an Arya­

though adopting many of the trappings of fascist

nized Third Reich or the Fascist claim that Italy

Italy and Germany, were essentially opposed to the

was renewing its Roman heritage. In the past fas­

social revolution envisaged by fascism. They are

cisms have incorporated elements of militarism,

thus best seen as partially 'fascistized' or 'para­

technocracy, ruralism, imperialism, neoclassicism,

fascist' regimes (for example, Dolfuss's Christian

avant-garde art, syndicalism, national socialism,

Social Austria, Salazar's Estado Novo in Portugal,

neoromanticism, politicized Christianity, pagan­

Vichy France or Imperial Japan). The anticonser­

ism, occultism, biological racism, ANTI-SEMITISM,

vative, revolutionary dimension of fascism has been

voluntarism, SociAL DARWINISM, or more recently

obscured historically by the extensive collusion

elements of 'alternative culture' (for instance 'New

with traditional power elites (such as the army,

Ageism' and the Green Movement). For example,

the church, ruling elites, industry) which both Fas­

in the 1980s a convention of Italian 'New Right'

cism (best spelled with a capital to distinguish it

neofascists was held at Camp Hobbit, while more

from generic fascism) and Nazism were forced to

recently radically anticapitalist 'Third Positionist'

make on pragmatic grounds. Similarly, the genuine

fascists have played an active part of the 'anti­

populism intrinsic to their ideology is easily lost

globalization' movement.

FASCISM Though the rampant eclecticism of fascism makes generalizations about its specific ideological

233

ing hybrids of fascism with communism (Gregor, 1999).

contents hazardous, the general tenor of all its

The post-war period has also seen the emergence

permutations places it in the tradition of the late

of new 'philosophical' rationalizations of palingen­

nineteenth-century revolt against liberalism and

etic ultranationalism (Griffin, 199 5). The most

positivism which impart to it a strong emphasis on

influential of these are the post-Nietzschean vision

the primacy of vitalism and action over intellect and

of a 'conservative revolution' preached by De Beno­

theory. Consistent with the ideological complexity

ist on behalf of the French New Right (to be distin­

of fascism, the social basis of individual movements

guished from Anglo-American neoliberalism) and

is highly heterogeneous, and by no means restricted

Julius Evola's 'Traditionalist' fusion of Hindu and

to the lower-middle or capitalist classes, despite a

occultist theories of the historical process, both of

persistent assumption to the contrary which still

which have influenced the European New Right,

prevails among Marxists. Fascism also draws on

which retains unmistakable traces of its fascist pedi­

the tradition of ELITE THEORY, though the self­

gree despite its refusal to leave the safe haven of

appointed activist and paramilitary vanguards of

'metapolitics'. The 'European New Right' (which

its interwar variants were convinced of their mis­

has spawned a Russian version called 'Eurasian­

sion to revolutionize society not just 'from above',

ism') is symptomatic of perhaps the most important

but 'from below' through a mass movement capable

development in the evolution of fascism away from

of transforming the alleged chaos and degeneracy of

its interwar models, namely the increasing inter­

modern society into a coordinated and healthy na­

nationalization of fascism to produce various strains

tional COMMUNITY.

of Eurofascism and Universal Nazism. This pro­

Since the war nearly every Westernized country

cess has been vastly accelerated by the spread of the

has seen the appearance of minute and often ephe­

Internet, which means that fascism's most vital

meral groups ('groupuscules') modelling them­

energies are no longer channelled into creating

selves on Nazism or Fascism to agitate for crude

mass parties but into diffusing a multifaceted

versions of racism and chauvinism in what might be

'cyberfascism' which knows no national boundaries

called 'mimetic' fascism. More significantly, per­

but remains overwhelmingly 'metapolitical' and

haps, a number of parties have arisen which, even

hence ineffectual (Kaplan and Weinberg, 1998).

when officially dissociated from interwar fascism,

The tenaciousness of illiberal nationalism and

campaign for a version of ultranationalism adapted

racism as reactions to the global erosion of ethnic

to postwar conditions as, for example, Germany's

communities and cultural identities ensures that

National Democratic Party and Italy's MSI (Movi­

fascism and neofascism will continue to be ingredi­

mento Sociale Italiano) -since 1994 transformed

ents of modern politics, even in the most stable

into the 'postfascist' Alleanza Nazionale. In France,

democracies. Certainly it was to be expected that

Le Pen's Front National, which in the 1980s

after the Soviet Empire collapsed in 1989 neo-Nazi

became the role model everywhere in Europe for

and neofascist (mostly minuscule) movements sur­

an

faced in several of the 'new democracies'. However,

electorally

successful

'right-wing

populist

party', may have had some fascist followers, but

the unique conjuncture of structural forces that

its official platform is a racist perversion of conser­

enabled Fascism and Nazism to conquer state

vative liberalism ('ethnocratic' liberalism) rather

power have gone for good, and in both its party

than a revolutionary creed. Indeed, in terms of

and virtual forms fascism is condemned to leading a

activism the most vital fascist subcultures are now

highly marginalized existence for the foreseeable

no longer in Europe. One is in the USA, where the

future. At least its more sophisticated ideologues

fading of the American Dream has bred numerous

now believe themselves to exist in an indefinite

pagan neo-Nazi groupings bent on purging the

'interregnum' rather than on the brink of a new

nation's current degeneracy (e.g. Odinism), as

era (Griffin, 1995, part 5).

well as bizarre hybrids of neo-Nazism with hetero­

In terms of fascism's contribution to social

dox religious fanaticism in the Christian Identity

thought, some of its interwar intellectuals, notably

movement (Kaplan, 1997). The other is in Russia,

in Germany, Italy and France, produced relatively

where the acute disillusionment which followed the

elaborate theories on such themes as the organic

collapse of state communism triggered an explosion

concept of the state, the leader principle, economics,

of exotic forms of fascist ultranationalism, includ-

corporatism, aesthetics, law, education, technology,

234

FEDERALISM

race, history, morality and the role of the church,

may be combined with the free government and

while more recently the European New Right has

good order of a small state.' And a footnote prom­

produced an impressive corpus of sociopolitical

ised a sequel (which he never wrote) on 'the subject

theory and empirical research to rationalize its

of confederations. This subject is entirely new, and

longing for Western civilization to enter a post­

its principles have yet to be established.'

decadent era based on entirely new ethical and

The American federal constitution of 1787 es­

mythological principles. Though they all neglect

tablished such principles, clearly expounded in

or consciously reject fundamental liberal methodo­

reasoned polemics for its adoption, The Federalist

logical principles, they offer important case studies

Papers (Hamilton and Madison, 1787-8). The fed­

in the application of nationalist and utopian myth to

eral government was a new central government set

academic discourses as a contribution to the legit­

up above 13 existing states, former royal colonies,

imation of the 'grand narratives' of revolutionary

all with constitutions; but the powers of this central

politics.

body were limited by law and subject to judicial

As for the light thrown on fascism by orthodox social

thought,

the

Durkheimian

concept

review. English Tories at the time mocked any such

of

proposals as inherently unstable, so deeply did they

ANOMIE, the Weberian concept of charismatic pol­

believe that a fully sovereign state was essential to

itics and elites, research in sociology, social anthro­

political order. But the young Jeremy Bentham

pology and social psychology into the complex

mocked back, 'Do you not think that the Switzers

dynamics of revolutions, ritual politics, personal

have government?' (1776).

dictatorships, youth movements and totalitarian­

Federal governments are now common. Even the

ism, can all contribute to understanding fascism.

Stalin constitution proclaimed the USSR a feder­

So can academic studies which investigate the

ation, although the national elements seemed only a

mythic dimension of nationalism and the utopian

fa<;ade. But with the collapse of communist power

component of all revolutionary ideologies without

in the 1980s, a reality of divided powers was

confusing them with the discourse of genuine reli­

revealed. And it must be remembered that the

gious millenarianism which they so often mimic.

American colonies had enjoyed a considerable

ROGER GRIFFIN

degree

of

self-government

before

federation.

There are no examples in the world of a unitary Reading

state choosing to turn itself into a federation; the

Gregor, A. J. 1999: Phoenix. Fascism in our Time.

highly successful federalism of post-war West Ger­

Griffin, R. D. 1995: Fascism.

many, for example, was imposed by conquest.

--

1998: International Fascism. Theories, Causes, and the

New Consensus.

Kap1an, J. 1997: Radical Religion in America. Kap1an J. and Weinberg, L. 1998: The Emergence of a Euro-American Radical Right.

Mosse, G. L. 1998: The Fascist Revolution. Towards a General Theory ofFascism.

Payne, G. L. 1996: A History ofFascism. 1914-1945.

Behind these different institutional arrange­ ments lie profound differences of political theory. Modern thinkers as different as Lenin, Sidney and Beatrice Webb and apologists for the sovereignty of parliament in Britain line up behind Thomas Hobbes in believing that without a central, sover­ eign state, inefficiency, at the best, is rampant and, at the worst, civil war is latent. Look what

federalism

This denotes a division of powers

happened with the collapse of Soviet power! But

within a legal framework between central and sub­

others challenge the concept of sovereignty itself.

sidiary governments, and in such a way that, unlike

To John Adams (1774) 'sovereignty is very tyr­

under devolution, the centre cannot change the

anny'. And modern pluralist thinkers hold that

division without special and difficult procedures.

the very concept of sovereignty is a dangerous

All modern political thinkers face the dilemma

illusion: all power rests on consent of some kind

that if a state is too strong, it will threaten the

and has different limitations arising from the soci­

liberties of its people; but if weak, it may not be

ology, culture and tradition of different societies

able to help and protect them. Jean-Jacques Rous­

(see PLURALISM). Then federalism becomes a gen­

seau (1762) argued that sovereign power could only

eral theory of complex societies, not simply a pre­

be exercised justly in a small state, 'But if it is very

ferred set of institutions. Harold Laski once said 'all

small, will it not be subjugated? No, I shall show

power is federal' (1925).

later how the external strength of a large people

See also REGIONALISM.

FEMINISM

Reading Forsyth, M. 1989: Federalism and Nationalism. King, P. 1982: Federalism and Federation. Vile, M. J. C. 1967: Constitutionalism and the Separation of

235

right to choose about abortion- and the network of groups and refuges organized to protect women and their children from violent men. Although the rise of this so-called 'second wave' feminism is often linked to the politics emerging from the American

Powers.

BERNARD CRICK

Civil Rights movement of the 1960s, the roots of these more radical ideas lie more obviously in indi­

This can be defined as the advocacy of

genous European political traditions: utopian so­

equal rights for women and men, accompanied by a

cialism, anarchism, libertarianism, Marxism and

feminism

commitment to improve the position of women in

so on. Other important sources of ideas were Frantz

society. It thus presupposes an underlying condi­

Fanon's work on the internalization of colonialism

tion of inequality, be this conceived as male domin­

and Mao Zedong's approach to political conscious­

ation, PATRIARCHY, gender inequality or the social

ness. During the 1980s and the 1990s this type of

effects of sexual difference. In 1938 Virginia Woolf

feminism - directed at broad cultural change -

provocatively described 'feminist' as 'a vicious and

has been active around issues connecting masculin­

corrupt word that has done much harm in its day

ity and war (for example the Greenham Common

and is now obsolete': an extreme statement that

peace campaign in Britain against nuclear weapons)

illustrates the disagreements about politics that

and the flourishing 'eco-feminism' that links women

occur even among these who support the cause of

to a particular concern with the preservation of the

women.

planet. Founding texts of this Western 'second

In Britain and the USA the longest feminist

wave' feminism are Simone de Beauvoir's The

tradition is that of democratic, liberal feminism

Second Sex (1949), Virginia Woolfs Three Guineas

directed towards obtaining equal rights and oppor­

(1938), and Kate Millett's Sexual Politics, Shula­

tunities for women. The founding texts of this

mith Firestone's The Dialectic ofSex and Germaine

tradition are Mary Wollstonecraft's A Vindication

Greer's The Female Eunuch (all 1970). In the British

of the Rights of Women in 1792 and John Stuart

context one would add Sheila Rowbotham's Hidden

Mill's essay The Subjection of Women in 1869. A

From History (1975) and Juliet Mitchell's Women:

useful modern discussion of this tradition can be

The Longest Revolution (1974).

found in Phillips (1987). In the nineteenth century

Western second-wave feminism has posed many

much of this work was focused on removing educa­

issues for discussion and it may help, in locating its

tional and professional barriers, and the impetus

context in social and political thought in the twenti­

behind these reforming campaigns was often quite

eth century, to take up two of these: (a) the question

militant. The culmination of this 'equal rights'

of feminist 'separatism', and (b) the relationship of

militancy came with the violent struggles of the

feminism to socialist thought and politics.

early twentieth-century suffragettes in their fight

(a) Feminist utopias have often depicted com­

for the vote, documented in the British context by

munities of women where the violent, militaristic,

Ray Strachey in The Cause (1928). More recent

hierarchical and authoritarian characteristics attrib­

areas of contestation in the North American and

uted to men are mercifully absent. This strand of

European contexts have been employment rights,

feminist thought inclines to pessimism on the ques­

equal pay and equality in social benefits, taxation

tion of ameliorating male brutality and advises the

and so on.

establishment

of female

communities

and the

Western societies since the late 1960s have seen

strengthening of women's ties to each other. His­

the rise (and decline) of feminist movements with a

torically this tradition tended to involve a senti­

more radical edge, proposing some sort of revolu­

mentalization

tionary political shake-up of society rather than a

than an eroticization. In second-wave feminism

redistribution of rights and resources, and insisting

the political articulation of lesbianism as an option

of women's relationships,

rather

that the oppression of women is embedded in deep

has been marked, although not by any means ne­

psychic and cultural processes and that feminist

cessarily as a separatist one. The Western Women's

objectives hence require fundamental rather than

Liberation Movement of the 1970s and 1980s at

superficial change. A particular focus of these cam­

some points linked with a more general liberationist

paigns has been the fight for women's control over

politics around sexuality, particularly in defence of

their own bodies- notably on the issue of a woman's

gay rights.

236

FEMINISM

(b) The relationship of feminism to socialist ideas

The characteristic theoretical assumptions of

and politics has been the subject of much discussion

second-wave

(see Barrett, 1988). With the collapse of the Soviet

point of influence in the 1970s, have now given

Western

feminism,

from

a high

bloc, and the decline of Marxism as an intellectual

way to a more dispersed and heterogeneous set of

force in the West, this relationship is likely to be

ideas. What one might call '1970s feminism' as­

eroded. It is worth noting that societies attempting

sumed that one could specify a 'cause' of women's

to implement a transition to socialism have, how­

oppression, however much feminists differed as to

ever they may have failed in general, attached con­

what that cause might be (male control of women's

siderable weight to the emancipation of women.

fertility, capitalism's need for a docile labour force

Hence, for example, the reunification of Germany

and so on). In the taxonomies beloved of this

(in 1991) has involved a loss of rights and resources

period, there were various packages of answers

for women in the erstwhile DDR. Similarly one

('liberal', 'socialist' or 'radical' feminist) to these

might note that state socialist regimes have offered

questions; with hindsight, the diversity of these

women opportunities that are infinitely superior to

answers can be seen to have concealed a high degree

those of regimes inspired by Islamic or other fun­

of consensus on what were the right questions to

damentalist religious programmes.

be posed. It was assumed, too, that all women were

It can be argued that feminism in the West, both

oppressed or subordinated, and that the dynamic

in its nineteenth- and twentieth-century forms, has

of this oppression lay at the level of determining

tended to oscillate around the issue of whether to

social structures. Arguments stressing the import­

press for equality and hence perhaps a 'sameness' of

ance of biology, nature, hormones or genetics were

women and men (androgyny), or whether to start

all dispatched with confidence as 'biologism' and

from the position that women and men are essen­

the social and cultural causes of sexist attitudes

tially 'different' from each other (whether under­

affirmed. Sexual difference, and the salience of

stood biologically, culturally or socially) and hence

childbearing and rearing for the lives of both

to press for a re-evaluation of women's distinctive

women and men, were largely ignored.

contribution. Certainly there is a tension in West­

The breaking up of this consensus could be at­

ern feminist thought and politics on this question,

tributed to three main sources: (a) the critique of

which has arisen in many specific contexts. The

Western feminism for attempting to universalize

'protective legislation' of the nineteenth century,

the

barring women from certain conditions of work

women in advanced capitalist countries; (b) a col­

(such as mining underground, or night shifts) can,

lapse of confidence in the sociological model of

experience

of

white

(often

middle-class)

for example, be interpreted from a 'difference' pos­

GENDER implied in the approach and a concomitant

ition as a proper protection of the reproduction of

reassertion of 'sexual difference' as an important

the species or from an 'equality' position as a cyn­

psychic and cultural phenomenon; and (c) the in­

ical move to exclude women from advantageous

corporation of unsettling ideas of poststructuralist

positions in the workforce. Decisions as to whether

and postmodernist provenance.

to fight for the repeal of such legislation or to leave

(a) Here it is important to note that black femi­

it in force involved taking up a position on this

nists delivered an eloquent critique of the failure of

'equality or difference' debate. Similar dilemmas

white feminism to engage with questions of racism

arise with regard to maternity provision, affirmative

and ethnocentrism. While this point was made 'on

action policies, arrangements for maintenance and

the doorstep' of Western feminism, it was also

custody of children after divorce, not to mention

argued that the high profile of Western feminism

more contentious issues of surrogate motherhood

had itself dwarfed awareness of women's struggles

or new reproductive technologies. Policy debates

elsewhere in the world (see WoMEN's MOVEMENT) .

on these issues in Britain, the USA and Australia

Certainly, it is true to say that political priorities

are discussed in Bacchi (1990). More profoundly, it

vary significantly and that the feminist agenda is

has also been argued (Scott, 1990) that the trad­

very different in non-Western societies. Attempts

itional binary opposition between 'equality' and

by Western feminists to address these issues in a

'difference' is a disabling one that contemporary

comparative context (for example, Robin Morgan's

feminism should refuse rather than continue to

Sisterhood is Global (1984) have understandably

work with. Equality need not involve the elimin­

been criticized for reproducing these underlying

ation of difference.

differences of power.

FEUDALISM (b) Sexual difference came to be viewed as more intransigent, but also more positive, than had been allowed at the high point of second-wave feminism, which had tended to echo the view of de Beau voir

237

Reading Bacchi, C. L. 1990: Same Difference: Feminism and Sexual Difference. Barrett, M. and Phillips, A. eds 1992: Destabilizing

(1949) that femininity was not only a cultural

Theory: Contemporary Feminist Debates.

'achievement' but also a lessening, or distortion,

de Beauvoir, S. 1949 (1974): The Second Sex.

of woman's human potential. This shift was sig­

Hirsch, M. and Keller, E. F. eds 1990: Conflicts in Femin­

nalled in the growing interest in psychoanalytic explorations of sexual difference and identity, an influential text beingJuliet Mitchell's Psychoanaly­

sis and Feminism (1975), and in the analysis of mothering, massively developed after the publica­ tion in 1978 ofNancy Chodorow's The Reproduction

tsm. Millett, K. 1970: Sexual Politics. Morgan, R. 1984: Sisterhood is Global: the International Women's Movement Anthology. Phillips, A. ed. 1987: Women and Equality. Rowbotham, S. 1975: Hidden from History. Woo1f, V. 1938: Three Guineas.

of Mothering. An important aspect of this process

MICHELE BARRETT

was a reappropriation by feminism of the identity of woman, and a realization that the impulse towards

feudalism

'androgyny' or 'equality' was yet another capitula­

of social organization does not occur only for its

Modern interest in this early system

tion to a masculine norm of denying the salience of

own sake. The combination of individualism and

sex and gender.

hierarchy

found in

European

feudalism were

(c) The relationship of feminist thought to the

sources of political liberty, capitalism and science

theoretical currents of poststructuralism and post­

- all based on competition, whether of rulers, re­

modernism is complex, necessarily so if the histor­

sources or ideas. Two conditions of competition,

ical roots of feminism as a liberal humanist doctrine

absence of central coercive capacity and independ­

are considered. Various writers on this theme (Hek­

ence of participants, provide clues to the context

man, 1990; Pollock, 1992; Barrett, 1992) conclude

and content of feudalism.

that feminism straddles the modernity/postmod­

Noncentralized governments are found through­

ernity divide (see MODERNISM AND POSTMODERN­

out history: in ancient Mesopotamia during the

ISM). It is thus difficult to link feminism as a

Kassite period; Egypt during the Middle Kingdom;

historical political movement in any obvious way

Byzantium between the tenth and twelfth centur­

with poststructuralist positions, although many at­

ies; China during the Chou, late Han and late Tang

tempts to do so have been made (for example Wee­

dynasties; Japan between the ninth and eighteenth

don, 1987). Riley (1988) explores the problematic

centuries; and more. Over time, governmental au­

implications for feminism of a poststructuralist 'de­

thority has been fragmented among local jurisdic­

construction' of the category of 'woman'. Feminist

tions more often and for longer periods than it has

theory in Europe, North America and Australia is

been centralized. Only in medieval Europe, how­

currently exercised by the implications of post­

ever, did a noncentralized economy and society

structuralist ideas for conceptualization of any

generate competitive elements sufficiently strong

feminist project and hence the possibilities for

to survive recentralization.

feminist politics. A final point might be made concerning the idea

An eclectic system of governance and economic organization emerged there during the tenth cen­

of 'post-feminism', currently enjoying some popu­

tury AD, largely from mutual need for defence

larity in the West. Many young people in advanced

against invaders from Scandinavia. Under Euro­

Western societies appear to have a more progressive

pean feudalism, the collectivism (subordination of

and open view of the life choices open to women

individual interest to group interests) associated

than the generation of their parents, and to some

with ancient hierarchical polities combined with

extent this can rightly be attributed to the work of

rudiments of political

the active feminist movement of the 1970s and

from relationships among Germanic tribal leaders

1980s. Nevertheless, the idea that feminism is now

and their followers between the sixth and ninth

obsolete and that a 'post-feminist' culture of choice

centuries.

individualism stemming

prevails is, quite simply, not borne out by any socio­

By the sixth century AD, when all traces of western

logical or political investigation of gendered m­

Roman imperial administration had disappeared in

equality and power in contemporary societies.

northern Europe, such limited government as still

238

FEUDALISM

existed had become privatized. Common defence

this process is now called, each level of the hier­

and maintenance of law and order devolved on

archy pledged fealty, promising to supply armed

local bishops and landowners who were descendants

knights to the magnate directly above him, until at

of Germanic invaders.

the highest levels the chief vassals owed feudal dues

The warriors (vassals) in local chieftains' defence

to the crown.

forces gave volunteer service for nothing more than

Subinfeudation stabilized the feudal relation­

daily camaraderie and lifetime subsistence in their

ship: a principal vassal might hesitate to violate

master's house. Weak Merovingian and Carolin­

his feudal contract with the king because his actions

gian kings who were these chieftains' descendants

would set an unfavourable example to the men who

rewarded their vassals with extensive land grants

owed him feudal service.

(fiefs) in exchange for 40 days' armed service each

Emerging feudal customary law further stabil­

year; and, with unsettled conditions following the

ized hierarchical relationships by protecting the

ninth-century invasions, vassalage acquired a polit­

master's rights in intergenerational transfers. The

ical function. A relationship among near equals

rule of primogeniture (inheritance by the eldest son)

arising from mutual obligation evolved into a hier­

ensured that land, titles and rank in feudal society

archy adapted to local governance and military

passed intact to heirs. If the vassal's heir was incom­

defence.

petent, the lord's power of escheat permitted him to

In the vacuum created by the collapse of the

reclaim a fief and reassign it. By exercising the

Carolingian monarchy in the ninth century, each

power of wardship when a child inherited a fiefdom,

vassal assumed authority to govern all who lived on

a magnate could assert control until the child was

his fiefdom. He administered justice, collected

old enough to take the oath of fealty. The magnate

taxes, built roads and bridges and mobilized a

had rights to approve a widow's remarriage and to

private army from its residents. He could claim

approve mates for his vassals' daughters. Finally,

labour service from peasants and was entitled to

the open-ended power of entail permitted a grantor

all agricultural produce. Thus, with virtually no

to recover a fiefdom if its holder failed to meet his

distinction between private and public authority,

demands. Perhaps these powers indicate ways

management of public services and facilities was

vassals tried to evade their obligations.

indistinguishable from private estate management.

Individual power under feudalism was limited in

However independent each vassal might in fact

two important respects. No local governing notable

have been, the traditional obligation to provide

could control all or most of the others, nor could

defence forces sustained symbolic ties with the

any one magnate maintain his authority without

grantor. By the tenth century, when land titles

resources provided by subordinates, each of whom

and the political power and social status corres­

ruled independently over land within the higher

ponding to scale of ownership could be inherited,

magnate's domain.

the mutual defensive obligations of successive land­

Although

hierarchical

social

and

economic

owning generations were being formalized in a

relations persisted within each individual domain,

feudal contract. Heirs to the largest fiefdoms stood

where land might be worked by slaves and tied

near the apex of a social pyramid, superiors in an

tenants (serfs) completely dependent on the land­

emerging feudal nobility.

owner for survival, a few peasant families, espe­

In a ceremony administered by the church, the

cially on the continent, held land in freehold

vassal pledged fealty to his master, promising to

tenure and were exempt from feudal dues. By the

supply armed knights for a defence force in war­

twelfth century, as slavery disappeared and serfs

time, and to garrison the master's castle in peace­

bought their freedom and moved into towns, rules

time. (The master, in turn, would adjudicate

of hierarchy controlled fewer areas of life.

disputes among vassals and provide military aid if

No strong temporal authority existed throughout

a vassal's lands were attacked.) To meet his obliga­

the Middle Ages; late medieval feudal monarchs

tion to supply armed knights, a vassal with large

ruled over decentralized kingdoms. By the late

holdings would divide them, giving over use of the

Middle Ages, however, elements of interdepend­

land to lower ranking associates, and these men

ence permeated relationships among feudal masters.

would further subdivide their estates until, after a

As coalitions among near-equals formed, were dis­

holding

solved and reinitiated to attain mutual advantage,

belonged to one knight. With subinfeudation, as

the bargaining that went on weakened collectivism.

succession

of

partitions,

the

smallest

FORDISM AND POST-FORDISM

239

Bargaining, in which self-regulation substitutes for

methods, of the one best way to perform each

authority, is characteristic of the individualism corn­

elementary productive act, a sharp division be­

manly associated with capitalism.

tween these elementary tasks, and a specialization

Slowly, as weak feudal monarchs took over local notables'

authority

to

administer

justice

and

of each job in one standardized way- but added a search for automation through an ever more intense

RATIONALIZATION). The

defence, they negotiated a workable combination

mechanization (see also

of

other aspect of Ford's 'Fordism' was an advocacy

individualism

and

collectivism.

Eventually

(5 dollars a day), for which he

hierarchy came to dominate the polity. Yet its

of higher wages

formal structure coexisted with elements of indi­

advanced two reasons. High wages were a reward

vidualism, and over time these elements grew ever

for the discipline and stability of the workforce in a rationally organized firm. But it would also (should

stronger.

this practice be generalized) provide the necessary

STATE.

See also

outlets for mass production. In both cases, the working class was invited to benefit from its own

Reading Bloch, M. 1940

submission to management authority within the

(1961): Feudal Society.

--1974: The rise of dependent cultivation and seignor­

firm. Gramsci emphasized the 'microcorporatist'

Cambridge Economic History of

aspect of this compromise (within each firm),

ial institutions. In

Europe,

vol. !,eh. 4.

while Henri de Man concentrated on the possibility

Duby, G. 1974:

The Early Growth of the European Econ­ omy: Warriors and Peasants from the Seventh to the Twelfth Century. Lyon, B. 1972: The Origins of the Middle Ages: Pirenne's Challenge to Gibbon. Stephenson, C. 1969: Medieval Feudalism, chs I, 2 and 5. Strayer,J. R. 1971: The two levels of feudalism. In

Medi­

of a 'macrocorporatism' at the level of society (see also

CORPORATISM).

This was the time of the Great Depression, when fascists, social democrats and communists were criticizing the 'anarchy of the capitalist market', or, as Karl Pohinyi said, 'the domination of a self­ regulating market over society'. Macrocorporatism was on the agenda of all these antiliberal tendencies,

eval Statecraft and the Perspectives ofHistory. Webber, C. and Wildavsky, A. 1986: Finance in private

and in fact Henri de Man ended as a fascist.

A History of Taxation and Expenditure in the Western World.

But after World War II, the 'social democratic

CAROLYN WEBBER AND AARON WILDAVSKY

Roosevelt's liberating armies. Through the New

governments of medieval Europe: poor kings. In

solution' and the 'American way of life' became hegemonic in the West under the sway of President Deal in the USA, the Front Populaire in France,

film

See

CINEMA

the implementation of the Beveridge report in Britain, the successes of social democracy in Scan­

Fordism and post-Fordism

The term Ford­

dinavia, macrocorporatism was stabilized by the

ism was coined in the 1930s by the Italian Marxist

formalization of the Fordist compromise between

Antonio Gramsci and by the Belgian socialist Henri

management and the trade unions, under the aus­

de Man to refer to an interpretation of the writings

pices of the state. Social legislation was system­

of the car manufacturer Henry Ford as formulating

atized,

the premises for a major change in capitalist civil­

bargaining generalized. This compromise resulted

the

welfare

state

extended,

collective

ization. In the 1960s, the term was rediscovered by

in a 20-year boom in productivity, investment and

a number of Italian Marxists (R. Panzieri, M.

purchasing power.

Tronti, A. Negri) and then by the French regula­

Fordism is thus a kind of 'hierarchical holism'.

tion school (M. Aglietta, R. Boyer, B. Coriat, A.

Society secures for everyone participation in col­

Lipietz) as a name for the model of economic de­

lective work, and shares the benefits among all.

velopment actually established in advanced capital­

But this 'society' is organized by private or civil

ist countries after World War II. Ford had insisted

'managers' constructing the world according to

on two major points. First he emphasized the in­

their 'science'. In this respect, Fordism is con­

dustrial paradigm that he had implemented in his

nected with 'modernity', as a bureaucratic style in

factory, where he not only developed the principles

governance and as a rationalist style in urbanism.

of 'scientific management' first proposed by F.

However, contrary to Stalinism or fascism, the glory

Taylor - a systematization, by the design

of Fordism lies not in its collective achievements

of

240

FORMALISM

but in a general access to mass private consumption.

Linguistic Circle was formed in 1915, and included

Hence it paved the way to the AFFLUENT SOCIETY, a

Roman Jakobson, Osip Brik, and Boris Toma­

form of generalized individualism controlled by

shevsky. The complementary Petersburg group,

advertisement and regulation.

which founded the Society for the Study of Poetic

In the 1970s, the economic crises of Fordism

Language

(Opoiyaz) in

1916,

had

among

its

proceeded both from its 'Taylorian' aspect and

members Viktor Shklovsky, Boris Eichenbaum,

from its 'regulated' aspect. Taylorian principles

and Vladimir Mayakovsky. The formalist groups

proved less effective with new information tech­

shared the major project of establishing a strictly

nologies, and the internationalization of the econ­

scientific poetics, beginning with the demolition

omy made state regulation more difficult. Hence, in

of some standard critical principles and approaches.

the 1980s, the search for a 'post-Fordism', which

There could be no further place for the concept

was conceived at first as an inversion of Fordism:

of the artist-as-genius, for notions of authorial

craft

and

control, expressiveness, or intuitive presence. The

mass production, flexibility instead of strict regula­

biographical and psychological studies, along with

tion. This is the 'flexible specialization' (Piore and

the philosophical and the impressionistic, became

specialization

instead

of

Taylorism

Sabel, 1984) conception of post-Fordism, which

irrelevant. Works could not be identified in terms of

inspires some left-wing thinkers in the Anglo­

ideas, thoughts, propositions or themes.

Saxon world, and also the 'postmodernist' styles

The task the formalists set themselves was to

and ideologies (see also MODERNISM AND POSTMOD­

specify, by detailed analysis, exactly what was

ERNISM). But it is strongly criticized as abandoning

to constitute a 'literary fact', distinguishing litera­

the rights that labour had gained under Fordism. On

ture from any spoken or non-literary language, seen

the European continent, it is emphasized that 'spe­

as automatized, cliche-ridden, blunt, rigidified.

cialized skills' imply rigidity of the wage contract,

They proposed no one single position or fixed doc­

and that 'flexibility' fosters deskilling. Thus, there

trine, but all shared this founding assumption about

exist opposed conceptions of the way out of the crisis

poetic language. It is quite other than 'natural'

of Fordism, several 'post-Fordisms'. History is still

language, everyday speech, and not to be taken

open at the beginning of the twenty-first century,

as some mere variation. It is a complete, self­

but the more 'flexible' capitalist countries (Britain,

contained system on its own, with its own forms,

USA) seem

by

codes, and self-regulating laws. One exceptional

the more 'organized' and 'skilled' ones 0apan,

characteristic quality is its self-referentiality, its

Germany).

power to draw attention to itself. All the compon­

to

be

industrially

dominated

See also CAPITALISM.

ents of poetic writing, its units, patterns, forms and techniques, are directed towards this play of lan­

Reading

guage, a self-delighting awareness of expression to

Hall, S. and Jacques, M. eds 1991: The Changing Face of Politics in the 1990s. Harvey, D. 1989: The Condition ofPostmodernity: an En­ quiry into the Origins of Cultural Change. Lipietz, A 1987: Mirages and Miracles: the Crises of Global Fordism. --

1991:

Choosing Audacity: an Alternative for the

which all other features are subordinate. The aes­ thetic function is not identifiable with the commu­ nicative, but prior and superior to it. 0akobson's commentary on Shakespeare's Sonnet 129 brilli­ antly exemplifies this approach.) The research into 'literariness' had produced handsome results with poetry. Formulating a styl­

Twenty-first Century. Piore, M. and Sabel, C. 1984: The Second Industrial Divide: Possibilities for Prosperity.

istics from this work, the Moscow and Petersburg critics boldly went on to apply its principles to

Po1:inyi, K. 1944: The Great Transformation: the Political and Economic Origins ofour Time.

ALAIN LIPIETZ

prose. Shklovsky's Theory of Prose of 1929 was the manifesto. The thrust of all the critique of language had, of course, been directed against mimesis, against all notions of representation, of language

The groups of young progressive

as transparent, as directly mediating an external

Russian writers, artists, and critics who started to

reality. The application of formalist principles to

challenge the cultural values and aesthetic theories

narrative prose is seen in the work of Eichenbaum

of traditional Realists and Romantics became

and Shklovsky. Gogol's tales, such as The Overcoat,

known, pejoratively, as formalists. The Moscow

are treated as a sophisticated play of discrepant

formalism

FRANKFURT SCHOOL styles,

a

baring

of

the

devices

operating

m

the artistic process. The extended analyses of Laurence Sterne's

Don Quixote

Tristram Shandy and Cervantes'

by Viktor Shklovsky take Eichen­

241

Reading Bann, S. and Boult, J. E. eds 1973: Russian Formalism. Bennett, T. 1979: Formalism and Marxism. Jameson, F. 1972: The Prison-House of Language: a Crit­

baum's method to its limits. Paradoxically, Sterne

ical Account ofStructuralism and Russian Formalism.

is said to have composed 'the most typical novel

Lemon, L. T. and Reis, M. J. eds 1965: Russian Formalist

in world literature', since 'literature without sub­ ject-matter' is the formalists' definition of what qualifies as literature. Similarly, the

humour,

the character contrasts, the entertaining events, the pathos and resolutions of Cervantes's novel

Criticism: Four Essays.

Matejka, L. and Pomorska,

K.

eds

1971: Readings in

Russian Poetics: Formalist and Structuralist Views.

Pike,

C.

ed.

1979: The Futurists, the Formalists and the

Marxist Critique.

FRANK GLOVERSMITH

have to be seen as almost inadvertently produced, incidental to the parodic exposure of chivalric romance.

Frankfurt school

Among the attempts made

The formalists' account of literary evolution at­

during the period between the two world wars to

tributes change to development tendencies within

develop Marxist thought, the critical theory of the

LITERATURE itself, and to the passage of time. On

Frankfurt school occupies a prominent place. What

this account, the succession is not particularly

initially distinguished it was not so much its theor­

causal, since older, earlier forms could return with

etical principles, but its methodological objectives,

the same effect in disturbing the settled or canonical

which were the result of an unreserved acknow­

forms. As in the evolution of the genre, so in the

ledgement of the empirical sciences. One of its

internal formal shaping of the particular text. There

primary goals was the systematic incorporation of

emerges, from the processes of defamiliarization,

all social scientific research disciplines into a materi­

the peculiar and uniquely fresh awareness that

alistic theory of society, thus facilitating a cross­

breaks stock responses and habits of perception.

fertilization of academic social science and Marxist

Texts effecting this shock of the new have the

theory.

quality of 'literariness'. Shklovsky concludes: 'Art

The idea of an interdisciplinary extension of

is a means of re-experiencing the making of objects,

Marxism had matured during the 1920s in the

but objects already made have no importance for

thinking of Max Horkheimer, who recognized the

art.' The elusiveness of the 'object' (thing, content

value of the empirical sciences (Korthals, 1985).

or subject) in formalist explications is akin to the

When he succeeded Car! Gri.inberg as Director of

elusiveness of the non-object, 'literariness', the ul­

the Frankfurt Institute of Social Research in 1930,

timate quality that is to be defined. In so far as the

he used his inaugural address to introduce publicly

conventions and literary forms are the target, then

the programme of a critical theory of society (Hork­

the concept tends to be aestheticized (see AESTHET­

heimer, ed. Brede,

ICS), confined to literary constructions. In so far as it

elaborated this approach, together with Herbert

is ideas, attitudes and values, then extraliterary

Marcuse, in the

objects, ideologies, understanding itself are targets;

journal which was established in 1932 and which

1972). In the following years, he

Zeitschrifi fur Sozialforschung,

the

content returns with a vengeance, and form is

formed the intellectual focus of the Institute's work

returned to the social, to the cultural, to the histor­

until 1941. The fundamental idea of critical theory

ical and the immediately contemporary. Defami­

was to bridge the gap between substantive research

liarization, even when confined to literary codes and

and philosophy, fusing these two branches of know­

conventions, proves to have similar paradoxes. In so

ledge into a single form of reflection modelled on

far as literary norms and canons have necessarily to

the Hegelian philosophy of history. In order to

be subverted, then the concept itself is essentially

accomplish this it was of course necessary to have

relative to what is to be 'made strange'. As the new

a theory of history capable of determining the effec­

production becomes in turn the accepted norm,

tive powers of reason which lie in the historical

then there is no set or range of stable forms in

process itself. The basic assumptions of such a

historical equilibrium, from which the qualities

conception of the philosophy of history were de­

that define 'literariness' can be inferred and articu­

rived by both Horkheimer and Herbert Marcuse

lated. The ultimate goal recedes, and the process is

from the tradition of Marxist thought (see MARX­

self-cancelling.

ISM).

242

FRANKFURT SCHOOL

As late as the 1930s, Horkheimer and Marcuse

fascism, the Institute retained the hope for progress

were still defending the classical version of the

inherent in the Marxist conception of history,

Marxist theory of history, according to which the

and even though the idea of a necessarily revolu­

development of the productive forces is assumed to

tionary proletariat had long since been abandoned,

be the central mechanism of social progress (Hork­

the idea of revolution continued to provide a vague

heimer, 1932) and critical theory was now to be

background for critical theory's political under­

incorporated into this historical succession of

standing of its role and its goals (Dubiel, 1978

events as a measure of society's knowledge of itself.

(1985),

As Marcuse, drawing on Horkheimer, put it, crit­

tute's research work as an intellectual form of

ical theory was to make apparent 'the possibilities to

reflection related to the labour movement, because

A.1). Horkheimer still conceived the Insti­

which the historical situation itself has matured'

he clung to a positive conception of the mastery

(1937, p. 647). At the same time, however, Hork­

over nature as a condition for emancipation,

heimer and Marcuse no longer believed that the

allowing the forces of production to be liberated

rationality embodied in the forces of production

from the capitalistic form of their organization. At

in contemporary society was also expressed in

the end of the 1930s, this ideational world finally

the revolutionary consciousness of the proletariat.

and definitively collapsed: in terms of practical

Their works were permeated by an awareness of the

politics through the experience of fascism, Stalin­

fact that, owing to the increasing integration of the

ism and capitalist mass culture joining forces to

working class into the late capitalist system, a

form a totalitarian whole; and in terms of theory

theory based on Marx had lost its social target

through a shift from a positive to a negative model

group. For Horkheimer, the point of reference for

of social labour. The productivistic view of progress

all the Institute's research activity was the question

gave way to a critique of reason that was critical of

of 'how the psychic mechanisms come about which

progress, and called into question the very possibil­

make it possible for tensions between social classes,

ity of changing social relations by means of a polit­

which are forced to become conflicts because of the

ical revolution.

economic situation, to remain latent' (1932, p. 136).

It was Theodor Adorno, however, who was the

Horkheimer's particular achievement was to estab­

foremost representative of this new conception of

lish the research programme of the Institute by

critical theory. His thought was profoundly marked

expressing the overarching question of capitalism's

by the historical experience of fascism as a cata­

new forms of integration in terms of its specific

strophic product of civilization, which had from the

relevance to the empirical disciplines. The pro­

beginning made him sceptical of the historical­

gramme which guided the Institute's work was

materialist ideas of progress. Moreover, his intel­

economic

lectual development had been so strongly shaped by

of the post-liberal phase of capitalism

artistic interests that he was bound to have doubts

sociopsycholo­

about the narrow rationalism of the Marxist theor­

based on a nexus of three disciplines: an

analysis

(undertaken by Friedrich Pollock); a

of the integration of individuals

etical tradition, and under the influence of Waiter

through socialization (by Erich Fromm); and a

Benjamin he made his first attempts to render aes­

gical investigation

of the effects of mass culture,

thetic methods of interpretation fruitful for the

which came to concentrate on the newly emerging

materialist philosophy of history (Buck-Morss,

culture industry (by Theodor W. Adorno and Leo

1977, pp. 43-80).

Lowenthal).

which he wrote with Horkheimer in the early

cultural analysis

The Dialectic of Enlightenment,

However, the idea of interdisciplinary social re­

1940s (Horkheimer and Adorno, 1947), is an ex­

search only exerted a vital, formative influence at

pression of this new intellectual motif in a negative

the institute until the early 1940s. The signs of an

philosophy of history. Totalitarianism could not be

overall shift in orientation were already manifest in

explained as an outcome of the conflict between

the essays which Horkheimer contributed to the

forces of production and relations of production,

Zeitschrifi for Sozialforschung

but was conceived as arising from the internal dy­

final volume of the

(Horkheimer, 1941a and 1941b). This change

namic of the formation of human consciousness.

affected not only the premises of critical theory

Horkheimer and Adorno departed from the frame­

based on the philosophy of history, but also its

work given by the theory of capitalism and now

perception of its own political role and objectives.

presupposed the process of civilization as a whole

During the 1930s, despite resignation in the face of

as the system of reference underpinning their argu-

FRANKFURT SCHOOL

243

ment. In this context fascism appeared as the final

which stood the overarching process of communi­

historical stage of a 'logic of decay' which is inherent

cation between the social groups.

in the original form of existence of the species itself.

When the Institute was reopened in Frankfurt

The process of civilization took the form of a spiral

in 1950, it resumed its research activity without

of increasing REIFICATION which was set in motion

any direct continuation of the social-philosophical

by the original acts of subjugating nature and

outlook of the 1930s and 1940s (Wiggershaus, 1986,

reached its logical conclusion in fascism. One con­

pp. 479-520). This was the point at which critical

clusion which The Dialectic ofEnlightenment forces

theory ceased to be a unified, philosophically homo­

us to draw (Habermas, 1985, eh. 5) is the denial of

geneous school of thought. However, the idea of

any dimension of progress in civilization other than

a 'totally administered world' did initially still

that which is manifested in an intensification of

represent a reference point for its work in social

the forces of production. A second conclusion is

philosophy. This idea runs like a leitmotif through

that every form of political praxis is control­

the critique of civilization in the studies of Hor­

oriented action, so that they had to exclude it in

kheimer, Adorno and Marcuse. There was no

principle from the range of positive alternatives.

departure from the philosophical premises of this

The Institute's innermost circle of researchers

diagnosis of contemporary society until a new ap­

were thus deprived once and for all of the possibi­

proach was formulated by Ji.irgen Habermas who,

lity of situating their own research activity in real

although he was a product of the Institute, had

politics. An alternative to such negativistic theoretical

a very different theoretical background and orien­ tation. In the development ofHabermas's thought,

models would have been the approach of Franz

philosophical anthropology,HERMENEUTICS, PRAG­

Neumann and Otto Kirchheimer, who belonged,

MATISM and finally linguistic analysis brought the­

together with Waiter Benjamin and later also Erich

oretical currents to the fore which had always been

Fromm, to a group who were only temporarily or

regarded as alien, indeed hostile, by the older gen­

indirectly associated with the Institute. This might

eration

have called into question that image of a 'totally

Nevertheless, Habermas's works gradually led to

surrounding

Adorno

and Horkheimer.

administered society', which necessarily led to the

the formation of a theory which was unmistakably

cui-de-sac of political abstentionism. During their

motivated by the original objectives of critical

period of exile in New York, Neumann and Kirch­

theory, and is founded on an insight into the lin­

heimer contributed to the Institute's work by con­

guistic intersubjectivity of social action. Habermas

ducting research into legal theory and theories of

arrived at this central premise through his concern

the state, and they put forward an analysis of fas­

with hermeneutic philosophy and Wittgenstein's

cism whose explanatory power was superior to the

analysis of language, from which he learned that

theory of state capitalism (Wilson, 1982). They

human subjects have always been bound to one

recognized that social integration does not simply

another by the medium of reaching understanding

take place via the persistently unconscious fulfil­

through language. This is therefore a fundamental,

ment of the functional imperatives of society, but

inescapable prerequisite for the reproduction of

rather via political communication between social

social life.

groups. Their active participation in the class con­

It was via this route that he also arrived at a

flicts which characterized the Weimar republic led

critique of Marxism, the result of which was

them to a realistic assessment of the 'ratio of power

a conception of history that had been expanded to

of social interests'; they saw that the power poten­

include the dimension of a theory of action. If the

tial which evolves from private capitalist control

life-form of the human being is distinguished by

over the means of production could not be overesti­

the medium of reaching understanding through

mated. Finally, their acquaintance with AusTRO­

language, then social reproduction cannot be re­

MARXISM made them aware that social orders as a

duced to the single dimension of labour, as Marx

whole are characterized by compromise. The insti­

had reduced it in his theoretical writings. Rather,

tutional structures of a society are to be understood

in addition to the activity of dominating nature,

as momentary fixations of agreements reached

the practice of linguistically mediated interac­

within society by the various interest groups in

tion must be regarded as an equally fundamental

accordance with their respective power potentials.

dimension of historical development (Habermas,

All of this formed a model of society at the centre of

1968).

244

FREEDOM

However, the decisive step which led to Haber­

signifies the absence of 'unnecessary or hurtful re­

mas's own theory of society was not taken until the

straint' (Lewis, 1832, p. 154), or more broadly, of

two action concepts of 'labour' and 'interaction'

'the deliberate interference of other human beings

were associated with different categories of rational­

within the area in which I could otherwise act'

ity. In the subsystems of purposive-rational action

(Berlin, 1958, p. 122), and from this it follows that

into which the tasks of social labour and political

freedom is greater where there is less restraint or

administration are organized, the species evolves

interference. This is the primary sense in which

through the accumulation of technical and strategic

freedom (above all vis d vis governments) was under­

knowledge; while within the institutional frame­

stood by liberal thinkers such as]. S. Mill and Alexis

work in which the socially integrating norms are

de Tocqueville in the nineteenth century, and by

reproduced, the species evolves through liberation

their successors in the twentieth century. All of

from all constraints which inhibit communication

them recognized, however, that some restrictions,

(Habermas, 1968). All the extensions to his theory

established mainly by law, are necessary in the

which Habermas undertook in the course of the

interests of social cohesion, justice and other values,

1970s follow the lines of this model of society, in

though they differed greatly in their views of how

which action systems organized according to pur­

much restraint is required or is tolerable, and pre­

posive-rational criteria are distinguished from a

sent-day libertarians (such as Hayek, 1973-9) argue

sphere of communicative everyday practice. In the

strongly for a severe curtailment of restrictive legis­

Theory of Communicative Action (1981) this pro­

lation and the activities of government.

gramme was presented in systematic form for the

The positive sense of freedom was defined by

first time. The fruits of the various studies are here

Lewis (pp. 151-2) as signifying the possession of

consolidated into a single theory in which the ra­

'rights the enjoyment of which is beneficial to the

tionality of communicative action is reconstructed

possessor of them', and this formulation has a very

in the framework of a theory of the speech act,

modern ring, for recent discussions of positive free­

further developed into the basis for a theory of

dom have frequently invoked the notion of CITI­ involving the establishment of a wide

society by reviewing the history of sociological

ZENSHIP,

theory from Max Weber to Talcott Parsons, and

range of civil, political and social rights. The

finally made into the point of reference for a critical

growth of freedom is then conceived as a develop­

diagnosis of contemporary society. The results of

ment of citizenship. Underlying such a conception

the discussion which this work has provoked will

is the view that if freedom is not to be merely an

decide the future of critical theory (Honneth and

abstract and empty notion, then conditions must

Joas, 1991).

exist in which individuals can actually exercise their

Reading

self-realization and self-direction of which they are

Arato, A. and Gebhardt, E. eds 1978: The Essential Frank-

capable.

freedom in order to achieve the maximum degree of

furt School Reader.

In relation to these issues there is a further dis­

Benhabib, S. 1986: Critique, Norm and Utopia.

tinction to be made between individual freedom

Bottomore, T. 1984: The Frankfurt School.

and what may be termed collective freedom. Na­

Buck-Morss, S. 1977: The Origin of Negative Dialectics. Held, D. 1980: Introduction to Critical Theory. Horkheimer, M. 1968 (1972): Critical Theory. Jay, M. 1973: The Dialectical Imagination: a History of the Frankfurt School and the Institute of Social Research 1923-SO.

tional liberation or independence movements, class movements, women's movements and others aim to secure greater freedom, in a specific sense, for whole categories of people, though this is of course related to the achievement of certain kinds of indi­

Wellmer, A. 1969 (1974): Critical Theory of Society.

vidual freedom. Such phenomena make evident the

Wiggershaus, R. 1986 (1994): The Frankfurt School.

fact that freedom in its most universal sense

AXEL HONNETH

depends on a complex of social institutions which

A concept which has been interpreted

beings are not 'born free'; they are born into a

constitute a particular type of social order. Human freedom

in diverse ways in very varied social doctrines. An

pre-existing network of social relationships, as sub­

initial distinction may be made between what have

jects of an empire, or members of a tribe or nation,

been called 'negative' and 'positive' conceptions of

of a caste or class, a gender, a religious community;

individual freedom. In its negative sense freedom

and the limits of their freedom are conditioned by

FUNCTIONALISM

245

these circumstances. But they are not wholly deter­

realization and self-direction, likewise varying with

mined thereby, for individuals and groups can and

social circumstances, are critically examined.

do struggle for greater freedom, all the more suc­ cessfully as human productive powers and the

Reading

wealth of society increase. In modern societies,

Berlin, I. 1958

and particularly in the twentieth century, there has undoubtedly been, in spite of numerous retro­ grade movements, a considerable enlargement of freedom as a result of the acquisition of civil, polit­ ical and social rights on a much broader scale.

(1969): Two concepts of1iberty. In Four Essays on Liberty. Hayek, F. A. 1973-9 (1982): Law, Legislation and Liberty. Mill,]. S. 1859 (1991): On Liberty. In On Liberty and Other Essays. Ryan, A. ed. 1979: The Idea ofFreedom. TOM BOTTOMORE

These gains are the outcome of many collective struggles, for universal suffrage, the economic and

This brand of analysis in the

social rights of women, liberation from colonial rule

functionalism

and from various forms of political dictatorship.

social sciences refers to a methodological and the­

But it may also be argued that the extension of

oretical orientation in which the consequences of a

social rights in particular, in modern democratic

given set of empirical phenomena, rather than its

welfare states, has been attained at the cost of

causes, are the focus of analytical attention. The

greatly increased government intervention and

term has been applied to a variety of divergent

regulation, and a growth of bureaucracy, which

approaches, but the common element they share is

themselves constitute new limitations on the free­

a focus on the relations of one part of society to

dom of the individual. One principal source of such

another, and perhaps more frequently to the whole

views is Max Weber's exposition of the processes of

society. Causal and functional analysis are two dis­

rationalization and bureaucratization of life in

tinct approaches that need not be in competition

modern industrial societies, which he argued tend

with each other.

to undermine the autonomy and integrity of the

Functional analysis emerged from the attempt to

individual (see Liiwith, 1932; Mommsen, 1974).

use in social analysis notions first developed in the

These are not, however, the only issues which

biological realm. This mode of methodological

arise in considering how social changes that are

reasoning was pioneered by Emile Durkheim in

intended to promote freedom may, while initially

France and by Herbert Spencer in Britain. The

accomplishing their aims in one sphere, create new

Durkheimian strain was further developed by the

restrictions in others.

anthropologists A. R. Radcliffe-Brown and Bronis­

Revolutions and radical

reforms, conceived as emancipatory, have fre­

law Malinowski in Britain, and by Talcott Parsons,

quently led to dictatorial regimes, while in demo­

Robert K. Merton and their disciples in the United

cratic societies the danger always exists of that

States. Functionalism dominated American soci­

tyranny of the majority which Mill analysed.

ology from the war years to the middle of the

More generally, it is evident that the liberty of

1960s but has since been subject to a variety of

individuals or groups always involves, or is likely to

attacks that led to loss of its former dominance,

involve, some limitation of the liberty of others -

and it never assumed major importance in Europe.

the most extreme statement of this idea beingJean­

A few examples will show the nature of this

Paul Sartre's dictum that 'hell is other people'.

approach. If one wishes to analyse marital patterns

Human life is necessarily social, and liberty can

in Western society, one may try to account for them

best be conceived as a continually changing balance

through an analysis of, say, Christian ideas of mar­

between the competing claims of individuals and

riage as they developed from the days of Saint Paul

groups within an inclusive society, the boundaries

to the pronouncements of the current Pope. But

of which may also expand as human rights are

one may also raise a different sort of question. For

asserted on a global scale. Hence a conceptual an­

example: why have monogamous marriage systems

alysis of freedom needs to be undertaken in the

been dominant in the Western world for a very long

framework of broader social theories, where both

time? In this case a satisfying answer must not only

the negative sense of freedom, concerned with

focus attention on the history of the modern West­

those forces which restrict individuals, in different

ern family system but needs, in addition, to account

ways and degrees according to their social position,

for its persistence over a very long stretch of West­

and its positive sense, of the possibilities for self-

ern history. This is best addressed by comparing

246

FUNCTIONALISM

such a family system with other family systems and

drug use for the mobility patterns of a particular

investigating its consequences for the wider frame­

minority.

work of Western society and for specific elements

There has been an unfortunate tendency among some functional analysts to assume that any item

within it. Systematic search for the social consequences of

that contributes to the maintenance of a larger

a given set of phenomena should be distinguished

whole is therefore a positive factor. But only those

from another 'forward-looking' notion in the social

with a conservative bias assume that what exists is

sciences: that of purpose. While the latter refers

necessarily desirable. Such conservative bias can be

to conscious motivations of one or more actors,

avoided if it is pointed out that it is possible to focus

the former is used to investigate consequences of

on alternatives which may have positive functions

which the actor may not be conscious. Such a

for a given item and yet are not tied to a set of

distinction was first formulated by Robert K. Mer­

undesirable consequences. Thus, while magic may

ton when he introduced a distinction between

give actors a sense of security in an environment

manifest and latent (that is unconscious) functions,

that is unpredictable, it is also true that insurance

as in the following examples. All societies have rules

policies may have the same consequences as one

of inheritance which determine who is to inherit

moves from a tribal to a modern society. Attention

what. Functional analysis is not interested in the

to alternative functions prevents analysis being tied

historical development of such rules, but rather

to conservative ideology.

turns the focus of inquiry to a consideration of the

Another conservative bias may be introduced

differential societal impact of different systems

into functional analysis if analytical attention is

of inheritance. It investigates, for example, the sali­

limited to positive functions. Merton distinguishes

ent consequences of systems of primogeniture and

between functions and dysfunctions. He shows

of systems that favour an equal partition among

moreover that given items under analysis may

sons and daughters; or of systems that provide for

have functional or dysfunctional consequences for

the

different parts of a social system. For example,

mother's, or the will of the testator. Each one of

patterns of individual mobility in an industrial so­

succession

through

the

father's

line,

or

these different systems of inheritance has strong

ciety might be strengthened by giving financial

structural consequences in as far as it leads, for

assistance to promising lower-class youngsters,

example, to concentration or dispersal of family

allowing them to attend superior high schools or

wealth. The concept of latent function extends

college. But such 'creaming off' of promising lower­

attention beyond the question of whether behav­

class students is likely to deplete the pool of able

iour attains the purpose of the actors, and directs

leaders for a labour party or trade union. When the

attention to ranges of consequences of behaviour of

dysfunction of a particular item becomes obvious,

which the actors are unaware and which they did

this may encourage reform-minded social scientists

not anticipate. In particular, behaviours that strike

and laymen to envisage alternative modes of organ­

the observer as irrational and senseless may turn

ization.

out, in the light of functional analysis, to have

As is often the case in the history of science when

important consequences. While rain dances are

a new approach, method or theory has been pub­

not likely to change the weather, they may well

lished, those introduced to it seem to feel that it

contribute to the raising of the morale of a group

would explain everything under the sun. The early

that is demoralized by an extended period of

Freudians tended to see sexual symbolism in Zep­

drought.

pelins or Havana cigars, and the early functional

Many social scientists, in particular anthropolo­

analysts believed that everything must necessarily

gists, have focused their major attention on the

have a function. This simple faith retains few wor­

consequences of a particular social fact for the

shippers today. Just as medicine is aware that there

wider structure in which it is embedded. It would

are parts of the anatomy, such as the appendix, that

seem, however, that an equally fruitful analytical

have no discernible functions, so most functional­

strategy would be to trace the consequences of a

ists now know that there are parts of the body social

given item for another such item within a larger

that seem no longer to have a function, or may never

whole. This perspective suggests, for example, that

have had a function.

it is likely to be fruitful to analyse the impact of a

Another approach to functional analysis, the no­

depression on the birthrate, or the consequences of

tion of functional prerequisites, enjoyed a good deal

FUNDAMENTALISM of attention a decade or two ago but seems since to have been rather neglected. The notion of pre­ requisites suggests that any social system needs to meet certain indispensable functions if it is to sur­ vive. The focus of attention here is on the precon­

Durkheim, E. 1895

247

(1938): The Rules of Sociological

Method. Giddens, A. 1977: Functionalism: apres la lutte. In Studies

in Social and Political Theory. Navaho Witchcraft.

Kluckhohn, Clyde 1944:

Malinowski, B. 1944: The functional theory. In A

often been followed up by the idea that a particular

Scien­ tific Theory of Culture and other Essays. Merton, R. K. 1949 (1968): Social Theory and Social Structure, enlarged edn. Parsons, T. 1951: The Social System.

existing item is a functional prerequisite, and this is

Radcliffe-Brown, A. R. 1952: On the concept of function

ditions and functional prerequisites for a society. This seems a however,

this

valuable notion. unobjectionable

Unfortunately, proposition

has

a highly questionable notion. Not only is attention

in social science. In

turned away from the alternative structures, but it

Society.

is also argued that specific cultural items must

Structure and Function in Primitive

Stinchcombe, A. 1968:

Constructing Social Theories. LEWIS A. COSER

be operative if the system is to survive. So, for example, religion has been said to be a functional requirement for the maintenance of solidarity in a

fundamentalism

society. Such a proposition can only be maintained

ence to a variety of conservative Protestantism,

by arguing either that formally non-religious cul­

more particularly in the United States, the term in

Beginning its life with refer­

tural institutions are actually of a religious character

its contemporary use is loosely extended to include

(for instance, that communism is really a religion)

varieties of conservative Islam and conservative

or that religion is indeed an indispensable and ir­

Judaism, and ought to include the kind of militant

replaceable institution, which has not been shown

and dogmatic Catholicism found in the Opus Dei

to be the case. Analysts arguing along these lines

movement.

have never convincingly established that religion is the irreplaceable cement to glue society together.

Christian

fundamentalism

had

originally

to

do with specifically designated fundamentals of

Moreover, many lists that have been compiled

belief, which included the inerrancy of the Bible

by authors upholding this point of view turn out

as well as the Virgin Birth and the Atonement. As a

on inspection to be not much more than lists of

movement fundamentalism represents one major

items, such as food production and sexual regula­

response to liberal Protestantism. Liberal Protest­

tion, that are indeed part of society by definition. It

ants accepted a higher critical approach to the Bible

seems of limited value to insist that people must

and adopted a flexible hermeneutic, with all that

indeed have something to eat if the society is to

implies with respect to modernization and relativ­

survive.

ization. From the liberal viewpoint, Christianity

Functional analysis is at present very much on

had ceased to be a unique and final revelation de­

the defensive in the United States and also in

livered to mankind in the Bible, but was rather an

Europe. Yet it is also a fact that much sociological

evolving awareness of the divine existing alongside

writing continues to use functional logic and

other spiritual resources generated by other faiths.

reasoning but without doing so explicitly. Moliere's

Liberalism in this mode was necessarily on the

character M. Jourdain did not know that he had

move, usually in a direction further away from

always been talking prose, and many members of

orthodoxy, whereas fundamentalism saw itself as

the sociological guild do not know, or do not want

standing by 'the faith once-for-all delivered to the

their readers to know, that they are really using

saints'. Typically fundamentalists held to the literal

functional analysis. Only the future will show whether functional

truth and precise historicity of the Bible, and to

analysis is indeed a requisite of a sophisticated

the Mosaic authorship of the Pentateuch as some­

sociology.

how bound up in literalism. They rejected Darwin along with modern scientific accounts of the origins

See also STRUCTURALISM; TELEOLOGY.

of the cosmos and the usual understandings of the fossil record. Much of English Protestantism, even

Reading Davis, K. 1949:

of a conservative kind, absorbed evolution and

Human Society.

Demerath, N. J. and Peterson, R. A. eds 1967:

Change and Conflict.

System,

modern cosmology, even though there were some intellectual tragedies, for example the distinguished

248

FUTUROLOGY

marine biologist Philip Gosse, who had to circum­

Fundamentalism in Europe also seems only inci­

vent his own evidence. But in the United States

dental, whether it is part of Pentecostalism or older

there developed a closer interpenetration, espe­

forms of pietism, evangelicalism and revivalism.

cially in the South, of moral conservatism, funda­

That is to say there are layers of religious conserva­

mentalism and cultural defence. Perhaps this was in

tism in, for instance, western Norway, north-east

part because there is more room in the United

Holland,

States for the creation of networks of institutions

Northern Ireland, which do not place fundamental­

outside the educational heartlands controlled by the

ism in the front line of their cultural defence. There

northern Jutland,

nothern

Scotland,

liberal intelligentsia (and their allies in the liberal

are also minor political parties in much of nothern

clergy). So though the fundamentalist cause was

Europe devoted to traditional religious MoRALITY.

set back in 1925 by the adverse publicity attending

Parallel movements of religious conservatism have

the trial of John Scopes for illegally teaching evolu­

arisen of recent years inside most of the established

tion, it managed to reinforce its institutional de­

churches, and some of these are charismatic in

fences and has re-emerged a generation or so later

emphasis. But again, their conservatism is more

in alliance with several varieties of moral, theo­

linked to devotional attitude and moral discipline

logical, cultural and political conservatism.

than to strictly fundamentalist views of the Bible.

In

some areas fundamentalists acquired enough clout

Clearly, Christian fundamentalism is just one

to ensure that 'creationism' was taught in schools

element in a massive shift towards conservative

alongside other accounts. (Creationism is itself very

and evangelical versions of the faith. It runs parallel

varied, ranging from the standard view of God as

to a comparable shift in the Islamic world, more

Creator to a periodization based on the Book of

particularly among Shi'ites. In one sense IsLAM is

Genesis to a strict adherence to the narratives in

inherently fundamentalist given the emphasis on

Genesis 1 and 2). It is worth emphasizing that the

the perfect Word of God finally embodied in the

public profile and internal cohesiveness of funda­

Qur'an. Alongside this, as one of the 'fundamentals'

mentalism has been strengthened by religious tele­

oflslam, is the promotion oflslam and Islamic law

vision and radio, and by 'Christian' schools which

as a complete way of life encompassing the state

help create an all-encompassing 'plausibility struc­

wherever power and numbers allow. The the­

Such clout as fundamentalists achieved

ocratic ambitions of Islam are in sharp contrast to

through participation in the Moral Majority in­

the modest pressure group activity of conservative

volved novel alliances with conservatives of other

Protestants, although there are parts of Africa, such

faiths.

as Zambia, where ideas of a Christian society are

ture'.

Many commentators see fundamentalism just as

promoted. In contemporary usage, a 'fundamental­

a reaction and as a case of what Steve Bruce has

ist' Muslim is either linked to one of the conserva­

called 'cultural short trousers' (1990). However,

tive movements or else simply characterized by

this view is too biased towards the liberal under­

militancy and fanaticism. Certainly this kind of

standing of the matter. Religious conservatives may

militancy is part of a reaction to the freeing of

be engaged in a form of cultural defence but they

many Christian societies from Muslim (mainly Ot­

exist easily in the commercial and technical world

toman) colonialism and the advance of Western

without their neighbours noting any marked oddity

culture and colonialism, including in that advance

or backwardness. In any case, the main conservative

secularity and pluralism, into the Islamic world.

denomination, the Southern Baptists, is expanding where most liberal denominations are contracting,

Reading

and Pentecostalism is part of a worldwide move­

Bruce, S. 2000: Fundamentalism.

ment making astonishing progress in Latin Amer­

Marsden, G. 1982: Fundamentalism and American culture:

ica (compare, here, LIBERATION THEOLOGY) , the

the Shaping of Twentieth-century Evangelicalism, 1870-

Caribbean, parts of Africa, South Korea, and the Pacific rim. It is interesting that Pentecostalism is only incidentally fundamentalist rather than taking

1925. Martin, D. A. 1990: Tongues of Fire: the Explosion of Conservative Protestantism in Latin America.

DAVID A. MARTIN

off from the fundamentalist premise. Pentecostals treat the Bible in a conservative manner, but their raison d 'etre turns on the gifts of the Spirit, and on

futurology

healing and exorcism.

minent in the 1960s and 1970s to describe system-

The term 'futurology' became pro­

FUTUROLOGY atic efforts to examine long-term prospects for

249

Daniel Bell and other writers on topics such as

world development. Those involved in the devel­

automation and

opment and application of methods for such a task

cantly, application of futurological methods and

POSTINDUSTRIAL SOCIETY.

(Signifi­

now typically prefer terms such as 'futures studies',

associated planning and systems analysis tools,

'prospectives' and 'foresight'.

was here portrayed as a way for postindustrial soci­

Early in the twentieth century, several influential commentators made the case for in-depth and rig­

eties to guide their own progress and avoid eco­ nomic and political crises.)

orous thinking about the future. Thus H. G. Wells

In Europe this period also saw efforts to consoli­

asked why there were no professors of foresight,

date thinking about the future, with new bodies

when there were so many of history, in British

being founded and major reports being prepared.

universities. The period between the two World

In contrast to mainstream US work, the European

Wars (with its dampening of uncritical expectations

'futures movement' was rather more questioning

of social progress) featured much speculation about

about future progress - for example, European

future developments. A series of books published

writers on postindustrial society tended to be less

by Kegan Paul in the UK invited well-known intel­

confident as to the absence of socioeconomic con­

lectuals to speculate about the future, using the

flict and the end of ideology. Ossip Flechtheim, a

implicit methodology of 'genius futurology' -

German researcher who sought visions of a future

hoping that a sufficiently insightful and well­

distinct from those represented by American capit­

educated individual can use a mixture of intuition

alism and Soviet socialism, coined the term 'futur­

and expert analysis to identify important future

ology' itself. Ironically, the futurological studies

developments. A step beyond this was taken in the

emanating from the former Soviet Union in many

USA: in examining social trends and their conse­

respects mirrored the social and technological opti­

quences, William F. Ogburn and colleagues laid the

mism of their US counterparts, reversing the

foundation for later work on trend extrapolation,

superpowers' roles as progressive and reactionary

social indicators and technology assessment. They

forces. East European studies, by contrast, tended

also tended to endorse a technologically determin­

to be more guarded.

istic view: the future seen as featuring 'cultural lags' in adaptation to technological change. In the 1960s these foundations were built on

'Futurology' became briefly popular to describe these pioneering efforts to think systematically about the long-term future. Despite having entered

extensively, especially in military-associated US

public

'think tanks'. Almost as soon as World War II had

those working in this field. It is seen as making

consciousness,

it

is

often

rejected

by

concluded, the US army instituted long-range

spurious claims to scientific knowledge of the

technological forecasting exercises: multidisciplin­

future. In contrast, terms like 'futures studies'

ary organizations like the RAND Corporation

give more of a sense of alternative futures, of

became centres where academics could share ideas

a field that is open to nonscientists, of scope

with members of the military-industrial complex.

for

Efforts at assessing military and geopolitical contin­

than merely discovering them by technical means.

(participating

in)

creating

futures

rather

gencies resulted in the creation of a number of

'Futurology' is seen as being too closely associated

influential approaches to forecasting - more sophis­

with its origins in Cold War America, as carrying

ticated methods of trend extrapolation, methods

too much baggage (e.g. technological determinism,

of eliciting expert opinion such as the Delphi

technocratic approaches). It is not a term used in the

and cross-impact methods, group brainstorming,

titles of major professional bodies or journals in

gaming and scenario analysis. (Probably the only

the field: respectively the World Futures Society

substantial addition, since the 1960s to this ar­

and the World Futures Studies Federation; and

moury of methods is computer simulation.) These approaches were marketed by consultants and taken up by large corporations and government

Foresight, Futures, Futures Research Quarterly and Futuribles (together with the more popular The Futurist).

agencies concerned with their uncertain future op­

Whatever label is used, such approaches are

erating environments. They were also popularized

differentiated from more conventional forecasting.

through widely read and controversial books by the

Forecasting is seen as typically being short-term,

Herman Kahn and other think tank researchers.

concerned with the extrapolation of trends and

Parallel scholarly work appeared in the studies by

other 'surprise-free' developments, as trying to

250

FUTUROLOGY

predict or plan some feature of the future. It is

able revival of activity under the banner of 'Fore­

examines specific, restricted aspects of economic,

sight'.

environmental, social or technological develop­

forecasting future technologies, and using the fore­

ment. Futures studies, in contrast, are typically

casting process to reinforce innovation networks,

claimed to provide more holistic appraisals: even

Foresight was adopted as a major instrument for

Initially

based

on

Japanese

ways

of

when they begin by analysis of trends, they should

informing policy (especially science and technology

examine what forces underlie these, how very

policy) in many countries. What is notable about

interact,

many of these efforts is that, while they may employ

and so on. Scenario analysis is a standard way of

Delphi and other techniques, they seek to use the

describing alternative futures in terms of a large

process of envisioning the future as a social mech­

different

kinds

of

development

may

number of characteristics.

anism to empower networks for exchanging know­

A wave of enthusiasm for futurology in the 1960s

ledge about technologies, markets, social trends,

and early 1970s, during which time many research

environmental problems and the like. In many

groups and associations were established, receded

ways 'Foresight' has now taken up the banner of

somewhat during the subsequent decades. Efforts

'futurology', but with fewer scientific pretensions

to articulate long-term perspectives, and to relate

and more of an orientation to enlist a wide range of

together different dimensions of SociAL CHANGE,

inputs into the policy process.

tended to be compartmentalized within academic disciplines and policy-making specialisms- though some topics, such as those connected with technol­ ogy and employment, and with environmental problems, continued to attract interdisciplinary work. In the 1990s, however, there was a remark-

Reading Bell, W. 1997: Foundations ofFutures Studies. 2 vols. Foresight Programme (OST) 1998 (March): the Future in Focus: A Summary ofNational Foresight Programmes. Fowles, J. ed. 1978: Handbook ofFutures Research.

G game theory

A game is being played by a group

of individuals whenever the fate of an individual in

regardless of whether they are derived from parlour games or from real-life games.

the group depends not only on his own actions, but

The appearance of Von Neumann and Morgen­

also on the actions of the rest of the individuals in

stern's book raised great hopes that were only to be

the group. Chess is the archetypical example.

realized considerably later. The book introduced

Whether White wins, loses or draws depends not only on the moves made by White, but also on the

two approaches to the subject: a non-cooperative approach and a cooperative approach. The most suc­

moves made by Black. Bridge and Poker are further

cessful and satisfying approach is the former since it

examples which have the added interest that lack of

seeks to deduce its conclusions from the theory of

relevant information complicates the player's deci­

rational decision-making by individuals acting in

sion problems.

isolation. However, Von Neumann and Morgen­

The word 'game' is natural for the examples

stern's non-cooperative analysis extended only to

given above. But, for really interesting games,

two-person, zero-sum games in which, whatever

it would not be usual to use the word 'game' in

one player wins, the other loses. Their

ordinary English. Consider, for example, war,

theory for such games is justly celebrated. How­

international treaty negotiations, competition for

ever, few real-life games are zero-sum. Their co­

survival

operative

among

animals

or

for status

among

humans, elections, wage bargaining or the oper­

approach

formation of

was

concerned

minimax

with

the

coalitions. They formulated plausible

ation of market economies. All these activities fall

'axioms' about the coalitional structures that could

within our definition of a 'game'. The usage is not

survive the rational scrutiny of self-interested

meant to imply that wars are fun or that economics

players and explored their consequences.

is entertaining. It simply reflects the discovery

Although the cooperative approach is less satis­

made by John Von Neumann and Oskar Morgen­

factory, it held the floor until comparatively re­

stern in their monumental book

The Theory of Games and Economic Behaviour (1944) that both

cently since progress with non-cooperative theory

parlour games and real-life games raise similar

years, great advances have been made in non­

proved to be difficult. However, over the last

15

problems and that an analysis which works for the

cooperative theory. These build on the idea of a

former may therefore well be relevant to the latter.

Nash equilibrium introduced by Nash (1951). The

This is not to argue that parlour games and real­

strategies used by players constitute a Nash equi­

life games are similar in every respect. The analogy

librium when each player's strategy is an optimal

noted by Von Neumann and Morgenstern between

response to the strategies of the other players.

real-life games and parlour games lies solely in their

These advances have revolutionized economic

strategic aspects. A person cast in the role of a

theory (see EcoNOMICS). Great strides have been

player in a real-life game would be wise to consider

made in the theory of imperfect competition (Tir­

reducing the problem with which he or she is faced

ole,

to its essentials by discarding all detail that is not

gupta,

traction, and at worst may so obscure matters that

1988), bargaining theory (Binmore and Das­ 1987) and in the economics of information (Rasmusen, 1989). Progress has also been made in evolutionary biology (Maynard Smith, 1984). Else­

no progress can be made at all. Once all irrelevant

where in the social sciences, the influence of new

immediately relevant. Such detail is at best a dis­

detail has been stripped away, the player will be left

ideas in game theory has been more tangential.

with an abstract decision problem. Von Neumann

However, the study of how cooperation may arise

and Morgenstern's observation is that the basic

among self-interested individuals has been a theme

structure of such decision problems is the same

that has been of continuing interest (Axelrod,

252

1984).

GENDER It is now hard to contemplate this issue at all

without recourse to the theory of repeated games. See also DECISION THEORY; RATIONAL CHOICE

THEORY.

ticular there is a growing differentiation of the position of younger and older women (Walby,

1997). Gender differences and inequalities can be found in many arenas of social life. Many aspects of the

Reading

social are gendered. Sometimes this is more obvious

The Handbook of Game Theory. Binmore, K. 1990: Essays on the Foundations of Game Theory.

than in other cases. For instance, it is clear that

Aumann, R. J. ed. 1992:

KEN BINMORE

childcare is gendered in that women more often than men look after children. It is less obvious that international relations are gendered, but the relative exclusion of women from key decision­

Gender

Gender relations are the social relations

making positions institutions, such as the military

between men and women. Gender is distinguished

and government ministries of foreign affairs, con­

from the biological relations between the sexes in

stitutes a gendered dimension even here. While

that it is always socially constructed. The nature of

these two examples are based on the relative pres­

gender relations varies significantly by time and

ence or absence of women and men, this is not a

place, changing over time and shows great diversity

necessary element of gendering. Gendering of the

by culture and by social location. Explanations of

social can refer to values, discourses, practices and

the pattern of gender relations vary in their priori­

domains, so for instance, caring is often considered

tization of different domains and levels of abstrac­

more feminine than aggression.

tion (Walby,

1990).

Gender is constructed and expressed in many social institutions, domains and dimensions of social life. It includes, but is not confined to, cul­ ture, ideology and discursive practices. Gender is part of the constitution of the division of lab­ our between men and women in the home, espe­ cially between husbands and wives.

Gendered

social relations are also part of the constitution of waged employment, government and the state, sexual practices and interpersonal violence. Gender differentiation is usually combined with gender inequality, with men typically having di­ verse forms of power over women. A related term is that of PATRIARCHY, which conceptualizes gender inequality as socially structured in a systematic way. These gendered patterns of inequality are constructed in complex combination with other forms of social difference and inequality. Gender relations take different forms in different countries, historical periods, ethnic groups, social classes and generations. Nevertheless, they have in common a differentiation between men and women, despite the immense social variability in the nature of the difference. Gender relations have undergone transformation in Britain and many other countries in recent

Essentialism Too simple a set of associations of social phenom­ ena and one gender or the other runs the risk of essentialism. Essentialism is the problem of redu­ cing the complexity of social processes to a greater extent than is warranted. This criticism especially applies if gender is reduced to a biological base. Rather, the associations of social phenomena with one gender or the other are contextual rather than universal, and may be expected to vary between different social locations. Hence, sociological ac­ counts of gender are usually careful not to essentia­ lize gender differences, that is to root them in biological or other universal processes, and are sen­ sitive to context and location. However, the criti­ cism of essentialism should not be taken too far. Social theory requires a process of abstraction from empirical detail. Concepts and categories do need to be stabilized, at least temporarily, if they are to be used in social analysis. The issue is one of the appropriate balance between descriptive complex­ ity and the simplification of phenomena needed for analysis and explanation.

Performativity and structure

decades. Women have increasingly participated in

Gender has been theorized within most of the

paid employment, the state and the public sphere

major

more generally. Patterns of inequality have changed

social science, ranging from conceptions of gender

during this transformation, with some inequities

as performance to gender as a set of social structures

diminishing, while others have increased. In par-

or social system. These vary in the manner in which

theoretical

frameworks

available

within

GENDER gender is embedded in the social. For instance,

253

children. Households may be formed by unmarried

within symbolic interactionism gender is a per­

heterosexual or homosexual couples or singles, with

formance or a script, while within structural func­

or without children, and with or without older

tionalism gender is a role generated by structures.

generations. FAMILIES may map onto households,

There is considerable disagreement as to whether

or they may be split between households. Variation

agency or structure should be primary in the analy­

in forms of families and households correlate sign­

sis, or how they are best to be combined.

ificantly with culture, ethnicity and generation. In­ creasing numbers of mothers live in households without husbands or the fathers of their children,

Difference An important theoretical issue in the analysis of gender is that of difference. This refers not only to the differences between men and women but, more particularly, to the differences between patterns of gender relations. These include those based on ethnicity, 'race', class, sexual orientation, able­ bodied/disabled, age, nation and religion. This produces a theoretical puzzle as to how social rela­ tions between men and women can be theorized when the types of gender relations are so varied. This theoretical dilemma has been addressed in a number of ways. There has been concern to dem­ onstrate that it is inappropriate to universalize from the experiences of particular groups of women. This criticism has been especially developed by those who argue for the significance of ethnicity and racism (Mirza,

1997). A combination of gender

and class was developed by dual-systems theory, in which gender and class were seen as different but articulating social systems. Others moved away from this kind of structural and systems-based ap­ proach, arguing against such modernist accounts and for a more postmodern account of the complex­ ity.

that is, lone parent households. Households and families are key social institu­ tions in the constitution of gender relations in many social theories, both traditional and feminist. In traditional functionalist theory the family was seen as a primary site of differentiation of male and female roles, between the instrumental role of the male wage earner and the expressive female role of caring. In many feminist theories households and families are key sites of both gender differentiation and inequality, of women's oppression and exploit­ ation. Women more often than men do most of the housework and childcare, regardless of whether women have paid employment. Whether or not women can be said to choose their role in the family and the sexual division of labour has been subject to much theoretical controversy. At one pole in the argument, for instance in rational choice theory, people are seen always to have agency and thus to make choices. Thus some women are seen to actively choose to be housewives rather than career women. At the other pole, individual's choices are conceived as constrained by social struc­ tures and practices. For instance, the absence of quality publicly funded childcare is seen to con­ strain choice and to make it difficult for a mother

Domains

of young children to have a paid job as well.

Gender relations are constituted in many domains of social life. The following is an account of six of

Employment

the most important of these. These domains are

in that women's patterns of employment are differ­

interconnected and changes in the pattern of

ent from those of men. Women's participation in

gender relations in one are likely to affect those in

paid work is less than that of men, although the gap

Employment relations are gendered

has been narrowed significantly in recent years.

others.

Women typically get paid less than men (in the The household and the family are

UK four-fifths of men's hourly wages if they work

slightly different concepts. A household is a group

full-time and three-fifths if they work part-time).

of people living together, while family refers to a

There is still a high degree of occupational segrega­

group of people who are related to each other.

tion by sex, in that women and men typically do

Traditionally they have been seen to go together,

different jobs and rarely work side by side. These

Household

but today there are many different forms of both

gender differences are themselves further varied,

households and families. No longer are a family

especially by ethnicity and by age. Minority ethnic

and household most typically formed by a married

women and older women tend to be the most dis­

couple of man and woman living together with their

advantaged.

254

GENDER

There are two main reasons for this pattern of differentiation and inequality. First, women's do­

Violence

Knowledge of the nature, extent and

significance of gendered interpersonal violence has

mestic work means that they spend less time in paid

been developing in recent years. This is primarily

work and have spent less time acquiring the educa­

violence by men against women and includes do­

tion, skills and work experience which lead to

mestic violence, rape, sexual abuse and sexual har­

higher-paid jobs. Second, the labour market is

assment.

structured to women's disadvantage, either as a

to be widespread, though varying in form and

Such

violence

is

now

understood

result of direct discrimination or indirectly as

prevalence (Kelly, 1988). The effects of the vio­

a result of the sedimentation of historic discrimin­

lence are often to limit women's freedom of move­

ation, such as patterns of segregation by occupation

ment and action.

and industry and between full-timers and part­

conditions under which this violence occurs is

The analysis of the social

timers.

wide-ranging. It includes the failure of the criminal

The extent of the differentiation and the in­

justice system to prevent this violence as well as the

equality is narrowing, though writers disagree

dynamics of households in which there is domestic

as to the extent and implications of this. Among

violence.

young women there has been a significant closing of the human capital gap with young men, as the

Culture

education

narrowed.

is in terms of culture, rather than material issues.

However, there is still a wages gap in the first

This is partly a matter of theory and partly a sub­

gap

between

them

has

Much recent analysis of gender relations

jobs of equally qualified young men and women.

stantive concern. Recent feminist theory has drawn

There is a decrease in the extent to which young

on literary theory, such as the deconstructionism of

people specialize in different subjects at school

Derrida as well as the discourse analysis of Fou­

and university. However, occupational segrega­

cault. Even the analysis of science and technology

tion is declining only slowly. The wages gap

has been subjected to modes of analysis more com­

between women and men working full-time has

monly found in literary theory (Haraway, 1997).

been narrowing significantly, but not that between

There is consideration of the cultural construction

women who are working part-time and the average

of the category of gender and the distinctions be­

man.

tween its various forms. This has involved in par­ ticular analyses of consumption (Lury, 1996) and

Sexuality

The significance of sexuality for gender

sexuality.

relations has been the subject of much debate, ranging from its centrality to marginality, from

Politics and the state

key source of oppression to source of playful resist­

a major role in transformations of gender relations.

ance (Richardson,

2000).

Feminist politics have played

Traditionally, within feminist analysis, these polit­

Freudian understandings of sexuality as a drive

ics have been analysed primarily through an exam­

have largely been supplanted by social construc­

ination of social movements and the way that the

tionist approaches influenced by FEMINISM and by

personal can be conceived as political, that is, they

Foucault. In these new approaches the emphasis is

have been seen as sets of politics outside of the state.

on the social variability and malleability of sexual

When the focus shifted to the state the question was

practices.

that of the causes and implications of the exclusion

Some have seen sexuality as the primary domain

of women from the state and public sphere. How­

within which gender is constituted and some have

ever, women are increasingly becoming elected as

further argued that this is an area in which men

MPs. There has thus been an increase of interest in

routinely dominate women. Such an interpretation

explaining changing levels of representation and in

includes analysis of pornography and sexual vio­

considering the impact and implications of the

lence, as well as everyday practices of heterosexual­

higher, but still minority, proportion of women

ity. Analyses of the significance and relationship of

MPs.

heterosexuality and homosexuality have drawn on

The welfare state has played an important role in

developments within queer theory. Others have

women's economic security and, in some countries,

seen sexuality as relatively marginal to material

increased participation in paid employment. The

processes, which are seen as more important in

gendering of the analysis of the welfare state has

the constitution of gender.

distinguished the implications of the different kinds

GENOCIDE

255

of gendered welfare state regimes found in different

Genocide and conspiracy to commit genocide are

countries, in particular, the distinctive role of the

now a crime in international law in times of peace or

social democratic welfare state found in the Nordic

war, in domestic or interstate practice, under the

countries (Sainsbury, 1996).

UN Convention on the Prevention and Punishment of the Crime of Genocide (UN GC), which came into force in 1951. Yet no genocides have been pros­

Globalization Globalization provides a new framing for many analyses of gender. Gender relations in any locality are increasingly influenced by social relations in other places as a result of increased global intercon­ nections. There is interest in the interconnections of different kinds of

feminist politics around

the world (Nelson and Chowdhury, 1994), and the implications of these for debates about commonal­ ities and differences. The economic changes in­ volved in globalization have complex effects on gender relations, depending considerably on social location.

organizations (see Fein, 1993; Gurr and Harff, 1995 and 1998). The failure of the United Nations and individual states to prosecute genocide has been related to: (a) structural faults in the UN; (b) the juridical paradox of the convention; and (c) the many political uses states have found for genocide in the twentieth century. The late Leo Kuper, an inter­ nationally known scholar on genocide, observed that 'the sovereign territorial state claims, as an integral part of its sovereignty, the right to commit genocide, or engage in genocidal massacres, against peoples under its rule, and ...the United Nations, for all

Reading Haraway,

ecuted under the UNGC despite the citation of over 18 cases by scholars, lawyers and human rights

D. J. 1997.: Modest_Witness@Second_Millen-

nium.FemaleMan

©

_Meets_OncoMouse

@l

practical purposes, defends this right' (Kuper, 1981, p. 161). Kuper drew the latter conclusion from the refusal of the United Nations to censor,

Kelly, L. 1988: Surviving Sexual Violence. Lury, C. 1996: Consumer Culture.

sanction or prosecute states committing genocide in

Mirza, H. ed. 1997: Black British Feminism: a Reader.

the period before 1981.In the last decade, there has

Nelson,

B. and Chowdhury, N. eds 1994: Women and

been a marked change in international reaction to such events which might cause Leo Kuper, were he

Politics Worldwide.

D. 2000: Rethinking Sexuality. D. 1996: Gender, Equality and Welfare States.

Richardson,

alive, to modify his conclusion.The UN has not yet

Sainsbury,

established a permanent international criminal court

Wa1by, S. 1990: Theorizing Patriarchy.

but convened an international conference which

--1997: Gender Transformations.

SYLVIA WALBY

endorsed in Rome in July 1998 a treaty to establish such a court which will be created when the treaty has the requisite 60 ratifications, possibly in 2002.In

genocide

The concept was coined by Raphael

the past decade ( 1990-2000), the United Nations has

Lemkin (1944) to refer to a principal objective of

relied on ad hoc tribunals such as the International

German population policy in World War II: to

Criminal Tribunal on War Crimes in the Former

annihilate completely the Jews - the principal

Yugoslavia and Rwanda which it created to pros­

target entrapped throughout the German domain

ecute war crimes and genocide in those states and

- and Gypsies, and to decimate and reduce

currently (October 2000) has promised to set up

selectively some Slavic nations. Although geno­

courts to prosecute or participate in the prosecution

cide

of crimes against humanity and genocide in Sierra

has occurred

throughout

history,

it has

come to contemporary attention because of (a)

Leone and Cambodia.

its calculated and repeated use in the twentieth

The study of specific genocides - principally the

century and its justification by totalitarian ideolo­

'Final Solution of the Jewish Question' of 1939-45

gies; (b) the rationalization of its usage; and (c)

(see ANTI-SEMITISM) and the Armenian genocide of

the growth and specification of human rights

1915 - together with the comparative study of

norms.

genocides, which began in the 1970s, grew expo­

The crime of genocide was a specification of

nentially in the 1980s. Disagreement exists among

crimes against humanity - an international crime

scholars about the definition and best methods of

under the Hague convention of 1907 - which was

explanation and analysis. Definitional disagree­

one of the charges against Nazi leaders at the Inter­

ments focus on the usefulness and justification of

national Military Tribunal at Nuremburg in 1946.

the UNGC definition of genocide, especially the

256

GENOCIDE

notion of intent and the inclusiveness of victim

genocide as a rational choice (after taking all pre­

groups stipulated. According to the UNGC, geno­

conditions into account), viewing the precipitating

cide is 'any of the following acts [starting with

factor as the change in the anticipated costs and

killing group members] committed with intent to

benefits of genocide: this stems from 'a crisis or

destroy, in whole or in part, a national, ethnical,

opportunity perceived to be caused by or impeded

racial or religious group as such' (United Nations

by the victim' (Fein, 1993).

1948-9, p. 959).

Social-psychological theories focus on the inner

Many scholars today use the term genocide to

states and motives of the perpetrators which inter­

refer to the deliberate annihilation of any group,

act with external events to lead them to blame

including political (and non-violent) groups and

victim groups for their problems, to follow authori­

social classes. A new definition is intended to paral­

tarian leaders, and to kill without shame and guilt

lel the terms of the UNGC definition: 'Genocide is

(for a multilevel analysis, see Staub, 1989).

sustained purposeful action by a perpetrator to

Genocide has been most prevalent in the post­

destroy a collectivity directly or indirectly, through

war world in new states, especially states with com­

interdiction of the biological and social reproduc­

munist or authoritarian governments. Before 1950,

tion of group members, sustained regardless of the

most twentieth-century perpetrators were totalitar­

surrender or lack of threat offered by the victims'

ian states, including major European powers: prin­

(Fein, 1993).

cipally Nazi Germany and the USSR. The recent

Explanations of genocide invoke several kinds

and highly visible genocides in the 1990s in Bosnia

social­

(1992-5) and Rwanda (1994) and the developing

psychological. Genocide is viewed by Chalk and

pattern of 'ethnic cleansing' or genocide (see

of

analysis:

historical,

structural

and

Jonassohn (1990) as first arising from the practice

ETHNIC CLEANSING)

of empires seeking (a) to eliminate a real or potential

indictments under the provisions of the UN Geno­

in Kosovo in 1999 has led to

threat; (b) to spread terror among real or potential

cide Convention. But there was no attempt to deter

enemies; and (c) to acquire economic wealth. Syn­

such acts except in Kosovo in which there was a

thesizing their formulation and the typologies of

successful intervention by the North Atlantic

others, we may distinguish four types: retributive;

Treaty Organization in 1999, which, although it

despotic; developmental; ideological.

did not deter expulsions, led to the withdrawal of

Both structural and social-psychological the­

troops of the Federal Republic of Yugoslavia which

orists generally agree that a necessary but not

permitted the expelled Kosovars to return. This

sufficient precondition for victimization is the pre­

outbreak of genocides has been related to the rise

existing 'definition of the victim as outside the

of ethnonationalism, legitimizing the state as the

universe of obligation' (Fein, 1979, eh. 1): an alien

vehicle of the dominant group, spurring leaders of

or stranger, an enemy or outsider, a pariah group or

that group to eliminate members of other groups,

national community identified as foreign with no

and memories of past injuries by the victimized

protective foreign nation-state to support them,

group reinforced by ethnic entrepreneurs. Some

and indigenous peoples who have never been con­

have also related the rise in intergroup hostility in

ceived of as part of the polity. Structuralists focus

these cases to premature elections and democratiza­

on the interaction of preceding conditions which

tion and international incentives pushing the states

make genocide a likely outcome. These include

of the former Federal Republic of Yugoslavia to

crises of state decline and of legitimacy, the coming

secede.

to power of revolutionary and totalitarian regimes,

Two recurrent interests unite many social scien­

the implications of exclusive nationalist, fascist and

tists concerned with genocide: the acknowledge­

communist ideologies, the competition for power

ment of past genocides, and the prevention of

between groups in new states, and the opening of

future ones. In recent years, social scientists have

new lands for development or plunder. Lastly,

begun to consider how to measure and monitor

there are often common facilitating or enabling

indicators of gross violations of human rights (in­

conditions: wars which render the victims less vis­

cluding political killings and patterns of discrimin­

ible and make it unlikely, if not impossible, that

ation which may preface genocide), to propose

other states will try to protect them; and the sup­

'early warning systems' and to assess the states

port of major world and regional powers for the

and 'minorities at risk' (Gurr and Harff, 1995,

perpetrators. Fein conceives the calculation of

1998). See also

EUGENICS.

GLOBALIZATION

257

'closure and good gestalt', by which missing parts

Reading Chalk, F. and Jonassohn, K. 1990: The History and Sociology of Genocide.

of a stimulus array are automatically 'filled in' by the perceiver. The gestaltists argued that such laws

Charny, I. W. 1999: Encyclopedia of Genocide. 2 vols.

of perception are not learnt, and in this respect their

Fein, H. 1979: Accountingfor Genocide.

ideas conflicted with the tenets of BEHAVIOURISM.

--1993: Genocide: A Sociological Perspective. Gurr, T. R. and Harff, B. 1994: Ethnic Conflict in World

those of behaviourists. Gestaltists emphasized the

Politics. Gurr, T. and Scarritt, J. 1989: Minorities at risk: a global survey. Human Rights Qyarterly 11. 3, 375-405. Harff, B. 1984: Genocide and Human Rights: International Political and Legal Issues. Kuper, L. 1981: Genocide: Its Political Use in the Twentieth Century.

Gestalt theories of learning also differed from role of insight, suggesting that problems are solved when grasped in their totality. Kiihler illustrated these notions in his classic studies of apes. Bananas were placed just out of reach, but the apes would suddenly grasp the problem, or see the total gestalt; then they would use sticks to reach the distant objects (Kiihler, 1925).

Lemkin, R. 1944: Axis Rule in Occupied Europe.

Although the basic notions of gestalt psychology

Staub, E. 1989: The Roots ofEvil.

HELEN FEIN

were formulated in Germany, the three major ge­ staltists were to end their careers in the United

geography, human gestalt psychology

See HUMAN GEOGRAPHY The gestalt movement in

psychology originated in Germany in the early part of the century. Gestalt psychologists argued that the psychological whole is greater than the sum of its parts: psychologists should analyse experience in terms of whole patterns of stimuli, or gestalts, rather than seek to break them down into component parts. Although many of their ideas

were

disputed

by

behaviourists,

they

have now been integrated into modern cognitive science. The three major figures in the gestalt movement were Max Wertheimer (1880-1943), Kurt Koftka (1884-1941) and Wolfgang Kiihler (1887-1967). Kiihler explained the basic theoretical term of 'gestalt': 'beside the connotation of shape or form as an attribute of things, it has the meaning of a concrete entity per se, which has, or may have, a shape as one of its characteristics' (Kiihler, 1947, p.

I 04). Gestalt theory suggested that the perceptual system registers the whole shapes of objects rather than their elements. Gestaltists often illustrated

States. Wertheimer and Koftka, as Jews, fled from Nazi Germany. Kiihler was one of the very few non­ Jewish German psychologists to oppose Nazism publicly. In 1935 he resigned his post at the Psy­ chological Institute of Berlin University and left for America. Gestaltist ideas have had a direct effect on the development of SociAL PSYCHOLOGY. Ideas about the structure of attitudes and the influence of atti­ tudes on perception became influential in the psy­ chological study of PREJUDICE and group dynamics. In recent years gestalt notions have been taken up by cognitive scientists. There is an affinity between the ideas of gestaltists and those of David Marr (1945-1980), who analysed how perceivers sort stimulus arrays into 'primary sketches' (Marr, 1982). There is a linguistic connection between gestalt psychology and a form of therapy, known as 'gestalt therapy'. However, the loosely defined concepts

of

gestalt

therapy,

with

their

anti­

scientific themes, bear little relation to the ideas of gestalt psychology (Henle, 1986). See also PSYCHOLOGY.

Reading

this principle with the example of music. It is

Ellis, W. D. ed. 1938: A Sourcebook of Gestalt Psychology.

possible to recognize a melody, even if played in

Koffka, K. 1935: Principles of Gestalt Psychology.

an unfamiliar key. The separate notes cannot be

Kohler, W. 1967: The Task of Gestalt Psychology.

MICHAEL BILLIG

recognized, for they have not been heard before. Therefore, it is the overall pattern, or gestalt, which is recognized.

globalization

The 1990s were the decade of

The gestaltists set themselves the task of formu­

globalization, not simply in academic settings but

lating the 'laws of perception', by which stimulus

also in public policy worldwide. Earlier the idea of

arrays are spontaneously grouped into meaningful

globalization was promoted in the global marketing

patterns. These laws included principles such as

and strategic planning of transnational corpor-

258

GLOBALIZATION

ations, led by Coca-Cola, Ford and McDonald's.

the new discourse of the global, globality, globalism

Relying on standardized production methods, long

and globalization. The answer lies in the conse­

recognized as the rationalization of the world, they

quences, in all that the 'limits to growth' (Meadows

customized a core, globally recognizable product

et al., 1972) imply, in the changed frame for new

for national markets.

ventures.

From the outset a twofold imagery of the global

There were, then, deep tensions in the discourse

inhabited the marketing notion of globalization -

of the global prior to the 1990s. One emphasis was

there was the global market, simply the totality of

on the continuation of modern technical progress

potential consumption for a brand worldwide, and

and economic growth, with all the universalistic

there was the globe as the firm's territorial field of

claims of a Western outlook on property and rights.

operation. They came together in the defining

The left/ right ideological divides over social justice

global advertising campaign of the early 1970s,

persisted in conjunction with this emphasis. But

Coca-Cola's multiethnic choir chanting on a hill­

there was another competing set of concerns,

side their wish that the world could sing in perfect

broadly 'postmaterialist' (Inglehart, 1990), around

harmony.

the ends of human endeavour, which relativized the

Corporate global strategies drew on a pre­

Western experience, gave priority to noneconomic

existing global imagery and metaphors. The poten­

ends, and stressed culture and identity in a global

tial of worldwide television broadcasting prompted

field. This double-edged discourse featured in the

Marshall McLuhan's 'global village' (1962) even

American Presidential campaign of 1992 when can­

before space exploration and satellite communica­

didates Bill Clinton and AI Gore used Japanese

tion caught the public imagination. Both message

threats to American industry and environmental

content and technology were global. President

issues to call for America to reposition herself to

Jimmy Carter's farewell address to America in

the globe.

1981 pointed to a similar duality with new weapons

In this already contested discourse of the global

technology. The same rocket technology for de­

the new defining event was the seismic geopolitical

livering nuclear warheads enabled us to see the

shift precipitated by the demise of the Soviet

earth as a fragile globe. Global science was also a

Union. The worlds of the Cold War era, with the

threat to the globe.

Third courted by the other two, effectively col­

Considering something as a totality has no ne­

lapsed into one. The 'New World Order' was pro­

cessary connection with taking the earth as the

claimed as a triumph for free market capitalism.

territorial frame. The French language renders

First capital markets, and later Internet commerce,

this distinction effectively through globalization

supplanted the transnational firm as the favoured

for totality, and mondialization for extension world­

engine of globalization as the 'new economy'

wide. In English they are confused. The spread of

boomed.

standardized practices that George Ritzer (1993),

The Clinton/Gore administration made global­

from a Weberian position, calls McDonaldization is

ization the mantra of their public policy, imple­

not tied logically to planetary imagery, multicul­

mented in part through the US State Department,

turalism or concern for the environment. These are

but more through the US Treasury and the Inter­

contingent outcomes. Nuclear weaponry intends

national Monetary Fund. They emphasized the

the destruction of the enemy, the internal combus­

relentless force of global markets, the need for all

tion engine is designed for transportation. But

countries to abide by strict fiscal and monetary

threats to humankind, nuclear holocaust or global

policies, and the revolutionary effects of the new

warming, are the unintended consequences. These

information and communication technology. By

are effects of human activities, both unwilled and

1999 globalization and this 'Washington consensus'

material.

were almost synonymous.

These effects mean a change in the relations of

Globalization signalled the effective merging of

humankind to its environment, an epochal shift that

foreign and domestic policy in the Clinton adminis­

the discourse of the global registers. It refers then to

tration but, defined as an economic phenomenon, it

more than the expansionary aspirations of Western

required a rethinking of social issues. Even Thomas

capitalism. The unchanging basic thrust of capital­

Friedmann of the New York Times, close to the

ism for centuries prompts the frequently asked

White House, whose book the Lexus and the Olive

question 'What is different now?' that can justify

Tree (1999) unofficially represented the American

GLOBALIZATION

259

view of globalization, complained that it seemed out

agency persists in a global as much as in any other

of control.

frame.

Concern for the management of globalization

The shared interest that preserves the global

and its consequences for society was the main

frame of mutually recognizing nation-states also

thrust of the so-called Third Way, the shared pro­

limits their capacity to mobilize populations for

ject between Clinton and British Prime Minister

national goals. It can equally become the sounding

Tony Blair. They enlisted sociologist Anthony

board to promote statehood claims by ethnic mi­

Giddens (1998), who had already promoted the

norities, like the Kurds or the Basques, or provide

idea of globalization as a conceptualization appro­

the template for a multicultural nation, as with

priate for overall contemporary social transform­

Canada or Brazil. Post-national, or identity, polit­

ation, to develop Third Way thinking.

ics, in the sense of politics beyond the nation state,

Globalization then became the key theme of the

oscillates between these possibilities.

Third Way meetings of Western leaders in the late

In the economy there are equally unresolvable

1990s. They marked an unprecedented confluence

antinomies in the regulation of competition. The

of social science and collective international public

line between the regulation that provides condi­

policy making. Even one of the participating na­

tions for efficient markets and that stifles market

tional leaders, President of Brazil, Fernando Car­

behaviour is always contestable. Global market

doso, was a former President of the International

fundamentalism that seeks to dismantle limits to

Sociological Association. Now, in the twenty-first

trade may also consolidate monopoly and the he­

century, any newly elected national leader receives

gemony of American capital. But a global frame

a briefing on globalization from officials.

for trade, however 'fair', in itself will not alter

In the research and academic world funding

fundamentally

unequal

relations

between

the

has followed governmental interest and globaliza­

powerful and the weak. One of the consequences

tion has become a favoured umbrella for research

of the global increase and spread of capital has been

into everything from the spread of AIDS to

increasing local discrepancies between rich and

human rights, cocaine smuggling to technology

poor.

transfer. However the American construction of

Indeed it is a new form of inequality, the digital

globalization as the expansion of free trade pro­

divide between those with and without access to

voked an appositional coalition of over 60 NGOs

personal computers, that emphasizes that connect­

mobilized as the Turning Point project for the

edness itself is a distributed good. Space-time com­

Seattle meeting of the World Trade Organization

pression proceeds unevenly and the new global

in 1999. Thereafter antiglobalization and anti­

society is no less differentiated and divided than

Americanism became almost synonymous in much

earlier forms of world society. Given these inherent dilemmas that arise for

of the world. Within the broad discourse of globalization, the

human endeavours in a global field the popularity

following quite disparate issues have to be distin­

of the idea that globalization is a relentless single

guished for fruitful analysis.

direction process is likely to be confined to the

The bonding of

nation-states through multilateral arrangements

1990s. The idea of a global age, the epochal shift

has created an interconnected global polity that is

to a global frame for human endeavour, registers

not necessarily or primarily focused on the welfare

the contradictions and radically different alterna­

either of humankind,

tive futures that confront both countries and the

or of national citizens.

Whether governments bonded in this way can and

increasing number of nongovernmental organiza­

should address issues that affect the welfare of

tions that seek to globalize public policy. Mean­

humankind or the future of the planet is always

while

contested.

power of transnational corporations calls itself anti­

Combatting global warming, human trafficking,

whether

opposition

to

the

increasing

globalization or globalization from below is less

protecting endangered species, regulating global

important than the common search for solutions

markets, prosecuting war crimes require mobiliza­

to global problems.

tion by specific agencies, individuals, movements or organizations. In brief, neither global networks

Reading

nor transnational connections guarantee global

Albrow, M. 1996: The Global Age: State and Society

public policy. The tension between structure and

Beyond Modernity.

260

GREEN MOVEMENT

Featherstone, M. ed. 1990: Global Culture: Nationalism, Globalization and Modernity.

follows from these concerns, and it is true that parties claiming the 'green' label are to be found

Giddens, A. 1999: Runaway Worl d. Reinicke. W. H. 1998: Global Public Policy. Scholte, J. A. 2000: Globalization: a Critical Introduction. MARTIN ALBROW

espousing policies traditionally associated with both left and right of the political spectrum. The German Green Party has been one of the most successful and has also been very influential as a model for green parties elsewhere. Its political

government

See STATE

programme has linked ecologically necessary eco­ nomic transformation with questions of social just­

Formed at the end of the

ice, women's rights, peace, regional and local

1970s, the West German Alternative Political Alli­

autonomy, civil liberties and radical democracy.

ance or 'Green Party' was widely hailed as a major

Attempting to combine extraparliamentary action

green movement

new departure in European politics. The move­

with electoral politics, the greens established them­

ment brought together remnants of the student

selves as a political party at federal level in West

radicalizations of the 1960s, some elements of the

Germany in 1980. Their early electoral perform­

extraparliamentary Marxist left, local 'citizens' ini­

ances were uneven, reflecting local differences in

tiatives' and 'new social movements' such as gay

popular awareness, and the pre-existing balance of

rights activists, ecologists, feminists, peace and

forces, as well as divisions between left and right

anti-nuclear campaigners, together with more con­

factions within the greens themselves. After the

servative and libertarian elements.

departure of the main right-wing groupings, the

By the late 1980s there were green political

greens consolidated and extended their electoral

parties in virtually all European countries, includ­

support, breaking through the 5 per cent barrier

ing the UK, where the tiny Ecology Party changed

to enter the federal parliament at the 1983 elections.

its name to the Green Party in 1985. So far the most

Their electoral base has been broad, although it is

impressive electoral achievement of the UK greens

nevertheless drawn disproportionately from the

has been their showing in the 1989 elections for the

younger, more highly educated, middle-class and

European parliament, when their candidates re­

professional sections of the population. On social

ceived a total of 3.25 million votes.

and economic issues, Green Party supporters are

Although the most visible manifestations of the

generally to the left of the Social Democratic Party

rise of the green movement are the green parties

(SPD) and if they are not first-time voters they are

and radical environmentalist pressure groups, it is

likely to have a history of SPD support. Reflecting

important to keep in mind some distinction be­

the radical-democratic values of green movement

tween the movement and its political expressions.

members, the Green Party set out to be a party of a

Many greens remain suspicious of and even hostile

'new kind', with a constitution designed to main­

to party politics, even where the party proclaims to

tain decentralized grass-roots control over policy­

be a radically new kind of party. Also the comprom­

making, leadership, parliamentary representatives

ises of party structure and programme imposed by

and the allocation of resources, and to ensure full

the vicissitudes of electoral politics have taken some

participation by women members.

green parties some distance from the radical green

The policies of the greens are a compromise

vision of many of their more 'fundamentalist'

between the different political traditions which

members and supporters. The unifying theme of

are brought together in the movement. In defence,

the movement is deep disquiet about the environ­

opposition

mental consequences of providing patterns of eco­

with a vision of a non-aligned Europe, and the

nomic growth on a global scale. Unlike reform

break-up of the major military blocs. Green eco­

to

nuclear

weapons

is

combined

environmentalists, greens do not put their faith in

nomic policy favours decentralization, workers'

technological advances and improved environmen­

self-management and a reorientation of production

tal management. For them, the environmental

for the meeting of need in accordance with the

crisis demands nothing less than a profound trans­

self-regulating mechanisms of nature. The purely

formation of social, economic and political life: the

quantitative commitment to growth upheld by

creation of a sustainable society. So much is

both state 'socialist' and capitalist regimes is

common ground among greens, but it is question­

rejected in favour of a selective approach geared to

able whether any determinate political programme

need, sustainability and quality of life. These demo-

GROUP

261

cratic and egalitarian values are also evident in

rules and rituals), and a psychological basis in the

green support for feminist aims, the extension

consciousness of its members. A family, a village, a

of civil liberties and Third World liberation

sporting association, a trade union or a political

movements.

party is a group in this sense. However, there are

Werner Hi.ilsberg distinguished four main ten­

also larger groupings of individuals -in a tribe, a

dencies within the West German greens. The 'eco­

nation or an empire -and sociologists have gener­

socialists' favoured consolidation of the greens as a

ally distinguished such entities, which are con­

political force to the left of the SPD, urged support

ceived as 'inclusive societies', from the smaller

for workers' defensive struggles and argued for an

groups which exist within them. Some writers

ecologically oriented socialism, built on a new ma­

have also identified a third category of 'quasi­

terial-technical basis. The 'fundamentalists' argued

groups', characterized by more tenuous relation­

the necessity for a 'cultural' or 'spiritual' revolution,

ships among the members, less awareness of the

in which the false consumer needs engendered by

group and perhaps a more fleeting existence, indi­

capitalism were renounced in favour of a qualita­

cating as examples of this phenomenon crowds or

tively different way of life. Small, self-managing

mobs, age and gender aggregates, and social classes.

and convivial communities would be responsible

But the boundary between groups and quasi­

for meeting their own basic needs, and life would

groups is not fixed or clearly marked, and Max

be sustained with a much lower level of material

Weber's observation on classes, that while they are

consumption. The most influential thinker in this

not in themselves communities, they are frequently

tendency has been RudolfBahro. The 'ecolibertar­

a basis for communal action, can be applied more

ians' were a diverse grouping who favoured pro­

widely. Thus crowds may develop into protest

posals for a 'basic income' unrelated to work, and

movements, age differences sometimes crystallize

for a 'dual' economy which would allow individuals

in age-sets or youth movements, gender has given

more freedom for self-development, study and au­

rise to women's movements, and distinctions of social status, which produce quasi-groups such as

tonomous work. Through the 1980s the West German greens

the 'professions' or the 'intellectuals', may then

served as a model for the emergent green move­

become the source of more organized groups in

ments across Western Europe, and there are close

the form of professional associations or specialized

parallels as well as direct links between these move­

elites.

ments and the environmental protest movements of

Social groups in the strict sense are extremely

Eastern Europe. Though they are so far predomin­

varied in character. Tiinnies (1887), in a work

antly a European phenomenon, there are compar­

which has had a considerable influence on later

able green movements in the USA, Australia and

social thought, made a broad distinction between

New Zealand, Japan, and in numerous Third

two types of group,

World countries. See also ENVIRONMENTALISM.

Gemeinschafi (community) and Gesellschafi (society or association), in terms of the

nature of the relations among the members. In a community individuals are involved as whole per­

Reading

sons and are bound together by an accord of feeling

Bahro, R. 1984: From Red to Green.

or sentiment, and Tiinnies gives as examples the

Capra, F., and Spretnak, C. 1984: Green Politics.

family or kin group, the neighbourhood (rural vil­

Hi.i1sberg, W. 1988: The German Greens.

lage), and the group of friends. The members of an

Parkin, S. 1989: Green Parties: an International Guide.

association, on the other hand, enter into the rela­

Porritt, J. 1984: Seeing Green.

tionship in a more calculated and deliberate way,

Ry1e, M. 1988: Ecology and Socialism. TED BENTON

look to the satisfaction of specific and partial aims and are united by a rational agreement of interest, and the main examples given are those groups con­

A social group can be defined as an aggre­

cerned with economic interests. Tiinnies, it may be

gate of human beings in which (a) specific relations

noted in passing, also applied this typology to in­

group

exist between the individuals comprising it, and (b)

clusive societies, primarily in a contrast between

each individual is conscious of the group itself and

feudalism and modern capitalism. So far as groups

its symbols. In short, a group has at least a rudi­

within society are concerned his distinction has

mentary

some similarities with that made by Cooley (1909)

structure and organization

(including

262

GUERRILLA

between 'primary groups' and others (frequently

possible an analysis of the conditions in which spe­

called 'secondary groups' by later sociologists), the

cific social groups such as elites or organized dom­

primary groups being those 'characterized by in­

inant classes (see ELITE THEORY) may themselves

timate face-to-face association and cooperation'

acquire an inordinate power. From various stand­

which results in 'a certain fusion of individualities

points, therefore, the study of groups can illuminate

in a common whole'.

some fundamental questions in social thought con­

1948, and the sociometric researches of Moreno, 1934) con­

cerning the relation between individual and society, the sources of social solidarity and stability, and the

centrated on these'primary' or 'small' groups, and

prerequisites of a democratic order.

although it was generally recognized that they are

See also SociAL PSYCHOLOGY.

Many later studies of groups (Homans,

only one element in the social structure, some writers tended to adopt Cooley's own view that

Reading

such groups are primary above all in being funda­

Cooley, C. H. 1909 (1962): Social Organization.

mental in forming the social nature and ideals of the

Gurvitch, G. 1949: Industrialisation et technocratie.

individual. Against this it can be convincingly main­

Homans, G. C. 1948: The Human Group.

tained that small groups are shaped by the inclusive

Moreno,J. L. 1934 (1953): Who Shall Survive?

society to a much greater extent than they shape it,

Redfield, R. 1955: The Little Community.

as is most evident in the impact of modern industrial

Tonnies, F. 1887 (19SS): Community and Association. TOM BOTTOMORE

society on such groups as the family and the rural village. Redfield

(1955) in his study of the 'little

community' recognized the importance of this

growth, economic

See ECONOMIC GROWTH

issue, and explored very thoroughly, with reference mainly to tribal societies, the (diverse) relations

guerrilla

which exist between small groups and the larger

of'small war', goes back to Napoleon's intervention

society in which they function.

in Spain

The origin of the word, in its meaning

(1808-12). But its tactics are as old as

A much more elaborate typology of groups was

history. Guerrilla warfare is used by irregulars

outlined by Gurvitch

(1958, vol. I, sect. 2, eh. I) 15 criteria of classification: content,

(often now themselves called guerrillas) and is

who proposed

based on surprise and harassment to weaken a regu­

size, duration, rhythm, proximity of members,

lar army. Guerrilla warfare was often used as a form

basis of formation (voluntary and so on), access

of resistance to foreign occupation (Roman, Otto­

(open, semi-closed, closed), degree of organization,

man, Napoleonic); later it was widely practised

function, orientation, relation with the inclusive

against European colonial expansion in Asia and

society, relation with other groups, type of social

Africa.

control, type of authority, degree of unity. This

Guerrilla warfare once again occupied an im­

takes account of all the major differences between

portant role during

groups and of the diversity of their relations with

(Greece, Yugoslavia, China). With Mao Zedong,

and

after World War II

each other and with the inclusive society. Thus it

guerrilla tactics become revolutionary warfare, a

encompasses, for example, such issues as Georg

military tool aimed at seizing political power (See

(1902)

MAOISM) . Mao's innovation was not military but

Simmel raised, in

a well-known essay

which examined the relationship between the

political. He used the vanguard party originally

number of members in a group and its structure,

created by Lenin to organize the urban proletariat

(1903) which showed how the

to mobilize the peasantry. This mode, based on

concentration of population in cities changed the

widespread propaganda, organization and the use

nature of social relations.

of selective terrorism, is aimed at building a popular

and in another study

More generally, Gurvitch's typology provides a

support and, above all, a political underground

more adequate starting point for a systematic inves­

infrastructure. It was successfully used by the Viet

tigation of the ways in which social groups establish

Minh while fighting against French colonialism,

a network of relationships in CIVIL SOCIETY which

and Vietnamese troops were able to win the battle

interact with, and modify, those tendencies towards

ofDien Bien Phu. Later, the same model was also

the creation of a MASS SOCIETY where relatively

adopted by non-Marxist movements of national

isolated

increasingly

liberation. Middle cadres are an essential help to

powerful state. On the other hand, it also makes

win the support of segments of the population

individuals

confront

an

GUERRILLA through agitation and propaganda, the aim being to

2

vention ( 1979-88), withdrew;

of the state. From beginning to end, military prob­

Although Greece,

3

Guerrillas fighting for the autonomy or the independence of an ethnic or religious minority

ical aims. (in

Against foreign occupation, as in Afghanistan where Soviet troops, after eight years of inter­

create a new order which challenges the legitimacy lems are closely related and subordinated to polit­

263

were

defeated

(Eritrea, Sri Lanka, the Kurds in the Middle

the Philippines, Malaya,

Kenya),

East); and anti-Marxist guerrillas, first helped

many

insurgencies

many did succeed after long wars of attrition -

by South Africa

sometimes with the sympathy of the public opinion

RENAMO in Mozambique), then by the USA

(UNITA in Angola and

of the colonial country - in gaining independence

(Contras in Nicaragua). Guerrilla warfare is not

through a political victory. Democracies agreed to

going to vanish, because the conditions that

negotiate, since nothing vital to them was at stake.

trigger it are still present. But with urban

Dictatorships on the other hand would not negoti­

unrest, the increasingly crowded megalopolis

ate and only a military victory (most of the time

is becoming more and more the epicentre of

against a weak state) would end the conflict. This

riots and insurgencies.

was the case in Cuba (1959) and, 20 years later, in Nicaragua. The Vietnam war (1965-73) confirmed

See also WAR.

the capacity of the weak to resist the strong. But in the 1960s, all Latin American guerrillas lacking popular support were defeated ( Guevara in Bolivia, 1967). Today there is an increasing variety of guer­ rillas: Marxist guerrillas aiming at seizing power for social change (as in Peru, El Salvador, the Phil­ ippines);

Reading Beaufre, A. 1972:

La Guerre revolutionnaire: les forces nouvelles de la guerre. Cha1iand, G. 1979 (1984): Strategies de la guerilla. Ellis,J. 1975: A Short History ofGuerrilla Warfare. Laqueur, W. 1977: Guerrillas: a Historical and Critical Study. Sarkissian, S. S. ed. 1975: Revolutionary Guerrilla War­ fare. GERARD CHALIAND

H health

In

1948 the World Health Organization

promulgated a definition of health as 'a state of

which health in Western society is described and organized.

complete physical, mental and social wellbeing, not merely the absence of disease or infirmity'. This widely used definition, though commonly criticized as overinclusive and difficult of achieve­ ment, draws attention to the major change which has taken place in the latter half of the twentieth century: the replacement of a strictly biomedical model of health by a more holistic and social con­ cept. This is not new, echoing as it does the classical Platonic model of health as harmony or the Gale­ nian concept of disease as disturbance of equilib­ rium.

Some

reasons

for

its reappearance

in

developed countries during the last century, how­ ever, are held to be the rise in importance of chronic disease in 'ageing' populations, the possibility of the eradication of many 'scourge' diseases, and the general improvement in living conditions which gives emphasis to the quality of life rather than simple survival. The human ecology movement is also relevant, encouraging a focus on health as a state of balance between human beings and their environment. A further strand in the development of holistic concepts has been the growing know­ ledge about mind-body links and what has been called the sociobiological translation: the mechan­ isms by which social and psychological factors re­ sponsible for vulnerability to disease are translated

Disease During the twentieth century concepts of disease itself changed, with a challenge to the key suppos­ itions - the definition of disease as deviation from normality, the doctrine of specific etiology, the universality of disease taxonomy, and the scientific neutrality of medical science - which had shaped modern medicine during the nineteenth century (Dubos,

1961). The conviction that the universe

of disease is finite, and that for every disease there is a unique cause and a cure to be found, has been shaken by the advent of new diseases (such as AIDS) and the recognition of the multiple and interactive causes of many forms of ill-health. Fur­ ther, it is suggested that the definition and categor­ ization of disease is a social as well as a scientific process, and normality can be only a relative con­ cept. The influence ofFoucault, arguing against the theoretical models of the 'sciences of man', has been strong in creating the view that medical knowledge (no less than medical practice) is socially con­ structed, and connected with broader develop­ ments in social thought: it cannot simply be taken for granted. Illness

into actual biological processes. Thus concepts of

Similarly, the experience of illness involves cultural

stress and social integration have been seen not only

meanings and social relationships. A major question

as causes of ill-health but as integral parts of the

of a considerable body of research in social anthro­

concept of social health, and health is now generally

pology and medical sociology during the last thirty

conceived of as multidimensional, encompassing

or forty years has concerned the perception and the

but not confined to the absence of disease.

meaning of health and illness among those who

Discourses of health are of course contingent and

experience them. Bodily states and changes are in­

emerge at particular historical periods. In the latter

terpreted differently in different cultures and at

decades of the twentieth century, the prominent

different periods: as Douglas

issues concerned biotechnology, the 'new genetics',

social body constrains the way the physical body is

(1970) noted, the

and new environmental risks. Thus health became a

perceived. Many studies, following pioneering

key area in the concept of the 'risk society' (Beck,

work by Herzlich

1992) and risk became a common discourse around

of health held by lay people. The most positive

(1973), have mapped the concept

HEGEMONY

2 65

concept of health as fitness or wellbeing is generally

income was higher. By about 1970, however, the

found to be associated with better education or more

richest nations had reached a stage where the curve

favourable social circumstances. A feature of all

had flattened, and it was equality of income distri­

these studies is the strong moral meaning demon­

bution within societies which appeared to be a

strated to attach to the concept of health.

predictor of relative life expectancy (Wilkinson,

Health behaviour and health lifestyles

were centring around (not uncontested) theories of

199 6). By the end of the last century, discussions

Growing public expectations have been associated with a marked trend in Western societies towards an emphasis on positive aspects of health and health

social capital - the strength of community life, cohesion and social trust- as determinants of popu­ lation health.

promotion. From about 1950s, research strongly implicated personal behaviours - smoking, diet, lack of exercise - as agents in the cause of chronic disease. Concepts of 'self-responsibility' for health were fostered. Complementary and alternative medicine and self-help movements flourish in this

Reading Armstrong, D. 1983: The Political Anatomy of the Body. Blane, D., Brunner, E. and Wi1kinson, R. eds 1996: Health and Social Organisation. Foucault, M. 1963 (1976): The Birth of the Clinic. Sontag, S. 1979: Illness as Metaphor.

environment, as does the commercialization of

Williams, S.]., Gabe, J. and Ca1nan, M. eds 2000: Health

health promotion. Critiques of the 'medicalization'

Medicine and Society: Key Theories, Future Agendas.

of society (Illich, 1975) fed into this trend, as,

MILDRED BLAXTER

from different perspectives, did critiques of medi­ cine's efficacy (Cochrane, 1972 ; McKeown, 1976). During the 1970s and 1980s there was, however, some reaction against the model of health promo­ tion which emphasizes only lifestyle change and voluntary behaviour, which, it was suggested, fostered a climate of victim-blaming. In the attempt to theorize the structure-agency problem in relation to health and behaviour, the work of Bourdieu (199 0) became influential: life­ styles seen as the product of 'habitus', expressed through the 'tastes' adopted as seemingly voluntary choices but rooted in material constraints.

hegemony

The twentieth-century use of this

term combines and extends earlier usages. It trad­ itionally indicated the dominance of one country or ruler over others. Secondly, it also signified the principle around which a group of elements was organized. It is now not only applied to inter­ national relations, where it still means dominance, but - mainly under the influence of the Italian Marxist thinker Antonio Gramsci, who developed the concept significantly (1929-35)- has also come to indicate the organizing principle of a society in which one class rules over others not just through force but by maintaining the allegiance of the mass

Population health

of the population. This allegiance is obtained both

With this re-emphasis on the social and environ­

through reforms and compromises in which the

mental determinants of health behaviour, the con­

interests of different groups are taken into account,

cept of 'health inequality' reemerged strongly in

and also through influencing the way people think.

Britain, and in other countries of Europe (DHSS,

Whereas at first Gramsci (192 1-6) used the term in

1980). In the international arena, the World Health

the same way as other Marxists such as Lenin,

Assembly 1998 declared the reduction in socioeco­

Bukharin and Stalin with regard to the leadership

nomic inequalities in health a priority for all coun­

of one class over others in a system of alliances, in

tries. A focus on the material causes of ill-health

extending the term he went beyond the usual

represented some return to the 'public health'

Marxist concept of state PoWER as the instrument

movement of the early years of the century.

of a class which employed a monopoly of force, to

At the same time, concepts of population health which

were

perhaps

more

sociopsychological

argue that the state in the modern period could only be understood as force plus consent.

regained prominence with the rise of the concept

This enriching of the meaning of hegemony is

of 'social capital' (Coleman, 1988; Putnam, 1995).

related to the increasing complexity of modern

Early in the twentieth century the relationship be­

society, in which the terrain of politics has changed

tween health and the wealth of societies was rela­

fundamentally. In the age of mass organizations

tively simple: life was longer where per capita

such as political parties and pressure groups,

266

HERMENEUTICS

when the expansion of the suffrage requires any

hermeneutics came to represent a central topic in

state, however restricted democratic liberties are,

philosophy and cultural analysis, thereby vindicat­

to attempt to maintain the consent of the governed

ing the assertion contained in this seminal work

-and with the development of the educational and

concerning the 'university of the hermeneutic

cultural level of the population, its ideas, practices

problem'. Gadamer's position is pivotal in contem­

and institutions - the area of state action expands

porary hermeneutics. Working from within the

and the public and private spheres of society are

tradition of Heidegger's ontology, he could critic­

increasingly intertwined. In this context the very

ally appropriate and develop earlier formulations of

meaning of political leadership or dominance has

the 'hermeneutic problem' and provide the founda­

changed as rulers must claim to be ruling in the

tions for the subsequent application of hermeneutic

interests of the ruled in order to stay in power.

insights to a wide field.

Increasingly the demands and needs of society

In the social sciences, the influence of hermen­

have come to be considered the responsibility of

eutics has been pervasive. Debates concerning, for

governments, when once they might have been

example, the scientific status of the social sciences,

relegated to the private sphere defined as outside

the relationship of subject and object, the meaning

politics. Ideas, culture and how people view them­

of 'objectivity', the formulation of appropriate

selves and their relationships with others and with

methods, the meaningful constitution of the object

institutions are of central importance for how a

have all been crucially shaped by hermeneutics and

society is ruled and is organized, and underpin the

today proceed largely on its terrain.

nature of power - who has it and in what forms.

The seminal influence of Gadamer's work can

Thus, as the very nature of politics has changed, the

also be traced in a wide range of disciplines outside

meaning of hegemony, as leadership, dominance or

philosophy and the social sciences, ranging from

influence, has in turn evolved. It now also implies

medicine to business studies to architecture - in

intellectual and moral leadership and relates to the

fact, anywhere where the dialogical constitution of

function of systems of ideas or ideology in the

meaning is reflected upon.

maintenance or the challenge to the structure of a particular society. It is consequently instrumental not only in the continuance of the status quo but in the manner in which a society is transformed.

Reading Anderson

P.

1976-7:

The

antinomies

of Antonio

Gramsci. New Left Review 100. Buci-Glucksmann, C. 1982: Hegemony and consent. In

methodology of the human sciences ( Geisteswissen­ schafien ), it referred to those disciplines ancillary to theology, jurisprudence and philology that at­ tempted to provide rules and guidelines for the late as the seventeenth century but its field, the

interpretandi,

Approaches to Gramsci, ed. A. S. Sassoon. Femia, J. 1981: Gramsci's Political Thought: Hegemony, Consciousness and the Revolutionary Process.

ars

reaches back into the beginning of

Western thought. It was, in particular, at times of social and cultural upheaval that hermeneutics was

Mouffe, C. 1979: Hegemony and ideology in Gramsci. In Gramsci and Marxist Theory, ed. C. Mouffe. Sassoon, A. S. 1980 (1987): Gramsci's Politics, 2nd edn. ANNE SHOWSTACK SASSOON

This area of philosophical activ­

ity and enquiry is concerned with the theory and practice of understanding in general, and the inter­ pretation of the meaning of texts and actions in particular.

charged with the task of clarifying the self-under­ standing of an age in relation to traditioned frames of meaning. It is when taken-for-granted concep­ tions are shaken that the interpretation of meaning, as its method-guided appropriation, comes into play. Hermeneutical theory as it developed before the nineteenth century, that is, as a set of practical rules, is in principle unable to provide a theoretical foundation for the interpretation of meaning. What is required for this purpose is nothing less than the

Overview

contribution Kant made to the foundation and jus­

In the two decades after the publication of Hans­ Georg Gadamer's

In so far as hermeneutics has been regarded as the

interpretation of texts. The term was coined as

Bocock, R. 1986: Hegemony.

hermeneutics

As a methodology

Truth and Method

in

1960,

tification of the natural sciences. In this respect, Wilhelm Dilthey's 'Critique of historical reason'

HERMENEUTICS

267

(see Dilthey, 1927) represents a widening ofKant's

the human 'being-there' in the world, that is char­

Critique ofPure Reason in accounting for the histor­

acterized by a search for meaning and a meaningful

ical dimension in the development of human

existence (Heidegger, 1927). The meaning of Dasein can only be approached

thought. Dilthey's attempt to provide the foundation for

through an interpretive effort:

'hermeneutical'

the human sciences was continued in this century

therefore becomes the central concept in existential

by Emilio Betti, who set himself the task of harvest­

analyses. Hermeneutical theory, on this basis, can

ing the wealth of hermeneutical thought that had by

be no more than a derivative of the more funda­

now accumulated, and putting it to good methodo­

mental hermeneutic of Dasein where we are en­

logical use.

gaged in clarifying an already existing form of

A major attraction of Emilio Betti's objective­

understanding of our world of everyday life.

idealist perspective on the study of meaning resides

But not only is methodically disciplined Verste­

in the promise of being furnished with an account

hen a derivative of existential understanding, it is

of the possibility of Verstehen, here used in the sense

also directed by the latter. The interpretation of

of a method-based form of understanding leading

something as something, that is, the 'as-structure

to objective results. Betti introduces his general theory of interpret­

of understanding', is based on the fore-structure of understanding. The circularity of argument appar­

ation through a consideration of the relationship of

ent in the conception of interpretation as a move­

subject and object in the interpretation of meaning­

ment within the fore-structure of understanding is

ful forms. The object of the human sciences is

that of the existential-ontological, or hermeneutic,

constituted by ethical and aesthetic values. They

Circle.

'represent an ideal objectivity that unerringly

Hermeneutical theory stressed the movement

follows its own lawfulness' (Betti, 1955, p. 9). The

from part to whole and reverse in the process of

ideal objectivity of 'spiritual values' can, however,

understanding. That methodologically guided in­

only be comprehended through the 'real objectiv­

terpretive procedure is now seen as a derivative of

ity' of 'meaningful forms'. These forms contain

the existential structure of our Being-in-the world.

values which Betti regards as something absolute,

In Heidegger's account, it is not a question of

that is, as containing within themselves the basis of

getting out of this Circle (as in the pursuit of 'ob­

their own validity. They are thereby removed from

jective' findings) but of getting into it properly

the perceiver's subjective arbitrariness and, as ob­

since it contains the possibility of original insight.

jectively existing, are accessible to intersubjective

Gadamer

verification.

Hermeneutical

theory

conceives

of

understanding as an act residing in the interpreter's

Hermeneutic philosophy Betti's work represents a sophisticated exposition of hermeneutical theory as the methodology of the interpretation of objective mind. Hermeneutic phil­ osophy, in contrast, shifts the focus of hermeneutics from the problem of Verstehen to the existential constitution of possible understanding from the standpoint of active existence, especially in refer­ ence to our embeddedness in tradition and language.

capacity to engage with meaningful forms. In Gada­ mer's view, however, understanding is not to be thought of as an act of one's subjectivity so much as the placing of oneself within a tradition in which past and present are constantly fused. The bringing together of past and present in the act of understand­ ing Gadamer describes as the 'fusion of horizons'. In understanding, the interpreter's horizon is widened to encompass the initially unfamiliar object, and in this process forms a new, widened horizon. It is at this point, at the converging of initially differing

Heidegger

In the later work of Edmund Husserl,

positions, that true meaning can arise. Meaning is

the central figure in the development of PHENOM­

constituted in the dialogic formation of agreement.

ENOLOGY, the life-world- the world of everyday life

Only in this communicative experience do we come

that we uncritically accept as 'our world'- provided

to understand and to know more fully what previ­

the ontological basis for any possible experiencing

ously had remained an unclarified part of our pre­

(Husserl, 1937).

understanding, our initial horizon.

Martin Heidegger's hermeneutic phenomenology

The stress on the historicity of understanding,

develops this theme towards an analysis of Dasein,

on the situatedness of the interpreter within an

268

HERMENEUTICS

active tradition, has already been referred to in terms of the 'fore-structure' of knowledge. Gada­ mer pursues this point further in the terms of a 'pre-understanding' and the inevitability of

teile

Vorur­

(which can mean both prejudice and pre­

judgement). This aspect has been regarded as a 'rehabilitation of prejudice' by critical hermeneutics and as such a step back behind the questioning of unjustified assumptions that characterizes the Enlightenment tradition. At this point, thought, this insight into the pre-judgemental structure of understanding can be developed further into an argument for the 'universality of the hermeneutic problem' on the basis of Gadamer's stress on the linguisticality of our Being. Language is not merely an instrument of thought but it itself operates to disclose a world to us; we move within it and on the basis of it. Ultimately, it is language that forms the 'tradition', the 'pre­ understanding', that generates our understanding of ourselves and our world.

Hermeneutics

as critique

The figure of the

hermeneutic circle

was used

by Gadamer to reject the objectivism inherent in the historical-hermeneutical

Geisteswissenschafien.

When challenged by Betti to produce any criteria for judging the correctness or truth of proffered interpretations, Gadamer answered that he was only concerned with showing what it was that was always happening when we understand. Gadamer's reference to the embeddedness of interpretation in a tradition was seen by Betti as a relapse into subjectivism. For

critical hermeneutics

this not only prevents hermeneutics from acquiring any methodological significance but also, and per­ haps more importantly, it represents the forfeiting of the hard-won degree of autonomy from the forces of tradition which Enlightenment thought had secured. In the work of social philosophers working within the wider orbit of the FRANKFURT SCHOOL, such as Karl-Otto Ape! and Ji.irgen Habermas, an integration is attempted of hermeneutic philosophy with other traditions such as phenomenology, prag­

Poststructuralism

matism, linguistic philosophy and Freudian analy­

Gadamer's emphasis on the productive rather than

sis. Both aim towards an integration of Gadamer's

merely reproductive nature of interpretation paral­

analyses with sociopolitical concerns, and with the

lels a shift in French philosophical and literary

formulation of a social science that can assist in

thinking

freeing repressed social practice.

towards

a

'poststructuralist'

position.

One strand, often referred to as 'textualist', is of

Adhering to the 'project of the Enlightenment',

particular interest here, especially since its main

Habermas seeks to develop a critical social science

representative, Jacques Derrida, has entered into a

that reconstructs suppressed possibilities for eman­

dialogue with Gadamer (see, for instance, Derrida,

cipation. As a critical-dialectical social science,

1967).

Habermas's

(See also DECONSTRUCTION.)

The figure of the 'fusion of horizons' that repre­

depth hermeneutics

attempts to mediate

the objectivity of historical forces with the subject­

sents the dialogic constitution of meaning appears

ivity of actors. Since its aim is to free emancipatory

in poststructuralist thinking as 'intertextuality'.

potential through reconstructing processes of re­

These terms, too, refer to an active relationship of

pression it is not surprising that Habermas should

reader and text, to an interaction and performance

use psychoanalysis as a model.

rather than passive consumption or detached analy­

Because repression takes place in and through

sis of a fixed meaning. This move, at the same time,

language, the theoretical framework required for

forms the central point of departure from STRUC­

such a programme takes the form of a projected

TURALISM and semiology (see SEMIOTICS) with its

'theory of communicative competence'. Ideologies

emphasis on the 'sign' as closure.

provide an illusory account of societies that are

Where poststructuralism parts company with

characterized by the domination of one section

hermeneutics, however, is in its radical denial of

over another. Consensus in such conditions is likely

any foundations of knowledge in the sense of opera­

to be false or distorted, that is, the results of

tive assumptions regarding a self-evident basis of

'systematically distored communication'. In condi­

knowledge claims. For this tradition, it is impos­

tions of inequality, consensus can only be a 'coun­

sible to use notions such as 'reaching a consensus' or

terfactual' assumption, the anticipated aim of social

'arriving at a truth' without becoming entangled in a

interaction, rather than its unquestioned precondi­

self-contradictory circular movement of thought.

tion.

HINDUISM AND HINDU SOCIAL THEORY Postmodernism

269

Reading

Habermas's discursive ethics, which centres on

Bauman, Z. 1978: Hermeneutics and Social Science.

the idea of dialogue free from domination, has

B1eicher, J. 1980: Contemporary Hermeneutics.

been rejected by philosophers who draw their in­ spiration from Heidegger and, further back, from Nietzsche. The universalistic intention of Enlightenment thought and its emancipatory programme is now seen as, at best, illusory, but more likely as itself repressive. Such a project involves a philosophical justification, in Jean-Fran<;ois Lyotard's phrase a 'grand narrative' or 'meta-narrative'

(1979), the

function of which is to impose a unilinear, mono­ logical conception of the object and to legitimize its own rules of procedure. One such grand narrative is represented by the 'hermeneutics of meaning', and it characterizes the postmodern condition that we have become 'in­

--1982: The Hermeneutic Imagination. Dallmayr, F. and McCarthy, T. eds 1977: Understanding and Social Inquiry. Gadamer, H.-G. 1960 (1975): Truth and Method. Habermas, J. 1967 (1988): On the Logic of the Social Sciences. Hekman, S. 1986: Hermeneutics andthe Sociology ofKnow­ ledge. Hoy, D. C. 1982: The Critical Circle: Literature, History and Philosophical Hermeneutics. Kog1er, H. H. 1996: The Power ofDialogue. Ricoeur, P., 1974: The Conflict ofInterpretations: Essays in Hermeneutics. Wachterhauser, B. R. 1986: Hermeneutics and Modern Philosophy. Warnke, G. 1987: Gadamer: Hermeneutics, Tradition and Reason.

credulous' towards it. This attitude arises from

JOSEF BLEICHER

the valued recognition of heterogeneity, plurality and local determination, and leads Lyotard to reject the unanimity of minds sought in the formation of consensus as not only unrealistic but even as dan­ gerous, as 'terroristic'. As far as the philosophical and practical-political concern with the formation of consensus is con­ cerned, it is necessary to state that the dialogical constitution of meaning and the striving for com­ municatively achieved, rational agreement is unre­ lated to the monological imposition of one particu­ lar language-game. More to the point, critical hermeneutics is concerned with formulating the conditions of the possibility of plurality. It is only on the basis of consensual norms that diverging positions can freely be developed and be given a fair hearing. Critical hermeneutics seeks to expand that space through helping to initiate an emancipa­ tory practice that removes obstacles in the way of genuine consensus formation.

Hinduism and Hindu social theory

Hindu­

ism is the name generally given to the beliefs and practices which have developed over many centur­ ies in the Indian subcontinent. These are diverse but bear a family resemblance to each other. Three traditions:-

BUDDHISM, Jainism

and

Sikhism­

have emerged as distinct but cognate religions. The Western term 'Hinduism' derives from a Sanskrit word for the Indus river, and variants of the word 'Hindu' have been used for over

2,000

years by outsiders to describe the people of India. Hindus call their way of life 'sanatana' (eternal) 'dharma'. Dharma, often translated as 'religion', is a fun­ damental concept which has no English equivalent and includes the notion of morality. It denotes the conduct appropriate to an individual's caste, gender and age. Human life is regarded as an opportunity for achieving moksha (liberation) from the soul's cycle of birth and rebirth. Hindus believe that

Conclusion

suffering and good fortune can be explained by

Hermeneutic thought points to the situatedness

karma, the cosmic law of cause and effect, operating

of all activity within a particular interpretive

over many lifetimes.

framework. As such it draws our attention to the presuppositions,

and

limitations,

of

all

forms

Hindu social theory is the view of society which emerges from analysis of Hindu history and culture

of thought and social practice. The aim of its

and as articulated by Hindu thinkers and by ana­

proponents has been to enhance communicative

lysts of Hindu society. Hinduism has no single

interaction and thereby to facilitate the develop­

founder and no single book that is regarded as

ment of humane and truly rational forms of social

scripture. Its roots can probably be traced to the

coexistence. See also THEORY OF KNOWLEDGE.

period of the Indus Valley civilization

(2500-1500

BCE (before Christian Era)) and to the many local

270

HINDUISM AND HINDU SOCIAL THEORY

tribal religions of the subcontinent. The oldest

teaching, threw up Hindu thinkers with pro­

texts, the Veda, which were probably written

grammes for transforming society. In Bengal the

about

Brahma Samaj founded by Ram Mohan Roy ( 1772-

1000 BCE in north India, record the sacrificial

hymns of the Aryans (a term which has acquired

1833) promoted social reform, especially the rights

connotations of racial purity or of pristine Hindu­

of women. In his thinking a form of theistic monism

ism but more accurately indicates speakers of an

was defended by philosophical reasoning of a West­

Indo-European language, who probably originated

ern type. The Gujarati ascetic Swami Dayananda

further west). The Aryans worshipped male gods

Saraswati

such as Indra.

to his conception of a pure V edic society, purged of

(1824-1883) exhorted Hindus to return

500 years

the superstitious overlay of subsequent centuries.

later, there emerges the characteristically Hindu

He and the movement which he created (Arya

belief in the transmigration of the soul and the

Samaj) emphasized Hindu rather than Western

unity of atman (the individual soul) with brahman

philosophy, strove to eliminate untouchability, en­

In the Upanishads, composed about

(the impersonal absolute which pervades all). Mys­

couraged the education of women and enabled

tical experience assumed great importance and

widows to remarry. Swami Vivekananda

there subsequently arose systems of physical and

(18621902) preached mystical monism coupled with

mental control for advancing this (yoga), which are

social reform without ruling out caste or the wor­

prefigured in the Bhagavad Gita.

ship of images.

The purpose of the Arthashastra, a fourth-cen­

Bal Gangadhar Tilak

(1856-1920) promoted

tury BCE account of social relationships, is the pre­

social conscience and political nationalism. He

servation of a king's power. Realpolitik is combined

argued for the antiquity of Aryan culture and that the Bhagavad Gita should be understood as an

with principle. Underlying Hindu society are the twin concepts

exhortation to selfless service. Mahatma Gandhi

of varna (see CASTE) and ashrama (stage of life).

(1869-1948) strove to realize a society, free of for­

Society is understood as a hierarchy of interde­

eign domination, and characterized by non-vio­

pendent but unequal elements characterized by

lence,

harmony rather than by competition. The life of a

valued. He saw no justification in Hinduism for

male from the 'twice-born' castes came to be

untouchability. His principle of sarvodaya (univer­

in

which

all

individuals

were

equally

thought of as a sequence of stages. The brahma­

sal uplift), espoused by Vinoba Bhave

chari (celibate student) would marry and become a

and other Gandhians, means practical action to

(1895-1982)

grihastha (married householder). When his son's

improve the quality of life of the most needy. In

son was born (and his line assured) he could become

the philosophy of the erstwhile political activist Sri

a forest hermit (varnaprastha) before renouncing all

Aurobindo Ghose

ties with the world as a sannyasi (renunciant). This

maya (illusion) as a fundamental principle of society

pattern persists in Hindu society as an underlying

and the universe.

ideal of family life giving way to untrammelled

(1872-1950), evolution replaces

For Jawaharlal Nehru

(1889-1964), India's first

preoccupation with religious pursuits. From the

prime minister, society must embody democracy,

Rig Veda, the epics (Mahabharata and Ramayana)

socialism and secularism - that is, loyalty to the

and the lawbooks (Dharmashastra) emerges an

basic unity of India - rather than communalism (the self-interest of communities as divided along

evolving view of society. The prime concern of theologians and philoso­

religious lines). Sarvapelli Radhakrishnan

phers was not social theory but understanding the

(18881975), philosopher and president oflndia, saw an

ultimate reality. Shankara

(c.800 CE) preached

Indian Idealism as the potential saviour of civiliza­

advaita (non-dualism). In other words all appear­

tion from exploitation by Western commercial

ances of duality (for instance between God and

technology. As defined by Radhakrishnan, secular­

matter) were illusory. For medieval mystics, such

ism does not mean irreligion or atheism, but lays

as Kabir and Ravidas, mystical experience left no

stress on spiritual values which may be attained in a

place for caste division, but it would be anachronis­

variety of ways. Harmony rather than competition

tic to describe them as social reformers or theorists

was the ideal incorporated in the caste system, as he

in the modern sense.

expounded it (Radhakrishnan,

1927).

Nineteenth-century India, ruled by the British

Twentieth-century Hindu social thought was

and sensitive to Western thought and Christian

characterized by increasing tension between the

HISTORICISM principles of secularism and Hindutva (Hindu re­

271

thought, especially in the German-speaking world.

vivalism) in which Bharat (India) is emotively iden­

The conte xtualizing approach to law and economics

tified

of the respective 'historical schools' and their cri­

with

Hinduism.

This

developed

m

conjunction with a movement to unify Hindus of

tique of abstract systems with a pretention to uni­

all sects, castes and regions. The aim of the Rash­

versality was at the centre of important theoretical

triya Swayamsevak Sangh (National Volunteer

controversies (see METHODENSTREIT ) which con­

Union), founded in

tinued into the early twentieth century - when the

1925 by Dr Keshav Baliram Hedgevar (1889-1940) was to revive the self-confi­

terms historismus or historizismus came into general

dence ofHindus and their sense of civil duty, largely

use. As the virulence of these disputes declined, and

through involving young people in disciplined

historicism was eclipsed by the rise of PosiTIVISM

social service. In

and PHENOMENOLOGY, thinkers such as Ernst

1964 the Vishwa Hindu Parishad

(World Hindu Organization) was founded with the same ethos to unify Hindus. Many Hindus, angered by their perception that the Indian government was

Troeltsch

(1865-1923) and Friedrich Meinecke (1862-1954) offered retrospective critical evalu­ ations of historicism (for Troeltsch, see 1922).

appeasing minorities, have asserted themselves

Karl Mannheim's principle of 'relationism' at­

more militantly, united by the struggle for a temple

tempted to do justice to historical and other differ­

rather than a mosque to mark the birthplace of Rama

ences in perspective without falling into a full­

in Ayodhya. This activism inspired by idealization

blown RELATIVISM.

of the Hindu past is represented politically by the

There had always been a more speculative strand of historicist thinking which understood the stress

Bharatiya Janata Party (BJP). Analysts of Hindu society have understood it in

on change and development not as a caution against

terms of a variety of processes, for e xample the

generalization but as an invitation to construct

interactive relationship between the Great and

grand schemes of historical development and pro­

Little Tradition (pan-India and local forms of Hin­

gress (see EVOLUTIONARY PROCESSES IN SOCIETY) .

duism). Srinivas postulated Sanskritization (the

Karl Popper used 'historicism' in this sense in his

process whereby lower castes change their behav­

critique of 'prophecy' in social theory, particularly

iour to resemble that characteristic of the brahman

MARXISM. This usage which, as Popper recognized,

secularization

is directly opposed to the first one, became domin­

(whereby what is identifiably religious, such as a

ant in English-language discussions, leading many

castes).

Other processes

include

belief in the supernatural, plays a less significant

writers, including the translator of Meinecke's

role in people's lives), modernization, industrializa­

book, to prefer the term 'historism'. Popper's cri­

tion, urbanization (as unprecedented millions move

tique of Marxist 'historicism', like Jean-Fran<;ois

from villages to the cities) and Westernization (de­

Lyotard's later critique

noting a shift towards, for instance, the consump­

(1979), gave rise to considerable discussion within

tion of meat and alcohol, behaviour at odds with

the Marxist tradition. Here, however, the term is

Sanskritization).

also used to indicate a stress on the historical

Reading

thought itself, in opposition to more scientistic

of

'grand

narratives'

embeddedness, and hence changeability, of Marxist Basham, A. L. 1954: The Wonder that was India. Beteille, A. 1966: Caste, Class and Power: Changing Pat­ terns ofStratification in a Tanjore Village. Dumont, L. and Pocock, D. eds 1957-{)9: Contributions to Indian Sociology, vo1s 1-9. Lannoy, R. 1971: The Speaking Tree: a Study of Indian Culture and Society.

versions of Marxism such as that defended for some time by Louis Althusser, who popularized this further usage in his critique of such Marxists as Lukacs and Gramsci (Althusser,

1965).

Historicism or historism in the primary sense was an important, if ine xplicit, feature of philoso­

Radhakrishnan, S. 1927: The Hindu View ofLife.

phy and social theory in the later decades of the

Srinivas, M. N. 1967: Social Change in Modern India.

twentieth century. Peter Winch

(1958) emphasized

ELEANOR M. NESBITT

the need to understand 'alien' cultures in their

A stress on the historical variability

tral historicist principle e xplicit with a quotation

own terms, making his identification with this cen­ historicism

of systems of ideas and practices, their subordin­

from Nestroy in the frontispiece of his book. Quen­

ation to broader processes of change, was one of

tin Skinner has emphasized the importance of

the

understanding the texts of political theory in the

main characteristics of nineteenth-century

272

HISTORY

context of their traditions (see Skinner, 1978, and

In the past 'period' historians have gained

also Tully, 1988), and this historical concern has

access to storehouses of information, hitherto

affinities with 'contextualist' approaches in modern

beyond their reach for lack of technology or tech­

political theory which argue for a holistic approach

niques to exploit them or lack of the perspective

to concrete forms of life and traditions, rather than

from which to make historical sense of them. For

the implementation of discrete moral and political

the first time historians systematically used sources

principles. A more general valorization of diversity

such as aerial land surveys, registers of births, bap­

or 'difference' has been a pervasive theme of recent

tisms, marriages and deaths, physical measure­

Western thought, as the legacy of imperialism grad­

ments of men drafted into armies, catalogues of

ually gives way to a less ethnocentric and more

mail-order companies, records of school enrol­

'multicultural' awareness. Most recently, the label

ments and university matriculations, automobile

'new historicism' was applied to literary and cul­

licences, guild memberships, telephone directories.

tural studies which, in opposition to the more ab­

This detritus of human life people had gathered

stract theorizing of the 1970s and early 1980s,

and shaped into manageable form some time, some­

engage closely with historical texts but with a

where, for some purpose. Their purposes were

focus on the ways in which they are produced and

other than those of the twentieth-century historians

the complex mediations through which we have

who ultimately reshaped the surviving data for their

access to them. In these various and disparate

own uses. The common characteristic of these

ways, the legacy of historicism survives, and what

kinds of data was that they attained significance

was denoted by the term in the nineteenth and early

for historians only by aggregation. In the very

twentieth centuries comes to seem, along with and

nature of things the kinds of advancement of his­

opposed to more systematizing and universalistic

torical knowledge such sources lent themselves to

approaches, a permanent pole of attraction in phil­

were quantitative. A second sort of data that engaged the attention

osophy and social theory.

of professional academically trained historians in Reading

the twentieth century was the mass of information

Mannheim, K. 1952: Historicism. In Essays on the Soci­

that for 250 years or more local antiquarians had

ology ofKnowledge. Meinecke, F. 1946 (1972): Historism: the Rise of a New

Historical Outlook. Popper, K. 1957: The Poverty ofHistoricism. Schnadelbach, H. 1984: Philosophy in Germany 1831-

1933, eh. 2. Skinner, Q 1978: The Foundations of Modern Political

been unsystematically amassing in the publications of local learned societies. Professional historians had long been contemptuous of such antiquarian activities. Their contempt was well merited by the ineptness of some such efforts, and the triviality or mediocrity of much of the rest. In the twentieth century professional historians dug into kitchen

Thought. Veeser, H. A. ed. 1989: The New Historicism. WILL! AM OUTHW AITE

middens of local history and amid much vacuous rubbish found precious artifacts of a past not hith­ erto explored. To the new quantitative data they

history

The invitation to write a short essay on

added the letters (diaries, marriage settlements and

history for a dictionary of modern social thought is

wills, rentals and leases) of obscure men and

an invitation to decide for that essay what the

women; and on both counts history was enriched

modern period is. For that purpose it will here be

by the increment.

a short period - the 75 years from 1914 to 1989,

Both kinds of new historical sources have pro­

from the onset of World War I to the multiple

vided data on the kinds of people to whom profes­

collapse of communism as effective actuality and

sional historians had hitherto paid only slight

as ideology in the world. In that 75-year 'period' the

attention - agricultural workers, peasants, factory

writing of history has undergone three sorts of

hands, foot soldiers, domestic servants, women,

major change, distinguishable but also mutually

children, indeed the larger part of humankind

interrelated. The sources to which historians paid

since human life came to be. So in the twentieth

professional attention changed; the subject matter

century for the first time it became possible - and

that the profession wrote about changed; and the

soon thereafter it became common practice - for

framework within which they defined their discip­

professional historians to write coherently about

line changed.

phenomena that earlier historians had few means

HISTORY

273

and less disposition to concern themselves with:

before the discovery of America. The story of the

diet, health, water power, energy sources and ap­

rise of the West thus comfortably fits the two nar­

plication, literacy, population, productivity, epi­

rative traditions with which the men of letters of the

demics. (See also SociAL

West were most familiar before

HISTORY.

) The historians

who undertook to open new fields of enquiry ac­

1492 and which

almost all the founding fathers of the historical

companied their pioneering effort with appropri­

profession in the nineteenth century accepted as a

ately loud trumpet blasts and less felicitously with

given.

territorial claims that made those of the

13 original

states of the USA seem modest by comparison.

Not surprisingly many of the twentieth-century historians who took part in the discovery of history

The shift of interest to people whom historians

'from the bottom up', considered this 'old' narra­

of earlier generations had neglected or looked down

tive history an evidence of the former subjection of

on disrupted a complacency that the profession had

other races, other classes, other age cohorts and the

cultivated. The reconception of the historical, pro­

other sex to bondage by hegemonic white males. It

tean sometimes to the point of appearing chaotic,

was also an instrument of that bondage.

had altered the visible practice of professional his­

The devaluation of individual persons as the

torians with a series of seismic shocks, the ultimate

centres of historical stories and the devaluation of

force of which was hard to gauge when the 'century'

stories as the natural form of history therefore fit

ended in

comfortably the kinds of evidence that the new

1989.

In the period of the founding of their profession

types of sources yielded in the twentieth century.

1914, historians by training had

That evidence afforded answers to many historical

given most of their attention to the past doings of

questions that no historian had hitherto asked. It

from about 1815 to

leaders of white adult males, a minuscule minority

afforded no answers to the kinds of questions which

of the persons who had hitherto lived on earth. The

had mainly preoccupied nineteenth-century histor­

intensity of their dedication may have been over­

ians and later successors who continued to share

estimated, and their grounds for it misperceived by

their concerns. In a culture which for 200 years had

many of their successors in the twentieth century.

assigned an unprecedented honorific value to in­

Still the generality with which in the nineteenth

novation, it was to be expected that twentieth-cen­

century professional historians, all adult white

tury innovators would cry down the value of kinds

males, pursued the study of the power struggles in

of story-telling history that their practices were no

war and peace of adult males, especially white ones,

more apt to produce than a pile driver was apt to

is conspicuous. The bringing to light of evidence

produce an etching. (This is said with no intent to

about how the overwhelming majority of human

compare invidiously the value of one to the other;

beings-not just white adult males-had lived and

they are not comparable.)

died in the human past resulted in a large and

So the innovative sort of twentieth-century his­

confused tumult over what to count as the sign­

torical work marginalized writers of narrative

ificant past and how to count it. Clearly in the

history. It also marginalized human persons, or

course of the four-and-a-half centuries between

effectively disintegrated them, made into historical

1492 and 1942 adult white males had come to dom­

nonentities the actual players in those manifold

inate, to have hegemony over, the earth. To some

stories of the past, that had been most of what

historians in the twentieth century, even to some

most historians wrote about during the previous

not easily chargeable with parochial or blinkered

hundred years.

vision, it was evident that the rise of the West was

The Story of the 450 years before that, in the same sense that World War II was The Story of the six years (1939-1945); it was the coherent story or text

In the twenty-first century (beginning in

1989),

historians may want to examine the confluence of the

new sources

of

twentieth-century history

writing, its new subjects, and the conceptions,

of which most other human doings within that

indeed the

interval could be seen as context or background.

the most influential historians of the era. The

idees fixes, that captured the minds of

This way of looking at the past is of course older

longer they wait, the more the passage of time will

than the modern West. It had its origins in the

diminish their capacity to empathize with the

literatures of two ancient cultures - the Graeco­

durable fascination - both attraction and repulsion

Roman and Judaeo-Christian - which the rulers

- for twentieth-century historians of the particular

and writers of the West had found congenial well

cluster of ideas to which we will shortly return.

274

HISTORY

The confluence of sources, ideas and events oc­

effective than it was in those early years of the

curred between 1914 and 1945. Its setting was two

communist experiment in Russia. It stood in stark

terrible wars, generated in Europe, which in 30

contrast with the blind stumbling of the West in the

years left that violent civilization desolate amid

ten years before World War II. On the one hand a

the ashes of its own folly. The first years of the

firmly directed march through socialism to a com­

twentieth century thus witnessed a holocaust of

munist society in the Soviet Union. On the other,

the expectations, hopes and aspirations of the nine­

the Great Depression, massive unemployment, the

teenth - expectations of the spread throughout the

collapse of the prewar pseudodemocratic regimes of

earth of the civilization of the states of Europe most

Italy and Germany into fascism and Nazism, the

advanced in science, technology and literacy, hopes

paralysis of capitalist economies, and the apparent

for continuous PROGRESS on the way to feedom and

death-throes of imperialism and the bourgeois

democracy,

world order.

aspiration

for universal peace. In

Europe since Waterloo there had been occasional

Before World War I, the word Marxist had been

short episodes of armed strife. But from the Urals

applied to a polycentric cluster of political sects and

to the Atlantic, north of the Danube, for the first

factions with two shared traits. The first was an

time since the states of Europe had achieved the

aversion to the political, economic and social struc­

cohesion necessary for interstate conflict there had

tures amid which they lived, and the conviction that

been no long major wars among the great powers.

those structures were so exploitative and oppressive

We need to remember that, lest with the advantage

to most of humankind that they should be replaced

of hindsight we ascribe to historians teetering on

by any feasible means. The second was the convic­

the brink of mankind's most hideous century,

tion that Karl Marx had effectively analysed how

idiocy - moral or political or both. In the clash of arms of World War I, the greatest

mankind had come to the pass it had in 1914; he had also discovered the route that it would and should

clash of human resources in Europe's history, this

follow in the future, the route called socialism

facile optimism of a century sank. It left as jetsam

to the goal called communism. By 1914, followers

only the idiot smile of the naive transatlantic giant,

of Marx's teachings, from Russia to the Iberian

the United States, which had bumbled on to the

peninsula, were in multifold disagreement about

battlefield only long enough to determine the im­

what the true Marxist philosophy was and about

mediate military outcome, had muttered a ritual

what course of action it required of them at the

incantation, 'Make the world safe for democracy,'

moment. All Marxists agreed, however, that the

and then withdrawn into its wonted isolation, spir­

teaching of Marx required that his followers apply

itual as well as geographical.

his doctrine, whatever it was, in the sphere of

In the post-war years, in their dire and aban­

action; it provided a scientific law of life.

doned plight, the best intellects of Europe turned

Especially via their impact on Marxism, the

back to those few prophets of woe who in the midst

events of World War I produced a torsional effect

of the promise of the nineteenth century had seen

on the perceptions of historians that, almost to the

omens of impending ill. Many turned especially to

end of the short twentieth century, was to shape or

that succession of prophets who, although perceiv­

twist the history written during its seven-and-a half

ing in their own time the threat of world catas­

decades. In the last years of World War I, the Muse

trophe, saw dimly on the horizon the omens of a

of History played a sour joke on Marxism and on

red dawn that appeared in the early 1920s- a new

all but one of its main sects. At the very beginning

light in the East, the first socialist society.

of his magnum opus, Capital (1867), Karl Marx

One after another the socialist goals proclaimed

had set out the prime prior condition for a com­

by Karl Marx in 1848 were attained in the Soviet

munist society, the kind of society he had envisaged

Union - the abolition of private property, the li­

in the Communist Manifesto of 1848. That condition

quidation of an archaic class structure, the dictator­

was the abolition of private property. Capitalist

ship of the proletariat, the destruction of that opiate

society having passed from maturity into senile

of the people, organized religion, and- but 12 years

decay, the proletariat in a socialist revolution

into the Russian phase of the world revolution- the

would overthrow an obsolete bourgeoisie and

introduction of economic planning, and thus at last

set society on the path toward its communist goal.

a society rationally organized to attain its stated

This must be achieved through capitalist exploit­

goal. Never was the persuasiveness of doing more

ation of the working class by the bourgeoisie before

HISTORY a society could be right for the socialist revolution.

275

ians, not only in Russia but throughout the world.

Late in 1917, however, under the leadership of

This was the case not only for explicitly Marxist

Lenin, a small communist faction in Russia seized

historians but also for uncommitted historians who,

power. In the ensuing five years the Russian Com­

self-consciously or not, regarded history as one of

munist Party succeeded for the first time in history

the policy sciences, aiming at human betterment.

in abolishing private ownership of the instruments

For them it was potentially a source of scientifically

of production. It also consolidated its own rule over

verified information that pointed towards a correct

almost the whole domain in Europe and Asia once

course of social, economic and political actions.

under the Tsars of Russia, a domain hitherto

They had to consider whether the Soviet Union

viewed by Europeans, Marxists or not, as 'back­

was infallibly marking either the way other societies

ward' and 'Asiatic'. The time, the place and the substance of the

should follow or the way they should resist and reverse. Even in the few countries where up to

triumph of communism in the Union of Socialist

1945 the vocation of historians was not subject to

Soviet Republics, formerly the Russian Empire,

irresistible guidance from above, many historians

imparted a unique and peculiar tilt to what went

were attracted by the power exercised in the Soviet

on in the world in the ensuing 75 years. It is there­

Union in the name of science. Others were hypno­

fore appropriate to begin the story of the twentieth

tized by the intellectual complexity and encompass­

century with the emergence of Soviet Marxist so­

ing

cialism and to end it between 1989 and 1992, when

simultaneous missions of embracing the world and

by official action the former Union of Soviet Social­

squaring the circle.

grandeur

that

Marxism

achieved

in

its

ist Republics became the Community oflndepend­

A good bit of serious historical evidence could be

ent States. The implications of that change for

made to shape up in forms congruent with Marx­

Marxism were not heartening and for communism

ism. So too, was a populous belt of the earth from

were dire. So the shorter twentieth century was the

the Elbe and the Adriatic on its western boundary

Marxist Century. For 75 years the Soviet Union, of

all the way to the Pacific Ocean and the South

which Marx and Lenin were the official icons, pre­

China Sea on the eastern. Theoretical fascination

sented to humankind the first 'acting out' of social­

joined with apparently imminent political triumph.

ism on the world stage. Off and on in that century

That gave Marx's historical vision a particular pi­

Britain, the United States, Nazi Germany, Japan,

quancy for intellectuals of the few surviving free

and Maoist China joined the Soviet Union centre­

democracies. Many of the most articulate of those

stage. The Union, the first great society explicitly

intellectuals inclined with varying degrees of acute­

founded on Marxist principles and precepts, was

ness toward Marxism. Those who did not so in­

however from its inception constantly at one pole of

cline, rather than those who did, found that the

humanity's current vision of the world as it was and

unenviable burden of proof was tipping on to

ought to be.

their shoulders. Some of them spent much energy,

To moderately observant people during the first

too much perhaps, in showing their reasons for not

three decades of the twentieth century, it seemed

being Marxists. This entailed asserting that from

that on the most stringent human test for a scientific

where they were standing they did not see the

claim, the test of experience, Marxism had vindi­

inevitable Red Dawn- or any other shade of inevit­

cated its assertion that it was the true science of

able dawn for that matter - of a new day for hu­

human society or at least the place where that claim

manity, not the message humanity finds most

was being experimentally tested. Earlier Marxist

heartwarming.

predictions of the imminent collapse of capitalism

insisting on the inability of Marxists and quasi­

They

spent

considerable

effort

were being confirmed by events all over the world.

Marxists to come to grips with the dilemmas, para­

In Europe the Thirty Years' War among imperialist

doxes and contradictions inherent in Marxism from

cultures, capitalist jackals and fascist hyenas looked

the start. Such historians nibbled away at large

as if it was winding down into assured mutual

Marxist assumptions that arbitrarily ruled out as

destruction.

inconsiderable or secondary (not basic, or unim­

For nearly the whole of the twentieth century the

portant in the long run) events and processes of

Communist Revolution and the success or survival

which Marxism was unable to offer an adequate

of the Soviet Union were the decisive events in

scientific explanation. In a world palpably intent

colouring the imagination of professional histor-

on plunging towards wrack and ruin, rejection of

276

HUMAN GEOGRAPHY

the Marxist hope was not always popular with or plausible to intellectuals. With the advantage of hindsight now, at the

change, has made unsaleable -readiness to write down much less to write off the value of a life's work does not come easy. Already in the past 30 years, as

dawn of the twenty-first century, the preoccupa­

the credit and credibility of the Soviet experiments

tions of historians in the previous century with a

slumped, historians who had most of their intellec­

view of the nature and destiny of man so palpably

tual assets invested in communism have looked for

flawed at its foundations as that of the Marxists may

ways to hedge their bets. Only rarely did a Marxist

seem either mysterious or utterly ludicrous. When

historian say 'I have spent all my life digging my

this happens-as it surely will-those present and

way into a dead end.'

future historians must try to see the world of the early twentieth century as those who lived in it saw

Reading

it. Until 1989, no one -no layman, no expert­

Barraclough, G. 1964: An Introduction to Contemporary

foresaw the end of the twentieth century as it actu­ ally happened: the implosion of the Soviet power structure and along with it of the ideology to which it was committed. At the time this article is being written no-one has been able to make a plausible estimate of the devastation wrought by the inward collapse of communist institutional structures in

History.

Braudel, F. 1980: On History. Carr, E. H. 1961: What is History? Collingwood, R. G. 1946: The Idea ofHistory. Hexter, J. H. 1961: Reappraisals in History. --

1971: The History Primer.

Le Roy Ladurie, E. 1973 (1979): The Territory of the Historian.

much of the world and their probable imminent

J. H. HEXTER

unhinging in China, the only major area where they have survived. There they are kept in being

history, economic

See EcoNOMIC HISTORY

by the wiliness of a handful of men in their middle eighties; what will happen when the men die, as

history, social

See SociA L HISTORY

soon they must, is beyond knowing. It is not the least irony of the twentieth century

human geography

In their study of human oc­

that the catastrophes at its end have been catas­

cupancy of the earth's surface, the empirical efforts

trophes of Marxism, the intellectual structure that

of human geographers throughout the twentieth

attained dominance at its beginning, and of the

century have been extremely heterogeneous, but

institutional structures, those of Soviet commun­

they have almost always been associated with

ism, through whose agency that dominance was

three

largely maintained. What this void in institutional

themes: the role of humans in transforming nature,

structures will entail historians can begin to surmise

in physically modifying the earth's surface; the

at least to the extent of imagining a limited array of

organization of space by societal units and the

alternatives to them and of making exploratory

impact of spatial organization on social and eco­

moves toward understanding those alternatives.

nomic interaction; and the human activities or

As effectively to review and replace the dominant

IDEOLOGY of the twentieth century presents histor­

underlying

built-landscape

and

features

frequently

overlapping

characterizing

cities,

regions or other delimited areas. A key common

ians with a more perplexing problem. Structures of

thread of these themes -the situated conduct of

ideas are far more durable than structures of insti­

practice by human agents operating within a spe­

tutions, their custodians more conservative, with

cific constellation of social relations - was long

more deeply entrenched vested interests in preserv­

unrecognized and helped result in a disciplinary

ing them. Need for prompt disposal of institutions

discourse which was largely oblivious to social

that send up suffocating fumes, and in the end

theory; even though Vidal de la Blache and his

produce nothing more than junk, sleaze, heartache

fellow practitioners of la geographie humaine did

and death is not all that hard to discern and the

regard the genres de vie, the ways of life, character­

demolition tends to be evident to those trapped in

istic of regions together with the interactions of

the ruins. Being intangible, ideologies cling more

humans with their physical milieu as social phe­

persistently and are harder to clean away. For a

nomena above all else.

historian-as for any intellectual who has invested

Adherents of environmental determinism, the

his or her life in acquiring an expertise the contents

most widely prevailing view during the early twen­

of which the turn of events, that is, historical

tieth century, ignored the existence of social rela-

HUMAN GEOGRAPHY

277

tions and insisted that livelihood practices, cultural

social justice issues that had previously been

characteristics,

beyond the realm of acceptable enquiry.

human

physical

attributes

and

mental abilities all varied geographically because

As Marx-inspired scholars became the target of

of differences in the natural environment (and, in

criticism in the discipline and opened themselves to

so doing, legitimated the persistence of European

internal debate, and as Harvey (1982) himself

and American imperialism). 'Cultural geography',

expanded on the 'limits to capital', going beyond

as developed by Car! Sauer and his followers from

Marx in emphasizing the spatiality of capital and

the mid-1920s onwards, avoided the social by

calling for a 'historico-geographical materialism', a

adopting the superorganic view of CULTURE pro­

number of human geographers became directly en­

pounded by Alfred Kroeber and other anthro­

gaged in wider social theoretical developments.

pologists, by assigning culture an independent

They embarked on the reformulation of social

ontological and determinative status, by removing

theory and a new discourse began to take form,

it from the realm of human agency and conflict and

especially on the pages of the journals Antipode

by allowing it magically to generate its own planted­

and Society and Space and in a surge of important

on-the-ground forms. In the 1940s and 1950s those

books, only a few of which appear in the suggested

who pursued what Richard Hartshorne termed

reading below. Sometimes calling on such dissimi­

'area! differentiation' abjured social theory through

lar figures as Pierre Bourdieu, Michel Foucault and

focusing on the areally unique interrelation of phe­

Anthony Giddens, those critical human geograph­

nomena directly or indirectly bound to the earth,

ers participating in this discourse have in various

through stressing the variable and the different and

ways argued that history is no longer to be privil­

through being inattentive to geographically exten­

eged in social analysis; that geography and history

sive social structures and processes. Finally, the

have equal ontological status; that the spatial, the

quantitative 'revolution' of the late 1950s and

temporal and the social are always inseparable; that

1960s brought with it a new strict empiricism -

all which is social is situated on the ground and

now focusing on the statistically measurable rather

context dependent; that the historical dynamics of

than the field observable; a considerable concern for

social systems must be seen in concrete geograph­

models derived from classical location theory and

ical context; that the spatial conditions, or struc­

neoclassical economics; a search for geometric

tures, which enable and constrain human activity

order; a preoccupation with spatial form rather

are

than process; a positivistic disdain for theories

unfolding of history, social and spatial structures

that dealt with unquantifiable relations; and, as a

constantly play on one another. In so doing, and in

themselves social

products;

that,

in

the

result of all this, little attention to cultural and

one way or another acknowledging the transform­

social theoretical issues.

ational interplay of agency and structure, they have

In the context of the Vietnam war and the cas­

given a new set of meanings to Marx's famed

cade of popular social movements in highly indus­

dictum that people: 'make their own history, but

trialized capitalist countries, there emerged an

they do not make it just as they please; they do not

internal critique of mainstream human geography

make it under circumstances chosen for them­

that at last came to grips with the social theoretical

selves, but under circumstances directly encoun­

dimension

tered, given and transmitted from the past'.

of

the

discipline's

subject

matter

through the introduction of a Marxist perspective.

With epistemological sensitivities awakened by

During the 1970s, behind the pioneering efforts of

the sceptical stance of postmodernist philosophers

David Harvey, a growing minority of human geog­

towards absolute standards of truth, many contrib­

raphers began theoretically and empirically to rein­

uting to the new human geographic discourse in

terrogate the world of spatial organization and

question have - following the stances of Keat and

regional differentiation in terms of political econ­

Urry (1975) and Sayer (1984) - become adherents

omy, uneven development and the 'logic of capital'.

of REALISM because of its assertion that science is

They began to explore the impact of contemporary

possible and necessary; because of its contention

capitalism on many of the urban and rural phenom­

that structures, with their impalpable relations

ena, many of the human-land relationships, that

and causal powers, exist to be identified; and be­

had traditionally been an object of the discipline's

cause of the suggestions it provides for avoiding

scrutiny. And they began - in an often combative

unwarranted causal conclusions in the empirical

manner - to examine the geographical dimension of

study of open and complex social systems.

278

HUMAN NATURE

The new discourse has yielded a number of

nature is an indispensable component of social

theoretically informed and theory embellishing

thought. The more significant contributions over

studies. Some of the most important explore the

the last century can be divided into two chief

shifting articulations of the local and the global

groups - the 'scientific' and the 'humanistic'.

under late twentieth-century capitalism and inves­ tigate the ways in which gender relations, class relations, other power relations, the details of everyday life and elements of culture are restruc­ tured locally as different forms of capital are relent­ lessly restructured globally. Particularly significant advances have been made in the realm of industrial geography, where there has been a new focus on industrial

restructuring

and

regional

labour

markets, on the concentrated production com­ plexes resulting from flexible accumulation, and on the central role of geographically specific indus­ trialization in growth under capitalism (Massey,

1984; Scott and Storper, 1986; Storper and Walker, 1989). Throughout all these developments critical human geography has not escaped the postmoder­ nistic questioning of language and representation as a result of issues repeatedly raised by Gunnar Ols­ son since 1980 (Olsson, 1980).

scape.

Gregory, D. and Urry, J. eds 1985: Social Relations and Spatial Structures.

and Walford, R. eds 1989: Horizons in Human Geog­

0.

Wilson

defines human

an environment largely vanished, the world of the Ice Age hunter gatherer' (1978, p. 196). Evolution­ ary psychologists argue that human social life has been strongly shaped by the mental mechanisms or modules evolved at that time. These range from the acquisition of grammar, mate section and the rec­ ognition of emotions to detecting when children need assistance (Tooby and Cosmides, 1992). The governing assumption in SociOBIOLOGY, more gen­ erally, is that human nature is a topic to be studied within the natural sciences with the aim of creating an internally consistent network of causal explan­ ation between biological and social sciences. Writers in this school, such as K. Lor­

the fact that the human genotype shares 99 per cent of its history with that of the chimpanzee. The seeming narrowness of this difference means that the biological species homo sapiens emerged only recently in evolutionary time. Ethologists claim that the behaviour patterns of primates - their

raphy.

Harvey, D. 1985: Consciousness and the Urban Experience. 1989: The Condition ofPostmodernity: an Enquiry into

the Origins of Cultural Change.

Peet, R. and Thrift, N. eds 1989: New Models in Geog­ raphy: The Political-Economy Perspective, 2 vols.

Pred, A. 1990: Making Histories and Producing Human Geographies:

E.

nature as 'a hodge podge of genetic adaptations to

Ethology

Cosgrove, D. 1985: Social Formation and Symbolic Land­

--

Neo-Darwinism

enz (1966) and I. Eibl-Eibesfeldt (1971), focus on

Reading

--

Scientific interpretations

the Local

Transformation of Practice,

Power Relations and Consciousness.

Soja, E. W. 1989: Postmodern Geographies: the Reassertion

aggressivity,

hierarchies

and

territoriality

for

example- have their counterparts in human society (see ETHOLOGY).

Behaviourism

While writers in this school do not

question the tenets of neo-Darwinism, their focus is directly on human behaviour. This behaviour, like any other natural phenomenon, has antecedent causes which necessarily determine certain effects.

of Space in Critical Social Theory.

Thrift, N. 1983: On the determination of social action in space and time. Society and Space I, 23-57. Watts, M. J. 1985: Silent Violence: Food, Famine and Peasantry in Northern Nigeria.

In the terminology of B. F. Skinner (1971) human behaviour is subject to operant conditioning. One consequence of this, Skinner believes, is that many current social institutions and practices, such as

ALLAN PRED

punishment for crimes, are outmoded and should be replaced with an appropriate technology of be­

human nature

There are many

contending

haviour (see BEHAVIOURISM).

definitions of this notion. Each definition not only

What Skinner's position reveals, and what is

takes up a particular position but also claims for

present also in the other two schools, is the convic­

itself a uniquely privileged perspective that pre­

tion that supposedly scientific statements have

empts all alternatives. This contentiousness is not

significant social as well as moral and political im­

an incidental matter because some notion of human

plications. All three assume human nature is a

HUMAN RIGHTS

279

proper object of 'scientific' study and also assume

All the views canvassed thus far accept that

that any social thought that does not comport with

human nature is a meaningful concept. Perhaps

the findings of these studies is untenable. Despite

the most characteristically 'modern' view on this

the great prestige enjoyed by science, the appropri­

topic has been an attack on this meaningfulness.

ateness of this whole set of assumptions has been severely challenged. At the heart of these challenges

The most celebrated version is Sartre's (1946) (see EXISTENTIALISM). According to Sartre, human

is the contrary conviction that it is the humanness

nature does not exist because there is nothing 'out­

of human nature (not its 'nature') that should be the

side' it (such as God) to give it a 'nature' or essence.

subject of enquiry.

In humans, existence precedes essence; unlike nat­ ural objects which merely exist, humans decide to

Humanistic interpretations Contextualism

According to this account human

nature is specified or made concrete by the particu­ lar context within which it is necessarily found. Outside such a context only uninformative abstract generalizations (such as the number of chromo­ somes) are possible. No meaningful separation can be made between humans and their specific culture, since, as Clifford Geertz puts it, humans are 'cul­ tural artifacts' Symbolism

(1972, p. 50).

Ernst Cassirer defines 'man' as an

animal symbolicum

(1944, p. 26). The way to under­

stand that which is essentially human is to examine what is distinctive, and that lies in the fact that humans alone are linguistic beings. Human reality is not that of behaviour patterns but of symbolic action manifest in myths, art, religion and so on. Large issues are involved in the differences be­ tween the various scientific and humanistic views of human nature. Of course neither position denies

exist. Another criticism of the concept is that it only exists within certain historically specific discourses, so that M. Foucault

and is not, accordingly, a universal transhistorical idea. In modern social thought human nature plays a prominent

role

in

human nature. Less overtly, the difference between the scientific and humanistic accounts is similarly disputatious. For example, the scientific claim that altruism is impossible, because selfishness is an ineluctable fact of human nature, is criticized for being rather an ideological defence of the status quo since it forecloses humanly possible futures. These examples illustrate why no uncontentious defini­ tion is possible. Reading

The Limits ofHuman Nature. Human Nature Smith, S. eds 1983: Politics and Human

Benthall, J. ed. 1973:

as bridging the gap. The premise of Freud's (191517, 1923) psychoanalytic account of human nature

Forbes, I. and

operates. But Freud's whole endeavour is to un­ edies to improve both individual and social life -

Nature. Jaggar, A. 1983:

Feminist Politics and Human Nature. Beast and Man. Rid1ey, M. 1993: The Red Qyeen Rough1ey, N. ed. 2000: Being Humans Trigg, R. 1982: The Shaping ofMan. CHRISTOPHER J. BERRY Midg1ey, M. 1978:

religion, for example, he regarded as a 'neurotic relic'

(1927, p. 72) (see PSYCHOANALYSIS).

For

socialist and liberal views of a 'good society' is

Berry, C. J. 1986:

cover pathologies in this operation and supply rem­

argument.

whether cooperation or competition is central to

reaching accounts in the last century can be seen

a scientific account of the way the unconscious

ideological

example, integral to the differences between the

that the other has a role and one of most far­

is that its basic components can only be revealed by

(1966) is able to claim that it

only emerged at the end of the eighteenth century

human rights

See

RIGHTS

I The classification of phenomena into

ideal type

ized concepts linked together in laws. The hermen­

types is a common aspect of scientific work, as well

eutic critique inaugurated by Alfred Schutz

as of ordinary life, and many scientific concepts

stresses that the type-construction operated by the

involve an element of abstraction from concrete

social scientist is parasitic on earlier processes of

reality, or idealization in a non-moral sense: for

typification carried out in the life-world. Weber is

(1932)

example the concepts of frictionless motion or of a

too quick to replace actors' typifications of the

per fectly

meaning of social phenomena with his own ideal

competitive

market.

Max

Weber

borrowed (from the political historian Georg Jelli­

types, without concerning himself sufficiently with

nek) the term Idealtypus (ideal type) to distinguish

the fit between them - what Schutz calls 'ad­

the analytical concepts of history and the other

equacy'.

social sciences from merely classificatory concepts.

Both criticisms share a sense that ideal types, as

The term 'exchange', for example, can be used

Weber presents them, are too arbitrary; decisions to

either simply to refer to a set of similar phenomena,

construct or to abandon them are left to the judge­

with what Wittgenstein later called ' family resem­

ment, what Weber calls the 'tact', of the individual

blances' between them, or as an analytical concept

theorist.This suspicion of the conventionalism im­

related to judgements about economic rationality,

plicit in Max Weber's philosophy of science (see

marginal utility and so forth. In the latter case,

NEO-KANTIANISM) has led rationalists and realists to uphold a more ambitious conception of real DEFIN­ ITION- which Weber however would probably have

Weber claims, the concept is ideal typical in the sense that 'it removes itself from empirical reality which can only be compared or related to it' (Weber,

accused of essentialism.The present mood in social

1904, p. 102, cf. pp. 93-4). Hence ideal types

science seems somewhat sceptical both of the posi­

cannot be directly falsified if empirical reality

tivist ideal of precision in measurement and of the

seems not to fit them even approximately.

radically distinctive contribution of 'phenomena­

Weber's account of the ideal type is an aspect of

logical' and other forms of hermeneutic theory, and

his broader model of the relationship between the

thus Weber's concept of the ideal type remains

social sciences and

attractive.

VALUES, or more precisely value

reference: 'There is no absolutely "objective" scien­ tific analysis of culture - or ...of "social phenom­

Reading

ena" independent of special and "one-sided" view­

Burger, T. 1976: Max Weber's Theory of Concept Forma­

points according to which - expressly or tacitly, consciously or unconsciously - they are selected, analyzed and organized for expository purposes'

(1904, p. 72). Criticisms of Weber's account fall roughly into two categories, positivistic and hermeneutic. Posi­ tivists have tended to assimilate ideal types to the general class of theoretical concepts, emphasizing

tion: History, Laws, and Ideal Types. Gerhardt, U. 2001: Idealtypus. Outhwaite,

W.

1983:

Concept

Formation

in

Social

Science. Papineau, D. 1976: Ideal types and empirical theories. British Journal for the Phiolosophy ofScience 27 .2. Schutz, A. 1932 (1972): The Phenomenology of the Social World. Weber, M. 1904 (1949): 'Objectivity' in social science

the possibility of measuring how far empirical phe­

and social policy. In The Methodology of the Social

nomena diverge from the pure type and of mapping

Sciences.

WILL! AM OUTHWAITE

out a continuum between opposed types.Science, it is claimed, moves from the rather primitive clas­ sificatory and typological phase with which Weber

identity

was concerned to a more precise set of operational-

plying sameness and continuity, the term has a long

Derived from the Latin root idem, im­

IDENTITY

281

philosophical history which examines permanence

did the later concept of mid-life crisis-coined in

amid change and unity amid diversity, but in the

the 1970s through the work of Gail Sheehey (1976)

modern period it is closely linked to the rise of

and Daniel Levinson (1978).

INDIVIDUALISM, and its analysis is considered to

The sociological tradition of identity theory is

start with the writings of John Locke and David

linked to SYMBOLIC INTERACTIONISM and emerges

Hume. It is not till the twentieth century, however,

from the pragmatic theory of the self discussed by

that the term comes into popular usage; reinforced

William James (1892, eh. 3) and George Herbert

especially since the 1950s in North America with

Mead (1934). For James, identity is revealed when

The Lonely Crowd Identity and Anxiety

'This is the real me!' (cited in Erikson,

the publication of books like

we can say:

(Riesman et al., 1950) and

1968, p. 19). The self is a distinctively human

(Stein et al., 1960). These, along with much litera­

capacity which enables people to reflect reflexively

ture and drama, documented the increasing loss of

on their nature and the social world through com­

meaning in MASS SOCIETY and the subsequent

munication and language. Both James and Mead

search for identity; and during this period the

see the self as a process with two phases -the 'I'

term became widely used in descriptions of the

which is knower, inner, subjective, creative, deter­

quest to establish 'who one really is'. Initially deal­

mining and unknowable; and the 'Me' which is the

ing with the crises faced by blacks, Jews and reli­

more known, outer, determined and social phase.

gious minorities, it was ultimately generalized to

As Mead says: 'The "I" is the response of the

the whole of modern society. By the 1970s, Robert

organism to the attitude of others; the "me" is the

Coles could claim that the term was 'the purest of

organised set of attitudes of others which one him­

cliches' (Gleason, 1983, p. 913).

self assumes' (Mead, 1934, p. 175). It is the 'Me'

In the social sciences, discussions of identity take

which is most linked to identity-with the way in

two major forms, psychodynamic and sociological.

which we come to take ourselves as an object

The psychodynamic tradition emerges with Sig­

through the act of seeing ourselves and others.

mund Freud's theory of identification, through

Identification, here, is a process of naming, of

which the child comes to assimilate (or introject)

placing ourselves in socially constructed categories,

external persons or objects (usually the superego of

and language becomes central in this process

the parent). Psychodynamic theory stresses the

(Strauss, 1969). In the later works of Erving Golf­

inner core of a psychic structure as having a con­

man and Peter Berger, identity is clearly seen to be

tinuous (though often conflictual) identity. For

'socially bestowed, socially sustained and socially

Lichtenstein, it is 'the capacity to remain the same

transformed' (Berger, 1966, p. 116). People build

in the midst of constant change' (1977, p. 135). It

their personal identities out of the culture they live

was, however, the psychohistorian Erik Erikson

m.

who most developed the idea. He saw identity as

Both the sociological and psychodynamic ap­

'a process "located" in the core of the individual

proaches aim to link the inner world to the outer

and yet also in the core of his communal culture, a

world, but their emphases differ. For both, how­

process which establishes, in fact, the identity of

ever, the struggle to define the self is linked to the

those two identities' (1968, p. 22). He developed

way in which a community constructs conceptions

the term 'identity crisis' during World War II with

of people and life. In the modern world, both per­

patients who had 'lost a sense of personal sameness

spectives suggest that a shared community has

and historical continuity' (p. 17), and he subse­

largely dissolved-leaving modern people without

quently generalized it to a whole stage of life (as

a clear sense of identity (see also ANOMIE) . This

part of his epigenetic life-stage model -the eight

dilemma has spawned a huge literature, including

stages of man). Here, youth is identified as a uni­

many plays and novels where the 'quest for iden­

versal crisis period of potential identity confusion,

tity' or the 'breakdown of the self ' are primary

which can ultimately be resolved through a com­

themes. These accounts have both an optimistic

mitment to a broader social ideology: there is 'a

and pessimistic version, and can generate consider­

universal psychological need for a system of ideas

able ambivalence (Waterman, 1985). For the opti­

that provides a convincing world image' (p. 31).

mists, the modern world has brought with it

Personal crisis and the historical moment are here

increasing individuality and choice over a wider

strongly connected. Subsequently, the term 'iden­

range of identities. Thus people are more likely to

tity crisis' moved into common parlance, as indeed

'self-actualize' (Maslow, 1987); to discover an inner

282

IDEOLOGY

self which is not artificially imposed by tradition,

Erikson, E. H. 1968:

between self and culture and the rise of the narcis­

Identity: Youth and Crisis. The Dilemma ofHuman Identity. Mead, G. H. 1934 (1962): Mind, Self and Society. Riesman, D., Glazer, N. and Denny, R. 1950 (1966): The Lonely Crowd. Strauss, A. 1969: Mirrors and Masks: the Search for Iden­ tity. Wiegert, A.]., Teitge, J. S. and Teitge, D. 1986: Identity and Society.

sistic personality; while the sociologists see a trend

KEN PLUMMER

culture or religion; to embark on quests for greater individuality, self-understanding, flexibility and difference. It is the 'democratization of personhood' ( Clecak, 1983, p. 179). In contrast, pessimists por­ tray a mass culture of estrangement: the psycho­ dynamic tradition highlights the loss of boundaries

Lichtenstein, H. 1977:

towards fragmentation, homelessness and mean­ Literally referring to a science (or logos)

inglessness, and bemoan the loss of authority

ideology

in the public world through the growth of self­

of ideas, the term was used in that sense by the

absorption and selfishness (Lasch, 197 8; Berger et

French philosopher Destutt de Tracy in his book

al., 1973; Bellah et al., 1985). Most popularly, all

Elements d'ideologie, published in 1801. Ideas derive

this is caught in the label given to the 1970s of the

exclusively from sense perceptions, he believed,

'Me Decade' (Wolfe, 1976). Whatever analysis is

human intelligence is an aspect of animal life, and

made, most agree that there has been a profound

'ideology' is, therefore, a part of zoology. Tracy and

shift in the modern self, making it more individual­

his colleagues felt that by this reductionist analysis,

istic and impulsive than in former times.

in the sense that mental activities were attributed to

Apart from the way ideas on identity have

underlying physiological causes, they had arrived at

formed the basis of much therapeutic practice,

scientific truth; and they demanded that educa­

they have also given rise to a distinctive form of

tional reforms should be based on this new science

politics.

Identity

politics

became

increasingly

prominent from the late 1960s onwards, and is

(see

ENLIGHTENMENT). When Napoleon was a gen­

eral, he had proudly accepted membership in the

particularly associated with ethnic and religious

Institut National made up of the learned societies,

minorities, as well as with feminist and lesbian

and - like the

and gay movements. It tacitly draws from Marx's

ical salon of Mme Helvetius. But once in power,

model of class consciousness in which a subordinate

Napoleon wanted to uphold religion against its

ideologues- he visited the philosoph­

group develops a self-conscious awareness of its

detractors. Hence he denounced Tracy and his

position and becomes galvanized into political

circle as 'nebulous metaphysicians' and their sci­

action (Marx's distinction between a class in itself

ence of ideas as a dangerous ideology: these enemies

and a class for itself). There is a clear move here

of the French people wanted to base legislation on

from a class-based politics to a broader set of alli­

the 'first causes' they claimed to have discovered,

ances. Experiences such as those of black, gay or

and hence do away with the laws of the human heart

women's oppression become highlighted as the

and the lessons of history. Ever since, the term

focus for creating a separate group identity - as

'ideology' has been inseparable from the pejorative

blacks, gays or feminists. Around this a strong

implication that ideas are used to obscure the truth

culture of support develops and a political analysis

and to manipulate people through deception (see

takes shape. (See also

COUNTERCULTURE.) There

also

PROPAGANDA). In this historical episode one

is hence a dialectic of culture, politics and identity

finds assembled all the meanings associated with

which brings about social change (see Weeks,

'ideology': a science of ideas, the notion that ideas

1985). Towards the end of the twentieth cen­

are derived from some underlying, extra-ideational

tury, some postmodernist commentators perceived

basis (physiology, class, the struggle for power, and

'identity' politics as the pattern for the future (see

so on), the denunciation of ideas as visionary and

MODERNISM AND POSTMODERNISM). The traditional

subversive and hence the association of doctrines or

'left-right' distinctions seemed to be breaking

myths with some group or movement bent on put­

down as new alignments were being forged.

ting a dangerous political or cultural plan into effect. The pejorative meaning of ideology became a

Reading Baumeister, R. F. 1986:

Identity: Cultural Change and the

Struggle for Self Social Selves.

Burkitt, I. 1992:

stand by of the political struggle during the nine­ teenth century, as the politics of notables gave way to the development of political parties with their

283

IDIOGRAPHIC appeals to the masses. Public affairs had been the

cause of that crisis) those identified with the

concern of the privileged few, who took for granted

working class can and will comprehend 'theoretic­

that they knew what was best for their inferiors. In

ally the historical movement as a whole'. In the

their own eyes, the privilege of their social position

socialist society of the future, the mystical veil of

dispensed with the need to justify their actions.

religion and all other ideological distortions of

Conservatives of this persuasion typically accused

man's real condition will finally vanish, because

their opponents of being ideological visionaries who

'the practical relations of everyday life offer to

subverted the social order by abstract schemes, out

man none but perfectly intelligible and reasonable

of touch with reality. Liberals and radicals, on the

relations with regard to his fellow men and to

other hand, held that public affairs were a concern

nature.' These references

of the people and organized political clubs or parties

(Theses on Feuerbach, 1845; Communist Manifesto, 1848; Capital, 1867)

to advance their ends. Typically, they accused the

show that throughout his career Marx placed his

privileged few of exploiting the people under the

own work at the centre of his world-historical dis­

pretence of benevolence. However, liberals and

tinction between ideology and truth. The idea of

radicals also accused each other, because each

being on the 'right side' of world history, and hence

group saw its opponents as hiding partisan goals

'scientific', distinguishes Marxism from all other

under the guise of identifying them with the public

social and political theories.

good. The consequence was that the pejorative use

Since Marx, various other conceptions of ideol­

of ideology became universal, leading Thomas Car­

ogy have been developed, though frequently in

lyle to quip that 'orthodoxy is my doxy, heterodoxy

relation to his views. This persistent tendency in

is thy doxy.' It was the ancient paradox of the liar: a

Western thought is due to the underlying assump­

man says that all men use ideas to deceive; he is a

tion that ideas cannot and should not be taken at

man; and so his own statement also deceives.

face value, but must be analysed in terms of the

Here is one reason for the enormous appeal of

'forces' that lie behind them. Among them are

MARXISM, which is diminishing only now. Marx

Marx's class struggle, Nietzsche's struggle for

and Engels denounced their opponents as 'ideolo­

power, Freud's libidinal constitution of human

gists', and in addition they elaborated a theory of

nature, or a general preference for genetic explan­

'historical truth' which, they claimed, proved their

ations. Not what a person says, but why he or she

own views to be scientific. History is a history of

says it has become a main focus of attention, so that

class struggles, they asserted, arising from the or­

an 'end of ideology' is not in sight.

ganization of production and affecting all aspects of consciousness. Marx distinguishes successive social

Reading

The Politics of Truth. The Concept ofIdeology. McLellan, D. 1986 (1995): Ideology. Thompson, J. 1984: Studies in the Theory ofIdeology.

structures such as feudalism and capitalism in

Barrett, M. 1991:

terms of the classes and the consciousness to

Larrain, J. 1979:

which they give rise. And he identifies TRUTH with the historical role of the class which, because

REINHARD BENDIX

it was suppressed in the past, has the progressive future in its grasp. The reactionary rule of a class The

distinction

between

idio­

(aristocracy under feudalism, bourgeoisie under

idiographic

late capitalism) leads to ideological defences of the

graphic and nomothetic method was first drawn

status quo; the progressive role of a class (bour­

by the philosopher Wilhelm Windelband

geoisie under feudalism, proletariat under capital­

(18481915). An idiographic approach is concerned with

ism) is the source of truth in the sense of access to

individual phenomena, as in biography and much

the correct understanding of all present alienation

of history, while its opposite, the nomothetic ap­

and of human emancipation in the future. In the

proach, aims to formulate general propositions or

nomos). Windelband and Heinrich

past, philosophers have only interpreted the world

'laws' (Greek:

and produced ideological reflections of dehuman­

Rickert distinguished the idiographic method of

izing class relations, however abstractly. In the

history and other 'cultural sciences' from the

present and the future, the point is to destroy

nomothetic approach of economics and sociology,

dehumanizing conditions once and for all. That

which they categorized as natural sciences. They

can be done only by a unity of theory and practice

recognized, however, that these categories have

such that in the final crisis of capitalism (and be-

to be understood as ideal types (see IDEAL TYPE) .

284

IMPERIALISM

Evolutionary biology, for example, is in large part

thinkers working in the tradition established by

idiographic, and an idiographic, historically specific

Marx, in contrast, put the concept at the centre of

approach to economics and law was upheld by the

their analyses and debates. The reason is quite

corresponding 'historical schools' in late nine­

simple. The resurgence of interstate territorial ri­

teenth-century Germany (see HISTORICISM; METH­

valries continually undermined the solidarity of the

ODENSTREIT).

world proletariat and pulled and pushed its various

In much of the twentieth century, idiographic

components into antagonistic national alignments

approaches were somewhat depreciated, under the

under the hegemony of their respective ruling

influence

STRUCTURALISM,

classes. Faced with the equally unpleasant alterna­

though they remained dominant in ethnographic

tives of holding on to the principles of proletarian

of

POSITIVISM

and

field work (see ANTHROPOLOGY) and were formal­

internationalism but losing the support of their

ized in social science methodology as the 'case study

constituencies, or going along with the nationalist

method'. 'Ethnographic' and historical case studies

predispositions of their constituencies and aban­

have recently played a growing part in sociology -

doning the principles of proletarian international­

notably in the SOCIOLOGY OF SCIENCE and the soci­

ism, Marx's followers were forced to question the

ology of education. Biographical or 'life history'

assumed dominance of a unified world market over

approaches are also attracting considerable atten­

state action and engage in a major revision of re­

tion.

ceived theories and doctrines.

Reading

focused on the relationship between the resurgence

Marxist Bertaux, D. ed. 1981:

theories

of

imperialism

invariably

of interstate territorial rivalries and the develop­

Biography and Society.

Hamel, J. ed. 1992: The case study method.

Current

ment of capitalism on a world scale. Notwithstand­

Sociology 40.

ing

(1986): The Limits of Concept Formation in Natural Science (abridged).

imperialism had one thesis/hypothesis in common:

WILL! AM OUTHW AITE

ment and an expression of its maturity. Disagree­

Rickert, H. 1902

all

thier differences,

Marxist

theories

of

imperialism was the result of capitalist develop­ ments concerned the question of how and why

illness

See HEALTH; PSYCHIATRY AND MENTAL

capitalist development had generated imperialism, whether imperialism was the 'last' or the 'last-but­

ILLNESS

one' stage of capitalist development, and what pol­ immigrant workers

itical conclusions ought to be drawn from the hy­

See MIGRATION

pothesized relationship between capitalism and imperialism

The concept of 'imperialism' was

imperialism.

But

whatever

the

disagreements,

introduced at the beginning of the twentieth cen­

there was an underlying consensus that the resur­

tury to deal theoretically and practically with an

gence of interstate territorial rivalries was a neces­

unexpected development of the capitalist world­

sary consequence of the maturity of capitalism.

economy. Nineteenth-century liberal and socialist

The two main variants of Marxist theories of

thought had both assumed that the free-trade world

imperialism were Rudolf Hilferding

order established under British hegemony in the

Rosa Luxemburg

first half of the century was there to stay and that,

alism to a fundamental mutation in processes of

over time, this order would strengthen the ten­

accumulation due to three interrelated tendencies:

dency towards the supersession of interstate rival­

the increasing concentration and centralization

ries over territory. In the closing decades of the

of capital; the spread of monopolistic practices;

century there occurred instead a major resurgence

and the organic domination of finance capital

(1913).

(1910)

and

Hilferding traced imperi­

of struggles over territory among the great powers

over industrial capital. At a certain stage of their

of the state system, which threatened to destroy the

development- it was maintained- these tendencies

very unity of the world market.

heightened interstate territorial rivalries. Never­

The concept of imperialism was first introduced by a liberal political economist (Hobson, with

some

Schumpeter,

notable

exceptions

(for

1902) but, instance,

1919), liberal social thought generally

ignored or dismissed its significance. Socialist

theless, by centralizing the control of the industrial apparatus in the hands of a few financial institu­ tions,

they

also

created

the

organizational

conditions for a 'socialist' takeover of national econ­ omies.

IMPERIALISM

285

In contrast to this theory, Luxemburg saw the

with which such strategies were associated. To

forcible incorporation of peoples and territories into

some extent this is a legitimate point of view. In

processes of capital accumulation as a constant fea­

particular, there can be little doubt that throughout

ture of the latter, due to the attempts of the agents of

the first half of the twentieth century, Lenin's

capital accumulation to overcome chronic overpro­

reconceptualization of Hilferding's theory of im­

development

perialism provided a far better guide to political

deepened and widened, the pressure to incorporate

action than any of the rival conceptualizations and

duction

tendencies. As

capitalist

ever-new peoples and territories increased, but the

theorizations. However, this does not mean that the

availability of peoples and territories not yet incorp­

Hilferding-Lenin theory of imperialism accounted

orated decreased. Imperialism was thus conceived

accurately for all the relevant connections between

as 'the political expression of the accumulation of

capitalism and imperialism, or that the theory

capital in its competitive struggle for what remains

retained all its relevance and validity once it had

still open of the non-capitalist environment' (Lux­

been effectively applied in the anti-imperialist

emburg,

1913).

struggle.

Early twentieth-century political debates among

On the contrary, the evolution of the capitalist

Marxists on what to expect and on what to do under

world-economy since World War II has shown

the world-systemic circumstances created by the

the historical limitations of the Lenin-Hilferding

resurgence of interstate territorial rivalries came to

theory of imperialism and has made the entire body

be centred around Hilferding's theory, and paid

of early twentieth-century Marxist thought on the

little or no attention to Luxemburg's theory. The

subject increasingly irrelevant to an understanding,

positions taken by Karl Kautsky Lenin

(1916)

(1913-14)

and

in these debates were both based on

let alone to a purposive transformation, of the pre­ sent

WoRLD-SYSTEM.

Ironically, this increasing ir­

Hilferding's theory. For Kautsky, the joint tenden­

relevance of Marxist theories of imperialism in the

cies towards the concentrations of capital, the

second half of the twentieth century has been at

spread of monopolistic practices and the organic

least in part the result of their success as a guide to

capital

political action in the first half of the century. As

would, over time, lead to a supersession of inter­

predicted by Lenin, interimperialist conflicts did

state territorial rivalries and to the development of

create unique opportunities for socialist and na­

domination

of

finance

over

industrial

what he called 'ultra-imperialism'. Only at this

tional liberation movements to seize state power

ultra-imperialist stage of capitalism would condi­

across the globe (see also

tions be optimal for the socialist transformation of

MOVEMENT),

the world.

World War II world capitalism did indeed seem to

these same tenden­

be about to 'turn into its opposite'. To be sure,

did not unfold in a political vacuum. Rather,

socialist revolution failed to take root in the centres

For Lenin

cies

COLONIAL LIBERATION

and in the years immediately after

(1916),

in contrast,

they developed 'under such stress' with such a

of world capitalist development as was generally

tempo, with such contradictions, conflicts, and

expected by Lenin and most Marxists at the begin­

convulsions- not only economic, but also political,

ning of the twentieth century. But even in these

national, etc., etc.- that ...before the respective

centres the power and influence of working-class

national finance capitals will have formed a world

organizations at the end of World War II was at an

union of'ultra-imperialism', imperialism will inev­

all-time high.

itably explode, capitalism will turn into its opposite'

Under these circumstances, capitalism survived

1915 preface to Bukharin's Imperialism and World Economy). Only by actively intervening

by shedding its imperialist clothes. The tendency

(Lenin's

towards interstate territorial rivalries, which had

in these contradictions, conflicts and convulsions,

prompted the introduction of the concept of im­

while upholding the principles of proletarian inter­

perialism,

nationalism, could Marxist parties hope to retain

wave of decolonization accompanied by the delegi­

was

reversed

in

an

unprecedented

and expand their national constituencies and initi­

timation of territorial expansionism and the recon­

ate the socialist transformation of the world.

struction of the world market. Over time, it became

The success of Leninist strategies of socialist revolution between

1917

and

1949

has been gener­

quite clear that world capitalism could survive, and expand

further,

without

being associated

ally taken by Marxists to provide strong evidence in

with the kind of territorial rivalries among core

support of the validity of the theory of imperialism

capitalist states that Marxists had assumed to

286

IMPERIALISM

be the necessary outcome of full capitalist develop­

imperialism to capitalist development, he was care­

ment.

ful in ruling out any necessary connection between

This capability of capitalism to survive imperial­

capitalism and the generalized territorial expan­

ism is what all Marxist theories had failed to predict.

sionism of the late nineteenth century. In his analy­

Even Kautsky's prediction of an ultraimperialist

sis, the connection was purely contingent on

stage of world capitalism, which may seem to

the distribution of wealth and power among states

come close to what has happened after World War

and within the dominant world power. Hence the

II, failed at least as much as rival Marxist predic­

connection could be severed by greater political

tions in foreseeing the course of twentieth-century

democracy and economic equality in the UK,

capitalist history. For one thing, what came into

and/or by a change in world leadership from the

being after World War II was not the kind of highly

UK to a less oligarchic state.

centralized, world-monopolistic structure envis­

Hobson's conceptual apparatus can be expanded

aged by Kautsky's ultraimperialism but a highly

without great distortions to accommodate both the

competitive

important,

acute interstate conflicts typical of the first half of

or not, the capitalist

the twentieth century, and the decolonization and

world-economy.

whether ultraimperialist

More

world order established under United States he­

recomposition of interstate conflicts typical of the

gemony was not the outcome of a self-acting devel­

second half of the century. In this expanded Hob­

opment of capital accumulation. Rather, it was the

sonian framework, imperialism, as originally con­

result of 30 years of acute conflicts and convulsions

ceived by liberal and Marxist thought, appears not

in the world-system and of the active intervention in

as the highest/latest stage of capitalism but as a

such conflicts and convulsions of socialist revolu­

phase in a long cycle of world hegemony character­

tionary vanguards, which Kautsky neither foresaw

ized by a strong evolutionary tendency towards the

nor advocated.

supersession of territorial expansionism in inter­

The truth of the matter is that Marxist theories

state relations (Arrighi, 1983). If this characteriza­

of imperialism in general, and the most influential

tion is borne out by future trends of the capitalist

among them (that is, Hilferding's) in particular,

world-economy, Schumpeter's thesis that in the

were all based on the historical experience of late

very long run the correlation between territorial

nineteenth-century and early twentieth-century

expansionism and capitalism is negative rather

Germany, and assumed that that experience was

than positive may deserve greater credit than Marx­

prototypical of late capitalism. In reality, however,

ists have been willing to admit.

the relevance and validity of Hilferding's exem­

Thus far, however, Marxists have shown little

plary analysis of finance capital and imperialism

predisposition to engage in major revisions of

were limited to Germany and other states of con­

received theories of imperialism. Their main reac­

tinental Europe in the period of transition from

tion to the reversal of territorial expansionism after

British to US hegemony. By no stretch of the

World War II has been to redefine imperialism

imagination could it be said to have accounted for

to include the forms of world capitalist domination

the relationship between capitalism and territorial

that were resurrected or created anew under United

expansionism as evinced in the experience of the

States hegemony. 'Imperialism' in Marxist writings

declining hegemonic power (the United Kingdom)

has thus come to designate the development

or of the rising hegemonic power (the USA).

of

underdevelopment

and

other

international

From this point of view,]. A. Hobson's pioneer­

aspects of capitalism. The result has been a seman­

ing analysis of imperialism was far less limited than

tic confusion and an analytical impasse (Sutcliffe,

that of either Hilferding or Luxemburg. His con­

1972, pp. 313-14) which have never been re­

ceptualization was better suited to capture system­

solved.

level, long-term tendencies than those of his Marx­

The traditional concerns of theories of imperial­

ist counterparts. He defined imperialism as one of

ism have lately been taken over by

several forms of expansionism and traced the par­

analysis

ticular form that expansionism took at the end of

Within these perspectives, the notion of imperial­

and

international

WORLD-SYSTEM

political

economy.

the nineteenth century to the policies and social

ism has been superseded by the concepts of hegem­

structure of the declining hegemonic power.

ony and world power. One can only hope that what

Even though Hobson anticipated in many re­ spects both Hilferding and Luxemburg, in tracing

remains relevant and valid of early social thought on imperialism is not lost in the process.

INDIVIDUALISM See also COLONIALISM; DIVISION OF LABOUR,

287

ety to itself, first sapping 'the virtues of public life', then attacking and destroying all others, eventually

INTERNATIONAL .

being 'absorbed into pure egoism' (Tocqueville,

Reading

1835-40, bk 2, pt 2, eh. 2). This usage has been

Arrighi, G. 1983: The Geometry ofImperialism.

influential among modern theorists of mass society

Hilferding, R. 1910 (1981): Finance Capital.

and American social and cultural critics. It con­

Hobson, J. A. 1902 (1968): Imperialism: A Study. Kautsky, K. 1913-14: Der Imperialismus. Neue Zeit 32. 2,

908-22. Lenin, V. I. 1916 (1964): Imperialism: the Highest Stage of

Capitalism. Luxemburg, Rosa 1913 (1951): The Accumulation of Cap­

trasts with another usage in which the term has been a catchword for free enterprise, limited gov­ ernment, personal freedom and the attitudes, forms of behaviour and aspirations held to sustain them. This usage was exemplified in Herbert Hoover's famous campaign speech of 1928 celebrating the

ital. Schumpeter, J. 1919 (1951): The sociology of imperial­ ism. In Imperialism and Social Classes, ed. Paul Sweezy. Sutcliffe, B. 1972: Conclusion. In Studies in the Theory of

Imperialism, ed. R. Owen and B. Sutcliffe.

GIOVANNI ARRIGHI

'American system of rugged individualism'. Of a more abstract character are various further doctrines. One is methodological individualism. This is a doctrine about explanation which states that no explanation in social science or history can be ad­ equate (or in another version 'rock-bottom') unless

individual, socialization of the

See SociAL­

IZATION

couched in terms wholly of features of individuals­ their properties, goals, beliefs and actions. Social whales, or aggregate patterns of behaviour, must

individualism

This

term

embraces

several

always be explained, or ultimately explained, in

ideas, doctrines and attitudes whose common factor

terms of individuals. This doctrine has taken

is the according of centrality to the 'individual'. It

many forms and never ceased to be controversial,

originated in the early nineteenth century in post­

often passionately so. Karl Popper and Friedrich

revolutionary France, where it signified the dissol­

von Hayek have seen its defence as essential to the

ution of social bonds, the abandonment by individ­

liberal defence of a free society. Others, from Emile

uals of their social obligations and commitments.In

Durkheim on, have seen its rejection as the first step

the German lands, its meaning was different: there

to the sociological understanding of realities that

it was associated with Romanticism and tended to

are independent of and constraining on individuals.

signify the cult of individual uniqueness and ori­

Yet others see the contests over it as combining

ginality and the flourishing of individuality. In

useful caveats and insights with misleading exag­

England its meaning was different again: it con­

gerations.Thus its defenders sensibly warn against

trasted with 'collectivism', and it typically served

the hypostatizing of social entities and collective

to refer to the virtues of self-reliance and initiative

forces and wisely insist that macro-explanation re­

celebrated by Samuel Smiles, in the moral sphere,

quires microfoundations, yet they too often claim

and was associated with LIBERALISM in the eco­

that social facts are really fictions and that social

nomic and political spheres. Another influential

whales are mere constructions of individuals. Con­

nineteenth-century usage was that of Jacob Burck­

versely, its opponents rightly claim that impersonal

hardth for whom the Italian Renaissance had en­

structures and the behaviour of collectivities can

meant

have independent explanatory force, yet they all too

(among other things) the recognition of the dis­

easily detach these from a plausible theory of indi­

tinctness of unique individuals and the cultivation

vidual action.

gendered

individualism,

by

which

he

of PRIVACY (Burckhardt, 1860). All of these mean­ ings have survived into our time.

A further doctrine concerns practical deliber­ ation: it is sometimes called atomism. It holds that

twentieth­

the ends of action are all individual and thus that

century uses has been Alexis de Tocqueville, who

social goods are no more than concentrations of

wrote that it was 'a new expression to which a new

individual goods, and hence that there are no irre­

Perhaps

most

influential

on

its

idea has given birth ...a deliberate and peaceful

ducibly social goods, partly or wholly constituted

sentiment which disposes each citizen to isolate

by common actions and meanings. UTILI TARIANISM

himself from his fellows and to draw apart with

and what is today called 'welfarism' exemplify this

his family and friends', abandoning 'the wider soci-

view, holding that the relative goodness of a state of

288

INDUSTRIAL DEMOCRACY

affairs must be based exclusively on, and taken to be

Lukes, S. 1973: Individualism.

a function of, the various individual utilities it con­

O'Neill, J. ed. 1973: Modes ofIndividualism and Collectiv­

tains. Charles Taylor sees atomism as rooted in 'those philosophical traditions ... which started with the postulation of an extensionless subject, epistemologically a tabula rasa and politically a presuppositionless bearer of rights' (Taylor, 1985,

tsm. Tay1or, C. 1985: Atomism. In Philosophical Papers II. Tocqueville, A. de 1835-40 (1966): Democracy in America, trans. G. Lawrence, ed. J. P. Mayer and M. Lerner, esp. bk 2, pt 2, eh. 2.

STEVEN LUKES

p. 210). Otto Gierke identified it with Natural Law thinkers from Hobbes to Kant, for whom all forms of social life were 'the creation of individuals' and merely 'the means to individual objects' (Gierke, 1868-1913, pp. 106, 111). Apart from these, various other varieties may be mentioned. Epistemological individualism places the source of knowledge within the individual. It has been asserted in different ways by Descartes and various versions of EMPIRICISM. E thical individual­ ism sees morality as essentially individually oriented -either in the form of ethical egoism (according to which the sole moral object of an individual's action is his own benefit) or a further, more radical set of ideas, from which EXISTENTIALISM descends

;

according to which the individual is the very sourc

of moral principles, the supreme arbiter of moral and other values. Finally, there is a complex of ideas which may be labelled political individualism which proposes various connections between 'the individual' and government: first, a view of government as based on the individually given consent of its citizens, its authority deriving from that consent· second view of political representation, not

;f orders

'

a or

estates or classes or social functions, but of individ­ ual interests; and third, a view of the purposes of government as confined to enabling individuals' purposes to be satisfied and individuals' rights to be protected, allowing them maximum scope to pursue their interests. The first is rooted in social contract theories, but even where such theories are abandoned, it is the centre of justification for liberal democracy, though anarchists, since Henry David Thoreau, have drawn more subversive conclusions from it. The second was central to the framing of the United States constitution and the utilitarians' proposals for political reform and to modern con­ stitutionalism in general. The third, which goes back to John Locke, is close to the heart of political liberalism. Reading Hayek, F. A. 1948 (1980): Individualism and Economic Order.

industrial democracy

The concept designates

the idea and practice of cooperation between capital and labour to run in common workshops and enter­ prises. Industrial democracy aims to overcome the social DIVISION OF LABOUR, that is the hierarch­ ical differences in the production process. In a broader sense it has to be associated with the gen­ eral process of PARTICIPATION and democratization of society (Lauck, 1926). The term has also to be linked, and is sometimes identical, with 'economic democracy' (Naphtali, 1928; Carnoy and Shearer, 1980). The idea of industrial democracy dates back to the early or utopian socialists at the beginning of the nineteenth century. The most famous protagonist was Robert Owen, who founded in 1800 an indus­ trial community in New Lanark, in Scotland (Owen 1812-16). It is the child of industrial societies which created the modern division between capital and labour, and the class of wage earners. From the very beginning two schools of social thought tried to overcome the conflicts and misery which accom­ panied the childhood of this society. The first is that of humanist, religious and philanthropic thinkers and practitioners who tried to integrate the prole­ tariat into society to prevent revolutions and upris­ ings. The two churches-Protestant and Catholic­ provoked many debates and activities. In Germany the Catholic priest Adolph Kolping created in the second half of the nineteenth century a broad social movement which resulted in Pope Leo XIII's social Encyclica Rerum Novarum of 1891. The second school is linked with the workers' movement in its different expressions as SociALISM, SYNDICALISM and TRADE UNIONS. Here industrial democracy might be understood as part of a process from alienation through participation to self-determin­ ation. The COOPERATIVE MOVEMENT is a specific form of industrial democracy in so far as it covers producer cooperatives. In 1916 England introduced joint management in the form of the Whitley councils. Certainly, as in other countries, the war situation facilitated a

INDUSTRIAL DEMOCRACY

289

democratic opening into what had been until then

economic system as such and is therefore not revo­

mainly

lutionary. (Derber, 1970; Okamoto, 1981.)

authoritarian,

quasi-military

decision­

making structures in the economy. Joint manage­

Shop stewards as a form of industrial democracy

ment was also reintroduced into the American

have developed in Britain. This is a grass-roots

economy during World War II.

democratic structure in which the elected represen­

After World War II, labour legislation based on

tative of a shop negotiates directly with manage­

concepts of industrial democracy was introduced in

ment on different issues of work-life. It may be

many countries. The OECD and the International

regarded as complementary to the system of col­

Labour Office also became active. The ILO itself

lective bargaining. (Coates and Topham, 1975.)

may be regarded as the international part of indus­

Worker ownership has always had a certain import­

trial democracy. A number of reports and bibliog­

ance. Popular capitalism tried to integrate the

raphies have been published under its auspices and

workers through shareholding and profit-sharing

its International Institute of Labour Research

schemes into the company and/or economy. Re­

carried out a number of studies itself (International

cently the so-called Employee Stock Holding Pro­

Labour Office, 1981; Monat and Sarfati, 1986).

gramme (ESOP) in the USA has been much

Industrial democracy may be, and was, interpreted

discussed and scientifically studied. But often these

as a counter movement against 'scientific manage­

participative schemes do not include voting rights,

ment' which alienated men and women even more

and they have not yet fundamentally changed labour

from their product than capitalism had previously

relations. (International Handbook ofParticipation in

done.

Organizations, vol. 1, 1989, and vol. 2, 1991.)

The principal types of industrial democracy may

Guild socialism is linked with the name of

be differentiated in various ways (ILO, 1981; King

G. D. H. Cole, who formulated this concept from

and van de Vall, 1978), but the following forms may

World War I on. In Self-government in Industry

be suggested as having developed historically and

(1917) he developed the main principles, which

geographically.

may be summarized as follows: In the first place

Participative management developed with the

the guild constitutions have to achieve true individ­

'human relations' movement from the 1930s and

ual self-government; secondly they have to com­

new forms of work organization have been intro­

bine efficiency with freedom.

duced since that time. It often takes the form of

decentralization to the utmost extent, that is, indus­

The means are

industrial democracy but remains one-sided and

trial democracy. He polemicized against the collect­

limits participation generally to the workplace

ivists- that is, the communists- that their utopia is

level, with the final say reserved to management.

a world of public trusts, whereas the utopia of the

Nevertheless, it can be regarded as a management

guilds is a world of producer combines, which all

response to growing demands by the workforce for

work in the common interest. Consumer coopera­

more democracy at the workplace, and therefore

tives were for him never democratic, since direct

promising for the future of democracy. 'Organiza­

democracy is the only true DEMOCRACY. He de­

tional

systems'

veloped a system which still guarantees unity

(Emery and Thorsrud, 1969) and 'quality circles'

through a federation of guilds with a central office.

development',

'socio-technical

are some of the methods used.

Go-determination has been characterized as the

Collective bargaining is the most widespread form

typical German form of industrial democracy. It is

of industrial participation. It consists of regular

a result of a historic compromise between capital

negotiations over wages, working conditions, social

and labour in 1920 after the Council Revolution of

benefits and so on, which may be held at the shop­

1918-19 failed, and is based on the WoRKERs'

floor, enterprise, industry or even national level. In

COUNCIL, which is generally controlled by the

the Anglo-Saxon countries this is in general the

trade unions. But there is a division of tasks be­

only form of industrial democracy accepted and

tween the works council - as it is named in Ger­

practised. At the end of the last century Sidney

many- and the unions. The unions are responsible

and Beatrice Webb (1897) developed the general

for collective bargaining whereas the works coun­

framework for this approach ( see FABIANISM). Al­

cils are company oriented. Since 1951 different

though there is a pluralist understanding of diver­

schemes of participation in the board of the com­

gent economic interests at the base of the collective

panies or in the nomination of the works director -

bargaining model, it tends never to question the

responsible for personnel and social affairs - had

290

INDUSTRIAL DEMOCRACY

been introduced (Bruegmann, 1981). It is largely a

duced in many Third World countries. An ILO

legally codified system of industrial democracy, and

account lists a large number of them (Monat

there are various degrees depending on the industry

and Sarfati, 1986). With

and size of the enterprise. It has also been extended

countries of Eastern Europe also began to democra­

perestroika the socialist

to the public sector. For many the relative success

tize the economy after a long period of centralized

of the German economy after World War II, its

management,

Wirtschafiswunder (economic miracle), depends

future of industrial democracy at the beginning of

largely on its system of participation, also desig­

the twenty-first century seems to be open. There

and

subsequent stagnation.

The

Sozialpartnerschafi (social partnership).

is a broad debate about the end of industrial society

This concept was elaborated in 1928 by Fritz

and the beginning of postmodernity. Participative

Naphtali and was seen as leading to a general system

management

of economic democracy that would include a coun­

widespread.

cil system for all industries up to the national level, but although this feature was incorporated in the

Slater and Bennis declared in 1964 (in the Har­ vard Business Review) that democracy is inevitable;

Weimar Constitution from 1919 and in the German

and what socialists had asserted for more than a

nated as

has

become

more

and

more

Trade Union Federation's (DGB) Fundamental

hundred years, namely, that political democracy

Programme of 1949 it has not yet been applied.

must be complemented by economic democracy to

Naphtali emigrated before World War II to Pales­

realize full democracy, seemed to have received

tine and realized most of his ideas there in the

support from management as well. With the final

Histadrut (trade union federation). Workers' control was much discussed in the 1960s

dissolution of Stalinism the last defenders of Tay­ lorism have been overthrown too. 'New production

and 1970s in Britain and also on the Continent

concepts' (Kern and Schumann, 1984; Piore and

(Coates and Topham, 1975; Mandel, 1970). In

Sabel, 1984) which are based on a historic com­

this conception the collaboration with capital in all

promise between management and labour seem to

forms of participation schemes such as eo-deter­

guarantee productivity and the reduction of costs.

mination was radically rejected as collaboration

Social partnership under capitalist leadership on

with the capitalist enemy.

the one hand, and democratic socialism on the

Self-management has two different meanings in theoretical debate and in practice (see SELF­

other both incorporate industrial democracy as the social basis of the economy.

MANAGEMENT). One is linked with the theory and practice in Yugoslavia as it was formulated in op­

Reading

position to Stalinism from 1950, mainly by Edvard

Cole,

Kardelj

workers'

(1978), and is generally conceived as self-management.

Empirical

research

showed- at least until the 1970s- that the Yugoslav system gave workers most of the rights of manage­ ment not only dejure but also defacto (Adizes, 1971; IDE, 1981; King and van de Vall, 1978). The other sense was developed especially in France as 'general self-management' (Bourdet, 1970). The introduc­ tion of industrial democracy in France is seen as secondary to a general transformation of society where all sectors are self-determined. Bourdet's term for this system is autarchy. Polish and other experiences seem to have shown that isolated ex­ periments with full industrial democracy cannot survive. A general

political framework has to exist

on a national or even international level. Without any doubt industrial democracy has

G.

D.

H.

1917

(1972): Self-government in

Industry. IDE (Industrial Democracy in Europe International Re­ search Group) 1981: Industrial Democracy in Europe. International Handbook of Participation in Organiza­ tions, 1989-92, 3 vols. King, C. D. and van de V all, M. 1978: Models ofIndustrial Democracy: Consultation, Go-determination and Workers' Management. Monat, J. and Sarfati, H. 1986: Workers' Participation: A Voice in Decisions,

1981-85.

Sze!l, G. 1988: Participation, Worker's Control and Self management. --ed. 1992: Concise Encyclopedia of Participation and Go-management. UNESCO 1984: Industrial democracy:

participation,

labour relations and motivation. International Social Science Journal36, 196-402. Webb, S. and Webb, B. 1897: Industrial Democracy. Woodworth, W., Meek, C. and Whyte, W. F. eds

been one of the main social ideas and practices in

1985: Industrial Democracy: Strategies for Community

the twentieth century in almost all industrialized

Revitalization.

countries, and such schemes have also been intra-

GYiiRGY SZELL

INDUSTRIAL RELATIONS industrial relations

291

The term derives mainly

common to whole industries, to whole economic

from the work of a group of American researchers,

sectors, sometimes beyond national boundaries,

Clark Kerr, John T. Dunlop, Frederick Harbison

and that those features are of prime importance.

and Charles A. Myers; during the 1950s they con­

For this author, the distribution of power in society

ducted, with the financial support of the Ford

contributes to the structuring of industrial relations

Foundation, a large research programme on labour,

themselves. Dunlop conceives trade unions as a

'The Inter-University Study of Labor Problems in

kind of equivalent of firms, with union leaders who

Economic Development'.

have to adapt themselves to the labour market in

The importance of this approach has to be

order best to maximize economic returns to the

understood through the research of the human

workers (Dunlop, 1950 and 1958; Dunlop and

relations school, carried out by Elton Mayo and

Whyte, 1950).

his colleagues with large-scale experiments and ob­

Industrial relations studies show that workers'

servations on the Western Electric Company from

attitudes depend on factors far beyond the control

1927. Among their main results, these researchers

of employers and that workers' protest has a positive

pointed out the importance of the relationship be­

impact on the process of industrialization (Kerr et

tween workers and their supervisors. Mayo and his

al., 1960). They disagree with the conception of a

colleagues also found that workers tended to re­

labour movement as a response to capitalism and

strict production even if their earnings were based

consider the labour movement as a whole, providing

on the level of production: the group, in an informal

a much broader analysis than their predecessors.

way, fixed output for each worker and constructed a

They analyse it as a response to INDUSTRIALIZATION,

system of social control. This system, protecting

in its economic and social dimensions. In this way,

workers from outside and from inside, operated as

the means of action and organization of labour

an informal power against the formal power of

movements are to be understood in terms of differ­

managers (Mayo, 1933 and 1945). These findings

ent aspects of industrialization such as the labour

differed greatly from F. W. Taylor's idea of'scien­

market, sources of investments, pace of develop­

tific management', according to which workers'

ment or types of rulers.

main motivation was income maximization. The

The studies of C. Kerr and his colleagues gave

studies of the human relations school, however,

rise to the convergence theory, in which the world

attracted many comments and criticisms. Compared with the human relations school, in­

was perceived as entering 'the age of total industri­ alization'.

dustrial relations scholars are oriented towards the

E. Mayo's works gave way to other theoretical

effect of the extra-organizational environment on

developments and criticisms. On the one hand, the

the attitudes of workers and employers. For them,

sociology of organizations is an attempt to explain

business conditions have a direct influence on

the complex relationship between formal and infor­

matters such as turnover, absenteeism or workers'

mal organizational structure (for instance, Gould­

demands. The industrial relations approach con­

ner, 1954; Etzioni, 1961; Crozier, 1964). On the

siders workers not only as members of work groups,

other hand, there is the French 'sociologie du trav­

as does the human relations approach, but also as

ail' (sociology of work), in which work becomes a

members of other social groups such as occupa­

manifestation of social relations (Friedmann and

tional groups, families, and economic or political

Naville, 1961-2). In a broader analysis, social con­

groups. This system of relations has an effect on the

flict becomes one of the main themes, with social

attitude of workers towards their work, towards

actors fighting for the control of social development:

managers or towards the organization.

the field open to social negotiation is unlimited

Industrial relations theorists criticize the human relations conception of the enterprise as a global social system. In their opinion this ignores conflict and glorifies a monolithic structure in which indus­ try is supposed to provide individuals with an inte­ grated social order (Kerr and Fischer, 1957). ]. Dunlop points out the interrelations between actors in the industrial system, showing that tech­ nological features of the workplace are often

(Touraine, 1965). See also ORGANIZATIONAL BEHAVIOUR. Reading Dunlop, J. T. 1958: Industrial Relations Systems. Etzioni, A. 1961: A Comparative Analysis of Complex Organizations: On Power, Involvement, and their Correl­ ates.

Gouldner, A. W. 1954: Patterns of Industrial Bureau­ cracy.

292

INDUSTRIAL SOCIETY

Kerr, C., Dunlop, J. T., Harbison, F. and Myers,

be even more important, not least in sociology, the

C. A. 1960 (1973): Industrialism and Industrial Man:

very name of which he coined. Comte was as anti­

the Problems of Labor and Management in Economic Growth.

Mayo, E. 1933 (1946): The Human Problems of an Indus­ trial Civilization, 2nd edn. --

1945: The Social Problems of an Industrial Civiliza­

tion.

SYLVAINE TRINH industrial

society

The

characteristics

most

often used to define industrial society are:

political a thinker as Saint-Simon, but he added two important glosses to his teacher's work. First, he argued that the creation of affluence would lead to the end of wars between nations. Second, he be­ lieved that the industrial age would, once the false ideals of religion had been destroyed by science, have its own 'positive' beliefs - which he termed 'the religion of humanity'. (See also SECULARIZA­

TION. ) The optimism of Comte in this last point was not

2

A change in the nature of the economy such that

maintained by most nineteenth- and twentieth­

a very small primary sector can feed a popula­

century social theorists. Novelists inveighed against

tion involved in the secondary and tertiary

the crass materialism and moral emptiness of

sectors;

modern life, and more academic writers echoed

The dominance of machine production within

their characterization. Thus Karl Marx attacked

factories;

the alienation brought on by industrial capitalism;

3

The urbanization of society (see URBANISM) ;

somewhat similarly, Emile Durkheim argued that

4

The growth of mass literacy;

the 'anomic' lack of moral integration of modern

5

The application of scientific knowledge to pro­

life was responsible for an increase in suicide,

duction;

scarcely the sign of some sort of universal progress.

6

An increase in the bureaucratic regulation of all

Interestingly, both Marx and Durkheim thought,

aspects of social life.

albeit in very different ways, that modern industrial society could be combined with moral regulation:

On occasion, different characteristics are cited.

that is, they wrote, in the last analysis, in the spirit

This is understandable: social theory has tried to

of Comte. This was not true of Max Weber, the

understand both capitalism and industrialism, and

greatest of all theorists of industrial society. This is

it is scarcely surprising that some of the character­

not simply because he accurately predicted, against

istics of the former have been ascribed to the latter.

Marx, that the state socialist version of industrial

One thing is absolutely clear, however: the emer­

society would be more bureaucratic than the capit­

gence of industrial society marks a sea change in

alist model. Rather he insisted that there were op­

human affairs. The massive, Promethean increase

portunity costs to industrial society that could not

in human powers that resulted meant that human

be escaped. Knowledge can bring affluence, in his

beings were no longer at the mercy of nature -

view, but the principles upon which science works

indeed, nature is now perhaps all too much at the

are absolutely at odds with moral certainty: afflu­

mercy of human beings.

ence is thus bought at the price of a measure of

The first theorists of industrial society were

'disenchantment', that is, by the loss of previous

aware that they were witnessing the birth of a new

moral guidelines established by religious belief. It is

world. The roots of the concept lie in the Enlight­

important to note, however, that his tragic pessim­

enment thought of Turgot and Condorcet. But the

ism on this point was not endorsed by many other

most striking formulation of the idea came early in

thinkers. Heidegger, for example, sought ways in

the nineteenth century from Henri de Saint-Simon

which some 'real' morality could be created such

and from Auguste Comte. Saint-Simon believed

that 'mere' technology would be kept in its place.

that industry would so change social life that trad­

The concept of industrial society was given a

itional political struggle could be entirely displaced:

fundamental restatement in the two decades after

instead of there being choices between different

the ending of World War II. The concept underlay

ends in life, what would matter much more would

the optimism of Talcott Parsons, and it was quite as

be the administration of the industrial machine.

much behind the insistence of many thinkers -

Saint-Simon's views had a considerable practical

Clark Kerr being the most important - that devel­

impact on French society, especially on its engin­

opment had become the key issue of the age. At its

eering profession. But Comte's thought proved to

worst, this reworking of the concept led to the naive

INDUSTRIAL SOCIETY belief that the ideas and institutions of state social­

293

ant in modern society, this amounts to intensifying

ism and liberal capitalism would simply converge.

rather than replacing the key principles on which

But it was possible to be much more sophisticated

modern society works. This is not, however, to say

than this, and it was the great achievement of Ray­

that no socially significant changes have taken place

mond Aron to produce a judicious synthesis of the

during the industrial era. The diminution in size of

theory of industrial society. This synthesis was

the manual working class is certainly a matter

remarkable for paying proper attention to the polit­

of importance, as is the increasing political salience

ical, that is, in refusing to grant that all change

of newly educated labour.

resulted from socioeconomic variables. This was particularly clearly seen in his various volumes on the autonomous logic of geopolitical conflict and in his masterpiece, Democracy and Totalitarianism, which described the alternate political systems by which industrial systems could be managed. We can

best understand the strengths and

weaknesses of the concept of industrial society by considering four areas of debate which it has occa­ sioned.

Capitalism and industrialism A second general area of discussion concerns the respective virtues of the concept of CAPITALISM in contrast to that of industrialism. Marxists certainly have much in their favour when they insist on the greater cognitive power of the former concept. In­ dustrial society theorists tend to see social stratifi­ cation

in

functional,

even

meritocratic terms;

Marxists are correct to point out that life chances are in fact determined by one's parents' position in

Origins There has been much discussion, firstly, both of the origins of industrial society and of the extent to which we may now be passing into some new era. Capitalist society came, of course, before the emer­ gence of industrial society, and we have some knowledge of the uniqueness of Europe - a histor­ ical pattern of nuclear families, the destruction of extensive kin networks, a multipolar state system, rainfall agriculture, the legacies of antiquity - that facilitated its rise. Industrialism first emerged on the basis of this pre-existent commercial back­ ground in a piecemeal manner. Exactly why this process took place in England rather than, say, the Netherlands remains the subject of much dispute, with the most recent account by Wrigley stressing the importance of coal stocks and of a high level of demand consequent on the prior agrarian revolu­ tion. What is certain is that the industrialization or development of the Third World today cannot take place in the same gradual and piecemeal manner. The advantages and geopolitical need of industri­ alization have made it something that state elites wish to achieve as fast as possible; this tends to

the class system. This does not, however, mean that the Marxist paradigm is in every way superior to the concept of industrial society. Thus, while the working class certainly exists, it shows no sign of fulfilling the historic role ascribed to it by Marxism; more important still, Marxism's characterization of the nature of state socialist industrial society is nothing like as plausible as that offered by the theorists of industrial society. It is worth noticing in passing that the concept of capitalism is, how­ ever, in one unrecognized way distinctively super­ ior to that of industrialism.

The theorists of

industrial society suggested that once affluence had been achieved all that then remained was to sit back and enjoy it; in this light there were even discussions of the benefits of a no-growth society. In fact, it is impossible to stand still within the world economy because it is organized on capitalist lines: to stand still means decline if others insist on making greater profits. International capitalist soci­ ety remains restless and anarchic in a way foreign to the spirit of the theory of industrial society.

Industrialism and war

encourage authoritarianism of political regimes.

This general point can be highlighted by consider­

All this is to say that many loose ends remain to

ing a third debate. The hope that the age of afflu­

be tied in understanding the crucial story of the rise

ence would curtail war was proven illusory by two

of industrial society. In contrast, the concept of

world wars. Much of that conflict can be under­

POSTINDUSTRIAL SOCIETY suggested by Daniel Bell

stood in traditional terms, that is, as the result of

(1974) and Touraine (1971) has little to recommend it, as Kumar has powerfully demonstrated (1978).

rational action on the part of states within the

While it is true that knowledge is ever more import-

tremely important. It means that we live within

'asocial society' of state competition. This is ex­

294

INDUSTRIALIZATION

nation-states which have to swim quite as much

production. However, the motor of change within

within the larger society of interstate competition

the modern world order cannot be derived simply

as that of international capitalist society. Geopolit­

from some sort of 'logic' of industrialism. The

ics has affected the nature of social change quite as

dynamics of the modern world remain those

much as has capitalism; indeed it is the interaction

created by the interaction of nation and capital.

between the two, still not properly understood,

Industrialism has raised the stakes within that

which has provided the dynamism for modern

interaction, but it has not replaced it.

social change. Put negatively, we misunderstand our position if we say simply that we live inside

Reading

industrial society. This is not, however, to say that

A ron, R. 1962 (1966): Peace and War.

both class and nation have not been affected by the

(1968): Democracy and Totalitarianism. The Coming ofPost-Industrial Society. Gellner, E. 1974: Legitimation ofBelief Kerr, C. et al. 1960 (1973): Industrialism and Industrial Man. Kumar, K. 1978: Prophecy and Progress. Po1:inyi, K. 1944: The Great Transformation. Saint-Simon, H. de 1953: Selected Writings, ed. F. M. H.

industrial age. The fact that there have been no major wars between the major powers since 1945 is the result of the balance of terror that has resulted from the application of industrial principles to the waging of war. Modernity and ideology

--1965

Bell, D. 1974:

Markham. Wrig1ey, A. M. 1988:

the fourth area of discussion concerns the vexed

Continuity, Chance and Change: The Character of the Industrial Revolution in Eng­ land.

question as to whether it might give birth to an age

JOHN A. HALL

If industrial society did not bring peace in its train,

free of great ideologies. Was Max Weber right to suggest that the spread of science was incompatible with the retention of belief systems, whether an­ cient or modern, which sought to provide guide­ lines for social life? In the 1930s his claim looked decidedly unlikely given that the pace of political life was set by Bolshevism and fascism; the revival of Islam in the present-day world similarly repre­ sents an attempt to have the technology of modern­ ity with an inclusive and total belief system. But these creeds appeal, as does the visceral force of nationalism, to societies in transition from the agrarian to the industrial era. The real question is whether ideology can maintain its salience over time in regimes that were themselves founded on a claim to know the truth. The evolution of the Soviet Union

under

Gorbachev

suggests that

Weber's contention may have truth to it; but the whole matter is extremely complex, and it is best simply to say that history has not yet sat in judge­ ment on the whole affair. Conclusion

industrialization

The process by which soci­

eties acquire the equipment, organization and skills necessary to engage in mass production using power technology is referred to as industrialization. Formerly the term 'industrial revolution' was often used. Social scientists now regard that term as misleading since it implies an abrupt discontinuity. The statistical record does not support such an assumption. Preindustrial economies, since most of their output originates in agriculture, are un­ likely to experience a sudden surge in growth; the inertia of their dominant sector is too great. Dis­ continuities, if they occur, will be in sectors such as manufacturing which are initially much smaller. It is to these sectors that such terms as 'take-off' or 'spurts in growth' should be applied. The modern tendency is to think of industrializa­ tion as a mode of economic growth rather than an event or short period of time. Its essential character­ istic is the ever wider use of inanimate energy. It has its origins in an earlier phase of'proto-industrializa­ tion', occurring within societies where agriculture

A summary of the strengths and weaknesses of the

and trade are still dominant. The success of indus­

concept of industrial society can be offered in con­

trialization is markedly influenced by the accumula­

clusion. There is no doubt, to begin by stressing the

tions of capital that this earlier phase of growth

usefulness of the concept, that the emergence of

facilitates, the types of labour force and skills that

industrialism marks a qualitative change in human

it brings into existence, the foreign exchange

affairs: it is nothing less than a moment of social

earnings that it creates and the cultural values and

evolution. Our lives are determined by this mode of

political structures that it engenders. Furthermore,

INDUSTRIALIZATION

295

social scientists now do not assume that industrial­

From this arise many of the impediments to

ization has a definite end in time. Terms such as

successful industrialization. Resistance to industri­

DE-INDUSTRIALIZATION or 'post-industrial society'

alization stems not from rejection of its prospect of

refer to the rise of the service-based and informa­

higher material living standards but from oppos­

tion-based sectors of society; they do not imply that

ition to its social, cultural and political costs. As

the process of industrialization has ended.

industrialization has been diffused, so too has an

Historians conventionally date the first emer­

appreciation of these costs. They include, first, an

gence of industrialization as around the middle of

exploitative attitude towards the natural world and

the eighteenth century; most of the important sites

a propensity to undervalue the ecological and en­

were in Great Britain. The process was rapidly

vironmental damage that industrial growth can

diffused thereafter, first to regions in Western

cause. Costs that do not appear on the account

Europe, North America and Russia, later to other

books of the corporations or government bureaus

parts of the world. In the twentieth century it has

that direct the industrialization process tend to be

become almost synonymous with economic devel­

ignored because they are not carried by those

opment. Particularly in the new states that won

making the decisions. Second, industrialization in

national independence after World War II, the

the past has been associated with an exploitative

drive for higher living standards is essentially

attitude toward labour. Labour under a regime of

a drive for industrialization. Few of these states

industrial capitalism comes to be treated as a com­

are willing to base their hopes for political auton­

modity, and the attitudes that govern the exploit­

omy and a higher standard of living on raw material

ation of commodities are transferred to human

production alone.

beings. From this arises the aggravation of class

The technologies of industrial growth have

conflict that often occurs during the initial phases

changed over time and are still changing. Long

of industrialization - phases when the social infra­

before the eighteenth century, wind and water

structure of urban housing, education and public

power had been used to supplement the energy of

health is inadequate, when the rate of population

humans and other animals, but the widespread use

growth is accelerating, and when labour is still

of coal to smelt iron and generate steam-power

learning how to influence wage rates and working

vastly increased usable energy. Greater energy

conditions. Third, there typically occurs a break­

inputs were fundamental to later increases in

down in community and a rise in ALIENATION and

output. Coal, steam-power and iron no longer

ANOMIE. Industrialization breaks up traditional

play the critical role they once did in industrial

social formations,

growth but the essence of the process is unchanged:

roles and undermines traditional sources of author­

transforms traditional social

industrialization implies the tapping of inanimate

ity. Sometimes referred to as the rise of individual­

energy sources on an ever-increasing scale. Human

ism, this might better be called depersonalization,

energy comes to be used primarily for control.

and in that sense it is as true of the state-directed

The increasing use of inanimate energy re­

industrializations of the twentieth century as of the

sources was of critical importance because of what

more laissez-faire industrializations of the nine­

it meant for man-hour productivity. Real incomes

teenth. The technology of industrialization is the

are closely linked to productivity, and industrializa­

technology of standardization and uniformity and

tion, because of its use of inanimate energy, is one

interchangeable parts; this often applies to con­

sure way to raise productivity. It is not the only

sumers and workers as well as to processes and

way. Productivity can also be increased by better

products.

markets, better information, better organization

In the hope of overcoming these obstacles, in­

and better division of labour. Industrialization, in

dustrialization in the late twentieth century was

fact, requires improvements in these social arrange­

often undertaken not through decision making by

ments. Major policy errors can arise from concen­

private entrepreneurs but through direction by the

trating on the technological shift alone and ignoring

state. The entrepreneurial groups were not private

the institutional changes that must accompany it. It

businessmen and corporations but politicians, civil

is not possible to alter drastically the mode of pro­

servants and technocrats. The drive is to enter

duction without similarly transforming the social

industrialization quickly, to make the 'giant leap'

structure in which it takes place and, to a degree,

into modernization in one generation or less. Partly

the culture in which it is embedded.

this is for reasons of national pride. Partly it is in the

296

INFORMATION TECHNOLOGY AND THEORY

belief that obstacles can be overcome only by a 'big push'. And partly it is in the hope that the growth of output will outpace the predictable explosion of population as traditional restraints on family for­ mation give way. These are the problems that face many industri­ alizing societies today. At the same time, many of the nations that made the transition to industrial growth earlier are finding their older industries hard-pressed to compete against later industrializ­ ing societies elsewhere. The tendency in these 'mature' economies is for an increasing proportion of the labour force to be em played in the tertiary or 'service' sector, where increases in productivity are hard to achieve, and a decreasing proportion to be employed in primary production or manufacturing, to which older technologies more readily apply. The output of such economies is becoming infor­ mation intensive, rather than resource intensive or labour intensive. Some analysts call this the rise of postindustrial society. An alternative is to say that the technological base of industrialization is changing, as it always has been. In the late nine­ teenth century it moved away from the coal, iron and steam-power complex to the complex of hydro­ carbon fuels, electricity, plastics and the light alloys. Now, in the late twentieth and early twenty-first century, the technological base for fur­ ther industrialization seems to lie in the informa­ tion industries, based on electronics and the computer (see AUTOMATION; INFORMATION TECH­ NOLOGY AND THEORY). Reading Chenery, H. B., Robinson, S. and Syrquin, M. 1986:

Industrialization and Growth: a Comparative Study. Kemp, T. 1978: Historical Patterns ofIndustrialization. Kuznets, S. 1966: Modern Economic Growth: Rate, Struc­

ture, and Spread. Landes, D. S. 1969: The Unbound Prometheus: Techno­

logical Change and Industrial Development in Western Europe from 1750 to the Present. Mumford, L. 1934 (1963): Technics and Civilization. Rostow, W. W. 1978: The World Economy: History and

Prospect.

HUGH G. J. AITKEN inequality

See EQUALITY AND INEQUALITY

information technology and theory Informa­ tion technology has allowed the digitization of information through the common language of binary code, enabling voice, data and video to

become streams of digitized information which can be stored, manipulated and transmitted cheaply and at great speed by digital computers. At the same time, the electronics, computing and telecommuni­ cations industries have converged to become one all-embracing, global information technology (IT) industry, a trend noted during the 1970s (Nora and Mine, 1978; Barron and Curnow, 1979). The coming of the information society has been proposed to be 'the third industrial revolution' (Stehr, 1984; Lash and Urry, 1984). Many writers have seen IT as a pervasive 'core' technology at least as important as electricity or steam-power and therefore probably the most important techno­ logical development in the twentieth century. The key importance of IT stems from the fact that unlike other technologies - decreases in the cost and size of electronic components have been ac­ companied by increases in their power, speed and sophistication. Thus powerful computers now sit neatly on individual desktops, whereas a few decades ago machines with the same processing power would have filled a huge room. The term 'revolution' is frequently applied to IT and the 'IT revolution' is often compared in social significance to the Industrial Revolution two hun­ dred years ago, The economic, social and political implications of the ongoing IT revolution are the subject of continuing research and debate, but clearly some very important changes to society are under way, especially in the workplace, if not in homes and schools (Guile, 1985; Miles et al., 1988; Schille, 1983; Castells, 2000). Recent work, how­ ever, has cast doubt on the 'revolutionary' import­ ance ofiT (Webster, 1995) and some see IT as part of the continuing evolution of control technologies which began in the last century (Beniger, 1986; Giddens, 1987). The productivity pay-off from IT has also been seriously questioned (Forester, 1989). Some writers have taken the opportunity to pro­ claim new types of society arising from the IT revolution, with the 'information society' (Bell, 1979; Castells, 2000) replacing the 'PosTINDUSTRIAL SOCIETY' as the front-runner. Both these notions have been subjected to critical scrutiny (see Lyon, 1988; Webster 1995) and they raise important ques­ tions about 'paradigm' shifts, the process of social development, technological determinism and the importance of manufacturing industry as opposed to the services sector (Cohen and Zysman, 1987). Some writers also believe that the changes that IT brings both challenge and reinforce systems of

INTELLECTUALS domination that are emerging in a postmodern so­

297

obscuring the necessary distinction between the

see MoDERNISM

creators of culture and those who distribute or

AND POSTMODERNISM. Others think that it is the

apply it. It would, in addition, preclude the possibil­

ciety and culture (Poster,

1995);

'informatization' of society rather than an 'infor­

ity of assessing and evaluating the status and influ­

mation society' that should be the focus of analysis

ence of creators of ideas as distinct from related

(Webster,

groups or strata. It makes it impossible to determine

1995).

Commentators on the IT revolution (as with the

whether creators of ideas have a social weight differ­

issue of technology and society in general) tend to

ent from that accorded other categories of symbol

divide broadly into 'optimists'- Bell

users.

(1979), Toffier (2000) and Kranz­ berg- and 'pessimists' - Webster (1995), Kumar (1995), Weizenbaum (1976), Roszak (1986) and Winner (1986) - although the latter three might

sonable to define intellectuals more narrowly and to

more properly be called 'heretics' because they

important as creators of symbols, who possess attri­

strongly oppose the orthodox view that computer­

butes not to be found among the numerically much

(1980),

Castells

(2000),

Slevin

Under these circumstances it appears more rea­ see in them those men and women in given societies who, while numerically small, are yet qualitatively

ization will have generally beneficial effects on soci­

larger group of persons engaged in the arts, the

ety.

sciences, the professions and religion. Academics

See also ARTIFICIAL INTELLIGENCE, INTERNET.

or members of the professions are not necessarily intellectuals. Intellect, as distinct from the intelli­ gence required in the arts and sciences, presumes a

Reading Castells, M. 2000: The Information Age: Economy, Society

capacity for detachment from the immediate issues

and Culture Volume One: The Rise of the Network Soci­

at hand, a movement beyond the pragmatic tasks of

ety. Forester, T. ed. 1985: The Information Technology Revo­ lution. --1987: High-Tech Society: The Story of the IT Revo­ lution. Kumar,

K.

1995:

From

Post-Industrial

to

Post­

the moment, and a commitment to core values transcending professional or occupational involve­ ment. While most persons in the professions and else­ where tend to be absorbed in the pursuit of concrete

Modern Society: New Theories of the Contemporary

answers to specific problems, intellectuals are more

World.

likely to involve themselves with more general

S1evin, J. 2000: The Internet and Society.

realms of meaning and values, with the sacred

Webster, F.1995: Theories ofthe Information Society.

core of the culture. As such they seek to provide

Winner, L. 1986: The Whale and the Reactor.

TOM FORESTER, revised by DAVID BERRY

moral

standards

and

to

maintain

meaningful

common symbols. Modern intellectuals are des­ cendants of the priestly upholders of sacred trad­

The term has been subject to a

ition even as they are also related to the biblical

great deal of dispute ever since it made its appear­

prophets whose message was far removed from the

intellectuals

ance in France at the end of the nineteenth century

pieties of court and synagogue, castigating the men

during the debates between the defenders and the

of power for the wickedness of their ways.

adversaries of Captain Dreyfus in the famous Drey­

Those who see intellectuals in this way will also

fus affair. To many, intellectuals are impractical

contend that they are persons who never seem

dreamers unable to come to grips with mundane

satisfied with things as they are and with the sway

realities in society and state. To others they are the

of custom and habit, that they question the truth of

prime defenders of the moral and cognitive values

the moment in terms of a higher truth: that they

and standards that sustain democratic or liberal

consider themselves special custodians of abstract

political systems.

ideas such as truth or justice and see themselves

Certain scholarly analysts have tended to group

as guardians of moral standards when these are

under the term 'intellectual' all those persons in­

under attack in the marketplace and the house of

volved in the sphere of culture, that is in the world

power.

of symbols. But others have objected that this is

Intellectuals are not only gatekeepers of ideas and

too wide a definition, which would include in its

fountainheads of ideologies but, unlike medieval

range winners of the Nobel Prize, on one hand, and

churchmen or modern political zealots, they tend

schoolteachers and newspapermen, on the other,

at the same time to maintain a critical attitude.

298

INTELLIGENCE TEST

They are persons who think otherwise and they tend to be disturbers of complacency and adjust­

Znaniecki, F.

1940:

The Social Role of the Man of

Knowledge.

LEWIS A. COSER

ment. It was only after the waning of the Middle Ages, after Reformation and Renaissance had fragmented

intelligence test

the unified and monopolistic worldview of the

gence?' 'Do intelligence tests measure it?' created

The questions 'What is intelli­

church, that intellectuals could begin to raise an

controversy throughout the twentieth century, and

independent voice; only as multiple religious and

still lack generally agreed answers. Part of the prob­

secular powers began to emerge on the social scene

lem is that such tests were originally devised, not

and started competing for the allegiance of individ­

for scientific investigation, but for S ociAL POLICY

uals could there arise a stratum of men and women

purposes. Sir Francis Galton, who devised the first

of ideas no longer tied to the church or to secular

test in the late 1890s, wanted a measure of 'general

patrons. With the emergence of a variety of centres

ability' for 'choosing superior strains or races' for

of power and influence, with the thawing of a hith­

eugenic breeding purposes (see EUGENICS) . Later,

erto frozen culture, there arose conflicts of ideas

the burgeoning education systems wanted them for

carried by unfettered spokespersons for different

selection and administrative reasons.

trains of thought and winds of doctrine.

Even in the absence of an agreed scientific de­

Some intellectuals were still partly dependent on

scription of intelligence, testing for it has proceeded

patrons to sustain them before there emerged a

on the basis of the premise that differences in

literate public of wide scope in the eighteenth cen­

mental ability arise from a unitary entity- a 'gen­

tury, but at least they had the choice of patrons.

eral ability' (or 'g')- usually described metaphoric­

From the eighteenth century on, however, a lay

ally as a mental 'energy', essentially genetic in

public began to provide a receptive audience for

origin. A second assumption is that such variation

people of letters. From that point on the study of

can be treated as a simple quantitative (biometric)

intellectuals needs to pay close attention to the

trait like height or head size. It follows that 'g' will

complicated net of relations between them and

be stronger among people of high success or

the marketplace of ideas as well as with institutions

achievement, less so in others. Accordingly, con­

such as the university or national academies. Atten­

struction of intelligence tests has followed a 're­

tion must be paid to those social arrangements

verse' logic: assuming to know who is more or less

such as coffee houses, salons, periodicals, censor­

intelligent, and then (without knowing exactly what

ship, government bureaucracies, all of which im­

is tested) accepting a test as such if it places people

pinge, be it positively or negatively, on the life

in that order.

of the mind in the world of modernity. Intellectuals

All tests consist of a series of small problems or

in the modern world, be it in the East or in the

tasks, the number of correct items being taken as

West, have assumed crucial strategic positions.

the score which gets transformed to match a popu­

They are often wooed but also often persecuted

lation mean of 100 resulting in an intelligence quo­

by the men of power as well as by vested economic

tient (IQ). Galton had devised numerous small

interests. At times their position seems fairly well

sensorimotor tasks like reaction times, length esti­

established, at other times however they still seem

mation and visual acuity. But these were rejected

an endangered species. Yet, in the last analysis, they

because scores did not correlate with social status in

are what Ezra Pound once called 'the antennae of

the way expected.

the race'.

The first 'modern' intelligence test was devised

See also ENLIGHTENMENT.

Alfred Binet to help screen out children who

Reading Boggs, C. 1993: Intellectuals and the Crisis ofModernity. Coser, L. A. 1965: Men ofIdeas: a Sociologist's View. Hofstadter, R.

1963: Anti-intellectualism in American

Life.

Mannheim, K. 1929 (1960): Ideology and Utopia: an Intro­ duction to the Sociology ofKnowledge. Shi1s, E. 1972: The Intellectuals and the Powers and Other Essays.

in 1908, when the School Board in Paris asked might become 'backward' in school, so that special provision could be arranged. Binet simply devised dozens of small school-type tasks - factual infor­ mation, sentence comprehension, mental arith­ metic, arranging objects by size and so on - and, by trial and error, selected those whose perform­ ance corresponded with school attainment and age and discarded the rest.

INTERACTION Although Binet himself rejected the idea that he was measuring a 'fi x ed, innate' intelligence, the 'Binet method' quickly became the standard pro­ cedure for IQ test construction on both sides of the Atlantic. For example, the most popular test, the Stanford-Binet, originated from translations of Binet's items with the addition of forty or so others. And other tests followed suit. Because they happened to discriminate between social classes and groups in the way Galton's theory pre­ dicted, they became widely used in eugenics and anti-immigration propaganda in Britain and the USA. In Britain they formed the rationale of the 11-plus exam for school selection. Although on a day-to-day basis, IQtests are still widely accepted by psychologists for selection and clinical purposes, debate about their validity (that they measure what they claim to measure) has con­ tinued. More recently, contention has continued in light of the use of IQ scores to drive new lines of research into molecular genetic analysis, the alleged neural correlates ofiQ, and use of scores to justify special programmes for gifted children. Most judge them to be 'valid' because they do actually predict school attainments; but (others reply) by the way the tests are constructed this could hardly be otherwise. Some argue that they merely screen individuals for certain forms of learning, forms of cognition, beliefs about personal abilities (themselves imputed by parents, teachers and others); and self-confidence, anxiety and so on, in testing situations. These are all reflections of the class/cultural background of individuals: in effect that scores simple reflect ap­ proximation to an IDEAL TYPE. That this ideal type does not reflect general mental ability, or the ability for complex problem­ solving, is suggested in other research. For example, IQ scores have only small correlations (0.3 on a scale from 0 to 1) with job performance as assessed by supervisors. This could easily be explained by non-cognitive variables such as levels of self-confi­ dence/anxiety, language and so on. For example, even the small correlation usually reported disap­ pears after people have been in the job for some time. In addition, IQ scores do not discriminate between the more and less successful individuals in a wide range of occupations. Finally, a number of studies have failed to establish any association be­ tween IQscores and ability for complex reasoning in a wide variety of real life problem-solving situ­ ations or laboratory simulations of them. See also COGNITIVE SCIENCE.

299

Reading Blum, J. M. 1978: Pseudoscience and Mental Ability. Evans, B. and Waites, B. 1981: IQ and Mental Testing: An Unnatural Science and its Social History.

Michell, J. 1999: Measurement in Psychology. Richardson, K. 1999: The Making ofIntelligence. Rose, S. et al. 1984: Not in our Genes. KEN RICHARDSON AND SARAH NORGATE

interaction In everyday language, interaction means interrelated acts, actions, activities and movements of two or more individuals, as well as animals and objects, such as machines. Generally, the term stands for reciprocal active influencing. In the social and human sciences the concept 'inter­ action' is used in a nonuniform way, although it has been one of the central themes. In sociological and psychological literature the term 'interaction' is used in the following contexts. Social interaction

The interrelated behaviour of individuals who influence each other by means of communication is called social interaction. In the literature, inter­ action and communication are often used as syno­ nyms. Watzlawick et al. (1967) define interaction as a reciprocal sequence of communications (that is, messages) between two or more individuals. The term 'patterns of interaction' exists for the more complex units of human communication. Social interaction is sometimes referred to as interactional communication. According to Hare, interaction means 'all words, symbols, and gestures with which persons respond to each other' (1976, p. 60). In recent SociAL PSYCHOLOGY nonverbal communi­ cation (facial expressions, exchanged glances, body movement, spatial behaviour, extralinguistic be­ haviour and so on) is considered to be of great importance for understanding social interaction (DePaulo and Friedman, 1998). Sociological and psychological interaction theor­ ies will not be dealt with here in detail. It should be enough to mention SOCIAL EXCHANGE THEORY and SYMBOLIC INTERACTIONISM. Exchange theory (see Thibaut and Kelly, 1959) explains social interaction in terms of rewards and costs. The Thibaut-Kelley theory of interaction outcomes deals mainly with two-person relationships. The two-person inter­ action (dyadic interaction) forms the basic para­ digm for most interaction theories. With regard to the empirical study of group interaction processes,

300

INTERACTION

the observational methods which have been de­

only to verbal but also to nonverbal communica­

veloped so far actually start with the analysis of

tion. A series of observational procedures (see

two-person interactions. The theory of symbolic interactionism (see Blumer,

1969)

is an influential

Simon

and

1974;

Boyer,

1985) 1988) has

Weick,

recording devices (Kri.iger et al.,

and been

sociological interaction theory which is mainly as­

developed to classify verbal and nonverbal commu­

sociated

sociologist

nication. According to past orientation, these pro­

George Herbert Mead. Reference is made to it

cedures are mainly concerned with the coding of

with

the

philosopher

and

here because this theory and the related research

verbal interactions in dyads or small groups (see

strategy has experienced a certain renaissance in

Hare,

social psychology over the past years. The central

1976).

The Interaction Process Analysis (IPA), de­

(1950),

assumptions imply that individuals behave on the

veloped by Bales

basis of 'meaning' which comes from social inter­

small group research, is still considered the proto­

one of the founders of

actions. Meaning is constantly modified by a con­

type for an observational coding system. This

tinuing interpretation process of the individuals

system consists of twelve categories and is aimed

1969).

at revealing patterns of interaction in leaderless

The self is seen as the result of interaction; the

problem-solving groups, and describing these pro­

who participate in the interaction (Blumer,

interactional behaviour of an individual can be

cesses over time (phases of group development).

understood only on the basis of reciprocal acts of

The categories follow the model of a problem­

interpretation between the interacting partners in a

solving sequence. The central pair of categories

certain historical, cultural and situational context.

illustrates the problem of collecting information in

6:

In European social psychology greater attention is

the initial phase (category

given to social interaction between members of

category

different groups (intergroup behaviour; intergroup

(Gives Opinion) and

relations); see especially the social identity theory

the evaluation of information; categories

7:

Gives Orientation;

Asks for Orientation). Categories

8

5

(Asks for Opinion) refer to

4

(Gives

where the role of group

Suggestion) and 9 (Asks for Suggestion) refer to the

membership and social identity for intergroup be­

problem of control. The next problem areas are:

(Worchel et al.,

1998),

3:

decision-making (category

theme.

Disagrees),

Human-computer interaction

sion), and in the final phase coping with socio­

regulation

of

Agrees; category

10:

haviour and the self-concept is made the central

tension

Shows Tension Release; category

HCI is a discipline concerned with the design, evaluation and implementation of interactive com­ puting systems for human use and with the study of major phenomena surrounding them (see ACM,

1996).

emotional problems (category

1:

11:

(category 2: Shows Ten­

Seems Friendly;

category 12: Seems Unfriendly). The further de­ velopment of the IPA approach, which led to the more recent SYMLOG system (System for the Multiple Level Observation of Groups), linked the categories to a spatial model which was obtained

Computer-mediated interaction Computer-mediated communication systems (text­

through factor analysis and consideration of the content of messages (Bales and Cohen, Bales,

1999).

1979;

The SYMLOG coding of interaction

based electronic mail, INTERNET) are believed to

permits the description of the communication pro­

have powerful effects on social relationships. It is

cesses on three levels: the level of verbal and

claimed that this new form of social interaction

nonverbal observable behaviour, the level of com­

encourages wider participation, greater candour,

municated images, and finally the level of the value

and an emphasis on merit over status (see Kollock

judgements which the actor communicates through

and Smith,

1996).

his or her expressed images. The images can be then assigned to six levels (Self, Others, Group,

Interaction analysis Based on the above given definition for interaction,

Situation,

Society, Fantasy). Shown behaviour

and expressed content can be localized and inter­ preted in a three-dimensional space (dimensions;

interaction analysis means the systematic collect­

dominance

ing, recording, analysing and interpreting of CoM­

negative; task orientation versus expression of emo­

MUNICATION. Communication here does not refer

tions). The data, which can also be processed with

versus

submission;

positive

versus

INTEREST GROUP the help of computer programs, are graphically presented as field diagrams. A

theory-based

interaction

coding

system

(TEMPO), which seems to be easy to learn and

301

Reading Bales, R. F. 1968: Interaction Process Analysis. In Inter­ national Encyclopedia ofthe Social Sciences, vol. 7, ed. D. L. Sills.

applicable to a wide range of group task perform­

Duncan, S. and Fiske, W. 1977: Face-to-Face Interaction.

ance settings, has recently been introduced by

Goffman, E. 1959: The Presentation of Self in Everyday

Futoran et al. (1989). The majority of the published observational methods is made up of systems of classroom observation (such as Flanders, 1969). In psychodiagnostics there is a wide range of concepts and procedures which go by the name of interaction diagnosis. In this frame of reference interaction behaviour is provoked by means of experimental

Life. Heath, R. L. and Bryant, J. 1992: Human Communication Theory and Research. Concepts, Contexts, and Challenges. Homans, G. C. 1961 (1974): Social Behaviour: Its Elemen­ tary Forms, rev. edn. Jaffe,J. and Feldstein, S. 1970: Rhythms ofDialogue. ]ones, E. E. and Gerard, H. B. 1967: Foundations ofSocial Psychology.

techniques (tests, problem and conflict-provoking

Parsons, T. 1968: Social Interaction. In International

tasks, role-play situations) and is analysed with the

Encyclopedia of the Social Sciences, vol. 7, ed. D. L.

help of interaction coding systems (see McRey­

Sills.

nolds and DeVoge, 1978).

Statistical interaction

JOHANN. interest group

F.

SCHNEIDER

This is a private organization

which seeks to aggregate the shared values and

In research statistics the term interaction is con­

preferences of its members and, by articulating

nected with the statistical research method of 'fac­

them, attempts to influence both public opinion

torial analysis of variance'. In this case it refers to a

and government policy.

possible source of variance, the variation due to the

The generic term interest group encompasses

joint action (that is, interaction) of two or more

organizations that function primarily to represent

independent variables (see Leigh and Kinnear,

the economic interests of their members (such

1980).

as employer associations) and those that seek to promote a particular cause which reflects attitudes

Interactionism The term refers to a group of theories which deal

held in common by its members. Whereas eco­ nomic interest groups are usually depicted as defending sectional, even selfish, interests, promo­

with interactive effects, for example, the relation

tional groups are invariably portrayed as being

between body and mind, individual and society,

engaged in the selfless advocacy of a cause which

and organism and environment. This is illustrated

is pursued in the interests of all (for example, en­

in the following examples. According to Drever,

vironmental groups). Though the terms differ, the

interactionism is 'a theory of the relation between

categorization of interest groups into two such

mind and body, which assumes interaction or re­

types is characteristic of the academic literature.

ciprocal causation between the two- that mind acts

While distinguished from political parties by

on body and body on mind - as the solution of the

attempting to influence rather than constitute gov­

psycho-physical problem' (1964, p. 142). In the

ernment, interest groups have acted as the progeni­

field of differential psychology and PERSONALITY

tors of political parties (thus the British Labour

psychology a collection of articles published by

Party's origins lay in the trade union movement).

Endler and Magnusson (1976) led to the so-called

Moreover, the distinction between economic and

person-situation debate during which interaction­

cause groups is not always clear-cut, if only for the

ism was advocated as a more appropriate model for

reason that the former do identify with causes that

personality theory and personality research. This

are wider than the particularistic interests of their

view assumes that actual behaviour is determined

members.

by a continuous and multidirectional interaction

In the twentieth century, the preoccupation with

between person variables and situation variables

interest groups as a field of study originated largely

(ibid., 1976). An optimistic provisional appraisal

in the United States. It was rooted in a tradition of

of this continuing debate is given by Kenrick and

writing on the American political system which had

Funder (1988).

interpreted its plethora of groups as a testament

302

INTERESTS

both to the energy of its people and the vitality of its

Dah1, R. 1961: Who Governs?

democracy.

Jordan, A. G. and Richardson, J. J. 1987: British Politics

In the United States (Truman 1951· Latham 1952), and somewhat later in the

UK (Mackenzie :

and the Policy Process.

01son, M. 1965: The Logic of Collective Action. R. A. WILFORD

1955; Beer, 1956; Finer, 1958) and Western Europe (Lapalombara, 1964), the adoption of a group­ centred approach followed in the wake of Bentley (1908). He had presented the study of groups and their interactions with government as a key to the understanding of the wider political process. While freeing scholars from a single-minded concern with constitutions and political institu­ tions, the fashion for group studies was criticized by some for neglecting or misunderstanding the motives of individuals (Olson, 1965) and for sub­ ordinating the role of more traditional political institutions (Crick, 1959). Others (Bachrach and Baratz, 1962; Lukes, 1974) took issue with those like Dahl (1961) who interpreted the widespread existence of interest groups competing openly to influence policy as evidence of the diffusion of power (see also PLURALISM). They challenged this pluralist analysis, contending that power is concen­ trated in the hands of relatively few groups which are enmeshed with government because of their strategic economic role (Mills, 1956; Lindblom, 1977). The reinvigoration of the intellectual debate on the concept of PowER is a direct outcome of the study of interest groups. The literature on interest groups, especially in relation to policy-making (Kimber and Richardson

;

1974; Wilson, 1981; Marsh, 1983), has led to a mor

comprehensive knowledge of both the dynamics and the substance of government actions. In add­ ition, their study has underscored the necessity for institutions that mediate between the citizen and government, providing for individuals both the opportunity and motive for political representation and PARTICIPATION other than through the medium of political parties. For these reasons, and because of the question of whether they enhance or impair democratic

government,

interest groups

have

become an integral element in the analysis of polit­ ical systems. See also SociAL MOVEMENT.

interests

To say that an action, policy or state of

affairs is in the interests of an individual, organiza­ tion or collectivity is to suggest that it would further their wellbeing in some significant respect. Thus, reference to interests may be used to defend or to recommend action on behalf of oneself or on behalf of others, for example, by governments, parents or welfare agencies. In such contexts, the attribution of interests involves little more than the construc­ tion of a plausible argument relating the wellbeing of those concerned to some action, policy or state of affairs. It need say nothing about what motivates the individual, organization or collectivity whose interests are in question. However, there is also a more specialized usage in which interests are assumed to form part of the motivational structure of human action. Ji.irgen Habermas has suggested, for example, that human experience is organized in terms of a priori cogni­ tive interests. However, the more usual under­ standing of interests is as contingent but relatively stable features of the actors concerned (unlike tran­ sitory wishes or desires) which provide them with actual or potential reasons for action. Interests, in this sense, have been seen as an underlying source of social conflict and of differences in the political ideas or worldviews of different classes

�

and as accounting for important aspects of know

ledge and of culture. Many authors would agree with William Connolly's claim that every 'explana­ tory

theory

of

politics

includes

assumptions

about persons and their real interests' (1993, p. 73). American pluralism, for example, analyses pol­ itical life as a matter of the interactions of organized groups who have banded together for the defence or promotion of their interests. This view suggests that organizations bring together and express inde­ pendently existing interests, but it is now generally recognized that organizations themselves play an important part in determining what interests are effectively represented in political life.

Reading Bentley, A. F. 1908 (1967): The Process of Government, ed. P. Odergard.

There have been many changes in the way inter­ ests are thought to relate to other sources of motiv­

1981: Organizing Interests in Western

ation but in the modern period the pursuit of

Europe: Pluralism, Corporatism and the Transformation

interests has often been counterposed to behaviour

ofPolitics.

that is not self-interested. Max Weber, for example,

Berger, S. ed.

INTERNATIONAL RELATIONS treats 'material' interests and VALUES as independ­

303

tions and more recent explorations of the relations

ent sources of motivation, providing distinct and

between race, class and gender. Third, if one as­

often conflicting reasons for action. Others have

sumes that real or objective interests effect behav­

disputed this contrast, suggesting that it serves

iour, then the case of those who do not act on their

only to hide the true sources of action. In this

interests poses a particular problem of explanation.

case, interests are seen as having effects even when

Marxism conventionally attributes an interest in

they are not acknowledged by those who act on

socialism to the working class, but the majority of

them. A common manoeuvre is to unmask behav­

the working classes in the advanced capitalist soci­

iour that appears not to be self-interested by

eties neither acknowledge such an interest nor act

claiming to reveal its true foundations in the realm

on it. The problem is then to explain the failure of

of interests. In The Eighteenth Brumaire of Louis

the supposed link

Bonaparte, for example, Marx argues that what

action, and an answer is frequently given in terms

distinguishes the Legitimist and Orleanist factions

of the operation of power, false consciousness and

of French royalism 'was not any so-called prin­

ideology.

between

social location and

ciples, it was their material conditions of existence,

Where the contrast with values tends to suggest

two different kinds of property' (1852, p. 118).

a rather negative perception of interests, a more

Here the distinct interests of the two royalist fac­

positive view is suggested by a contrast with the

tions are held to account for their political differ­

passions. The idea that interests could be used

ences and for the 'convictions, articles of faith' and

to keep the passions under control was a common

the like which they use to justify their actions. The

theme in early liberal thought and commerce was

interests identified in such unmasking manoeuvres

particularly

are often regarded as real or objective, meaning that

seemed to encourage the peaceful pursuit of inter­

favoured

in

this

respect

since it

their existence and effectiveness does not necessar­

ests. The promotion of commerce was seen, in fact,

ily depend on any subjective awareness on the part

as a means of pacifying the conduct both of indi­

of those whose interests they are said to be. How­

viduals and of states. While this contrast with the

ever, if the attribution of these interests is to explain

passions is no longer such a prominent theme,

or predict behaviour they must somehow provide

the more general claim that the pursuit of private

the relevant actors with actual reasons for action.

interests through the market promotes the wider

This point gives rise to a number of difficulties.

social good continues to play a fundamental part in

First, 'objective' interests may well not be recog­

liberal political thought.

nized by those who are said to act on them. On this case, their explanatory significance is obscure,

Reading

unless the interests in question are assumed to be

Connolly, W. E. 1983: The Terms of Political Discourse.

unconsciOus.

Hirschman, A. 0. 1977: The Passions and the Interests.

Second, objective interests are usually attributed to individuals or collectivities by virtue of some significant feature of their social location such as class, ethnicity or gender. In the above example,

Ho1mes, S. 1995: Passions and Constraints: On the Theory ofLiberal Democracy.

Mannheim, K. 1929 (1936, 1960): Ideology and Utopia. Wi1son, G. K. 1981: Interest Groups in the United States. BARRY HINDESS

Marx refers to the forms of landed or commercial property that distinguish the interests of the Legit­ imists from those of the Royalists. The concept of

international division oflabour

interests then appears to provide an explanatory

OF LABOUR, INTERNATIONAL

See DIVISION

link between the social locations of individuals All social phenomena

and collectivities on the one hand and their actions

international relations

on the other: locations determine interests, and

not confined within a single state - the relations of

interests then provide individuals with reasons for

states with one another, the operations of non-state

action. Different features of social structure may

actors such as international organizations, multi­

well seem to specify different, and sometimes con­

national corporations and religious movements,

flicting, sets of interests. The analysis of such cross­

and the impact of abstractions such as the inter­

cutting interests has been an important theme in

national economy - fall within the scope of inter­

several traditions of political analysis, for example,

national relations. In the twentieth century, its

in Marxist treatments of contradictory class loca-

study was stimulated by such events as the two

304

INTERNATIONAL RELATIONS

world wars, the Russian revolution and its global

maintain a 'balance'. In the decades that followed,

repercussions, the economic collapse of 1931, the

all these facets of Realism were to be vigorously

invention of nuclear weapons in 1945 and their

challenged.

seemingly endless refinement thereafter, the decol­

Initially, though, the debate over substance

onization of Asia, Africa and elsewhere, the subse­

was overshadowed by one over method. Rather

quent confrontation of North and South, and the

than replacing one set of dogmas and prescriptions

multiplication of novel forms of international or­

by another, it was argued, scholars should investi­

ganization, global and regional, including the Euro­

gate

pean Community.

applying the techniques and philosophy of science,

the

reality

of

international

relations

by

During and after World War I, international

whereby theories would stand or fall according to

relations, as a subject, was often seen as the servant

the weight of the empirical evidence for or against

of INTERNATIONALISM, charged with helping states

them, and concepts would be so tightly defined

to civilize the conduct of their mutual relations and

that it was clear in advance of an investigation

avoid future wars. In this perspective, which came

what findings would count in favour of a given

to be known as 'rationalism' or 'utopianism', much

theory or hypothesis and what against it, so that

emphasis was placed on the need to uphold and

others could replicate the investigation the field of

extend the rules and procedures of the League of

international relations was also widely seen as no

Nations.

more than a special case of human relations, to

The approach of World War II, in 1939,

which the appropriately modified findings of other

prompted E. H. Carr into a scathing attack on

social sciences, notably economics, sociology and

'rationalism', from a perspective which came to be

psychology, must apply. The scientific approach

known as 'realist'. In similar vein, Hans Mor­

made much use of models, that is, attempts

genthau (1951) denounced US participation in the

to portray the causal process implied by a theory

Korean War of 1950 to 1953, in which sixteen

in abstract and often mathematical form, and thus

states, under the United Nations banner, associated

highlight the empirical assumptions on which

themselves with the Republic of Korea.

it rests.

Carr had long since insisted that the League's

Lewis Fry Richardson's work on WAR was a

rules of political and economic conduct reflected,

forerunner of this mode of enquiry, and its posthu­

not an underlying harmony of interests among

mous publication in book form coincided with the

states, but simply those of the initially stronger

appearance of several major new works in this vein

and 'satisfied'. As the once weak grew in strength,

(Kaplan, 1957; Rapoport, 1960; Boulding, 1962). In

they would naturally challenge these rules. For the

the ensuing methodological controversy, whose

'satisfied', wisdom lay, not in treating every chal­

flavour is well captured in Knorr and Rosenau

lenge as a crime, but in deciding which to resist and

(1969), Hedley Bull's 'International theory: the

which to accommodate; 'a successful foreign policy

case for a classical approach' (in that volume) was

must oscillate between the apparently opposite

a conspicuous rallying point for the traditionalists.

poles of force and appeasement' (1939, eh. 13).

On the whole, the scientists won, at least to the

For Hans Morgenthau, both 'political necessity'

extent of having their contributions to the subject

and 'moral duty' dictated that the sole guide to

accepted on their merits.

foreign policy should be the national interest. In

One notable field for this was that of inter­

the Korean war, bemused by the notion of North

national 'systems', in whose operation, and stability

Korean aggression and the supposed obligation to

or instability, theorists detected the effects of holis­

resist it, the USA had, he argued, lost sight of that

tic attributes derived from the behavioural tenden­

central truth.

cies of the units making them up (just as economists

Realists thus promoted an emphasis on states

see the 'market' for a commodity as a holistic fact

rather than international organizations or other

derived by aggregating the likely responses of the

non-state actors; on their interests rather than

commodity's customers). Kaplan (1957) specified

their doctrines or their leaders' beliefs; on the nor­

what he saw as the crucial differences between the

mality of force and thus the importance of strategic

nineteenth-century 'balance of power' system and

considerations; and on the distribution of power in

the post-1945 'loose bi-polar' one, and explored

the international system and the need to achieve or

four more systems which might conceivably arise.

INTERNATIONAL RELATIONS

(1964)

305

contended that, in gen­

religion, language, race or even a purely subjective

eral, multipolar systems were likely to be more

sense of a common identity. It is the Hobbesian

stable and more peaceful than bipolar ones; Waltz

premise that is flawed.

Deutsch and Singer

( 1979, eh.

8) argued the reverse. Though difficult, it

Nevertheless, though the replacement of terri­

is possible, and instructive, to trace the different

torial states by a world government is not remotely

assumptions that lead to such diametrically op­

in sight, they have come to share their powers to

posed conclusions.

a significant extent with other bodies. Whereas

The substance of Realism came under attack from four main quarters. First, theorists of inter­

(1977),

national society, among them Bull

con­

once treaties could be concluded only between states, the United Nations Law of the Sea Conven­ tion, for instance, had to be open for signature not

tended that there is more to the relations of states

merely by the European Community's members,

than an unceasing struggle for power. Bull, follow­

but also by the Community itself, because of the

ing a classification Martin Wight has used in his

latter's centrally administered Common Fisheries

lectures at the London School of Economics, delin­

Policy. Again, the parties to the European Conven­

eated three traditions of thought about inter­

tion on Human Rights, in what to an earlier gener­

national relations, the Hobbesian, corresponding

ation

to Realism; the Kantian, a 'revolutionary' concep­

derogation of their sovereignty, have accepted the

tion based on the centrality of the transnational

right of their citizens to appeal to an international

bonds that make all people, as people, part of the

body capable of overturning decisions of their

community of humankind; and a Grotian (from the

highest national courts and even of overriding na­

would

have

seemed

an

unimaginable

seventeenth-century jurist Grotius), asserting the

tional legislation deemed incompatible with the

existence of a society of states, bound by a set of

convention.

norms manifest in international law and diplomacy.

'National interest' was the target of the third

While acknowledging that elements of all three

challenge to Realism. The cybernetic approach of

(1963)

were discernible in the contemporary world, Bull

Karl Deutsch

regarded the Grotian conception as predominant.

tal explanation of state policy. Like other actors,

From a somewhat different perspective, Keohane

states, in responding to ever-changing circum­

(1977)

attempted a more fundamen­

reinforced this critique of Realism

stances, are seen as needing to combine receptivity

by showing that international 'regimes' -the rules

to new concerns and new values with fidelity to old

accepted as applicable to a given set of international

ones. Their performance, like that of motorists,

and Nye

issues-did not simply reflect the preferences of the

depends heavily on the communications networks

most powerful.

at the disposal of their decision-makers: on how

A second target was the assertion that states

far they can see ahead ('lead'), how quickly their

are, and for the foreseeable future will remain, the

decisions are implemented ('lag'), how much com­

central actors of international relations. To attack

petes for their attention ('load'), what weight they

it, Herz

(1959)

axiom,

that

used a Realist, indeed Hobbesian,

political

loyalties

are

given

only

can bring to bear in the desired direction ('gain' -a refined form of power) and how quickly and how

in return for security. Since economic warfare,

accurately they can assess the results of their deci­

ideological penetration, aerial bombardment and

sions (feedback). It is the state that cannot cope with

finally the invention

had

its environment that is likely to fall back on power

rendered the state permeable and indefensible,

in its cruder form, 'the ability not to have to learn'.

of nuclear

weapons

Herz proclaimed its demise. As he was later to

Conversely, states whose citizens are linked in a

concede, this obituary was premature. States have

variety of close networks, official and unofficial,

indeed become vulnerable to violent separatist

can create 'security communities' within which

movements and transnational terrorism, but to a

PEACE is assured.

large extent they have survived, not because they

States retain enormous military arsenals, but

are defensible, but partly because the organizational

are less preponderant than they were, or than Real­

networks that sustain them remain 'going con­

ism would posit. Their functions and their power

cerns', capable of clipping the wings of most alter­

are being increasingly circumscribed by other layers

native actors, and partly because of what the

of authority, intergovernmental, nongovernmental

citizens of most states have in common - culture,

and local, often in no orderly relationship. Bull

306

INTERNATIONALISM The insistence that social and

warned that if the Grotian pattern of a society of

internationalism

states were thus to be superseded, which he thought

political problems must be considered from a

to be unlikely, it could give rise to a possibly more

standpoint transcending that of any one state is

violent condition of 'a new medievalism'.

not new. Hinsley

The fourth attack on Realism came from Marx­

(1963) begins his history of inter­

nationalist theories with Dante's De Monarchia,

ists, who have sought to portray human society,

thought to date from

including global society, from the perspective of

tury, internationalism took three different, though

1310. In the twentieth cen­

the poor and weak, in which classes, not states or

not unrelated, paths: the promotion of action across

nations, are the basic units. Events have not, how­

state frontiers by those with similar interests and

ever, corroborated some fundamental Marxist con­

opinions (sometimes known as 'transnationalism');

tentions, particularly about war; and explanations

opposition, in the Benthamite tradition, to nar­

of imperialism and other aspects of foreign policy in

rowly nationalist state policies such as protection­

terms of economic interests have not, on the whole,

ism; and support for the creation, upholding and

been convincing; but the Marxist prophecy of the

strengthening of international institutions.

ever-increasing concentration of economic power

Ethically, the main argument has been between

under capitalism has been borne out by the seeming

those who hold that 'the state is fundamentally a

lack of any natural limit to the size of firms, and it is

nexus of special and general obligation' (Paskins,

hard to imagine that such power will not carry with

1978, p. 163), and those who maintain that inter­

it increasing political power, especially in the Third

national society should be so structured as to ex­

World.

press the rights and duties that 'each member of

Realism has thus been shown to oversimplify the

mankind might reasonably claim' from others

complexity of international relations, but so, too,

(Linklater,

have most alternative approaches. The most fertile

moralities' as 'forms of human understanding

1982, p. 9), and see all 'particularistic

counterpart to it may prove to be cybernetics,

which would be superseded in time as men grasped

which teaches us to assess the world's political and

the nature of their capacity for self-determination'

other systems in terms of their capacity to identify

(ibid., p.

global problems and respond to them adequately.

137).

In a later work

(1998), Linklater elaborated this

Any list of such problems, which would include

latter view, arguing for what he saw as a form of

famines, epidemics, environmental hazards, the ex­

cosmopolitanism, which, without claiming any

haustion of resources and the continuing dangers of

knowledge of 'permanent moral truths that bind

'conventional' and even nuclear war, is inevitably

the whole of humanity' (p.

incomplete, which underlines Deutsch's insistence

all unjust systems of exclusion, and thus develop a

48), sought to eliminate

that the first prerequisite of such systems is 'open­

'universal communication community' offering all

ness'.

whose needs were affected by a decision of a state

Reading

with those making it, regardless of whether those so

(or other actor) the chance to engage in dialogue

Aron, R. 1962 (1966): Peace and War, trans. R. Howard

affected were individuals or communities, and of whether they were within or outside the decision­

and A. B. Fox. Bull, H. 1977: The Anarchical Society.

making unit. Thus states would need both to de­

Carr, E. H. 1939 (1964): Twenty Ye ars' Crisis.

volve more power to local communities and become

C1aude, I. L. 1962: Power in International Relations.

answerable to international (including, where ap­

Deutsch, K. W. 1963: The Nerves of Government.

plicable, European) institutions.

Kap1an, M. A. 1957: System and Process in International Politics. Keohane, R. 0. and Nye, J. S. 1977: Power and Interde­ pendence. Knorr, K. and Rosenau, J. N. eds 1969: Contending Ap­ proaches to International Politics. Link1ater, A. 1982: Men and Citizens in the Theory of

The transnationalist path is exemplified by MARXISM, which, in its original form, held that the state was a mere instrument of the bourgeoisie and that 'the worker has no fatherland', but the very occurrence of World War I demonstrated the inad­ equacy

of

international

proletarian

solidarity.

When the revolution in Russia of October

International Relations. Wight, M. 1979: Power Politics.

1917

failed to ignite an uprising of workers throughout RODERICK C. OGLEY

the capitalist system, the internationalism of the

INTERNET

307

Second International (founded 1889) and its suc­

human rights, the protection of the environment

cessors became pragmatic rather than radical, and

and the management of the resources of the sea,

direct representation of workers (within national

conceived of as the 'common heritage of mankind'.

delegations) in the International Labour Organiza­ tion gave socialists some scope for transnational

Reading

collaboration. In contrast, the Third International,

Dower, N. 1983: World Poverty.

founded by Lenin, became a channel through

Hinsley, F. H. 1963: Power and the Pursuit ofPeace.

which the USSR controlled communist parties of the rest of the world, until Soviet interventions in

Hungary

(in

1956)

and

more

blatantly

Czechoslovakia (in 1968) liberated most Western Marxists from this subservience. Non-Marxist

Linklater, A. 1982: Men and Citizens in the Theory of International Relations.

--1998: The Transformation ofthe Political Community. Paskins, B. 1978: Obligation and the understanding of international relations. In The Reason ofStates, ed. M. Donelan.

manifestations of transnationalism in the late twen­

RODERICK C. OGLEY

tieth century have included charities and move­ ments

such

as

Oxfam,

European

Nuclear

Internet

The Internet has revolutionized the

Disarmament (END), Amnesty International and

computer and communications world. Not simply

Greenpeace.

a series of computers connected by cable, the Inter­

The second, 'Benthamite' path has come under

net is a global, interactive system of information exchange. It is as much a form of media as it is a

increasing challenge this century,

and, in its

economic

nationalists.

computer network, though not media in the trad­

Between the two world wars, repeated calls by

itional sense. Interactivity is possible between indi­

aspect,

not

just

from

League of Nations conferences for all-round reduc­

viduals without regard to geographic location and it

tions of tariffs exemplified the 'utopianism' de­

can function as an information distributor, storage

nounced by E. H. Carr (1939) (see INTERNATIONAL Followers

of

device, retrieval system and even global computer

also

system, or Grid, supplying distributed computing

regarded free trade and multilateralism as mis­

power in a manner analogous to the electricity

guided in the absence of a managed international

mains grid system (Foster, 2001).

RELATIONS).

KEYNESIANISM

economy with adequate mechanisms for sustaining

The Internet itself was formed in 1973, by the

effective demand, a view nominally embodied in the

US Defense Advanced Research Projects Agency

institutions created at Bretton Woods to manage

(DARPA) who initiated a research programme to

the international economy after World War II,

investigate techniques and technologies to develop

which ]. M. Keynes helped to negotiate. Another

communication which

aspect

the

computers to communicate transparently across

principle of freedom of movement across frontiers,

multiple networks. This was called the Internetting

of

this

form

of

internationalism,

would allow

networked

has also had to fight a rearguard action against

project and the system of networks which emerged

increasingly restrictive immigration controls and

from the research was known as the 'Internet'. In

ever more formidable obstacles to the granting of

1986, the US National Science Foundation (NSF)

asylum to refugees.

initiated the development of the a major communi­

In the early part of the twentieth century, those

cation service for the Internet. In Europe, major

who took the 'institutional' route to international­

international connectivity to over one hundred

ism (see Angell, 1908; Woolf, 1916) usually made

thousand computers on a large number of networks

peace their goal, though, as indicated earlier, the

was also created.

newly created bodies commonly assumed other

A great deal of support for the Internet commu­

tasks. With the influx of new states, almost all of

nity has come from the US Federal Government,

them underdeveloped, into the United Nations

since the Internet was originally part of a federally

after 1950, internationalists also looked to such

funded research programme and, subsequently, has

bodies to promote 'development' and correct the

become a major part of the US research infrastruc­

alleged biases of the existing economic system (see

ture. During the late 1990s with the creation of the

also

UNDERDEVELOPMENT).

World Wide Web (WWW) the population oflnter­

More recently, 'institutional' internationalism has

net users and network constituents expanded inter­

added to its concerns the worldwide upholding of

nationally and began to include commercial users.

DEVELOPMENT

AND

308

INVENTION

Indeed, the bulk of the system today is made up of private networking facilities in educational and re­ search institutions, businesses in addition to gov­ ernment organizations across the globe. The Internet is, strictly speaking, neither direct nor mediated. The technological medium offers a potential for interaction that other mediated forms of communication largely lack. Exchanges of infor­ mation using traditional forms, such as letters, for example, take much longer than similar exchanges on the e-mail, in effect modifying qualitatively the nature of the interaction. In addition, in contrast to telephone communication, which also allows for interaction, the Internet may involve a multiplicity of actors and start interactive processes which not only extend beyond the originators of the exchange but can also create new knowledges and synergies (Slevin, 2000). Some scholars argue that the Internet is causing people to become socially isolated and cut off from genuine social relationships, as they work alone over their computer screens or talk with anonym­ ous strangers through a socially impoverished medium (Stall, 1995; Turkle, 1996). Others argue that the Internet leads to more and better social relationships by freeing people from the constraints of geography or isolation brought on by stigma, illness or schedule. For them, the Internet allows people to join groups on the basis of common interests rather than convenience (Katz and Aspden, 1997; Rheingold, 1993: Shapiro, 2000). The Internet is often seen as an essential con­ tributor to the emergence of an 'information soci­ ety' or 'information age' (Bell, 1979; Castells, 2000; Poster, 1995) although this concept has been widely criticized (see Webster, 1995). See also ARTIFICIAL INTELLIGENCE, INFORMATION TECHNOLOGY AND THEORY. Reading Castells, M. 2000: The Information Age: Economy, Society and Culture. 2 vols.

Kumar,

K.

1995:

From

Post-Industrial

to

Post­

Modern Society: New Theories of the Contemporary W orld.

Slevin, J. 2000: The Internet and Society. Webster, F. 1995: Theories of the Information Society. Winner, L. 1986: The Whale and the Reactor.

DAVID BERRY The creation of new institutional structures, practices or objects, or any significant alteration in the above, is an ongoing feature

invention

of human history. For a variety of reasons, how­ ever, invention since the twentieth century has been largely reserved as a term describing scientific and technological developments (see TECHNO­ LOGICAL CHANGE). Additionally, theories with a de­ terminist base (whether economic, biological, psychological or technological) assume that insti­ tutional or attitudinal changes are the functions of systemic requirements. But theory which attributes to invention itself an independent character makes more Promethean assumptions concerning the abil­ ity of people to alter radically their environment. On this view, the sonnet and the button were both inventions, one cultural and one technological, both of them representing 'different types of creativity' on the part of individuals in response to perceived needs (White, 1963, p. 114). Theorists of invention, whether concentrating on technological or on social, economic, cultural and political acts of creation, focus on both the origins and the nature of inventive acts and patterns of diffusion. Many writers emphasize the fact that inventions are rarely the result of a single creative act but the result of a series of innovative responses, sometimes over many years, to the resolution of a problem. Invention often results from the applica­ tion of differing perspectives to a problem. Bell's invention of the telephone was made possible by his very lack of expertise since the inventor saw possibilities for the instrument as a speaking device that experts in telegraphy did not (Hounshell, 1975). Architectural invention results from a play­ ful inclusion of disparate cultural images and styles (Venturi et al., 1977). Some writers suggest that the development of certain kinds of inventions can be traced to the Weltanschauung of different histor­ ical periods. Robert Nisbet contends that the Middle Ages were rich in the creation of social inventions (the guild, marketplace, monastery, university) while in the twentieth century there is a dearth of social invention and a preoccupation with technological invention (1975). Other writers suggest that invention occurs more frequently in periods of political upheaval, particularly revolu­ tion. Georges Sore!, referring to the 'social poetry' of revolutionary activity, discusses the creation of myths of a future society as 'expressions of the will' (1906). Hannah Arendt argues that modern revolutions have regularly produced invented representative institutions which have thus far not succeeded in surviving (1965). The role of insti­ tutional sources of invention has also been

ISLAM explored, such as the impact of research laborator­

309

scholars, are that Islam has a stronger sense of the

ies on technological invention and ideological struc­

indivisible nature of law and religion, it has no

tures on political inventions. If major cultural,

sacramental

technological and political changes can be con­

pays

ceived as inventions, additional important ques­

Orthodox Islam has no tradition of baptism, eu­

little

priesthood and its orthodox core attention

to

sacramental

ritualism.

tions arise as to the nature of the interaction

charist or confession. Where such ritualism has

among inventions and whether it is possible to

developed in Islam, it has been associated with

categorize inventions in general. Some writers

more popular or deviant traditions such as Sufism.

argue that recent inventions in electronic technol­

Contemporary field work has challenged this view

ogy now permit the invention of new democratic

of Sufism, arguing that the Sufi orders are an im­

practices (Barber,

1984). Others contend that tech­

nological invention crowds out other inventive forms through cultural reliance on a 'technological

portant conduit of orthodox belief and practice (Abu-Zahra,

1997).

From a historical perspective, Islam arose in

fix' to solve problems. Inventions themselves have

seventh-century Arabia in the cities of Medina

been categorized by their impact on society and on

and Mecca as a consequence of the preaching of

one another, or in terms of their propensity to

Muhammad

generate or forestall human liberation.

the Qur'an in the form of inspired verses or chap­

(570-632 AD). The Prophet received

ters (surat) which called all people to accept Allah as the one and only God, to renounce all aspects of

Reading Abbott, P. 1987: Seeking New Inventions: the Idea of

their local religions, and to unite together in one community (the Household of Islam) in order to

Community in America. Hughes, T. 1989: American Genesis: a Century ofInvention and Technological Enthusiasm.

practise their religion faithfully. Out of these early practices, there developed a core of orthodox prac­

Illich, I. 1978: Toward a History ofNeeds.

tice which is called the Five Pillars of Islam - the

Nisbet, R. 1976: Sociology as an Art Form.

renunciation of polytheistic heresy by a proclam­

Pool, I. de Sola ed. 1977: The Social Impact of the Tele­ phone.

PHILIP ABBOTT

ation that 'there is no god but God (Allah) and Muhammad is his Prophet' (shahadah), fasting during the month of Ramadan, the pilgrimage to Mecca (Hajj), alms giving (Zakah) and daily prayer

Islam

A

monotheistic

world

religion,

Islam

(Salah).

combines holy law, prophetic revelation and a

Islam developed in a geopolitical niche between

sacred text to form a religious tradition that is

two declining empires- the Byzantine and the Sas­

detailed and all-embracing. Although there are

sanian. Having successfully overcome opposition to

a number of versions of Islam, there is an ortho­

his preaching, the simplicity of Muhammad's mes­

dox core which is still authoritative (Hodgson,

sage functioned as an important social bond which,

1974).

during his lifetime, united the fissiparous nomadic

From the orthodox point of view, Islam is time­

tribes. Islam spread rapidly through the Middle

less. As a faith based on complete submission to the

East and North Africa. There has been much dis­

will of Allah, Islam has neither beginning nor end;

pute over the causes of conversion to Islam. Critics

Islam is self-sufficient in that it has not depended on

emphasize the importance of holy war Gihad) and

any other religion, but it is also the last religion,

the economic benefits of either conversion or pro­

which perfects all other versions of monotheism.

tection. Islam has often been regarded as a warrior

1920-1) but

From a sociological point of view, Islam is an Abra­

religion which spread by force (Weber,

hamic religion which shares many beliefs and insti­

it is important to acknowledge that Islamic expan­

tutions with Christianity (see CHRISTIAN SOCIAL

sion depended heavily on the growth of trade and

THEORY) and ]UDAISM, such as a sacred book

commercial links as the routes along which Islamic

(the Qur'an), an ethical prophet (Muhammad), a

missionaries spread. Islam is essentially an urban

normative tradition (the Sunnah), a doctrine of

religion of merchants, not a faith of desert nomads.

individual salvation and a view of Islam as a social community

(the

Ummah),

which

is

essential

After the death of the Prophet, Islam split into a Sunni majority and a Shi'ite minority movement.

if Muslims are to practise their religion fully. The

Sunnism became the official ideology of the caliph­

principal

ate (the central institution of the Islamic polity). By

differences,

which

are

disputed

by

310

ISLAM

contrast, Shi'ism, which became eventually the

al-Wahhab

'official' religion of Persia, was based on the idea

mentalist return to Islamic principles. Liberal

(1703-1787), sought to create a funda­

of a charismatic succession of religious leaders

responses on the part of the urban intelligentsia,

(Imams) who drew their legitimacy from their des­

particularly

cent from the Prophet (Richard,

a reform oflslam with Western principles of parlia­

1995). Its religious

in

Egypt,

mentary The

practice. These two branches of Islam eventually

and cultural penetration was thus intensely am­

developed different legal and religious characteris­

biguous, swinging between outright acceptance of

Sunnism

developed

four

major

'rites'

(Hanafite, Malikite, Shafi'it and Hanbalite). Once

response

secular

integrate

tyrdom; Sunnism remained a more sober, ascetic

Islamic

and

to

ethos gave greater emphasis to suffering and mar­

tics.

democracy

attempted

to

Western

education. economic

secular Westernization and violent anti-colonial nationalism.

the holy law (Shari'ah) had been fully developed by

In the twentieth century, these cultural and

these four schools, it was said that no further or new

social dilemmas continued, despite the successful

interpretation of the sacred law was possible; the

process of decolonization which occurred after

gate of judgement (ijtihad) was closed.

World War II. Immediately after the war, Islamic

Intellectually Islam then went into a long period

societies were significantly influenced by various

(from the tenth to the nineteenth century) of official

forms of secular NATIONALISM, of which Nasser's

ossification in which any change in the core doc­

Egyptian brand of nationalism and P ANARABISM is a

trines was ruthlessly opposed. Although Islam

significant example.

continued to expand through the creation of new

movement had a strong attachment to both nation­

cultural and political centres in Spain, India, Persia

alism and Marxist SociALISM. In Indonesia, the

In Algeria,

the liberation

and Turkey, social scientists have claimed that the

anticolonial struggle against Western, specifically

failure oflslam to maintain a technical and military

Dutch, colonialism adopted a mixture of Islamic

advantage over Europe has its origin in this rigid

universalism, paganism, nationalism and a person­

opposition to innovation. After a series of crucial

ality cult around Sukarno. In Iran, the intellectual

turning points for Islam- the loss of Spain in

leader Ali Shari'ati

1492,

(1933-77) produced a revolu­

the military defeats outside the gates of Vienna in

tionary blend of Marxism and Shi'ism to inspire a

1529 and 1683, and the defeat of the Ottoman navy 1571 - the capitalist

the voice of the people.

at the Battle of Lepanto in

mass movement for whom the word of Allah was

West acquired a strategic economic and military

These radical anticolonial movements which

advantage within the world system. The heartlands

combined secular nationalism with Islamic social

of Islam became encircled as Western capitalism

principles have been slowly but globally challenged

and CoLONIALISM spread through Africa, India

in the late twentieth and early twenty-first centuries

and Asia. By the nineteenth century, Islam was

by a profound emphasis on FUNDAMENTALISM,

decisively on the defensive against Western imperi­

which has rejected MoDERNIZATION (both capitalist

alism as many Muslim societies came under direct

and socialist) and the traditional folk religiosity of

or indirect European (and therefore Christian)

the Sufi orders (Tibi,

control. Many Muslim leaders in the twentieth

Banna

1998). In Egypt, Hassan al­ (1906-1949) founded the Ikhwan al-Musli­

century, such as Colonel Mu'ammar al-Qlddafi of

mun (the Muslim Brotherhood) to fight imperial­

Libya, regard nineteenth-century territorial expan­

ism, to foster Islamic unity and to defy Islamic

sion as the final stages of the Crusades.

governments which cooperated with Western con­

Between Napoleon's Egyptian expedition and

trol. The Ikhwan opposed secularist features of

World War I, Islam experienced three major social

Nasserism, sought to compel Sadat to undertake a

transformations. The first was the political decline

thorough Islamization of Egyptian social life and

of the Ottoman Empire in relation to Western ex­

bitterly opposed any peace process with the Israelis.

pansion, resulting in its dismemberment after 1918;

Because the Ikhwan has a mass following and ex­

secondly, the economies of the various Muslim

tensive support in the army, it has remained a sign­

states were incorporated into global capitalism on

ificant appositional force.

a dependent basis; and thirdly there were important

In

Pakistan,

Maulana

Abul

A'la

Mawdudi

responses in the form of religious movements to

(1903-1979) created in 1941 the Jamaat-i-Islami,

these secular developments. The Wahhabi move­

which had originally narrowly religious objectives.

ment, which was founded by Muhammad ibn 'Abd

However, Mawdudi's writings assumed an increas-

ISLAM

311

ingly political direction, because he condemned

points for opposition which few governments dared

nationalism as a Western idea which divided the

to attack.

Muslim community. He called for the creation of

Two further changes in the twentieth century

an Islamic state which was to be based on exclu­

were crucial. The development of a world commu­

sively religious principles. In the 1970s, the Jamaat

nication system has enabled the world Muslim

played a major role in the struggle against the

community

secularism of President Bhutto's Pakistan People's

political force.

Party and maintained pressure on General Ziaul

become a crucial feature of Islamic globalization.

to

become

a

more

united

global

The Pilgrimage to Mecca has

Haq to bring about the Nizam-e-Mustafa (the Is­

Secondly, the presence of Islam has become a pol­

lamic system).

itical force inside Europe (partly as a consequence

In Iran, opposition to the Pahlavi dynasty and

of extensive migration to Britain, France and

to the Western economic policies of Reza Shah

Germany) and to a lesser extent in what was the

drew considerable support from fundamentalist

Soviet socialist bloc. These conflicts came to a crisis

groups who came eventually under the leadership

in the Salman Rushdie affair, which involved a

of Ayatollah Ruhollah Musavi Khomeini (1902-

mass protest in 1989 against continued publication

1989). Khomeini challenged the governments of

of The Satanic Verses. This struggle is one aspect

all Muslim countries for failing to uphold the

of a broader campaign for Muslim schools, an

Shari'a, for accepting foreign influences and for

Islamic curriculum, the right to wear Muslim

neglecting the rights of their Muslim citizens.

clothing in public, and for recognition of Islamic

The fall of the Shah (1978-9) has resulted in a

personal law.

triumph of the jurists and the clergy (the mullahs)

Islam, as a result of its association with the oil­

over the everyday regulation and imposition of

rich states, has also played an important economic

religious practices and beliefs, especially in the

role in the development of Muslim societies, espe­

symbolic return of the veil in women's attire

cially in the Third World. However, the Islamic

(Kamali, 1998). Khomeini continues to have many

prohibition on usury has often forced Islamic com­

loyal Shi'ite followers in Iraq, Lebanon and the

mercial leaders to depend on Western intermedi­

Gulf states.

aries. This relationship has had some disastrous

Similar, if less spectacular, religious changes have taken place throughout the Islamic world. In

consequences, as in the case of the collapse of BCCI in 1992.

Algeria, an uprising in 1988 in which Islamic fun­

In summary, with the end of the Cold War and

damentalism played a part has forced the regime to

the collapse of communism, the second half of the

adopt religiously inspired social reforms and to

twentieth century was a period of increasing polit­

legalize the Islamic opposition party (the Front

ical tension between Islam and the West. This

Islamique du Salut). In the Sudan, a military coup

cultural

against Sadiq-al-Mahdi was undertaken by officers

erupted into violent conflict over Afghanistan,

close to the Ikhwan in 1989. In Tunisia, Islamic

Iran, Iraq and the Gulf, and political leaders such

opposition groups won 17 per cent of the popular

as Saddam Hussein were characterized by the

vote in 1989. In the occupied areas of Palestine,

Western press as evil figures. In 1998, the United

and

economic

competition

has

often

Islamic forces have been influential in the intifadha

States Government offered $5 million for the cap­

struggle against Israeli forces.

ture of Osama bin Laden who was accused of em­

The causes of Islamic fundamentalism are com­

bassy bombings in Kenya and Tanzania. In former

plex. It represents a response to the failures of

Yugoslavia, conflict between Christian Serbs and

capitalist experiments to raise the real standard of

Muslims resulted in 'ethnic cleansing' in Kosovo

living of the masses, and also a response to political

and Bosnia (Sonyel, 1994); in the former Soviet

attempts to enforce secular communism. Islam's

Union, Muslims in Chechnya have become in­

egalitarian message of revolutionary struggle has

volved in a violent struggle for independence. As a

been successful in mobilizing the rural and urban

result, Islamic culture came to be regarded as in­

masses against governments which have been sym­

compatible with Western values and perceived as a

pathetic to Western influences and those which

major political threat to the West (Huntington,

have sought Soviet support. Popular protest against

1997); see ASIAN VALUES.

urban elites have found a natural leadership in the

These negative images of Islam can be inter­

mullahs, while the mosques were strategic meeting

preted as continuing aspects of classical Orientalism

312

IT

(Said, 1978), in which the Islamic world is defined by its 'otherness'. The paradox of these negative images is that, as a result of migration and globalization, Muslim communities have settled and evolved in most Western industrial societies, where they constitute an important element of the labour force. It is estimated that there are over sixteen million Muslims in Europe, and Islam as

a

faith

is

also

well

established

in

the

United States (Smith, 1999). In addition, Western commentaries on fundamentalist Islam typically fail to consider the heterogeneity of contemporary Islamic belief and practice. For example,

the

Reading Abu-Zahra, N. 1997: The Pure and the Powerful. Hodgson, M. G. S. 1974: The Venture of Islam. Conscience

and History in a World Civilization. Huntington, S. 1997: The Clash of Civilizations. Remaking

of World Order. Kamali, M. 1998: Revolutionary Iran. Civil Society and

State in the Modernization Process. Othman, N. 1999: Grounding Human Rights arguments in non-Western culture: Shari'a and the citizenship rights of women in a modern Islamic state. In The East Asian

Challenge for Human Rights, eds J. R. Bauer and D. A. Bell. Richard, Y. 1995: Shi'ite Islam.

apparent triumph of fundamentalism has been

Said, E. 1978: Orientalism.

challenged by a number of prominent liberal

Shar'ati, A. 1980: On the Sociology of Islam.

intellectuals in Islam and there is considerable

Smith, J. I. 1999: Islam in America.

opposition

Sonyel, S. R. 1994: The Muslims of Bosnia: Genocide of a

reject

the

from

radical Muslim

traditional

seclusion

women who of

women,

veiling and arranged marriages (Othman, 1999). The strength of democratic movements in contem­ porary Iran and Indonesia illustrate the resilience of intermediate associations, religious commu­

People. Tibi, B. 1998: The Challenge of Fundamentalism. Political

Islam and the New World Disorder. Turner, B. S. 1998: Weber and Islam. Weber, M. 1920-1 (1966, 1993): The Sociology of Religion.

BRY AN S. TURNER

nities and social movements within Islamic CIVIL SOCIETY.

IT

See INFORMATION TECHNOLOGY AND THEORY

J Judaism

A belief system which, in the beginning

of time, emerged with a single idea- monotheism­

became, in accordance with Torah prediction, 'a by word among the nations'.

and in the course of time elaborated this idea by

The second dispersion, more total and more

constructing ethical imperatives, first for the single

widespread than the first, brought Judaism into

God and then, through covenant and revelation, a

contact, albeit limited and poorly tolerated contact,

corpus of timeless laws (Torah), which the people

with a range of other belief systems and religions,

oflsrael, elevated through the experiences of liber­

resulting in many structural changes in Judaism

ation and exodus, endorsed and then amplified into

which were frequently due to the catalytic impact

an eternal literature, the Bible. With the unique

of host cultures. Priests and prophets gave way to a

God and the unique Torah, there appeared, simul­

rabbinic Judaism - with rabbis as teachers and

taneously and inseparably, the sense of peoplehood,

guardians of Jewish law- in which the codifications

of being the chosen, or better, the choosing people,

of an 'oral' law, as opposed to the revealed 'written'

and the identification of a plot of land as the only,

law, offered an inexhaustible source of social and

the promised, the Holy Land. Time and space thus

intellectual adaptation. It established a continuum

validated the ephemeral dreams of desert wander­

of tradition and progress which has enabled the

ers.

people to come to terms with almost all social,

In a naive dialectic of human greed and social

economic or political variants. Although doggedly

justice, political sophistication and crude force,

intolerant of heathenism and all forms of pagan

ascetic learning and sensuous pleasure, the people

worship, Judaism found it easier to accommodate

were torn by and between external power and in­

itself to the two dominant religions of the Diaspora

ternal strife, guided, chided and occasionally com­

(countries of dispersion)- Christianity and IsLAM­

forted by that uniquely Judaic phenomenon - the

than either of them did to the mother religion.

prophet- fierce, fiery, uncompromising, but always

Rabbinic Judaism found ways of incorporating

proclaiming a rational ethic, teaching humanity

theological and philosophical problems from the

(according to Max Weber) the first steps towards

Christian West and scientific and mathematical

a disenchantment of the world. In a nation of dis­

thought from the Arab East without, in either

senters, where even atheism is negotiated through

case, sacrificing their expressly Jewish orientation.

the law, conflicts of principle, struggles between

The frequent hostilities shown to Jews were util­

concepts, battles over issues, tended to take prece­

ized to create separate and closely knit communities

dence over earthly realities and political discipline.

led by this-worldly rabbis and supported by the

The price they paid was high. It gave Israel its

spontaneous autonomy which an imposed segrega­

first taste of exile, but left the creative impulse of

tion created. Just as the prophetic message was

the people unharmed. In Babylon the temple was

deliberately rational, so was rabbinic teaching on

replaced by the synagogue and daily prayers took

practical and metaphysical issues: freedom is a pre­

the place of cultic sacrifice. For all the centrality of

condition of Judaism, but freedom can only exist

history in the Jewish worldview, it has not pro­

under the law; equality is not merely social and

tected the Judaic enterprise from falling a second

economic but also spiritual - there can be no eccle­

time into the traps of defeat and dispersion through

siasticism; salvation is itself a rational resolution of

internal dissension and fraternal strife, which in­

human conflict, hence the Messiah is not for indi­

cluded the appearance of Jesus and the birth of

vidual salvation, his role is national in the first

Christianity. Nevertheless the conceptual unity of

instance, but can be national only in a universal

God-Torah-people-land was maintained and pre­

context. Judaism accepts, but does not invite pros­

served and the carriers of Judaism - the Jews -

elytes. It has no doctrine of an only truth - other

314

JUSTICE

than the unity of God - and insists that righteous­ ness is a human, not aJewish, aspiration. For almost 2,000 years theJews lived as more or

forming an orthodox movement while those who saw a need to conform to the standards of the gentile environment developed a Reform move­

less tolerated minorities in Europe and Asia- from

ment which took its inspiration as much from

Scotland and Norway in the North, Morocco and

Christian worship as from itsJewish roots.

Spain in the West, to Persia and Iraq in the East.

For some Jews the new era called for a more

They lived for the most part in a Jewish world

radical response. They noted the growing secular­

whose external boundaries rarely extended beyond

ization of society, the depressingly constant hostil­

the regulations of and taxation by the host country.

ity of host nations, and the rising interest in one

However problematic the material existence of the

or another form of socialism throughout Europe. In

people may have been, Judaism enjoyed a long

one way or another they responded to one or two

period of consolidation and creative innovation

or all three of these factors by variously leaving

which enriched the prayer-book, enhanced internal

Judaism altogether, forming a nationalist and/or

discourse but shifted increasingly towards a rational

socialist Judaism or seeking to preserve ancient

intellectualism which gave rise to two dissenting

loyalties in a modern garb through aJewish human­

movements withinJudaism. The first originated in

ism. The revolt against the emancipation of the

Palestine, where Jews, now representing a very

Jews in Europe, which led to the extermination of

small, barely tolerated minority, sought solace in a

six million Jews (see

deeper, secretive and less formal approach to God.

both the religious and the secular streams in

Jewish mysticism found expression in the Kabbalah

Judaism. It led to the return of the Jews to their

ANTI-SEMITISM),

consolidated

(the literature of the mystic tradition) and initiated a

ancient homeland, a sharp polarization of religious

new perspective in theJudaic tradition. A little later

and non-religious Jews, and, in the spirit of a

the same hard rationalism, now in marked contrast

reformed Europe, a Jewish pluralism which may

to the emotionally more satisfying mysticism, gave

be a first step towards a much desired messianic era,

rise to a growing alienation of economically and

and which also reflects the tolerance which most

socially deprivedJews in Eastern Europe. This led

host nations now show for the bearers of theJudaic

to the development of Hasidism, a movement of

tradition. While many of its adherents are assimi­

devoutly religious Jews, who put the service of

lated into their host cultures,Judaism itself assimi­

God before the study of his law.

lated much of what is best in these host cultures into

Although the creation of both these movements

itself, thus giving it a vitality and resilience which

resulted in considerable conflict and communal

has enabled it to survive in an essentially hostile

tension they did not represent a true challenge to

world.

the principal norms and values of an established J udaism, nor did they alter the existing patterns of Jewish life. It was different with the next great impetus for change, which this time came from outside and which threatened to engulf the whole Judaic system. The French revolution aimed to restructure society at all levels in the spirit of new notions of social equality advocated by the Enlight­ enment. The Jew, too, was to be given the rights and privileges of citizenship in a Europe in which most of them were confined to ghettos and by petty restrictions which

ensured

their subservience.

There was an expectation that in return for civil rights they would give up 'bad habits' of earlier times and adapt themselves to the demands of the new era. Neither theJews nor the people of the host

Reading Bulka, R. P. 1983: Dimensions of Orthodox ]udaism, Encyc­ lopedia ]udaica, 1971, vol. I 0. Fackenheim, E. 1987: What is ]udaism? An Interpretation for the Present Age. Glatzer, N. N. ed. 1968: Martin Buber: Humanism. Levin, N., 1978:]ewish Socialist Movements, 1871-1917. Meyer, M. A. 1988: Response to Modernity: a History ofthe Reform Movement in ]udaism. Rabinowicz, H. 1970: The World of Hasidism. Scholem, G. 1961 (1973): Major Trends in ]ewish Mystietsm. Spero, S. 1983: Morality, Halakha and the ]ewish Trad­ ition. Urbach, E. E. 1975: The Sages, their Concepts and Beliefs, 2 vols.

JULIUS CARLEBACH

countries were any too eager to accept this change. For the rabbis it was a threat to the survival ofJews

Evaluations of the basic social and polit­

as Jews. This led to diverging schools of thought,

justice

with

ical institutions, particularly with respect to the

those

who clung

to traditional Judaism

JUSTICE consequent distributions of benefits and burdens,

past illegitimate acquisitions or

are standardly expressed in terms of justice or in­

RIGHTS).

transfers

315 (see

justice. In its most general sense the concept of

The idea of socialist justice is controversial in

justice requires that each individual have what is

that justice, particularly if it is associated with

due to him or her. Within this formula we may

desert, may be regarded as a bourgeois value based

distinguish formal and material justice.

on erroneous ideas of individual responsibility.

Formal justice requires distributions which are in

However, a radically egalitarian conception of just­

accordance with existing or agreed criteria or rules.

ice can be framed in terms of distribution in accord­

It is often identified with legal or individual justice.

ance with need, so that substantive justice favours

This involves standards of procedural justice ('due

outcomes in which individuals or groups are in a

process' or 'natural justice') which are directed to­

position of material equality (see Buchanan, 1982).

wards fairness and accuracy in the application of

The most influential contemporary theory of

rules. It entails formal equality if it is assumed that

justice seeks to combine a number of criteria of

every person in a society or group ought to be

material justice under the idea of contract. John

treated in accordance with the same rules.

Rawls (1971) argues that the principles for deter­

Material (or substantive) justice concerns the

mining the basic institutions of a society which

identification of the appropriate distributive cri­

would be chosen in a procedurally fair situation

teria (such as rights, desert, need or choice) that

('the original position'), and which are endorsed

constitute competing conceptions of justice. Ma­

by our firmest reflective intuitions as to what is

terial justice may justify substantive inequalities of

just, are:

outcome or redistribution between different social Each person is to have an equal right to the most

groups. It is often identified with social justice. Justice is often held to be the priority social value

extensive total system of basic liberties compat­

which overrides all other normative considerations,

ible with a similar system of liberty for all (p. 250); and

such as utility, at least with respect to the basic institutions of a society (Rawls, 1971, p. 3). This

2

Social and economic inequalities are to be ar­

makes the choice of the specific criteria of a just

ranged so that they are both (a) to the greatest

distribution a matter of normative controversy

benefit of the least advantaged and (b) attached

(Miller, 1976, pp. 151ff.). If the normative priority

to offices and positions open to all under condi­

of justice is not taken for granted then the selection

tions of fair equality of opportunity (p. 83).

of one of these competing conceptions of justice is largely a matter of conceptual convenience (Camp­

Recent 'communitarian' theories hold that criteria

bell, 1988, pp. 6ff.). However, criteria of substan­

of justice depend on the 'sphere' in which distribu­

tive justice are normally confined to characteristics

tions are being considered, so that, for instance,

or properties of individuals (Honore, 1970, p. 63).

economic and political justice are distinct (Walzer,

More restrictively, it can be argued that criteria of

1983, pp. 23-5), and that standards of justice are

justice, either always or mainly, refer in one way or

always relative to the understandings and expect­

another to the deserts or merits of those affected by

ations current in specific societies.

the distribution in question (Sadurski, 1985, eh. 5). Critics of the concept of social justice argue that

Reading

the idea of distribution in accordance with a pattern

Ackerman, B. A. 1980: Social Justice in the Liberal State.

(such that the extent and nature of a person's hold­

Barry, B. 1989: Theories ofJustice.

ings depend on the extent and nature of his or her

Buchanan, A. E. 1982: Marx and Justice.

characteristics) is mistaken because the achieve­ ment of such patterns involves unwarranted cur­ tailment

of

the

liberties

of

individuals.

An

alternative, 'entitlement' model of justice (Nozick, 1974, part 2) takes holdings to be just if they are the result of legitimate behaviour. Justice is then the

Campbell, T. D. 1988: Justice. Honore, A. 1970: Social justice. In Essays in Legal Philosophy, ed. R. S. Summers. Nozick, R. 1974: Anarchy, State and Utopia. Rawls,J. 1971 (1999): A Theory ofJustice. Sadurski, W. 1985: Giving Desert its Due: Social Justice and Legal Theory.

outcome of acquisitions and transactions which do

Sandel, M. J. 1982: Liberalism and the Limits ofJustice.

not violate the pre-existing moral rights of the

Walzer, M. 1983: Spheres ofJustice.

individuals, or which rectify the consequences of

TOM D. CAMPBELL

K Keynesianism

In its broadest sense Keynesian­

Ism. Keynesianism seemed to offer a 'third way'

ism is an approach to the political, social and

between

economic affairs of advanced capitalism that valid­

which, by transforming capitalist society, would

ates the state taking a leading role in promoting

strengthen and preserve it.

laissez-faire

capitalism

and

socialism

material welfare and growth, and in regulating

The policy of'public works' - direct state invest­

civil society. It also has a narrower meaning as a

ment in infrastructure - which Keynes saw as one

body of economic theory underlying macroeco­

means to promote full employment had been on

nomic policy. Both concepts of Keynesianism

the agenda of political debate and partly imple­

derive from the writings of John Maynard Keynes

mented in Franklin D. Roosevelt's NEW DEAL in

from the late 1920s and from the policies he at­

the United States before Keynes published his

tempted to implement from within British official

major theoretical work, The General Theory of Em­

circles then, and during World War II and post-war

ployment, Interest and Money. It illustrates the

reconstruction.

breadth of Keynesianism for, instead of public

The fundamental idea of Keynesian thought is

works being only a technical economic device, the

that capitalist economies systematically fail to gen­

programme's adoption required a fundamental re­

erate stable growth or fully utilize human and phys­

construction of political forces. In the United

ical resources; markets, which are civil society's

States that included the formation of the long­

main economic mechanisms of self-regulation and

lasting Democratic Party coalition of the industrial

adjustment, cannot eliminate economic crises, un­

working class, liberal middle classes, poor ethnic

employment, or, in later versions, inflation. How­

groups, and Southern interests, and its implemen­

ever, the meaning of Keynesianism, in either its

tation involved an expansion of Washington-based

broad or narrow sense, is open to interpretation

executive agencies. In Britain the pressure for

and is the subject of continuing controversy, as is

public works financed by credit was a struggle

its validity.

against the entrenched interests represented polit­ ically by the 'Treasury view'.

Broad Keynesianism

Public works programmes were generally op­ posed by banking interests in both America and

The idea that the state has a special role in fostering

Britain and the adoption of other elements of

material welfare and growth predates Keynes by

Keynesian economic policies, such as low interest

many centuries, but Keynesianism provided an in­

rates to stimulate private investment, similarly re­

tellectual rationale for a type of state project not

quired a political reorientation which demoted the

previously attempted under capitalism. Under it,

power of financiers. The construction of a liberal

full employment was given priority as a citizen's

corporatist state with institutionalized links be­

right which, since private enterprise itself could not

tween trade unions, employers' organizations and

be relied on, should be delivered by the state pro­

state agencies was one political shift that appeared

moting investment directly or through managing

consistent with Keynesianism; but public works

markets to induce businesses to invest.

and hostility to banking were also found in fascist

That project gained political and social momen­

states built on a rather different kind of CoRPORAT­

tum from apparently intractable mass unemploy­

ISM.

ment in the 1920s, culminating in the crises of the

ation (most famously the Mond-Turner talks) were

In Britain moves toward corporatist cooper­

1930s, which put the legitimation of the capitalist

in ferment in the years leading up to Keynes's

order in doubt and appeared to threaten that it

promulgation of his economic strategy in the 1930

could collapse into barbarism or give way to social-

hearings of the Macmillan Committee, but they

KEYNESIANISM

317

made no significant progress until World War II.

in his Treatise on Money, published in 1930, Key­

Then the growth of working-class social democratic

nes's definitive statement was The General Theory

and communist organizations created the basis for a

of Employment, Interest and Money, published in

post-war reconstruction of the state based on rights

1936. It claims to demonstrate that, contrary to

to full employment and social provision, control

the orthodox reasoning of 'classical theory', the

over financial institutions and markets, public own­

capitalist system, left to itself, will not generally

ership and investment in major industries. At the

produce full employment. The key to this theoret­

same time a dominant political ideology ofKeynes­

ical revolution was the development of two con­

ianism, shared by the major parties, was con­

cepts, liquidity preference and effective demand.

structed and held without effective challenge for

Liquidity preference is a highly simplified model of the workings of financial markets which provided

three decades. Although full employment, engineered through

a basis for the conclusion that financial markets may

public spending and measures to manage private

systematically cause interest rates to be at a high

investment, was the goal around which that con­

level that depresses private industries' investment.

sensus and corporatist arrangements were con­

Its formal presentation as the idea that the demand

structed, its near achievement led to renewed

for the stock of money depends on the rate of

attention being given to the control of inflation

interest is now an integral part of all modern eco­

which, as M. Kalecki had warned in 1943, would

nomics, although theKeynesian conclusion derived

be used as an argument against full employment

from it is not.

new direction for

Effective demand is the notion that aggregate

Keynesianism. In the belief that full employment

demand, and hence saving, depends on dispos­

policies.

This prompted

a

had been irrevocably achieved, its main tenet

able income; consequently, full employment may

became the achievement of national growth with

be unsustainable because its level of output is not

low inflation, and corporatist arrangements were

matched by aggregate demand. It stands in contrast

increasingly used to manage the labour market in

to the 'classical' or, more accurately, neoclassical

attempts to restrict wage inflation (through im­

view that the price mechanism automatically ad­

posed or agreed 'incomes policies' and 'social con­

justs to ensure equality between demand and

tracts').

supply, for instead of demand responding only to

Although Keynesianism is most closely iden­

prices it responds to income.

tified with the post-1945 domestic agendas of the

Placing these concepts in the framework of con­

United States and Western Europe, especially Brit­

cepts of aggregate output and income which then

ain's WELFARE STATE, it had a strong international

became the Keynesian basis for modern National

dimension in Marshall Aid and the construction of

Income accounting, the Keynesian theorem stated

the Bretton Woods system around the International

that the aggregate investment plans of business will

Monetary Fund and World Bank. That system was

not, in general, be equal to aggregate saving chosen

originally based on the Keynesian notions of gov­

at full employment output. At its centre is the

ernmental management of international finance and

failure of the interest rate to adjust automatically

exchange rates, and control over bankers' oper­

to restore investment-saving to equality, a condi­

ations. Keynes's statesmanship in building the

tion required for equilibrium. Consequently, with

system was aimed at facilitating domestic manage­

investment plans depressed, output and income

ment of interest rates and government finance to

have to be at a depressed level (with mass un­

promote full employment investment policies, but

employment as a symptom) in order to depress

politically it represented an international realign­

saving to the same level.

ment with American economic management of the capitalist order.

Although that model of unemployment equilib­ rium has remained the core Keynesian model, it was

Narrow Keynesianism

extended

in various ways.

Applying the

principle of effective demand and the notion that the interest rate does not determine firms' desired

The broad political agenda ofKeynesianism had its

capital stock, Roy Harrod and

roots in the technical revolution Keynes and his

showed that in a growing economy full employment

Evsey Domar

followers believed he had achieved in economic

is not the general case. Their model became the

theory. Although several key ideas were contained

basis of development planning for the Third

318

KEYNESIANISM

World, holding a pre-eminent position until four

and unemployment appeared as a special case

decades after the General Theory appeared. How­

resulting from wage rigidity, in contrast to Key­

ever, in Western macroeconomics the most sign­

nes's own general theory of unemployment in

ificant extension to the Keynesian model occurred

which full employment was seen as the exception.

in the 1960s when the notion of a relationship

A 'neo-Keynesian' critical school emerged in the

between unemployment and the rate of inflation

1970s emphasizing the importance of quantities

(the Phillips Curve) was added. Within economic

whenever any prices in the system are less than

theory the Phillips Curve promised to remedy the

perfectly flexible and showing that unemployment

silence of the core model on how the price level is

is generally possible while full employment equi­

determined, while in a broader Keynesian perspec­

librium is only one of many possibilities. That

tive it provided a basis for incomes policies.

school retains but amends the choice theoretic foundations of the neoclassical synthesis. By con­

Disputes over Keynesianism The broad Keynesian agenda had been attacked

trast, PosT-KEYNESIANISM attempts to return to the 'true Keynes', emphasizing complex phenomena that undermine those foundations. That school

from its earliest days as socialist, although its

pays special attention to the role of unquantifiable

avowed role was the preservation of capitalism;

business expectations; the lack of connection be­

but ultimately it was undermined by changed cir­

tween the interest rate and the productivity of

cumstances more than by that political attack on it.

capital; the endogenous character of the money

The Keynesian hegemony constructed after World

supply instead of its control by the central bank;

Warr II lost its cohesion in the late 1970s as the

the importance of credit and the whole structure of

international order anchored by the US dollar gave

finance instead of money; and the influence of

way to unregulated international finance, and the

income distribution on macroeconomic develop­

social consensus of domestic politics in advanced

ments.

capitalist countries was fragmented by the phenom­

The monetarist criticisms voiced by Milton

enon of high inflation coexisting with high un­

Friedman and his school for many years took a

employment.

new and powerful line at the end of the 1960s by

It was overturned as an official

agenda when Margaret Thatcher gained power in

interpreting Keynesian theory as depending on the

Britain and Ronald Reagan in America, but import­

Phillips Curve. Friedman gave the latter a neoclas­

ant elements survived. In Britain, majority opinion

sical foundation by introducing expectations of

continued its allegiance to the core of the Keynesian

inflation into a model of wage determination and

welfare state, America experienced a long boom

obtained the anti-Keynesian result that in the long

generated by Keynesian-type deficit financing of

run unemployment, however high, is at its natural

state spending, and in continental Western Europe

rate reflecting workers' choice instead of being in­

Keynesian types of state management promoted

voluntary and is not influenced by Keynesian

growth and modernization. Nevertheless, the fun­

demand-management policies. Because the domin­

damental Keynesian objective of permanently elim­

ant Keynesian model itself was based on neoclas­

inating mass unemployment was lost in that period.

sical principles, its supporters were unable to argue

In economic theory, the interpretation of the

effectively against this extension despite its anti­

Keynesian model that had dominated the first

Keynesian

two-and-a-half post-war decades was fundamen­

Keynesian model was carried further by 'new clas­

tally challenged by, on one hand, Keynesian theor­

sical' writers, who demonstrated that in a model

conclusion.

That

criticism

of

the

ists themselves and, on the other, MoNETARISM and

where expectations are 'rational expectations', un­

'new classical' theory. The dominant existing inter­

employment is voluntary and at its 'natural rate' at

pretation of Keynes's theory, the 'neoclassical syn­

all times, not only in long-run equilibrium (see

thesis' inaugurated by ]. R. Hicks in 1937 and

NEW CLASSICAL ECONOMICS) . Although that refuta­

developed by A. C. Pigou, F. Modigliani and D.

tion of Keynesian conclusions confounds common

Patinkin, had attempted to base his conclusions on

sense and experience, the dominant neoclassical

the neoclassical theory of markets in which prices

synthesis version of Keynesian theory was unable

rather than quantities (such as income and output)

to present a grand alternative in the way that Key­

were the adjustment mechanisms. In this interpret­

nes had attempted. While unemployment at prewar

ation, the economy's smooth working was the norm

levels

returned,

mainstream Keynesian theory

KINSHIP accepted the concept of a natural rate of unem ploy­

319

through the study of the classification of relatives

1977).

ment and was concerned only with the speed at

(Morgan,

which economies reached it.

tionship terminologies are conservative and reflect

His supposition was that the rela­

forms of social structure which have been rendered

Reading

extinct.

Keynes, J. M. 1936: The General Theory of Employment, Interest, and Money. Leijonhufvud, A. 1968: On Keynesian Economics and the Economics ofKeynes. Moggridge, D. E. 1976: Keynes. LAURENCE HARRIS Keynesianism, postkinship

See PosT-KEYNESIANISM

A pre-eminent field within ANTHRO­

POLOGY since the late nineteenth century, kinship remains both a keystone to the understanding of particular societies and a tool through which to explore theoretical issues such as human evolution,

McLennan's ideas on exogamy re-emerged in the twentieth century as the foundation of alliance theory (see below). Morgan's work on relationship terminologies remained important in kinship stud­ ies throughout the following century. It also took on a larger significance because he regarded the devel­ opment of private property as the single most im­ portant cause of social evolution, particularly in the change from matrilineal to patrilineal descent. This attracted Karl Marx and Friedrich Engels, who helped to popularize Morgan's ideas outside the realm of kinship studies (see especially Engels,

1884).

social organization and 'primitive' thought. It is also a topic of interest within other fields, including psychology, sociology and economic and social his­ tory, and a topic of recent practical interest with regard to issues such as in vitro fertilization.

Descent theory In the twentieth century, interest turned towards the understanding of particular kinship systems. Evolutionism declined among anthropologists as the new generation engaged directly in field re­

The late nineteenth century

search, a practice which had engaged Morgan but

The importance of kinship in the late nineteenth

very few other nineteenth-century thinkers. This

century was related to its significance for the theory

fact, together with the impact of synchronic ahis­

of social evolution. One debate concerned the his­

torical approaches, which were emerging in linguis­

torical precedence of patrilineal (descent through

tics and sociology as well as in anthropology, led to

men) versus matrilineal (descent through women)

the development of the idea of kinship as the foun­

social

nineteenth-century

dation for the social organization and even the

writers argued for the primacy of patrilineal des­

indigenous thought of the peoples anthropologists

organization.

Some

cent, as found for example in ancient Rome, in the

studied. In both the American and the British trad­

foundation of society. Others argued that group

itions, the key theoretical ideas which informed the

marriage and matrilineal - and even matriarchal

next generation originated with the functionalist

(with authority in the hands of women) - social

school.

organization preceeded the development of patri­

The

lineal groups and rules of inheritance. Among the

school,

central

idea

especially

its

of

the

FUNCTIONALIST

structural-functionalist

key thinkers who held this view were John F.

branch, was of society as being made of 'systems':

McLennan and Lewis Henry Morgan. McLen­

economic, political, religious and kinship (for in­

nan's

(1865)

version of the theory was based on

stance, Radcliffe-Brown,

1952, pp. 49-89, 178-87).

his supposition that people knew their relationship

Kinship systems came to be seen as pivotal to the

to their mothers before they understood the role of

workings of society in general, as social institutions

fathers in conception. This, he argued, led to poly­

within kinship affected the structure of those out­

andry (the marriage of one woman to more than one

side this domain. For example, bridewealth (pay­

man), then to bride capture, and then to exogamy

ment, usually livestock, from a bridegroom to his

(marriage outside the group). Morgan agreed with

bride's kin) has implications for the accumulation

McLennan on the precedence of matrilineal des­

and distribution of wealth. It also has implications

cent but suggested errors in McLennan's line of

for political relations within and

reasoning. He argued instead that the best evidence

groups which exchange wealth and people in mar­

for early forms of social organization is to be found

nage.

between kin

320

KINSHIP

The dominant theme which resulted from stud­

mother's brother's or father's sister's child) and

ies in this tradition later became known as descent

more distant terminological equivalents (such as

theory, in opposition to alliance theory which de­

second cousins). In some of these societies, notably

veloped in the decades following World War II.

those in Aboriginal Australia, marital alliance is

Descent theorists were primarily interested in rela­

part of a larger indigenously defined system of

tions within kin groups. They stressed the idea of

world order in which relations between kin groups

groups as corporate or property-owning units.

are thought to duplicate relations between animals,

Such 'property' could variously take the form of

mythical beings, and elements of the cosmos such

movable goods, land, sacred sites, ritual statuses, or

as the sun and the moon (Maddock, 197 3).

simply a group name and its exclusive identity.

Other societies of importance for alliance theory

Membership of the group could be derived from

are found in parts of South and South-east Asia,

descent through the father, through the mother,

where individuals are required to marry kinsfolk on

through both, or through either (in the last case

one particular side of the family. The typical form is

entailing an element of individual choice). Spouses

one in which a man marries a member of the clas­

might be incorporated into the group or remain

sificatory category that includes his mother's broth­

members of their natal groups,

according to

er's daughter. Such a system is conducive to the

custom. Groups might be localized or widely dis­

generation and maintenance of social hierarchy, in

persed. These variations were of great importance

that it defines absolute relations between kin groups

for field researchers from the 1920s at least until the

as 'wife-takers' and 'wife-givers' in respect of one

early 1960s. This was especially true for those in

another.

British tradition who conducted their research

regarded as superior. Elsewhere, 'wife-givers' are

among patrilineal peoples of the African continent

often regarded as superior. When bridewealth is

(for instance, Evans-Pritchard, 1951).

paid, it will accumulate in the hands of those kin

In

Hindu

societies

'wife-takers'

are

groups which give their sisters in marriage in ex­ Alliance theory

change for such wealth (e.g. Leach, 1961, pp. 54104, 114-23).

While descent theory dominated anthropological

A third logical possibility would involve the mar­

thinking in Britain and the Commonwealth, alli­

riage of a man to a member of the category of his

ance theory was developing in France, and to some

father's sister's daughter. This possibility is largely

extent in the Netherlands, where scholars had an­

unattested in the ethnographic literature, partly

ticipated the trend though in-depth studies of the

because it lacks both the logic of the symmetrical

kinship systems of the East Indies. In France,

system of bilateral cross-cousin marriage which

Claude Levi-Stauss was the key thinker, largely

fosters egalitarianism, and that of the asymmetrical

through his influential book Les Structures !:l/:men­

system of mother's-brother's-daughter marriage

taires de la parent/: (1949). Levi-Strauss and his

which fosters hierarchical relations. For formal

structuralist disciples stressed the significance of

reasons, repeated father's-sister's-daughter mar­

marital alliance over the formation of descent

riage would result in asymmetrical relations within

groups. The word alliance itself is simply French

any given genealogical level, but symmetrical rela­

for 'marriage'. In alliance theory it is taken to infer

tions between any two groups over time. Yet it has

relations through marriage, between groups and

been of interest to theorists (especially Levi­

categories, and the implications of these relations

Strauss) precisely because it is a logical and not a

for the ordering of both social and cosmological

practical possibility. A later interest of alliance theorists has been in

structures. At the root of alliance is the incest taboo and the idea of exogamy.

those systems, including most in the world, which

Societies which were of special significance for

define the categories which one must not marry (for

alliance theorists were those in which alliance does

instance, that of close kin). These, more 'complex'

in fact order such relations to a great extent. These

systems are seen in opposition to the 'elementary'

include those of Aboriginal Australia, South Amer­

ones where there is less choice (Heritier, 1981, pp.

ica and parts of India, where individuals are re­

137-67 ). Finally, systems known as 'semicomplex'

quired to marry kinsfolk of a specified category

or

which includes relatives on both sides of the family.

tribes) involve such extensive prohibitions that

This category is generally that of the cross-cousin (a

they have been described as constituting an inter-

'Crow-Omaha'

(after two North American

K INSHIP mediate type (Heritier, 1981, pp. 73-136). Ironic­

321

tionship terminology structure. He named these

ally, the existence of semicomplex systems in North

after tribal or geographical entities, in some cases

American and Africa facilitated Levi-Strauss's plea

not very accurately, but his intention in any case

for recognizing all real kinship systems as only

was that the names be regarded as exemplary rather

approximations of his ideal types. This precipitated

than all-encompassing. For example, the 'Hawai­

a harsh confrontation between him and those Brit­

ian' structure classifies all same-sex siblings and

ish empiricists who in the 1950s and 1960s adopted

same-sex by a single given term, unlike, say, the 'Eskimo' structure (that of the English language, as

an alliance theory approach.

well as Inuit or Eskimo languages) which distin­ guishes brother and sister from cousin. The 'Hawai­

Relationship terminologies

ian' type, structurally the simplest, is found not

In the United States the dominant interest in the

only in Hawaii but also, for example, in West

twentieth century was neither descent nor alliance

Africa. To Murdock each type represented a ter­

but the study of kinship or relationship terminolo­

minology structure which could reflect a particular

gies. Nevertheless, there has been a lack of agree­

stage or stages of human evolution, but it did not

ment as to the nature of relationship terminology

necessarily imply a common linguistic or cultural

structures. A. L. Kroeber (1909) argued that they

origin of all peoples who possess it.

represent not 'sociology' but 'psychology', by which he meant the formal properties of human thought. In this sense, to some extent he anticipated Levi-Strauss. Yet his more direct intellectual des­ cendants were the practitioners of componential and transfromational analysis of the 1950s and 1960s. Componential analysists (such as Goode­ nough, 1956) drew upon ideas in linguistics to develop methods with which to analyse the seman­ tic components of relationship terms. The word

uncle in English, for example, comprises the com­ ponents 'male' (which distinguishes uncle from

aunt),

'collateral'

from father),

and

(which 'first

distinguishes

ascending

uncle

gen eration'

(which distinguishes uncle from cousin or nephew). Transformational analysists (such as Scheffier and Lounsbury, 1971) adopted a quite different ap­ proach. It was characterized by the premise that some genealogical points of reference are more fun­ damental to the definition of a category than others. For example, in 'Crow-Omaha' systems of the 'Crow' type one may call father's sister, father's sister's daughter and father's sister's daughter's daughter (all members of the father's sister's matri­ lineal group) by a single kinship term. This term may be labelled simply 'father's sister' by the ana­ lyst, who then must explain with pseudomathema­ tical logic the mechanism through which the term is 'extended'. Other American anthropologists stressed the variety of forms of classification above their formal properties. Chief among these was George Peter Murdock, who, like Morgan before him, saw in relationship terminologies a reflection of social evo­ lution. Murdock (1949) identified six types of rela-

Recent developments In the late twentieth century, there was a trend towards syntheses of the approaches of the past and towards the refinement of theoretical ideas with the paradigms of descent, alliance, and termin­ ology. Alliance theorists, in particular, tried to tackle to problem of the relation between the highly theoretical models introduced by Levi-Strauss and the ethnographic data (e.g. Godelier, Trautmann and Tjon Sie Fat 1998). Other recent developments have included a greater focus on kinship in Western societies and, in particular, the social and cultural implications of

in vitro fertilization by donor, surrogate mother­ hood, fostering, adoption and gay parenthood (see Franklin, 1997; Edwards et al. 1999). These all fall within patterns long known to kinship specialists in that they can be defined in terms of traditional anthropological distinctions such as between true gen etic, presumed genetic, spiritual, bearing or carrying, and social parenthood. Such practical concerns reflect a theoretical interest in explaining cross-cultural variation in the concept of 'kinship' and in understanding the relation between kinship and gender and the grey area which separates n ature and culture (see, for example, Stone, 1998). See also ANTHROPOLOGY. Reading Barnard, A. and Good, A. 1984: Research Practices in the

Study ofKinship. Graburn, N. ed. 1971: Readings in Kinship and Social

Structure. Harris, C. C. 1990. Kinship.

322

KNOWLEDGE, THEORY OF

Holy, L. 1996:

Anthropological Perspectives on Kinship. Kinship: An Introduction to the Basic

Parkin, R. 1997:

Concepts. Schneider, D. M. 1984: A

Critique ofthe Study ofKinship. ALAN BARNARD

which the logical empmc1sm dominant in the second quarter of the century was usually couched. (Logical empiricists, however, typically tended also to dismiss the whole realist/idealist issue as a char­ acteristically undecidable, and therefore meaning­ less, 'metaphysical' question.) In the 1970s and

knowledge, sociology of

See SociOLOGY OF

1980s the issue of realism - but now principally of scientific realism - once more came to the fore, in

KNOWLEDGE

the USA mainly in the epistemologically oriented knowledge, theory of

The philosophical theory

forms put forward by H. Putnam and W. Boyd, and

of knowledge- or epistemology- is concerned with

in the UK in the more ontological varieties pro­

the nature, varieties, origins, objects and limits of

posed by Harre and Bhaskar. The latter holds that

knowledge. Plato distinguished knowledge (epis­ teme) from mere belief (doxa). Traditionally know­

and their conjunctions, but causal structures, gen­

ledge has been defined as justified true belief.

erative mechanisms and the like which exist and

Among the questions that epistemology has been

act, for the most part, quite independently of

concerned with are: (a) is knowledge possible? (b) if

human activity, and in particular the activity such

the objects of scientific knowledge are not events

so, are its objects real or ideal? (c) is its source

as experimentation which affords us empirical

experience or reason? (d) is knowledge unitary?

access to them. More generally it seems important

From its birth, epistemology has been (e)

aporetic:

to distinguish, at least in respect of science, two

that is to say, its solutions have been forged in

kinds of objects of knowledge: the (intransitive)

preoccupation with certain problems, or problem

objects of scientific investigation (such as the mech­

sets. So in this article I will look briefly at one such

anism of electrical conductivity or the propaga­

set, that clustering around the problem of induc­

tion of light) and the (transitive) cognitive objects

tion, pronounced 'the scandal of philosophy' by C.

- resources, not topics - used in the produc­

D. Broad in 1926.

tion or transformation of their knowledge (see MODEL).

(a)

Sceptics have doubted whether the justifica­

tion of knowledge claims is possible, while fallibi­

(c)

lists such as C. S. Peirce and K. R. Popper have

knowledge has been clearly distinguished from em­

At least since Leibniz and Hume, analytical

argued that the best that can be achieved are critic­

pirical knowledge, though this distinction has come

ally examined non-falsified conjectures. But the

under attack in the third quarter of the century

falsification of a conjecture seems to imply the

from W. V. 0. Quine (and in a different direction

recognition, and thus acceptance, of a mistake.

from Friedrich Waismann). A principal dispute

Nevertheless apprehension of the relativity of

historically within epistemology has been that

knowledge has caused both twentieth-century con­

between rationalists such as Plato and Descartes

ventionalists, and some sociologists of knowledge,

who have regarded reason, and empiricists such as

to want to put that term in scare quotes.

Aristotle and Locke who have seen experience, as a primary (or even sole) source of knowledge. Typ­

The beginning of the century saw a realist

ically rationalists have conceived knowledge, on

reaction against the prevailing nineteenth-century

the paradigm of Euclidean geometry, as derived in

subjective and objective idealisms, in which reality,

a priori fashion from self-evident or rationally dem­

and in particular the objects of perception and more

onstrable

generally knowledge, were viewed as consisting in,

have assumed knowledge to be established by in­

or at any rate dependent upon, (finite or infinite)

duction from (or tested by advertion to) incorri­

minds or (particular or transcendent) ideas. G. E.

gible, or conventionally agreed, but uninferred

(b)

axwms.

Empiricists,

by

contrast,

Moore proposed a commonsense perceptual REAL­

observation statements. Kant attempted to recon­

but neither this nor the more customary Car­

cile the contending claims of reason and experience

ISM,

tesian-Lockean representative realism, in which

in his system of transcendental idealism by seeing

some percepts were like their objects, provided a

reason as furnishing synthetic a priori principles

match for phenomenalism, in which objects were

imposing form on the matter received through the

analysed as actual or possible sense-data and in

senses.

KNOWLEDGE, THEORY OF In the first half of the century EMPIRICISM, par­

323

consistent with a (generally infinite) plurality of

ticularly in a logical form promulgated by the

further sets of hypotheses, and third, subject to

Vienna circle of M. Schlick, R. Carnap and 0.

subsequent revision or redescription in the history

Neurath, was well nigh hegemonic- though, out­

of science.)

side the analytical mainstream, species of rational­

The work of the later Wittgenstein and the or­ then LINGUISTIC PHILOSOPHY,

ism such as Husserl's PHENOMENOLOGY thrived,

dinary language,

and even within it figures like R. G. Collingwood

centred on Oxford (and led by Gilbert R yle and].

survived. It is worth going into the demise of logical

L. Austin), together with the conceptual analysis

empiricism in some detail. The Vienna circle

also practised at the same time, paved the way for

employed the analytical/ empirical dichotomy in

the re-emergence of neo-Kantian themes, most

the form of a criterion of meaningfulness (initially

notably in the work of P. Strawson and S. N.

stated by Schlick as 'the meaning of a proposition is

Hampshire and in the philosophies of science pro­

the method of its verification') and a criterion of

pounded by W. Sellars, S. E. Toulmin, N. R.

demarcation (of scientific from nonscientific dis­

Hanson and Rom Harre. More recently a non­

course). But difficulties soon appeared. First, the

Kantian sublation of empiricism and rationalism

verifiability principle was neither analytic nor em­

has been essayed by Bhaskar in his system of tran­

pirical and so should be meaningless. Secondly, on

scendental or critical realism, on which scientific

it, both historical propositions and scientific laws

theory is viewed as generating, under the discipline

(which, being universal, could never be conclu­

of experimental control, knowledge of natural ne­

sively verified) turned out to be meaningless. To

cessity a posteriori. On this system, Humean cri­

meet this difficulty Carnap weakened the criterion

teria of causality and law and Hempelian criteria of

to allow a proposition as meaningful just in case

explanation are neither necessary nor sufficient.

some empirical evidence could count for or against

Ontology is revindicated and the mistake of the

it, that is if it was testable. Popper's response was to

analysis of statements about being into statements

admit nonscientific propositions as meaningful, but

about our knowledge of being- the epistemic fal­

to substitute falsifiability as a demarcation criterion.

lacy- is seen to cover the generation of an implicit

Finally, the principle seemed to entail solipsism or,

ontology, in the standard case that of empirical

if given a realist interpretation, loss of incorrigi­

realism, incorporating the reduction of the real to

bility and, with this, of unique decisions.

the actual (actualism) and thence to the empirical.

whole idea of theory­

From this perspective, without a rethematization

independent facts, constituting the incorrigible

and critique of empiricist ontology, empiricism

foundations of knowledge, was rendered suspect

must mutate into some form of conventionalism,

from a variety of quarters. Wittgenstein's critique

pragmatism such as represented by Rorty's influen­

More generally,

the

Philosophy and the Mirror of Nature (1980) or

of his own early philosophy, and in particular of the

tial

possibility of a private language, fatally undermined

even superidealism, entailing a subjective hyper­

the

relativism in which criteria of objectivity and

sociological

individualism

implicit

in

the

model. An increasing awareness of the mutability

truth are altogether lost.

of scientific knowledge (and of the magnitude of Traditionally, the PHILOSOPHY OF SCIENCE has

actual scientific changes), for which the work

(d)

of Karl Popper, T. S. Kuhn, I. Lakatos and P. K.

been treated as little more than a substitution in­

Feyerabend were principally responsible, vitia­

stance of the more general theory of knowledge, and

ted the point of fundamentalism. Further, it

the PHILOSOPHY OF SOCIAL SCIENCE has been tacked

became apparent that key terms such as 'experi­

on in turn as nothing more than an example of the

ence' were underanalysed and used equivocally, for

general philosophy of (natural) science. These eli­

instance by the failure to distinguish social practice,

sions have been increasingly questioned in the

on the one hand, and experimentally controlled

course of the twentieth century. Thus discrimin­

enquiry, on the other - both, moreover, deeply

ations have been made between ordinary and scien­

implicated in theory. Finally, the holistic character

tific

of both experimental outcomes and observational

socialization of its own, and between knowledge in

knowledge,

with

the

latter

requiring

a

languages became clear. (Thus, in the former case,

the natural and human sciences (to which I turn in a

any result is, first, a test of a multiplicity of hypoth­

moment). Moreover, following Ryle, a distinc­

eses (any one of which may be saved), second,

tion is now customarily made between practical

324

KNOWLEDGE, THEORY OF

knowledge-how and propositional knowledge-that

realist, theory works best. Science is only con­

(and the more generic knowledge-of); following

cerned with what kinds of things there are, in so

Polanyi, between tacit and explicit knowledge;

far as it casts light on their reasons for acting (the

following Wittgenstein, between practical and dis­

generative mechanisms of nature); and it is only

cursive consciousness (or between form of life and

concerned with what things do, in so far as it casts

theory); and following Noam Chomsky, between

light on what they are (the structured entities of the

competence and performance. These distinctions

world). There is a dialectic of explanatory and

have all helped to break down the erstwhile unitary

taxonomic knowledge in science (Bhaskar, 1975,

and undifferentiated concept of knowledge.

esp. eh.

3,

sections

3-6).

On the transcendental

realist ontology, other traditional aporiai of episte­ (e)

I now want to consider briefly the problem­

mology-from the Platonic paradoxes of self-predi­

field of induction. The problem of induction is the

cation to the twentieth-century self-referential and

problem of what warrant we have for supposing the

set-theoretic paradoxes

course of nature will not change. On the transcen­

paradoxes of material implication - are dissolved.

and

the

contemporary

dental realist ontology, the stratification of nature

Thus it can be seen that Plato, for example, tries to

provides each science with its own internal induct­

account for some instance of blueness in terms of its

ive warrant. If there is a real reason, located in the

participating in the Form 'blue'-instead say (as of

nature of the stuff, and independent of the dispos­

course he could not say) of its reflecting light of

ition concerned, such as its molecular or atomic

wavelength

structure, then water must tend to boil when it is

of structure. It is easy to find other homologues of

heated. It is inconsistent with this reason (explan­

the problem of induction-for instance in Kripke's

4400 A- invoking a new level or order

ation) that it should tend to freeze, blush shyly or

1981 interpretation and generalization of Wittgen­

turn into a frog. But it remains true that in an open

stein's private language argument; or analogues of it

world any particular prediction may be defeated. So

-as in the role played in sociological theory by the

transcendental realism allows us to sustain the

Hobbesian problem of order.

transfactuality (universality) of laws in the light of

The field of the humanities and the social sci­

the complexity and differentiation of the world, so

ences was dominated in the twentieth century by

as to enable us for example to infer tendencies in the

the dispute between the champions of an unqual­

extra-experimental

ified

context,

thus resolving the

naturalistic

PosiTIVISM

and

an

anti­

problem of what could be termed 'transduction'.

naturalistic HERMENEUTICS. Arguably, it is resolved

An ontology of closed systems and atomistic events

by the new critical naturalism, based on the tran­

is a condition of the intelligibility of the traditional

scendental realist philosophy of science. On this

problem of induction. Closely associated with this

VERSTEHEN

problem are the problems of distinguishing a ne­

enquiry, which seeks to uncover generative mech­

appears as the starting point for social

cessary from an accidental sequence of events, of

anisms at work in society, at least partially analo­

subjective conditionals and of N. Goodman's and

gous to those in nature, which may render agents'

C. G. Hempel's paradoxes. All these turn on the

own initial understandings subject to critique. On

absence of a real (non-conventional) reason, located

the new qualified naturalism a whole series of onto­

in the nature of things, for predicates to be associ­

logical,

ated in the way they are. In virtue of his genetic

differences emerge between the sciences of nature

constitution, if Socrates is a human being he must

and society (see

die.

appears as an ever-present condition and the con­

epistomological,

relational and

NATURALISM).

critical

Social structure

Turning, too, on the absence of a principle of

tinually reproduced outcome of intentional human

structure is the traditional problem of universals. If

agency (this is a duality of structure in the termin­

there is something, such as the possession of a

ology of Giddens's 'theory of structuration' and

common atomic or electronic structure, which

Bhaskar's 'transformational model of social activ­

graphite, black carbon and diamonds possess in

ity'); and agency appears as a synchronically emer­

common, then chemists are justified in classifying

gent power of matter (see

them together. On the other hand, there is nothing

science, for its part, appears as both easier to initiate

of any scientific (structural) significance that, say,

and more difficult to develop than natural science.

MATERIALISM).

Social

all greengroceries possess in common-in the latter

Closely associated with the new critical realism is

classificatory context a resemblance, rather than a

a reassessment of Marx as, at least in Capital, a

KNOWLEDGE, THEORY OF scientific realist. But the nature of his Ausgang from

325

Derrida's work follows up on Heidegger's critique

philosophy into substantive sociohistorical science

of the metaphysics of presence - logocentrism -

led to an underdevelopment of his critique of em­

which he sees as informing traditional epistemology

piricism in comparison with his critique of ideal­

and turns on the deconstruction of the characteris­

ism; of his scientific, as distinct from simple

tic oppositions, such as universal/particular, of

material object, realism; and of his conception of

philosophy. Poststructuralism is normally associ­

the intransitive dimension (thematized around 'ob­

ated with the motif of postmodernity, subjected to a

jectivity') in comparison with the transitive dimen­ has

devastating critique by Ji.irgen Habermas in The Philosophical Discourse of Modernity (1985). In the

resulted in a tendency for Marxist epistemology to

Anglo-Saxon world Richard Rorty has pursued his

fluctuate in the twentieth century between a sophis­

pragmatist approach, increasingly (although ques­

sion

(thematized

around

'labour').

This

ticated idealism (whether in the neo-Kantianism of

tionably) invoking ]. Dewey as his mentor, con­

Max Adler and the Austro-Marxists, the historicist

tending that public pragmatism is compatible with

Marxism of G. Lukacs, K. Korsch and Antonio

private irony.

Gramsci, the anti-objectivism of the critical theory of the Frankfurt school, the humanist and existen­

Meanwhile

the

SOCIOLOGY

OF

KNOWLEDGE,

which has often appeared as a rival to epistemology,

tialist Marxisms of the post-war period (most

is a flourishing enterprise. It seems that philoso­

notably Jean-Paul Sartre's) or in the scientific ra­

phy, if it is to analyse the conditions of possibility of

tionalism of Louis Althusser and a crude material­

knowledge, must join hands with the empirically

Engelsian-Leninist-Stalinist

grounded study of its causes and effects, in an

'diamat' or G. Della Volpe's more sophisticated

enquiry which must logically include both the

ism

(whether

in

questions of its own epistemological status and its

but scientistic positivism). Outside the analytical mainstream, Husserl's phenomenology, especially after creasingly rationalistic

1907, became in­

in tenor,

practising

own causal role as part of the totality it seeks to describe and explain.

an

epoche or transcendental suspension of the reality

Reading

or otherwise of the objects of acts of consciousness

Bhaskar, R. 1991:

in order to investigate their pure forms. Heidegger

Dews, P. 1987:

responded to this by asking how the being of acts was related to the being of the

objects of the acts,

thus opening the way to his fundamental ontology of Dasein in Being

and Time (1927) and then later to

his influential metaontology and metahistory of the epochs of being, culminating in the contemporary age of technology and nihilism. Nietzsche and Hei­ degger are the main progenitors of the school called poststructuralist

(after

the

STRUCTURALISM

of

Claude Levi-Strauss and Althusser). The leading members of this are Jacques Derrida, Michel Fou­ cault and the metapsychologist Jacques Lacan.

Philosophy and the Idea ofFreedom. Logics ofDisintegration. Giddens, A. 1979: Central Problems ofSocial Theory. Greco, J. and Sosa, E. eds 1998: The Blackwell Guide to Epistemology. Harre, R. 1970: The Principles ofScientific Thinking. Kripke, S. 1981: Wittgenstein on rules and private lan­ guage. In

Perspectives on the Philosophy of Wittgenstein,

ed. I. Block. Outhwaite, W. 1987:

New Philosophies ofSocial Science. The Tacit Dimension. Rorty, R. 1980: Philosophy and the Mirror ofNature. Ryle, G. 1949 (1963): The Concept ofMind. Wittgenstein, L. 1953 (1967): Philosophical Investigations. Polanyi, M. 1967:

ROY BHASKAR

L In a sociological or criminological con­

constructed cooperatively with 'significant others'

text, the word should usually be read as a reference

who help to define who and what one is at any

to a special set of ideas about the interplay between

time.

labelling

language and self in the formation of identity, and

Selves

are

symbolic

objects, and

the

chief

of deviant identity in particular. It should also be

medium of objectification is language. Language

noted that most prominent 'labelling' theorists ac­

separates, classifies, generalizes, anonymizes, re­

tually rather dislike the term and associate it with

cords and preserves. It permits users to become

simplifications devised by its critics.

detached from their own subjectivity, making it

Labelling theory itself may be treated as a strand

thing-like. It allows one to react to oneself as one

of symbolic interactionist and phenomenological

would to another. The character of a self is set by

sociology (see SYMBOLIC INTERACTIONISM; PHE­

language: Peirce remarked, 'my language is the sum

NOMENOLOGY) that was fed into analyses of devi­

total of myself '. One may take as many stances

ance and control in 1938 by Tannenbaum's Crime

towards oneself as there are names, and a renaming

and the Community, in 1951 by Lemert's Social

will prompt a transformation of the self. The

Pathology and, most importantly, in 1963 by Beck­

drinker can become an alcoholic, the slimmer anor­

er's Outsiders. It stems from the interactionist pre­

exic, the eater a glutton. Titles give form to the self,

occupation with the self that came

a

but the mere proffering of a title does not oblige one

philosophical response to Hegel formulated by C.

to accept it: one is repeatedly bombarded with

out of

S. Peirce,J. Dewey, W.James and G. H. Mead (see

offers of identity from parties, associations, occupa­

PRAGMATISM).

tions, critics and friends, and does not take them all.

The self, interactionists maintain, is a reflective

What counts is a sense of the limits, plausibility and

process in consciousness, a splitting of subjectivity

possibilities of one's own and others' emerging

into linked phases, a turning of the mind back on

characters; the effects which change could work

itself so that it becomes simultaneously observer

on one's social world; one's attachment to the

and observed, 'I' and 'me'. It arises in conduct.

person or group who makes the offer; and one's

People talk about themselves and the activities in

capacity to resist or modify a self.

which they are engaged. They can remember and

There is another way in which the organization

review themselves as they were in the past; project

of a self mirrors language. Interactionists have

themselves into new situations; ascertain something

adopted conversation as a model for their own

of the way in which others see them, rehearse their

logic of explanation (see CONVERSATION ANALYSIS).

own response to those others, and foresee the

Conversation proceeds by the making of indications

answering response that may be made in return.

which capture, create and order social life; it reacts

They will be defined by others, and 'taking the role

to those indications; builds upon them; merges

of the other' is a vicarious activity which affords a

them; and manufactures its own distinct symbolic

perspective on one's socially situated identities.

reality. The talk of different people can combine

People become social in that process, knitting

over time, becoming a form of communal property.

themselves into the projected action of others, in­

It can refer and respond to itself, constituting itself

corporating others' perspectives into their own. In

reflexively. Interactionism in its turn depicts social

what has been called the 'significant gesture', they

life as actively mediated by conversational pro­

can assume multiple interacting identities that are

cesses that are interactive, dialectical and emergent.

staggered over time; being themselves and others in

It examines the interaction within the self, between

interplay around an unfolding act. Selves thereby

the I and the me, and analyses it as dialogue. One

create and are created by other selves, they are

may be heard to interrogate onself, praise oneself,

LABELLING

327

commune with oneself conversationally. One talks

fully been applied; deviant behaviour is behaviour

to others.

that people so labeL

Like all conversations, one rarely receives a full reply: knowledge of the self is incomplete, mediate

What makes deviance special is that it is a morally

and situated. It is endlessly being discovered. One

devalued status accompanied by the actual or

tries

threatened imposition of sanctions. Major institu­

to

establish who one is and what one is doing

by catching a glimpse of one's own gestures and the

tions are devoted to the detection, policing and

responses which others make to them. The self is an

punishment of deviance. Those who become devi­

inference, a matter of guesswork based on quick

ant may well wish to escape penalty by becoming

surmise and rough working description. And, like

devious.

any other inference, it need not be 'correct', 'truth­

Most deviants do succeed in escaping attention.

ful' or searching at all. One's own and others'

Yet even when they are unnoticed or tolerated, they

understanding of oneself is often supplied by cat­

will still form conjectures about the significance of

egories that possess more of caricature and stereo­

their actions and selves, borrowing from wider,

type than derail or nuance. The me is a reification

public typifications of conduct, and formulating

confronting and working with others who have

meanings in exchanges with confederates, friends,

been similarly reified. A social relationship cannot

relatives and victims. Deviance has been likened t�

be an encounter between people revealed in all the

scripted behaviour that is shaped in interaction.

fullness of their 'true' selves. It is mediated by evolving,

interacting

interpretations

that

bear

the mark of the participants' objectives, interests

When deviants do not escape, labelling may be foisted publicly to work major transformations of identity. Courts, police and prisons are invested

and knowledge. In the main, people lack the time

with an awesome symbolism: they 'dramatize evil'

and curiosity to enquire very deeply into their own

in Tannenbaum's phrase. Becoming publicly devi­

and others' histories, motives and ambitions. There

ant may be fateful indeed. At the very least, it will

supply just enough detail to keep

enforce the need to make an accommodation to the

interaction going. Life is based on rough and ready

public response evoked by rule-breaking, although

is a tendency

to

labels.

accommodation can take different forms and not

Labelling theory is actually little more than an

every response amplifies conflict. Indeed, some

extension of this idea of the self into the arena of

labels actually have the ironic effect of preserving

rule-breaking and social control (see also

a deviant's self-esteem: the unwed mothers de­

CRIME

AND DEVIANCE .

scribed by Rains

ational process which revolves around the acquisi­

of themselves as virtuous women who had fallen,

) Becoming deviant is a transform­

tion of names, meanings, motives and perspectives.

(1971) were encouraged to think

and it is useful to creditors to make their debtors

It is mediated by language and by the identities and

believe of themselves that they are still honest.

interpretations

Some deviants become penitent or accept a sick

which

language

confers.

It

is

assisted and sometimes forced by the significant

role in which they become temporarily invalid.

others who populate the environments through

Identities that are spurned can change selves too.

which the eme1·ging deviant moves. Deviance, in

A formal deviant label tends to be unwelcome; it

short, is deeply implicated in negotiated definitions of people and behaviour. Reactions to deviance it symbolic organization and public identity. In the central statement of the argument, Becker

(1963)

reifies and 'overcategorizes' its subjects; the singu­ lar features of a person or phenomenon will become blurred or lost; and putative materials will he added. People may resist, preferring to describe themselves by other names; and the assumption of

said:

deviant identity will frequently be forced and the­ Social groups create deviance by making the rules whose infraction constitutes deviance, and by ap­ plying those rules to particular people and labeling them as outsiders. From this point of view, devi­ ance

is not a quality of the act the person commits,

atrical in consequence,

entailing what Harold

Garfinkel called a 'status degradation ceremony', leading to a coerced rearrangement of the self. Verv

typically, the deviance becomes even more pr�­

nounced in such dramaturgical work, assuming

but rather a consequence of the application by

symbolic centrality, becoming exaggerated in its

others of rules and sanctions to an 'offender'.

denunciation,

The deviant is one to whom that label has success-

status' and closing access to other selves and roles.

constituting

a

person's

'master

328

LABOUR MARKET

Many deviant characteristics may actually be

labour, division of

See DIVISION OF LABOUR

explained by the form and content of the labelling process. Thus Schur (1971) argued that the identity

labour, domestic

See DOMESTIC LABOUR

of drug users is as much shaped by social control as by the 'intrinsic' qualities of illicit drugs them­

labour, international division of

selves; Goffman (1961) described madness as a

OF LABOUR, INTERNATIONAL

See DIVISION

role that receives definition in the management strategies of asylums; and Scott (1969) wrote of

labour market

blindness as a learned helplessness. It is not enough

to describe the varied institutional arrangements

to describe the characteristics of the deviant and the

governing the allocation and pricing of labour ser­

This is an abstract concept, used

deviant act alone; interactionists would maintain

vices in capitalist economies. Economists often use

that there must also be recognition of the symbolic

the analogy of a fruit market to elaborate the struc­

constituents and consequences of the experience of

ture and workings of the market for labour. Like

deviance.

apples and pears, labour is said to be bought and

Inevitably, perhaps, labelling theory has not con­

sold under competition and its wages set by the

tinued to be pursued with the vigour that charac­

interplay of supply and demand. Simple to under­

terized its heyday in the 1960s and 1970s. Fashions,

stand, and remarkably enduring as a conceptual

however worthy, tend to pass, and questions can

reference point, this approach nevertheless con­

lose their immediacy. The theory had an affinity with

sociological

ethnography,

ETHNOMETHOD­

ceals several distinctive features of the labour trans­ action.

OLOGY, phenomenology and symbolic interaction­

Most crucially, wages are exchanged for workers'

ism, and those traditions have dwindled or died in

mental and physical capacities, and not a definite

criminology. Labelling itself has ceased to be a

quantity and quality of finished output. The prod­

process of such particular curiosity, but seems in­

uctivity of labour is socially determined through a

stead to have become an understated theme in what

collective LABOUR PROCESS after human capacities

is now called 'social constructionism'. Criminology

have been procured. Put another way, the relation­

has moved on and there have been fewer detailed

ship between wages and work is determined not in

studies of deviants and deviant careers and more,

the marketplace, but in the workplace, within a

quite abstract, analyses of the state, social control

specific set of social relationships which transcend

and regulation, currently defined as 'governmental­

the forces of supply and demand. Most commonly,

ity'. In applied criminology - where large sums of

workplace organization is hierarchically structured,

research funding are to be had - attention was

with employers exercising control and authority

almost never paid to the symbolic associations of

over their workers.

deviance, but to its measurement, prediction and

Comparisons with the fruit market also tend to

management. And the outcome is that labelling is

obscure the fact that the institutions of the labour

now accepted as a largely unproblematic but not

market are historically specific. In precapitalist so­

especially remarkable feature of crime and devi­

cieties, trade in the products of labour was well

ation.

established, but the market for labour services did not emerge until the feudal order and its associated

Reading

restrictions on labour mobility were progressively

Becker, H. 1963: Outsiders. --

dismantled. Wage labour developed rapidly from

ed. 1964: The O ther Side.

the sixteenth century in the growing rural and

Goffman, E. 1961: Asylums.

urban industrial centres. Its growth was accelerated

Lemert, E. 1951: Social Pathology. Plummer, K. 1979: Misunderstanding labelling perspec­ tives. In Deviant Interpretations, ed. D. Downes and P. Rock.

by the enclosure movement which denied the bulk of the population direct access to the land and means of subsistence, and hence rendered them

Rains, P. 1971: Becoming an Unwed Mother.

dependent for their survival on paid employment

Schur, E. 1971: Labelling Deviant Behaviour.

within the emerging factory system. This historical development of labour markets

Scott, R. 1969: The Making ofBlind Men. Tannenbaum, F. 1938: Crime and the Community.

PAUL ROCK

has been conditioned by the interplay of state, labour and employer institutions. With the Factory

LABOUR PROCESS

329

Acts in the mid-nineteenth century the state, for

in twentieth-century analyses of work, primarily,

example, sought to regulate the terms on which

but not exclusively, within capitalist society.

employers engaged and utilized workers by restrict­

Marx's analysis emphasized the subordination of

ing the use of child and female labour and the

labour to capital in production processes (see Ex­

length of the working day. Other, more recent

PLOITATION) which were subject to continual trans­

examples of state intervention in labour markets

formations in pursuit of productivity gains. In

include the attempts to shape the wage setting

such transformations, mechanization fragments

process through incomes policies and the power

labouring activity into simple, uniform and repeti­

relationships

tive tasks under a strict factory discipline, craft

between

workers

and

employers

through the enactment of laws on employment

skills disappear, and new hierarchies of mental

and TRADE UNIONS.

and manual labour are constructed on the basis of

A key institutional feature of the wage-labour

capital's control over labour. Marx provided exten­

relationship in the twentieth century has been the

sive empirical illustrations of these developments,

emergence of the internal labour market. A descrip­

drawn in the main from mid-nineteenth-century

tion of the often elaborate job, pay and promotion

official documents.

systems commonly found in large organizations,

These developments within the production pro­

the internal market was developed first in US

cess were not only noted by Marx. They informed

enterprises to forestall the growth of trade union­

the attempt by Frederick Taylor at the end of the

ism. Employees were offered a career within their

nineteenth century to construct a theory of scien­

organizations, and steady improvements in pay

tific management. Taylor's aim was to subject the

and status, in return for a high level of commitment

physical actions of workers to the same principles of

and loyalty. Core functions of the labour market

optimization as governed the inanimate factors of

were, in other words, progressively internalized,

the production process. For workers' activity to be

resulting in a redrawing of the boundaries bet­

rendered mechanical in this manner, management

ween the market and hierarchical organization.

had to monopolize the knowledge and discretionary

The growing significance of the internal labour

activity traditionally characterizing craft skills.

market for employment systems has been exten­

Thus Taylor's emphasis in this extension of the

sively documented in the research literature, and

division of labour was on the extension of manager­

now forms the starting point for the analysis of

ial control, both at the level of individual motions

UNEMPLOYMENT, labour market inequality and dis­

and over the production process as a whole.

crimination, and the management and development

When combined with the developing handling

of personnel.

and transfer technologies of the period, Taylorism proved a potent ideology for management in the type

Reading Dobb, M. 1946: Studies in the Development of Capitalism. Doeringer, P. and Piore, M. 1971: Internal Labor Markets and Manpower Analysis.

Williamson, 0. 1975: Markets and Hierarchies: Analysis

of assembly

line

mass-market

consumer

durables industries pioneered by the Ford Motor Company. After

1945,

mechanization

was

increasingly

extended from handling and transfer to the process of control itself, culminating to date in microproces­

and Anti- Trust Imp lications.

PETER NOLAN

sor technologies and their wide application, espe­ cially in small batch (nonstandardized) production

labour movement

See TRADE UNIONS

processes, and in industries specializing in informa­ tion handling and retrieval. (This is sometimes held

labour process

This is concerned with the ways

to characterize the transition from a Fordist to a neo­

in which human labour, working with tools or in­

Fordist era; see FORDISM AND POST-FORDISM; LONG

struments of production, transforms raw materials

WAVES; REGULATION.) Within a Marxist framework,

into useful products. While any type of working

Braverman's analysis

activity (contemporary or historical) is a labour

influential, emphasizing the twentieth-century rele­

(1974) has proved particularly

process, the term derives its interest from its cen­

vance ofMarx's theory in understanding the origins

trality to Marx's analysis of capitalism, and the

and development of hierarchy in the workplace, the

ways in which this has been applied and developed

evolution of the skills composition of the workforce

330

LAISSEZ-FAIRE

ways in which science and technology are used in

(1980): The organization of work. Jour­ nal ofEconomic Behaviour and Organization 1.1, 5-38.

increasingly mechanized production processes. In

SIMON MOHUN

and the associated fragmentation of work, and the

Williamson, 0. E.

his focus on capital's continual reorganizations of the labour process, and its attacks on areas of skill

laissez-faire

and worker discretion which hinder detailed capit­

let do'. Most accounts attribute the politically

This phrase literally means 'to

'laissez-foire, laissez-passer', which

alist control, Braverman also focused on the obverse:

charged slogan,

the increasing degradation of work as it is experi­

means 'let people do as they choose, let goods

enced in the labour process, and the associated

pass', to Vincent de Gournay. The slogan became

ALIENATION

Criticisms

the rallying cry against mercantilism and other

of Braverman tend to concentrate on his failure to

restrictive trade policies among advocates of free

allow adequately for the ways in which worker

international trade, such as Jacques Turgot and

resistance at the point of production can shape de­

other physiocrats, and was quickly systematized

thereby

engendered.

velopments in the labour process, and on his failure

and most effectively presented in Adam Smith's

to explore the different mechanisms of capitalist

An Inquiry into the Nature and Causes of the Wealth ofN ations, as part of'the obvious and simple system

control. In contrast to the Marxist approach, in which class struggle determines the development of tech­

of natural liberty' (Smith, 1776, bk 4, eh. 9). For Smith:

nology and indeed the very notion of technical efficiency, is an approach which sees the develop­ ment of technology as the driving force, and the cost savings attributable to the economies of large­ scale production as determining the development of factory production. (See also TECHNOLOGICAL

Every man, as long as he does not violate the laws of justice, is left perfectly free to pursue his own interest his own way, and to bring both his indus­ try and capital into competition with those of any other man, or order of men. The sovereign is completely discharged from a duty, in the at­

CHANGE. ) Hierarchical control over labour is simi­

tempting to perform which he must always be

larly attributed to cost savings and to the incentive

exposed to innumerable delusions, and for the

difficulties of cooperative labour processes. The

proper performance of which no human wisdom

issues of the 'naturalness' of technology and tech­

or knowledge could ever be sufficient; the duty of

nical efficiency, and their relation to the organiza­

superintending the industry of private people, and

tion of the labour process, is part of the continuing divide between analyses based on a class approach and those based on a calculus of individual maxi­ mization.

of directing it towards the employments most suitable to the interests of the society. (Smith,

1776, bk 4, eh. 9, penultimate paragraph) Although Smith speaks of individuals pursuing their own 'self interests', something which most

Reading

1974: Labor and Monopoly Capital: the

Braverman, H.

Degradation of Work in the Twentieth Century. Edwards, R. 1979: Contested Terrain; the Transformation of the Workplace in the Twentieth Century. Landes, D. 1986: What do bosses really do? Journal of Economic History 46.3, 585-623.

critics continue to seize upon, it is clear that Smith also emphasized that free international and domestic markets make use of a scarce kind of economic knowledge that can only be communi­ cated by individuals engaged in free exchange, a kind of knowledge that cannot be obtained or repli­

What do bosses do? The origins

cated by state institutions outside the market­

and function of hierarchy in capitalist production.

exchange nexus. Free markets, in this view, dissem­

Marglin, S. A.

1974 -5:

Review of Radical Political Economics 6.2, 60-112; 7.1,

inate relevant economic information more effec­

20-37.

tively than constrained markets, and thus the

Marx, K.

1867 (1976): Capital,

vol. I. Especially chs

10-15. Stone, K.

1974:

industry.

The origins of job structures in the steel

Review of Radical Political Economics 6.2,

113-73. Taylor, F. W. Thompson, P.

1947 (1964): Scientific Management. (1983): The Nature ofWork: an Introduction

to Debates on the Labour Process.

degree of laissez-faire causally explains the relative wealth of a nation. Smith and other classical economists broadened the concept of laissez-faire from a free international trade policy to a comprehensive social philosophy.

On Lib­ erty (1859), that laissez-faire is desirable not only

For example, John Stuart Mill argued, in

LANGUAGE because it increases wealth, but because it increases individual liberty:

331

Reading Boaz, D.

1997:

The Libertarian Reader:

Classic and

Contemporary Writings from Lao- Tzu to Milton Fried­ That principle is, that the sole end for which

man.

mankind is warranted, individually or collectively,

Fusfeld, D. R. 1990: The Age ofthe Economist, 6th edn.

in interfering with the liberty of action of any of

Hofstadter, R.

their number, is self-protection. That the only

1945:

Social Darwinism in American

Thought, 1860-1915.

purpose for which power can be rightfully exer­

DAVID L. PRYCHITKO

cised over any member of a civilized community,

The implications of the subject range

against his will, is to prevent harm to others. His

language

own good, either physical or moral, is not a suffi­

so widely and are so varied that language can be said

cient warrant. (Mill, 1859, p. 68)

to be both

central and

marginal

to

modern

social thought. Central in so far as conceptions These views, which became a theme of classical

of the nature of language and languages have pro­

political economy, and classical liberalism in gen­

vided leading ideas - or at least metaphors - for

eral, circumscribed the duties of government to

thinking about the nature of society. (The idea that

national defence, administration of justice and the

'society is like a language' has tempted many.)

provision of certain public goods.

Marginal in so far as the sociology of language, as

While markets and liberty, and with them aggre­

a subdiscipline of sociology, and S ociOLINGUISTICS,

gate wealth, did expand after the industrial revolu­

as a subdiscipline of linguistics, have rarely been

tion and the dissolution of mercantilism, laissez­

central preoccupations of professional sociologists

faire and limited government were never fully real­

or linguists. Four examples may illustrate how conceptions of

ized in practice. The West ern capitalist state failed to shrink. By the turn of the twentieth century, and

language can be central to social thought.

with the rise of the Progressive Era, and the tragedy of the Great Depression of the 1930s, those who

Of leading social thinkers this century, just one

continued to advocate laissez-faire as a desirable

had an education in which linguistic studies

and all-encompassing social philosophy were con­

figured largely, Antonio Gramsci (1891-1937).

sidered passe espousers of rugged

It has been argued persuasively by Ferruccio Lo

and SOCIAL

INDIVIDUALISM

Piparo (1979) that his enormously influential

DARWINISM.

Interest in laissez-faire social philosophy re­

conceptions of

HEGEMONY

are largely informed

by the understanding he acquired as a student

emerged in the 1960s and 70s with the libertarian critique of the modern welfare-regulatory state.

of the history of the development of Italian as a

The most significant and widely read works include

national

those of Milton Friedman (1962), Robert Nozick

Gramsci studied was both historical and idealist

(1974), and F. A. Hayek (1973-9), as well as the

in character. It stressed the active role of indi­

language.

The

linguistics

which

'anarcho-capitalism' of Murray Rothbard (1973)

viduals - for example, creative writers - in

and David Friedman (1989). Hayek did the most

shaping the development of a language, but

to resurrect and further develop the Smithian theme

equally recognized that the hegemony of'stand­

that unhampered markets most effectively dissem­

ard' Italian as the language of a unified Italy was

inate scarce and relevant economic information, and

the outcome of collective action, conflict and

used it to challenge both the modern welfare state

the exercise of political power. Gramsci him­

and socialist central planning, while Milton Fried­

self, in prison, wrote about the 'language ques­

man pointed to the causal relationship between eco­ nomic freedom (laissez-faire) and political freedom

tion' (see Gramsci, 1985, pp. 164-95). 2

More commonly cited is the influence of

(liberty). Their ideas have recently gained currency

S TRUCTURALISM in linguistics on the develop­

among intellectuals and some political leaders in the

ment of social thought and, indeed, its intersec­

post-communist countries of Eastern Europe. Yet,

tion with major currents of social theory. For it

it is a matter of speculation whether the vision of

is not as if the founding work of structuralist

minimal government and unhampered markets

linguistics, Ferdinand de Saussure's posthu­

offers a real political-economic alternative to twen­

mous Course in General Linguistics first pub­

tieth-century statism, in the East and the West.

lished in 1916 (see also Culler, 1976), is

332

LANGUAGE innocent of the vocabulary of social theory. It is

century geology). For the themes of order and

full of it, and it has been a much debated ques­

disorder in language, see Chomsky (1986)

tion whether Saussure got his vocabulary (or his

and Bickerton (1981); the ideas are taken up

concepts) from Emile Durkheim's The Rules of

and then applied in the theory of ideology in

the Sociological Method (1895 ). Whatever the

Pateman (1987).

genesis of Saussure's ideas, it is true that in the period after 1945 he and other structural linguists

3

(notably Roman Jakobson

4

Among contemporary theorists, it is Ji.irgen Habermas who has most consistently oriented

(1895-

himself towards language as the royal road to

1982) ) provided anthropologists and sociolo­

social understanding. Distinctively, he has

gists with reasonably precise conceptions of

looked towards linguistic pragmatics - as de­

structure and convention and also with clearer

veloped by]. L. Austin and John Searle (1969)

distinctions than had hitherto been available

- as the key resource for a project which has

between structural (synchronic) states and his­

both empirical and transcendental or quasi­

torical (diachronic) processes and practices. In

transcendental aspects. At an empirical level

the 1960s and 1970s it did, indeed, become

linguistic pragmatics provides a better technical

common to think that society is structured like

framework for analysing all forms of socially

a language and that all social action is like

situated communication than does any theor­

speech in being a rule-conforming or rule­

ization of parole within the traditions of post­

violating practice enabled by the resources

Saussurean semiology and semiotics.

which social structure- as a sort of grammar-

philosophical level, pragmatics can provide

At a

provides. For a critical discussion, see Giddens

both an account of the conditions of possibility

(1979). For a philosophically deep analysis of

of society in general and a critique of actions

the key concept of convention, see Lewis

which undermine the possibility of social life.

(1969), and for subsequent discussion, Marga­

For all speech raises or presupposes claims to

ret Gilbert's lengthy On Social Facts (1989).

truth,

Often enough remarked upon, but rarely de­

which language would be unusable as a means

veloped, there is an intersection between Noam

of communication. In any given instance, such

truthfulness

and

legitimacy without

Chomsky's influential emphasis on nature- as

claims may be counterfactual, as when we are

against convention - as shaping the languages

wrong; when we deceive; and when we have no

we use, and anarchist social theory. As a lin­

rights to do what we purport to do in saying

guist, Chomsky - who is also an anarchist -

what we say. But such actually occurring in­

portrays human nature as a source of both lin­

stances occur against a necessary background of

guistic order and linguistic disorder. It is be­

supposed truth, truthfulness and legitimacy. In

cause human beings share such a rich biological

the nineteenth and early twentieth centuries

inheritance that their languages are as similar as

American idealists (notably Josiah Royce) had

they are - so nature is a source of order, as in

already articulated the possibility of grounding

optimistic ANARCHISM. But, equally, nature is a

a social vision in such an understanding of the

source of disorder, as in pessimistic anarchism.

distinctive way in which language use binds

For with a system of universal grammar suffi­

human beings to each other, and this was fur­

ciently elaborate, then it is both true that

ther developed in Germany as a doctrine

limited language input suffices for the develop­

of 'Logical Socialism'. Habermas's work, in

ment of complex and similar individual linguis­

effect, modernizes these older accounts, utiliz­

tic

ing the most sophisticated theories of analytical

competences,

and also true that small

changes in input can lead to, at least superfi­

philosophy and linguistics.

cially, radical changes in the resultant language system. The insight here is basically the same as

Turning now to the sociology of language, it is

that recently generalized in chaos or catastrophe

not unfair to say that much of the work done is

theories, that is, by theories of discontinuous

methodologically uninteresting, simply explaining

change originating in meteorologists' problems

the distribution of languages (such as the growth of

with long-term weather forecasting (though the

English as a world language) as the overdetermined

historical antecedent is the debate between ca­

outcome of economic, political and cultural causes.

tastrophists and uniformitarians in nineteenth-

Likewise, there is work on the creation or revival of

LAW

333

languages as elements of a national identity - as

also CONVERSATION ANALYSIS). Here there is thus a

with Irish Gaelic, Hebrew or New Guinea Tok

link into structuralist traditions of analysis, though

Pisin. More sociologically interesting work has

ethnomethodologists have generally insisted on

been done on how centralized language planning

the ultimate ad hocness - the open-endedness or

and standardization policies are often resisted, for

unfinalizability - of social interaction. This is also

example in educational settings. This leads to the

a dominant motif in the currently influential 'dialo­

realization that language has a 'symbolic' as well as

gism' of Mikhail Bakhtin

'real' value - it can be employed as an arbitrary

linguistics of his associate Valentin Volosinov,

mark of identity surplus to its use as a means of Pierre Bourdieu within the framework of his theory

(1895-1936) (see for introductions, Holquist, 1990; Morson and Emerson, 1990; Volosinov, 1929). It is beyond the scope of this article to

of cultural capital: see his Language and Symbolic

enter into dialogue with dialogism, but see Pateman

communication. Such an approach is developed by

Power

(1991).

(1895-1975)

and the

(1989).

Some work in sociolinguistics actually has simi­ lar concerns, though approached from quite differ­ ent methodological standpoints. Here the study of socially situated speech may reveal how its style or register varies systematically with social setting or the social status of speakers and hearers. Sometimes this looks like a 'passive' reflection of the operation of the 'independent' social variables; at other times, it looks like an active endeavour on the part of social

Reading Bickert on, D. 1981: Roots ofLanguage. Chomsky, N. 1986: Knowledge of Language: Its Nature, Origin and Use.

Saussure, F. de 1916 (1983): Course in General Linguistics, trans R. Harris. Searle, J. R. 1969: Speech Acts. V o1osin ov, V. 1929 (1973): Marxism and the Philosophy of Language.

agents to define and respond to social situations.

TREVOR PATEMAN

See the first of William Labov's many influential (and broadly positivistic) sociolinguistic studies,

law

The Social Stratification of Language Use in New

law be given a dual definition. In its broadest mean­

York City

Contemporary usage requires that the term

ing, which derives historically from classical theo­

(1966).

On the basis of such research, it becomes easier

logical traditions but is currently also used in

to understand some of the failures of language

psychoanalysis, the terms refers to any form of

education policies. British speakers do not all

absolute injunction: the law is the law of the father,

speak with Received Pronunciation (RP) or write

be it God the father or the dictate of the uncon­

Standard English, not because they are stupid or

scious. Law is here variously conceived as a mode of

their teachers ineffectual but because they are active

enunciation, as discourse and as force. It carries

in defining their own social and cultural identities,

with it the place and performative mark of the site

and do not wish to be what they are marked out to

and act of enunciation. In more pragmatic yet none­

be. People are not cultural dopes. And they do not

theless related terms, the secular legal tradition

need to be: they succeed perfectly well - only too

generally defines law in a technical and largely

well - in communicating, with or without RP or

tautological manner as those norms issued from or

Standard English. Many of the complex issues in

institutionally recognized by the existing legal hier­

this area of educational linguistics are explored

archy. In this latter professional self-definition,

in the writings of Peter Trudgill, beginning with

rules of law or legal norms are the substantive

Accent, Dialect and the School

constituents of a national legal system and their

(1975).

Though much sociolinguistic work, including

authority or legal validity is derived immediately

Labov's and Trudgill's, has been positivist in letter

from membership of the system. Conceived in

and spirit, and thus dubious to the theoretically

terms of norms, rules or units of communication,

sophisticated

sociologist,

there

has

been

non­

the system of law is marked by what Luhmann

positivist work on linguistic interaction within the

called 'operational closure', by a paradoxical circu­

traditions ofETHNOMETHODOLOGY, largely inspired

larity or autopoiesis (Luhmann,

by the work of the late Harvey Sacks (see now

1992).

The two definitions of law correspond broadly to

This aims to extract and formalize

the classical distinction between the schools of nat­

the full set of synchronic rules governing inter­

ural law and LEGAL POSITIVISM. For natural lawyers

actions in a domain, such as telephone calls (see

the law was authored by a subject, a speaker, and

Sacks,

1992).

334

LAW

was to be interpreted, as occasion demanded,

the particularistic tradition of case law into a coher­

through the history, psychology or ethics that the

ent system of known and binding norms.

the

Accompanying the radical rewriting of the Euro­

speaker - as also history, psychology and ethics -

pean legal orders of the nineteenth century was a

speaker's

words

implied.

For

positivism

is the logical presupposition of the system. The

corresponding movement to elaborate the details of

system of law itself is conceived as a hierarchically

a fully scientific discipline of legal governance, of

structured order of norms or rules amenable to

the rule of law as opposed to the rule of persons.

scientific or objective study. This article will trace

Within the continental tradition this science was

these competing and at times overlapping concep­

based in and developed by the university law

tions of law in their modern and latterly contem­

schools and its purpose was broadly that of main­

porary formulations.

taining the discrete hermeneutic tradition and pro­

The twentieth-century history of the concept of

fessional authority of the legal institution in a

law is the history of the demise and revival of

revolutionary secular age. The study of law was to

naturalistic conceptions of legal order in the face

be turned again to the study of the text and nothing

of the various formulations of a mundane science of

but the text. The entire curriculum of legal studies

positive law. The repression of the earlier doctrinal

being a complex induction into the authoritative

tradition, one which until the mid-nineteenth cen­

designation and interpretation of written law (Per­

tury simply defined common law as the unfolding

elman, 1976). The authority of legal science lay in

of reason (semblable reason semblable ley: what seems

an intimate knowledge of textual detail combined

to be reasonable seems to be law), is the key to any

with a much more classical knowledge of the pro­

understanding of either the philosphical or the

cedural and interpretative maxims appropriate to

legal

legal construction and argument. In doctrinal terms

systems. Both on the continent, where national

the letter of the law dominated all legal causes and

legal traditions are based on written law or Codes

the textual science of that literal provision was the

that have their ultimate model in Roman jurispru­

jurisprudential legacy of the nineteenth century, a

political

characteristics

of

contemporary

dence (Watson, 1981), and in the Anglo-American

legacy best expressed in twentieth-century LEGAL

legal tradition based historically on unwritten or

POSITIVISM,

customary law laid down by the courts (Goodrich,

cently in autopoietic theories of law.

the Pure Theory of law, and most re­

1990), the nineteenth century was in legal terms an

Within the common law tradition a similar heri­

era of secularization. Prompted most explicitly by

tage dates from the second half of the nineteenth

the Napoleonic code or Code Civil of 1804, the legal

century and the emergence of common law in the

systems of Europe transformed their shared histor­

universities. Prior to 17 50 the scholarly study of law

ical background in the universal text of Roman law,

had been the study of Roman and canon law. Al­

the Corpus Juris Civilis, and translated the Latin

though common law had long been studied for­

tradition into national codes of vernacular law.

mally at the Inns of Court-the third university -

The Code was now to represent the spirit of the

the discipline of case law had been disregarded by

people in an authoritative and accessible written

the established universities and even after the first

form which would bind its administrators and

chairs in common law were founded the discipline

judges to the popular will. Despite differences of

long remained insecure as to its scholarly worth.

tradition and of the form of Anglo-American

The movement to found a science of the common

common law, most particularly its lack of explicit

law outside of the erratic educational practices of

reference to Roman sources and its resistance to

the profession itself had borrowed continental

codification, the nineteenth century was also an

methods and had built on the tradition of institu­

age of reform and of written law in which statutory

tional treatises (Cairns, 1984). The tradition that

provisions came to dominate and law was translated

emerged was that of a textbook jurisprudence of

from law Latin and law French into a species of the

what were termed 'black letter' laws. The principle

vernacular. In the latter part of the nineteenth

underlying this new discipline of legal study was

century, the common law also developed a system

primarily that of empiricism. To convince the uni­

of interpretation known as binding precedent (stare

versities that law was a fitting subject of academic as

decisis) whereby prior decisions of the courts were

opposed to vocational study and simultaneously to

to be binding on all future courts of coordinate or

persuade the profession that, contrary to the trad­

lower jurisdiction and thereby sought to transform

itional practice, academic legal study could contrib-

LAW

335

ute to the formation of competent lawyers, the

tion, to assess the impact of legal norms on social

existing substantive law had to be formalized in as

practice or to criticize the class or gender bias of

uncontroversial a manner as possible. The result

legal rules, the self-evidence of a unitary legal

was an arcane but limited tradition of treatise

system was seldom challenged. More recent socio­

writing in which existing divisions and categories

logical theories of law self-consciously continue the

of legal practice were systematized in an exhaustive

attempt to depict a systematics of law predicated on

but conventional manner without the development

the concept of a self-referential or autopoietic legal

of any explicit theory of the logic of historical

system. In this perspective the legal order is dis­

classifications such as contract, tort, public or pri­

tinctive as a system of communication by virtue of

vate law, let alone of the rights, duties, interests or

the 'legal proprium' or axiomatic discursive distinc­

policies which had dominated pragmatically the

tion between the legal and illegal. In short, the

development of the case law tradition (Samuel,

notion of an absolute source of law, inherited from

1990). Law was to be understood as the existent

the classical tradition and translated politically into

corpus of substantive rules of law and nothing else,

jurisprudential theories of the sovereignty of the

a view well expounded in the practice of the treatise

legislature or of the people, remained and to some

writers and subsequently presented as positivistic

degree remains in place: in the theory of law the

jurisprudence in the work of H. L. A. Hart (1961)

king- person or proprium- had yet to be beheaded

and subsequent theorists of a momentary legal

(Foucault, 1975).

system composed primarily if not exclusively of valid and discrete legal rules.

The break-up of the doctrinal paradigm of law in recent legal theory has been a product of the influ­

The central theoretical consequence of the nine­

ence of critical theoretical trends external to legal

teenth-century tradition was the jurisprudential

studies, most notably in anthropology, linguistics,

acceptance of an implicit metaphysical belief in

literary criticism, semiotics and philosophy. Within

the unity or homogeneity of the legal order as a

the

system of rules. This was a belief or assumption

influence has been almost exclusively a translation

Anglo-American tradition

such theoretical

shared by positivism and naturalism and it was one

from continental sources. In philosophical terms a

which linked and continues to link the putatively

resurgence of interest in pragmatism has led, from

modern science of law to earlier traditions or roots

the early and limited work of the American legal

in theology and its various reformist doctrines of

realists through the revival of legal rhetoric on the

faith in scripture. Primarily defined in terms of its

continent, to theses on the indeterminacy of lin­

source, either in the Code or in the diverse authori­

guistic and legal norms that are currently associated

tative sites of enunciation of common law, the doc­

with poststructuralism and deconstruction (see POSTMODERNISM ) .

The

first

trinal exposition of the legal order was unified by no

MODERNISM

more cogent principle than reference to the library

major figure of influence within such a shift of

of legal texts. In a not dissimilar manner, the soci­

paradigm was undoubtedly Foucault's major his­

ology of law tended to accept the professional or

torical study Discipline and Punish ( 1975). The prin­

AND

scientific definition of law and to translate it into an

cipal jurisprudential impact of that work lay in the

equally unified conception of social practice: in

move to conceptualize law as an integral part of a

empirical terms the law was simply what lawyers

much larger set of institutional forms of normaliza­

did, while in theoretical terms the juridical system

tion that spanned the asylum, the hospital, the

was deemed to express certain structural features of

school, the factory and the prison as variant forms

the social order be they property relations, com­

of disciplinary discourse or, as he later termed it,

modity production, bureaucratic rationality, ideo­

governmentality. In more literary terms, the gram­

logical hegemony or some other version of the legal

matological work of Jacques Derrida and the elab­

'proprium' (Teubner, 1997). An implicit faith

oration

in technical competence and professional know­

particular led to a more general scepticism with

of

the

concept

of

deconstruction

in

ledge left the doctrinal definition of law as a system

regard to the professional construction of a her­

of authorized rules unified by reference to exclu­

metic legal text separate from the play of inter­

sively legal sources in its place. While social theory

textual features. For the critical legal studies

might endeavour to link legal norms to historical

movement, originating on the continent in the late

or political circumstances, to examine the social

1960s (as critique du droit) and in America in the

interests which underlay specific areas of regula-

early 1970s (as the critical legal conference), the

336

LAW

metaphysically determinate reference of legal terms

through public law later saw the emergence of

and the more general doctrinal claims as to the

bodies of statutory governance of sexual relations,

objectivity of textual regulation and juristic know­

race relations, welfare provision, industrial rela­

ledge were to be castigated as components of an

tions,

antiquated and now defunct paradigm of legal

motor accident compensation, public services or

criminal

injuries,

damage

to

property,

utilities, air transport, the entertainments industry

truth. In the place of the positivistic science of law or of

and further incursions on private law which regu­

legal systematics, contemporary critical legal schol­

lated contractual relations, noncriminal or tortious

arship concentrates on historical and particular

injuries, private property and commercial stand­

reconstructions of substantive areas of legal regula­

ards. In one sense, the new regulatory form of law

tion and of what is termed informal law, namely the

-only very inadequately evoked through the above

exercise of normative control in areas traditionally

list - was a direct politicization of traditional pat­

conceived to be outside the domain of formal legal

terns of legal regulation. Not only were the courts to

regulation. At the level of theory, jurisprudence has

adjudicate on the arbitrariness or otherwise of vir­

been opened to some considerable degree to the

tually all forms of individual relation with the state

scholarship of other disciplines, in particular to

but the bodies of law that governed such decisions

anthropology,

were more often than not the product of delegated

history,

linguistics,

accountancy,

geography and semiotics of the body, and of law's

legislation by which is meant the internally devised

visual forms as intrinsic to the study of substantive

rules

areas of legal regulation. So, too, other disciplines

governmental agencies.

of

governmental

departments

or

quasi­

have come to study law, both as positive regulation

With the increasingly active role of the courts in a

and as the injunction issued from the place of the

wide variety of contested areas of social relations it

father. In substantive terms the breakup of the

was increasingly difficult to maintain the traditional

unitary paradigm of legal order accompanies sig­

scientific view that the law was somehow free of

nificant changes in the domains and procedural

political and other forms of discourse. In view also

forms of contemporary legal regulation. While it

of the enormous range of substantive domains of

would be impossible to list the full parameters of

legal intervention, ranging from the negotiation of

the growth and corresponding fragmentation of the

marital breakdown to the arbitration of industrial

substantive areas and forms of legal intervention,

disputes, the notion of the formal unity of law was

certain general observations may be taken as indica­

equally abstracted from the experience of legal practice. That social theory should now account

tive. The principal trends in legal regulation in the

for legal regulation in terms of an amalgam of

industrialized jurisdictions have been those of the

competing normative discourses and in terms of

growth of public law and more recently the resur­

broadly political-administrative functions at one

gence of equity. The last century has been the age

level simply reflects the growth of a public law

of statute law and the principal substantive charac­

substantively concerned with the demographic

teristic of such law has been bureaucratic and re­

and actuarial control of populations. It also has the

gulatory. The new areas of public law that have

intriguing consequence that even within the trad­

developed, largely haphazardly, in response to

itional confines of jurisprudence, the classical forms

state intervention in both public and private realms

of legal discourse are increasingly subordinated to

of the social are immense. In a loosely conceptual

psychological, medical, actuarial, political and eco­

order, the first area of such legal invention was the

nomic forms of expertise, these being the dis­

development of administrative law and the juristic

courses which directly govern the substantive

category of judicial review, whereby the courts

subject-matters of legal intervention

created a power to adjudicate on the formal reason­

1997).

(Murphy,

ableness of administrative action. Prior to or con­

Parallel to the expansion of public law and the

temporary with that development were a whole

politicization of legal regulation has been a more

series of legislative innovations creating a variety

recent trend toward the recuperation and expansion

of statutory regulations and bodies governing safety

of equity in private and public law. Concerned with

in the factory, working men's compensation, public

questions of ethics, with good faith, equality and

health, environmental protection, schooling and

difference, the justice or injustice of transactions,

policing.

liberally inclined lawyers have developed new

That

trend

towards social provision

LEADERSHIP equitable causes of action and new remedies as well

337

theatres of justice and the performances of law

as new methods of interpretation to counter in­

have seldom been more visible or compelling. In a

equalities of the market and of the intimate public

media-dominated age law enacts the limits of

sphere. Questions of race and gender, of embodi­

the social drama of communication and constitutes

ment and performance, here gain a limited expres­

the liminal or final language of political decision

sion in terms of what Levinas depicts as the face to

making.

face of justice (Diamantides,

2000).

It remains to conclude that the contemporary orders of law are marked increasingly by diversity of both content and form. The plurality of laws is played out in the collision of different discursive orders or systems of communication. All legal work in this sense has an intertextual and interdisciplin­ ary character. As it is mapped in the scholarly conflicts of contemporary legal studies or politics of jurisprudence traced in this article, recourse to other disciplines reflects both the changing roles that law has come to play and the complexity or anarchy of competing discourses into which it intervenes. (Teubner, 1997) In this sense the resur­ gence of equity is both constituted by and expressed

Reading

Oxford Journal ofLegal Studies 4, 318. Diamantides, M. 2000: The Ethics of Suffering: Modern Law, Philosophy and Medicine. Dworkin, R. 1978: Taking Rights Seriously. Foucault, M. 1975 (1977): Discipline and Punish. Cairns, J. 1984: Blackstone, an English lnstitutist.

Goodrich, P. 1998: Social science and the displacement of law,

Law and Society Review 32, 473.

--1999: Anti-Teubner: autopoiesis, paradox, and the

Social Epistemology 13, 197. The Concept of Law. Legendre, P. 1997: Law and the Unconscious, trans. and theory oflaw.

Hart, H. l 9 61:

ed., with an introduction by P. Goodrich. Luhmann, N. 1992: Operational closure and structural

in scholarly recourse to deconstructive, literary,

coupling: the differentiation of legal systems.

and aesthetic theoretical works that provide lan­

Law Review 13, 1419.

Cardozo

therapeutic jurisprudence and of psychoanalytic­

The Oldest Social Science? Con­ figurations ofLaw and Modernity. Perelman, C. 1976: Logique juridique, nouvelle rhetor­ ique. Richardson, J. and Sandland, R. 2000: Feminist Perspec­ tives on Law and Theory.

ally informed affective lawyering that seek to

Teubner, G. 1997: The King's many bodies: the self­

guages within which to elaborate the particularities of justice, of the face to face of trial, of the embodi­ ments of judgement. Similarly the practice of law­ yering has been supplemented by notions of

Murphy, W. T., 1997:

elaborate forms of attending to the unique circum­

deconstruction of law's hierarchy.

stances - from trauma to desire - of individual

Review 31, 763. Watson, A. 1981:

clients.

Law and Society

The Civil Law Tradition. PETER GOODRICH

In a parallel and less technical manner, the growth of public law has been the site and the impetus for a longer-term politicization and plural­

leadership

ization of legal studies. Civil and human rights,

defined quite simply as the quality permitting one

This

commonplace

term

can

be

consumerism as well as gender difference and racial

person to command others. This implies that lead­

diversity, form a long-term trajectory in which

ership is, above all, a mutual relationship between

the study and the practice of lawyering diversify

leader and led, individual and group. The term also

and change. In a sociological perspective, law be­

suggests action: the leader and the group do some­

comes increasingly indistinguishable from other

thing together. Finally, leadership is clearly a rela­

managerial, administrative and actuarial discourses

tion based on consent, not coercion - the robber

of governmental decision making (Murphy, 1997).

holding a gun at one's back is not one's leader. It

Law is a relatively unimportant measure of action

follows, then, that an investigation of leadership

and is in many senses sidelined by the dominant

requires the insights of social and psychological

econometric and calculative concerns of adminis­

theory, and is a prerequisite for a full appreciation

trative decision making. In this perspective law

of the ways in which power is held, legitimized and

plays an archaic ethical role in relation to a political

wielded.

economy of social action that increasingly it neither understands nor governs. At the same time the

However,

despite

(or

perhaps

because

of)

the apparent simplicity and fertility of the basic

rhetorical force of law has seldom been more

definitional framework, the study of leadership,

powerful or persuasive (Goodrich,

though voluminous, has been marked by great

1998). The

338

LEADERSHIP

controversy and little agreement - so much so that

that leaders, far from being unusual, were often the

one well-known commentator concluded despair­

group members closest to the statistical average

ingly that 'the concept of leadership, like that of

whose very ordinariness allowed them to make in­

general intelligence, has largely lost its value for the

novations (see Hollander,

social sciences' (Gibb,

1968,

p.

Nonetheless, the topic continues to fascinate social

thinkers,

and

has stimulated

1958).

But different situ­

ations made for less desirable types of leaders,

91). two

rival

including some displaying authoritarian personal­ ities (as documented in Fiedler,

1964).

Researchers

modes of approach. The classic studies of leader­

therefore devoted themselves to discovering the

ship focused primarily on the personalities of great

interrelationship between leadership and context,

men, portraying them as unique and heroic figures

with the pragmatic aim of developing the most

capable of transforming their disciples through

efficient task organizers and of encouraging demo­

sheer force of will. Examples of such overwhelming

cratic leadership styles. But despite the empirical

geniuses include Jean-Jacques Rousseau's Great

successes of the interactionist perspective, the em­

Legislator,

Superman,

phasis on shifting circumstances and the denial of

Thomas Carlyle's Hero, and Max Weber's famous

any universal characteristics to either groups or

'ideal type' of the charismatic leader (see CHA­

leaders soon made it difficult to tell if researchers

RISMA).

were talking about 'leadership' or simply about

Friedrich

Nietzsche's

The idea of the active charismatic leader domin­

'management'.

ating a passive public remained central in the late

Furthermore, qualifications quickly arose as to

nineteenth and early twentieth centuries in the

the actual purpose and character of the group and

writings of French crowd psychologist Gustave

the functions of authority. For example, Robert

Le Bon, who provided pragmatic advice for many

Bales

later power holders, and in the work of his fellow

rise to instrumental leaders whose qualifications

theorist, Gabriel Tarde, the founder of modern

for command are ability and expertise, other

(1953)

argued that while some groups give

public opinion polling and political media consult­

groups have leaders who are primarily expressive,

ation. A similar concept also animated Sigmund

conveying to members a sense of emotional partici­

Freud's work on mass psychology. Essentially,

pation in the community. The leader's 'task' here is

these thinkers saw society as somnambulistically

simply to maintain the group

awaiting the voice of a hypnotic leader who could

became evident that even those who obviously are

manipulate the deep human craving for authority

in command are not necessarily leaders; some are

as

group. It also

and direction (see MASS SOCIETY). But unlike earlier

'headmen' whose power derives solely from their

writers in the heroic tradition, leaders were now

position in a rigid hierarchy.

portrayed not positively, but as irrational and emo­

Followers too could be discriminated on various

tionally charged theatrical figures of monomaniacal

grounds: some were attached to the leader because

self-absorption.

of instrumental expectations

During World War II, the debate between hero

of

profit,

others

because of a belief in the leader's values, and others

worshippers and diabolists, although never re­

because

solved, was set aside in favour of a more pragmatic

group. Much of the sociological and social psycho­

of

affection

literature

on

for

the

leader

leadership

thus

and

the

focus on the needs and structure of the group and

logical

the surrounding situational context, and on the

an effort to categorize types of leaders and follow­

became

resulting dynamic between leaders and followers.

ers, and to outline the infinite and problematic

This new emphasis reflected both a practical mili­

vicissitudes of their interrelations in various situ­

tary concern with discovering and training effective

ations.

combat leaders, and a revulsion against the charis­

Partially in response to the increasingly technical

matic personalized leadership styles of Hitler and

nature of situational and interactionist studies,

Mussolini.

there has been a return to the heroic tradition

Leaders, according to this point of view, are

among a number of psychologically and biographi­

hardly intrinsically heroic or extraordinary; in­

cally oriented writers who have accepted as given

stead, as Cecil Gibb wrote, 'leadership is not a

the leader's personal command over a passive

quality which a man possesses; it is an interactional

following. But, in the disenchanting tradition of

function of the personality and of the social situ­ ation

(1951, p. 284).

In fact, some studies indicated

crowd psychology, the leader's appeal is portrayed in these studies not as a

mark of charisma,

LEGAL POSITIVISM but

instead

as

an indication

of psychological

disorder. The precursor of this tradition is Harold

l egal positivism

339

The term refers to any phil­

osophy of LAW directed towards the value-free

Lasswell, who argued that leaders typically dis­

description of the Western legal institution in

place unmet psychic needs on to the political

terms of a discrete system of social rules. In its

arena

(1930).

More sophisticated versions may

be found in Erik Erikson's highly influential work on Gandhi

(1969)

and Luther

(1958),

broadest definition legal positivism is associated with a belief in the possibility of a science of law,

although

classically a geometry of legal order, and a corres­

Erikson bows to the interactionist school in at­

ponding adherence to the methodological separ­

tempting to show why the public should find such

ation of questions of fact from questions of value,

neurotic displacements attractive; still, the masses

of law from morality.

remain essentially passive - reflecting, rather than

The roots of this doctrinal philosophy of law lie in the medieval distinction between divine or nat­

acting. Recent studies of leadership have continued to

ural law and secular or positive law, the latter being

ius positum,

follow along these dichotomous paths, focusing

termed

either on the categorization of situations and prag­

matically, law laid down by a human sovereign. In

law by position or, more prag­

and

that generic description the order of positive law is

efficiency, or on the leader's psychology and motiv­

identifiable as a distinct system of rules by reference

matic

questions

of

a

leader's

influence

ations; efforts to reconcile these divergent theoret­

to its supreme source: positive law was law which

ical tendencies regrettably remain few and far

emanated from the monarch, Leviathan, the com­

between, though there are welcome indications of

monwealth or latterly the legislature.

a synthesis in, for example, the work of Kracke

(1978),

(1984),

(1981)

In its initial definition legal positivism is associ­

and others,

ated in the English tradition with the writings of

who combine psychological insight into the charac­

Thomas Hobbes and later with those of the nine­

Willner

Tucker

ters of leaders and followers, an awareness of the

teenth-century legal philosophers Jeremy Bentham

sociocultural context in which leadership arises,

and John Austin. Their positivism was that of

and a comparative framework that attempts to go

defining law quite simply as the command of the sovereign and having once isolated that single

beyond typologies.

source or oracle of national law they could argue

See also AUTHORITY.

that the task or province of jurisprudence was that

Reading

of scientifically determining the pedigree and lo­

Burns, J. 1979 : Leadership.

gical coherence of the established legal order. Posi­

Carly1e, T. 1904 (1966): On Heroes, Hero-worship and the

tivistic legal philosophy was thus a systematizing

Heroic in History, ed. C. Niemeyer. Freud, S. 1921 (1959): Group Psychology and the Analysis of the Ego, trans. J. Strachey.

discourse; one which took the content of law as 'given' or axiomatic and was merely concerned to arrange the sources and institutions of the legal

Friedrich, C. 1958 : Authority. Gou1dner, A. 1950: Studies in Leadership: Leadership and Democratic Action. Hook, S. 19 43: The Hero in History: a Study in Limitation

system into a formally defined normative order or 'rule of law'. In continental jurisprudence a similarly dog­ matic tradition of positivistic legal philosophy

and Possibility. Le Bon, G. 1895 (1952): The Crowd: a Study ofthe Popular

dates back to the reception of Roman law - of the

Corpus Juris Civilis- in Europe

Mind. Nietzsche, F. 1901 (1964): The Will to Power, trans. A. Ludovici.

in the late eleventh

century. For the continental or 'civilian' tradition there was one law and one source of law for all of

Paige, G. 1977 : The Scientific Study of Leadership. Rousseau, J.-J. 1762 (1967): The S ocial Contract, ed. L. Crocker. Tarde, G. 1903 (1962): The Laws of Imitation, trans. E. Parsons. Weber, M. 1968: On Charisma and Institution Building, a selection, ed. S. N. Eisenstadt.

CHARLES T. LINDHOLM

Europe, namely, the law codified in the early sixth century by the Emperor Justinian. Granted such a unitary and universal source of law the civilian tradition of dogmatic jurisprudence could easily adopt a positivistic legal philosophy in arguing the coincidence of law and reason in the texts - the written reason

(ratio scripta)

- of the code. Later

continental codifications in the eighteenth and Left, New

See NEW LEFT

nineteenth centuries generally saw a resurgence of

340

LEGAL POSITIVISM

legal positivism, of the belief in the availability of all

In critical terms legal positivism can be described

law in the code, in the logical and discrete world of

as the indigenous, or commonsense, philosophy of

the Text.

the legal profession. It is in that sense a dogmatic

Modern legal positivism presents an often sim­

philosophy, one which seeks to legitimate a profes­

plified and considerably more abstract version of

sional knowledge on the basis of the profession's

the traditional lawyers' philosophy of the secular

self-representation. It should be noted in this re­

law. Its major philosophical proponent on the con­

spect that legal positivism seeks to isolate law from

tinent (though subsequently domiciled in the

its political and administrative contexts. It studies

United States) was the Austrian neo-Kantian legal

law as an activity apart from other social phenom­

philosopher Hans Kelsen. In a series of highly

ena and as a discourse uniquely free of any such

influential works Kelsen attempted to construct a

subjective or intertextual features as would threaten

'pure theory of law' or structural science of legal

the overriding value of the 'rule of law'.

order. Replacing the unique sovereign source of law

As positivist legal philosophy enters the second

with the logical presupposition of 'the basic norm'

millennium its meaning has become ever more

Grundnorm as the unitary foundation of any legal

starkly bifurcated within the anglophone world. It

system, Kelsen posited the conditions of any posi­

is, on the one hand, an increasingly obscure aca­

tivistic legal science in terms of the exclusive study

demic cult, the application of mid-twentieth-cen­

or

of the internal coherence of the normative order.

tury Oxford analytic linguistic philosophy to the

Legal problems were to be studied as normative

second-order description of law. On the other hand,

problems, as structural questions of order, and in

in political terms, the key positivist thesis of the

that way legal science could be separated from those

arbitrary separation of politics and law has received

'prescientific' disciplines such as sociology, psych­

various significant sociological and polemical re­

ology, history, economics or ethics which conflated

assertions. Niklas Luhmann's autopoietic theory

the study of legal rules with the study of values,

of social systems offers a sophisticated meta­

questions of what 'is' with questions of what 'ought

positivistic sociology of the legal form (Murphy,

to be'. A properly positivistic science of law would

1997). In Stanley Fish's useful aphorism, 'the law

study the pedigree or 'formal authorization' of the

wishes to have a formal existence' and this requires

legal norm, or in more pragmatic terms it would

the elaboration of a theory of adjudication that can

study the text of the law but simply in terms of its

constrain the process of legal judgement to consid­

system membership.

eration of factors internal to the legal order (Fish,

In the common law world, modern legal positiv­ ism draws on the work of Kelsen but is principally

1989). As Luhmann recognizes, this is starkly para­ 1999). The paradoxical political

doxical (Goodrich,

associated with the work of the analytic legal

project of legal positivism is that of asserting the

philosopher and jurist Herbert Hart and his book

autonomy of legal adjudication at the same time as it

The Concept of Law, first published in 1961. In a

describes a social history of law applying acts that

largely synthetic work Hart elaborated a positivistic

explicitly foster broadly liberal goals in relation to

legal philosophy in terms of the study of law as the

race, gender and social equality. That paradox,

study of a discrete system of primary and secondary

which is increasingly worked through in terms of

rules. The separation of the legal order from other

theories of adjudication (Lucy,

normative systems is, in Hart's version of legal

ductive moment of law's encounter with the real.

positivism, attributable to a 'rule of recognition'

1999), is the pro­

See also POSITIVISM.

whereby officials of the legal system identify and accept the discrete source and characteristics of

Reading

legal rules. Legal positivism thus connotes the ob­

Austin, J. 1885

jective study of an isolated system of social rules. These rules are studied as official or professional knowledge and can be formally identified and ana­ lytically described without reference to any con­ textual,

non-normative

or

other

evaluative

considerations. The existence of law, for the legal positivist, is one thing, its merit or demerit is a quite separate thing.

(19SS): The Province ofJurisprudence Determined and the Uses ofthe Study ofJurisprudence. Bentham, J. c. l 780 2 (1970): OfLaws in General. Fish, S. 1989: Doing What Comes Naturally. Goodrich, P. 1986: Reading the Law. -

--1999: Anti-Teubner: autopoiesis, paradox and the

Epistemology, 13, 197. The Concept ofLaw. Hobbes, T. 1651 (1973): Leviathan. Kelsen, H. 1976: Pure Theory ofLaw. theory oflaw Social

Hart, H. 1961:

LEGITIMACY Legendre, P. 1983: Lucy, W. 1999:

L'Empire de la veriti. Understanding and Explaining Adju­

dication. Murphy, W. T. 1997:

The Oldest Social Science? Con­ figurations ofLaw and Modernity. PETER GOODRICH

l egitimacy

The 'rightfulness' of a social or pol­

itical order, its claim to support, as opposed to mere acquiescence, on the part of those subject to it, is of course a pervasive theme in political theory, often formalized in theories of 'political obligation'. Twentieth-century social thought, as well as con­ tinuing this normative and prescriptive tradition in relation to JusTICE, freedom, equality, etc., was greatly preoccupied with legitimacy as an empirical or behavioural concept, according to which a regime is 'legitimate' if it is believed to be legitimate by the population concerned. This line of thought, which recalls Machiavelli's The Prince (1513), La Boetie's Discourse on Voluntary Servitude (1975) and

fl

in the twentieth century, Georges Sorel's

Re ections on

Violence (1906),

was dominated

throughout the century by Max Weber's classic distinction (1921-2) between 'three pure types of legitimate authority'. Although domination or au­ thority may be based, Weber says, on custom, interest, affectual or 'value-rational' motives, a secure order is usually characterized by a belief in its legitimacy. This may be based on tradition, on the CHARISMA of the ruler(s) or on a 'rational' ac­ ceptance of the legality of the order. As always with Weber's ideal types, these pure forms of legitimacy are found in combination, but one might take Saudi Arabia, Nazi Germany and Switzerland as illustrat­ ing the respective types. As in other areas of social life charisma tends to become routinized or objec­

;

tifi d, developing into traditional or constitutional rule or some combination of these. The Weberian paradigm dominated Western

341

motivation. Habermas's analysis, unlike Weber's, is grounded in a normative conception in which the legitimacy of a regime depends on whether it is what those concerned would have agreed to as a result of a free, fully informed and exhaustive dis­ cussion (see Habermas, 1981; 1992). The distinc­ tion between legitimacy and a 'mass loyalty' often seen as manipulated has become popular in critical theory (see FRANKFURT SCHOOL) and more gener­ ally. At the more conservative end of the political spectrum, a model of legitimation by constitutional and other formal procedures (Luhmann,

1969)

continues one of Max Weber's central motifs. This opposition between constitutional-processual and radical-democratic emphases was mitigated in the 1990s as a result of two developments: the overthrow of state socialist regimes and their re­ placement, in some countries, by constitutional democracies; and a new interest among Western radicals and socialists, notably in Britain and Ger­ many, in constitutional reform. The twentieth century saw the consolidation of what at the beginning of the century was still a rather revolutionary notion, that the legitimacy of a regime most fundamentally depends on the elect­ orally expressed support of a majority of the whole adult population - though few parties quite attain this ideal. In a broader sense, the idea that all AUTHORITY exercised over sane adults should have

to be justified in discussion and debate is becoming more prominent in the everyday practice of many countries - sometimes even in their armies. Polit­ ical leaders and other authority figures find it harder than in the past to avoid giving press confer­ ences and interviews to justify their policies, though public relations experts have become cor­ respondingly skilled at turning such 'debates' into manipulated and propagandistic rituals (see PoLIT­ ICAL RITUAL).

political science in the middle decades of the cen­ tury. It provided a useful framework for studies of

Reading

POLITICAL CULTURE, though critics attacked the

Blumenberg, H. 1966 (1985)

paradoxical and, as they saw it, cynical implication that secret police and propaganda could contribute to the 'legitimacy', in this 'value-free' sense, of a regime (Schaar, 1969; Pitkin, 1972, pp. 280-6). Ji.irgen Habermas, in his classic programmatic work (1973), suggested that advanced capitalist so­ cieties suffered from 'legitimation crises' resulting from the displacement of tendencies to economic crisis into the spheres of state policy and individual

The Legitimacy ofthe Modern

Age. Connolly, W. ed. 1984:

Legitimacy and the State. (1975): Legitimation Crisis. --1992 (1996) Between Facts and Norms. Merquior,J. G. 1980: Rousseau and Weber: a Study in the Theory ofLegitimacy. Schaar, J. 1969: Legitimacy in the modern state. In Power and Community, ed. P. Green and S. Levinson. (Also in

Habermas,J. 1973

Connolly, 1984, above.)

WILLIAM OUTHWAITE

342

LEISURE The word derives etymologically from

widespread unrest or UNEMPLOYMENT. A fascinat­

the Latin verb licere, meaning 'to allow'. Built into

ingly wide range of writers in North America in

the term, then, is a sense of the permissible. Even in

the 1920s was concerned with leisure. Hunnicutt

leisure

Greek thought the notion of leisure was coupled

(1988) describes one conservative figure as seeing

with that of labour or work; for Aristotle, leisure

leisure as the 'most serious educational and social

was a serious business indeed: 'We conduct business

problem' of the 1920s, and cites another commen­

in order to have leisure,' he wrote. Leisure in this

tator of the time: 'Alfred Lloyd, a sociologist at

sense is an ideal state to which the citizen can aspire,

the University of Michigan, thought that leisure

in which the living of a life of leisure is premised on

was essentially

minimizing necessities and ensuring that as much

(p. 104). These well-intentioned reformers grafted

time as possible is free (Barrett, 1989, p. 14).

a humanist idealism on to the rational recreation

a

way

to

democratic

culture'

In modern English usage the term came to mean,

model. Others, as Hunnicutt also observes (1988,

by the fourteenth century, 'opportunity for free

p. 130), saw leisure as creativity: 'Society had to

time' (Williams, 1976). WoRK was becoming more

provide individuals with the opportunity to be

narrowly defined as paid time, as measured and

creative and to find a practical way to direct

hired labour, and lesiure-time activities seen as

sex drives into creative forms. Leisure offered that

those sorts of activities one could engage in away

opportunity.'

from the obligations of work. But in the key transi­

In Britain, the labour movement at that time saw

tional period which laid the foundation of modern

leisure more in tension with money than with sex

industrial society (in Britain at least) it was clear

drives (Cross, 1986). In the 1920s, Post Office

that the relation between work and leisure could be

unionists perceived a 'share-out of leisure and a

far from harmonious, and for many zealots of the

betterment of life' as 'more vital than money'.

new industrial order leisure was a potential prob­

Printers took the same view, and painters argued

lem. If the new industrial workers exhibited ini­

for a tripartite deal: extended pre-work education; a

tially the leisure and recreational mores of the

shorter working week; and holidays with pay

preindustrial culture, the desired forms of the new

Uones, 1986). In the period after World War I

labour discipline could well be threatened. This is

organized labour won a great deal more free time

why the suppression and marginalization of trad­

and by 1920 seven million workers in Britain had

itional recreational forms was one of the prerequis­

achieved a reduction in the working week of six­

ites of the new industrial order (Thompson, 1967).

and-a-half hours, while one-and-a-half million

New forms of work and everyday living were seen

workers had been granted the right to holidays

as requiring new forms of leisure: for workers,

with pay. Legislation on holidays with pay was

rational recreation (respectable and often self-im­

introduced in 1938.

proving forms of non-work activity) was evolved by

The allegedly idle have always been a target for

the reforming classes as one answer (Bailey, 1978);

some social reformers. Rising unemployment in

for the emergent Victorian bourgeoisie, there were

Britain in the 1980s provoked concern, and leisure

expanding possibilities in the growing consumer

schemes were evolved in the hope that these would

market (Campbell, 1987). Without doubt, though,

compensate for the lack of work, and even promote

leisure activity in the early modern industrial

forms of social and community responsibility.

period was a sphere of social, cultural and political

However:

struggle. The truly 'leisured' were those who had no need to work: the privileged elite for whom a life of leisure was a serious life-project, and the ability to engage in an activity 'at your leisure' was a sign of status. This sense of leisure as a means of conspicu­ ous consumption informed the first genuinely sociological

treatise

on

leisure,

in

Thorstein

hopes of handing over the running of schemes to paid or volunteer unemployed leaders have rarely been realized. The unemployed, it seems, have more important things to do with their time­ or lead such amorphous lives that they feel unable to commit themselves to anything. (Glyptis, 1989, p. 157)

Veblen's satirical The Theory of the Leisure Class (1899). The 'problem' of leisure has been rediscovered regularly, usually during periods of potentially

In the educational sphere, working-class young have often been perceived as a potential problem (Clarke and Critcher, 1985, p. 129):

LENINISM

343

in response, for concerned providers education for

a form of political as well as social analysis, casting

leisure aims to broaden the minds of young people

light on processes and relations of power and priv­

by introducing them to the opportunities for con­

ilege.

structive leisure, and by providing the social skills necessary to take advantage of the possibilities that exist.

The social order is not held

together,

threatened or negotiated exclusively at the work­ place, but also in leisure (Elias and Dunning, 1986), where new identities can be sought and local cul­ tural autonomy might be expressed (Finnegan,

The rhetoric of leisure has often been an indi­

1989; Bishop and Hoggett, 1986; Willis et al.,

vidualist one, yet ironically the concern with leisure

1990); where bargains might be struck between

has frequently led liberal commentators to adopt

contested interests and contesting groups; where

the paternalistic tone of the critical moralist. David

inequalities might be reproduced and forms of au­

Riesman pointed to 'the best of our college stu­

thority reaffirmed.

dents' as examples of an admirable use of leisure time- in their 'serious concern with current issues,

Reading

with reading and companionship, and often a

Barrett, C. 1989: The concept of leisure: idea and ideal. In

strong interest in music, drama, literature and nature' (Riesman, 1964, pp. 190-1). An important sociological emphasis on the work­ leisure relation has promoted a great deal of debate and research (Parker, 1976; Roberts, 1981), and few

The Philosophy ofLeisure, ed. C. Barrett and T. Winni­ frith. Clarke, J. and Critcher, C. 1985: The Devil Makes Work:

Leisure in Capitalist Britain. Finnegan, R. 1989: The Hidden Musicians: Music-making

in an English Town.

experts would disagree with the claim that 'the

Rojek, C. ed. 1989: Leisure for Leisure: Critical Essays.

study of leisure time must . . . be approached within

Wimbush, E. and Talbot, M. eds 1988: Relative Freedoms:

the context of the reduction of the working week, as

Women and Leisure.

ALAN TOMLINSON

well as the social norms associated with it, and the desired balance between work, family and leisure' (Pronovost, 1989, p. 57). Some of the most innova­

Leninism

tive social analysis of leisure has been from a femi­

V. I. Lenin, founder and theoretician of Russian

nist

very

Bolshevism; and to the numerous organizations and

categories employed by male sociologists (Mcln­

groups that have laid claim to and been inspired by

viewpoint,

often

challenging

the

The term refers both to the ideas of

tosh, 1981, pp. 93 If.; Wimbush and Talbot,

them. This double reference has marked it with a

1988); and from critical perspectives (Home et al.,

particular ambiguity. As the thought of one man,

1987; Rojek, 1989).

Leninism was a developing corpus, adaptable to

It has been convincingly argued that the forma­

different circumstances and in the light of changing

tive social theorists of the modern age were con­

political needs and concerns. As an organized sector

cerned not just with capitalism and the labour

of international socialism on the other hand, it has

process, but also, however implicitly, with the

often hardened into unbending sectarian doctrine

nature of leisure (Rojek, 1985). Debates about post­

and rigid practice. This has been so especially

modernism and globalization focus on leisure: the

where it was joined to its parent 'ism' in the

contemporary consumer constructs the appropriate

coupling 'Marxism-Leninism' - generally signify­

leisure lifestyle in her/his fragmentedly free fash­

ing a continuity traced back to Lenin by way of

ion (Rojek, 1990) - at home, or anywhere on the

STALINISM. But it has also been true sometimes of

world's tourist map (Urry, 1990). The leisure and

groups that were politically opposed to Stalinism

culture industries are big business indeed, challen­

(see TROTSKYISM).

ging social scientists to revise old models of the

In its first sense, Leninism necessarily grew by a

production/consumption dynamic, and the process

process of accretion, as Lenin grappled with the

of consumption in particular (Tomlinson, 1990 and

problems of the socialist movement in Russia.

1991; Warde, 1990). (See also CONSUMER SOCIETY;

From an early stage his name became associated

MASS CULTURE). These issues also crystallize de­

with a distinctive approach to questions of party

bates about freedom and constraint, agency and

organization and the party-class relationship. This

structure. Is leisure a sphere in which we are free

was soon fused with a strategic vision of the pro­

to choose? If not, what is the nature of the con­

jected Russian revolution, one characterized by a

straints on our choices? The study of leisure can be

certain internal paradox. Later, in the shadow of

344

LENINISM

world war, Lenin put forward a view of modern

There is no doubt that some of Lenin's emphases

1917 to altering

here were due to the particular political - and

that earlier paradoxical conception. He also out­

polemical - context. He himself subsequently ac­

capitalism that would contribute in

lined a theory of the capitalist state, of the necessary

knowledged that. The thesis concerning the trade

means of socialist revolution against it, and of the

union limits of proletarian spontaneity, and his

type of transitional institutions he envisaged on the

arguments for a narrow, clandestine party, were

road to a classless society.

both to be qualified in more revolutionary times.

Lenin's thinking about revolutionary organiza­

This ensemble of theses has, in any case, given rise

tion took shape in the early years of the century, in

to

connection with the campaign of the newspaper

import of the original Leninist project. Was it

Iskra to establish

simply an attempt to give organizational focus and

a unified Russian party and with

widely

differing

judgements

regarding

the

the split which then rent this infant party into

direction to the axiomatic Marxian goal of proletar­

Bolshevik and Menshevik factions. Lenin's view

ian self-emancipation - creating an effective party

of the kind of party needed was of a centralized

of the

organization, with a group of full-time, professional

cism and struggle? Or was it, rather, a project of

working class, its own tool of analysis, criti­

revolutionaries at its core, whose theoretical forma­

tutelage; the party (what so many would-be Lenin­

tion and political training would enable the party to

ist parties were to become) the final arbiter of

act as the vanguard of the working class. This view,

Marxist 'truth'; this vanguard of the class in fact

What Is To Be Done? (1902) and One Step Forward, Two Steps Back (1904), was expli­

name? Again, was the project - in an intermediate

cated and defended in terms of four principal

interpretation- one of healthy, liberatory ambition,

theses.

but the bearer also of more negative potentialities

elaborated in

an elite bent on taking power for itself in the class's

First, the party must be guided by the most

which eventually were to prevail? This has been

'advanced' theory. As Lenin wrote, 'Without revo­

part of a larger argument across the twentieth cen­

lutionary theory there can be no revolutionary

tury: about how far Leninism was responsible for

movement.' Second, the spontaneous impulses

Stalin and Stalinism.

and efforts of the masses of the working class

With the Leninist view of the party, one of the

would not by themselves produce a revolutionary

two main pillars of early Bolshevism was in place.

class consciousness, but must inevitably remain

The other was fashioned during the upheaval of

confined within trade union limits. Third, socialist

1905:

consciousness

Lenin advocated in

the conception of the Russian revolution

workers' struggle from without. Lenin gave this

Two Tactics ofSocial Democracy in the Democratic Revolution. In essence this revolu­

thesis two different meanings: the source of socialist

tion, according to him, was to be a bourgeois revo­

theory, he argued, was a section of the bourgeois

lution carried through by the proletariat in alliance

intelligentsia; and the true ambit of that theory was

with the peasantry. Its bourgeois nature was an

could

only

be

brought

to

the

much broader than the perspective of trade union­

assumption he shared with the Mensheviks: the

ism, involving an overall grasp of the relationships

chief tasks were to clear the ground for a free

of

focused

development of capitalism and to create a demo­

through the state. On one meaning or the other,

cratic, republican state. However, against the Men­

bourgeois

society,

particularly

as

the party had to bring together under its pro­

sheviks, Lenin insisted that proletarian rather than

gramme and leadership all the disparate grievances,

bourgeois forces would have to lead it - the bour­

demands, campaigns and struggles of the exploited

geoisie being too weak and politically timid for any

and oppressed, combining them into a unified revo­

radical,

lutionary assault against the state. Fourth, in order

basis of the same premiss, Lean Trotsky for his

thoroughgoing

transformation. On the

to accomplish this task the party needed to be

part arrived at the thesis of

centralized and disciplined. Individual members

TION:

were to be bound by the democratic decisions

further than the bourgeois aims of the revolution

PERMANENT REVOLU­

the idea that the Russian workers would go

of the organization, and the local sections and

and begin the transition to socialism. Lenin resisted

other bodies coordinated by the central leadership

this idea. In Russian conditions it was impossible,

in line with agreed policy. These norms later

he thought, to go beyond the first (bourgeois­

came to be known under the rubric 'democratic

democratic) to the second (proletarian-socialist)

centralism'.

revolutionary stage. His view therefore, in sum,

LENINISM

345

was of the proletariat taking political power with

struction much more directly democratic institu­

the peasantry, only to have to relinquish it in due

tions, of the workers' council type. Such was Lenin's conception of proletarian rule: of a state

course to the bourgeoisie.

1917 Lenin was to abandon this conception of

of a new kind, more democratic than any before it;

two distinct stages and, in the face of opposition

an active, participatory democracy for the masses of

from many Bolsheviks, to urge that a proletarian

working people.

In

revolution was on the agenda after all. His own

If his views on party organization have often been

thinking on the point had come together with that

seen as elitist, the argument of State

of Trotsky. One factor in changing his mind was

by contrast is sometimes regarded as being close to a

and Revolution

probably the analysis of world capitalism that he

form of anarchism - though Lenin would later

had been prompted by the onset of war to under­

vigorously oppose inside the Communist Inter­

take. In

Imperialism, the Highest Stage of Capitalism

national the anarchist-style view of so-called 'left'

(1916),

he argued that the contemporary capitalist

communists, according to which the working class

order was marked by the domination of large mon­

and its organizations should abstain altogether from

opolies, the merging of bank and industrial capital,

participation in parliamentary politics even in non­

and fierce territorial competition among the largest

revolutionary circumstances.

capitalist powers for portions of the globe, driven

In any event, the participatory-democratic spirit

by the need to secure a field for the export of capital.

of Lenin's pamphlet, penned on the eve of the

In this perspective of an international system

Bolshevik revolution, was quickly subject to all of

shaken by competitive instability, war and crisis,

the pressures facing the new regime in power: of

the Russian revolution was now seen by Lenin as a

civil war, foreign intervention, economic and social

breaking of the capitalist chain at its weakest link:

dislocation, political opposition and discontent. In

the first of a series of proletarian revolutions in a

this

global struggle for socialism. However, where the

guidance began to tighten into an autocratic mon­

Leninism of Lenin himself could accommodate

opoly of power. Other parties were banned, some

situation

Bolshevik

rule

under

Lenin's

such a significant change of mind, derivative Marx­

but not all of them in open and violent revolt against

ism-Leninisms later did all they could to obscure it.

the new political order. Factions inside Lenin's

Concerned to make Lenin right about everything,

party itself were then prohibited, as they never

the Stalinized Leninist tradition froze his view­

had been hitherto. Whether these measures were

points, including those he had left behind, into a

just temporary and desperate expedients, or were

rigid unity - rather as it erected statues of the man

instead perfectly in harmony with the 'substitution­

and even embalmed his corpse.

ist' logic of the Leninist project- this, again, forms

World war and revolution in Russia induced a more general reconsideration on Lenin's part. This

part of the decades-long argument about the rela­ tionship between Leninism and Stalinism.

involved a critique of the 'orthodox' Marxism of

That Leninism in power laid some of the bases

Karl Kautsky, one that symbolized the historical

for the rise of Stalin cannot easily be denied. It

rift then opening up between social democracy and

did so institutionally, albeit under intense pressure,

the world communist movement, as Bolshevism

by eliminating the possible sites of a political plur­

and its international support were soon to become

alism. And it did so doctrinally as well - making

(see CoMMUNISM; SociALISM) .

a virtue out of necessity, as Rosa Luxemburg fam­

Lenin's critique

centred on emphatic claims about the nature of

ously wrote - by fudging, in self-justificatory

the bourgeois state and of the transitional order -

polemics, the distinction between proletarian and

the 'dictatorship of the proletariat' - which must

party rule. But equally, that Lenin himself would

replace it. An effective socialist strategy, he argued in

State and Revolution (1917),

not have been

able to

go

along with,

much

could not be based

less preside over, what transpired with the triumph

on simply taking over the institutions of the existing

of Stalin, is also clear. Shortly before he died Lenin

bourgeois state. These must rather be destroyed

became alarmed at the forms of arbitrary power

and something radically different be created in

in process of development around him; sought

their place. For, the parliamentary-representative

to check them; and to have Stalin, in particular,

state and its executive machinery all but excluded

removed from the strong position of influence

the working class from influence and power, while

he had achieved. The effort was too late and in

socialism by its very nature required for its con-

vam.

346

LIBERALISM

In the 1990s the statues of Lenin came down in

Europe and America, liberalism refers to a

specific

what were the lands of 'Marxism-Leninism'. It is

set of ideas which from time to time mark off its

part of the complex reality that evolved under the

adherents from conservatives and socialists. Just

label deriving from his name - and an irony little

what constitutes this specific form of liberalism

noticed in recent comment - that Lenin himself

changes from one generation to the next. In the

could only have applauded their coming down: a

nineteenth century, for example, liberalism incorp­

renunciation of the rigidified, authoritarian cult

orated such ideas as free trade, democracy and

that had been made out of his revolutionary project

national self-determination. Towards the end of

and his modest individual person. Whatever his

that century, however, a 'new liberalism' arose em­

judgement on connected events might have been,

phasizing that the state ought to be responsible for

his applause for this at least seems a reasonable

supplying the material needs of the poor so that

certainty.

they might more effectively exercise the liberty they

Reading

was clearly at odds with the minimal state which

ought to enjoy. This mediation towards socialism Carr, E. H.

1950 (1966):

The Bolshevik Revolution

1917-1923, vol. I, pp. 15-111. Colletti, L. 1972: From Rousseau to Lenin, pp. 219-27. Harding, N. 1977, 1981 (1982): Lenin's Political Thought,

2 vols combined.

many earlier liberals had thought the only guaran­ tee of freedom. Such classical liberalism of the mid­ nineteenth century has been powerfully revived during the 1970s, and has generally found a home in parties calling themselves 'conservative'.

Lenin, V. I. (1960-70): Collected Works.

It will be clear that any attempt to define liberal­

Lewin, M. 1973: Lenin's Last Struggle. Liebman, M. 1975: Leninism under Lenin.

ism is like tracking a moving target. The meaning

Luxemburg, R. 1970: Organizational questions of Russian

of 'liberalism' changes not only with its level of

social democracy. In Rosa Luxemburg Speaks, ed. M. A.

abstraction, and with the passing of time, but also

Waters. --

1970: The Russian revolution. In Rosa Luxemburg

Speaks, ed. M. A. Waters.

Mandel, E. 1977: The Leninist theory of organization. In Revolution and Class Struggle: a Reader in Marxist Pol­ itics, ed. R. Blackburn.

from

country to country.

Anticlericalism,

for

example, was an important component in nine­ teenth-century French liberalism, whereas anti­ religious feeling has been at best intermittent in Britain and America. All such emphases change constantly.

Meyer, A. G. 1962: Leninism. Miliband, R. 1983: Class Power and State Power, pp.

!54 -{)6. NORMAN GERAS

The history ofliberal ideas The actual term 'liberalism' came into British pol­

liberalism

This is a political doctrine which

itics from Spain and France in the 1830s, the

holds that the purpose of the state, as an association

decade in which most of the labels of modern polit­

of independent individuals, is to facilitate the pro­

ics gained their currency. It came to describe the

jects (or 'happiness') of its members. States ought

old Whig party whose roots went back to the clas­

not to impose projects of their own. Like its doctri­

sical republicanism of the seventeenth century. The

nal partner CoNSERVATISM, liberalism is one version

fluidity of these political ideas can be illustrated

of the Western political tradition, and both terms

from Edmund Burke's appeal, in the 1790s, from

are employed, somewhat confusingly, in both a

the 'new Whigs' sympathetic to French doctrines of

generic and a specific sense.

natural rights, to the 'old Whigs' who stood, as

In a generic sense, 'liberalism' refers to the whole

Burke saw it, by the tradition of the 1688 settlement.

modern Western tradition of thought and behav­

Burke's doctrinal founding of British conservative

iour, as contrasted with the traditional forms of

thought reveals much about where it is distin­

order found in Asia and Africa. Critics of the

guished from liberalism. He agreed that society

modern Western world, such as Marxists, or vari­

was a contract, but he rapidly dissolved the actual

ous kinds of religious fundamentalists, attack liber­

contracts of rational men in 'the great primaeval

alism

as

the

doctrinal

aspect

of

capitalism.

contract of eternal society' which left much less to

Liberalism in this sense refers to the release of an

their active discretion. Liberals, by contrast, are

individual's desires from many of the restraints of a

more willing to adapt the rules and arrangements

traditional order. But within the actual politics of

of a civil association so as to accord with what is

LIBERALISM currently thought rational. As Burke's critic and contemporary Tom Paine put it, no generation has the right to bind its successors. In its SociAL CONTRACT versions, liberalism ex­ plored a realm of private discretions (which in­ cluded conscience, the family and opinion) which governments must not invade. Many of these themes became explicit in the Protestant Reforma­ tion of the sixteenth century, and a certain tension between liberalism and Catholicism has been a rec­ ognized feature of political life up until the later decades of the twentieth century. A classic expres­ sion of this attitude is John Milton railing in Areo­ pagitica (1644) against the moral domination of their flocks by Catholic priests. But it was long generally agreed that the essential principles of liberalism were first stated in John Locke's Second Treatise of Government (1690). Locke here argues that government is a kind of trust set up by individuals who have banded to­ gether to form a society the point of which is to secure order and protect property. 'Property' for this purpose includes 'life, liberty and possessions', and its management is a duty imposed upon us by God. Governments rule by law, and the broad outlines of their duty (and its limits) are given by what reason tells us about human nature and nat­ ural rights. Authority results from the consent of the ruled, and the people have the right, as a last resort, to overthrow a ruler who violates these con­ ditions. Locke's Second Treatise was a highly partisan work dressed up as if it were a philosophical argu­ ment, and historians of ideas now believe that to identify it with the much later doctrine of liberalism is to commit Whig history, in which historical personages are understood as animated by ideas of liberty which only emerged at a later time. An even more serious problem is that the central place accorded to natural law in Locke's argument se­ verely limited the range of possible political dis­ agreement. But it is of the essence of a liberal society that it is characterized by basic disagree­ ment about all matters of substance. From this point of view, the thought of Thomas Hobbes, dismissed by many later critics as absolutist, indeed virtually totalitarian, begins to tell us more about liberalism. The central point is that Hobbes's Leviathan (1651) takes with the utmost seriousness the fact of disagreement between the members of a modern state. Such disagreement threatens human

347

associations with violence and breakdown, an out­ come which can only be avoided by vesting author­ ity in a sovereign whose decisions on matters of law and public business, including public doctrine, must be taken as final. Instead of basing the state on reason, as Locke did, Hobbes relied on authority. The subject of a modern state is bound by rules he may find neither rational nor desirable, and his freedom consists in those areas (assumed by Hobbes to be an immense continent) in which the law is silent. Later liberal thought has empha­ sized the fact that it is the logical character of rules­ as being abstract and hypothetical- which facilitates liberty. Such 'adverbial' modifications of behaviour (to use an appropriate metaphor stemming from Michael Oakeshott) allow scope for ingenuity and imagination in the pursuit of desires. Laws qualify actions, but do not command them. The secret of the dynamism of modern liberal states lies in a continuing dialogue between a legislating government and a responding citizenry guided by a set of abstract rules. Hobbes himself compared laws to the hedges and fences which keep people from straying into private ground. As Oake­ shott has remarked, 'without being himself a liberal, [Hobbes] had in him more of the philosophy of liberalism than most of its professed defenders.'

The liberal conception of political life The essence of liberalism lies in its recognition of individual desiring as the basic fact of a modern civil association. There are no overriding values or norms to which man is comprehensively and per­ manently obliged. But this formula is frequently misunderstood. It must not be thought, for example, that a desire is the same as impulse, in­ clination or caprice. The 'desire' of liberal thought, like the 'happiness' of utilitarian theorists (see UTILITARIANISM), is highly rationalized. The iden­ tity of the person in liberal thought is to be dis­ covered not in any natural feature (such as race or class) nor in any social relationship (such as status or station) but in a structure of coherent or ration­ alized desires. It is only such a person who can be made responsible for his or her actions. Such formulations suggest, of course, that each individ­ ual in a liberal state is a paragon of self-creation. All actual states, of course, are permeated by a living texture of patriotic feelings, and moral and religious attachments inherited from the past. The

348

LIBERALISM

advance of liberalism, however, has diminished

liberals have found, and often are still finding,

the authoritative status of religions, and opened

difficult to understand.

up patriotic attachments to the competition of universalistic and cosmopolitan attachments. This dissolution of inherited attachments (which conser­

Recent developments

vatives often argue will in the end prove fatal to

Liberalism has been a major beneficiary of the

modern Western societies) has largely been based

revival of normative political thought since the

on the growth of modern societies as economies, in

1960s. The two basic moral ideas in terms of

which all members (rather than the traditional

which liberalism has been elucidated - those of

breadwinners of the past) participate in what

rights, and of utility - have been ingeniously de­

Adam Smith called 'truck, barter and exchange'.

veloped. The liberal emphasis on rational choice

Indeed, one of the most persuasive versions of

(see RATIONAL CHOICE THEORY) has revived the fa­

liberalism - that advanced by F. A. Hayek (1960)

miliar social contract question: how can such crea­

- consists in an argument that the economy ought

tures generate public goods? How can they be

in substance to be beyond the range of political

motivated to behave communally if it is not in their private interest to do so? A huge technical

interference. Critics of liberalism often charge it with being

literature in this area has focused around the pris­

false to social and political reality. Such criticism

oner's dilemma and other forms of game theory.

is usually based on misunderstanding. The indi­

The idea of choosing basic social principles behind

vidualist emphasis of the social contract theory,

a 'veil of ignorance' in A Theory ofJustice by John

for example, is often attacked as a form of atomism

Rawls ( 1971) attempts to determine a framework of

which does not recognize that man is a social

constitutional rules independently of the partiality

animal. When the citizen of a liberal state is char­

we are assumed to exhibit in actual social and polit­

acterized as a 'bourgeois' (for example, in Marxist

ical life. In these terms, a liberal state appears as one

doctrines), he is often thought to be isolated and

which is indifferent or neutral as between the spe­

in conflict with his fellows. In fact, liberal theory

cific

has no difficulty recognizing social relations, and

members. This procedural ideal of liberalism has

one of the most striking features of liberal socie­

recently been expressed in terms of the priority of

ties is the flexible and fluent creativity of their

the right over the good.

projects

and

opinions

favoured

by

its

social cooperation - of which the celebrated wealth

The problems explored in this philosophical lit­

of voluntary associations in Anglo-Saxon societies

erature are academic in the sense that liberal-demo­

is a good example. Again, the similarity between

cratic societies do, as a matter of fact, work, and

liberal individualism and the theory of rational

indeed work very well. But critics often argue that

economic relations has led some critics to conclude

the freedom and neutrality liberals claim for their

that selfishness and greed lie at the heart of libe­

state is illusory. It is certainly true that religious

ral societies. This muddle between selfishness

believers who are entirely persuaded that they alone

(which is a moral fault) and self-interest (which

possess the truth of things may well find the plural­

is a formal criterion of rational behaviour) is both

ism of a liberal society intolerable, and in fact the

common and pernicious. It may best be refuted

consequence of centuries of such controversy on

by pointing to the fact that at both the individual

most Christian churches has been to induce a toler­

and

ant ecumenism which often abandons, at the level

governmental level, liberal societies have

been the most spectacularly given to making gifts

of literal revealed belief, the claim to truth. Aca­

to the less fortunate of any groups in history.

demic discussion of liberalism is thus likely to con­

The real deficiencies of liberal thought only

clude that nihilism lies at the end of the liberal road,

appear when it issues in a kind of rationalism

while some sociologists have argued that the liberal

which assumes that all human beings have the

emphasis on freedom is an acid dissolving the in­

same rationalizing character. Those late nine­

visible bonds by which social order is sustained.

teenth-century

was

Daniel Bell (1979), for example, has argued that

boosted by the heady wine of progress would have

modern capitalist societies require both an austere

found that human nature in the twentieth century

and thrifty Protestant ethic in the area of produc­

writers

whose

liberalism

has badly let them down. Religious and ideological

tion, and a hedonist attitude to consumption; each

zeal have led to ferocious conflicts which many

propensity tends to destroy the other.

LIBERATION THEOLOGY

349

These explorations of danger might well, how­

erature, as if it were in any way comparable to

ever, be taken as part of the resourcefulness of

classical systematic theology, is misleading. There

modern liberal societies, which certainly live dan­

are a number of liberation theologies: black liber­

gerously, but have so far shown a considerable

ation theology (Cone, 1969); Jewish theology of

capacity for making adjustments which will save

liberation (Ellis, 1987); Asian liberation theology

them from disaster. There is, of course, no guaran­

(Suh Kwang-sun, 1983); and Latin American lib­

tee at all that this will continue. But such danger, on

eration theology (Haight, 1985). In addition to

the liberal view, is an unavoidable feature of the

these,

adventure of modernity.

influenced by the Frankfurt school of critical soci­

there

is

so-called

political

theology,

ology, which may be described as a liberation the­ ology for Western capitalist society (Metz, 1969).

Reading Barry, N. P. 1980

(1986): On Classical Liberalism and

Libertarianism.

theologies' rather than of 'liberation theology'.

Bell, D. 1979: The Cultural Contradictions of Capitaltsm. Haakonssen, K. ed. 1988: Traditions of Liberalism. Hayek, F. A. 1960: the Constitution of Liberty.

(1973): Leviathan. Locke, J. 1690 (1960): Two Treatises of Government, ed.

Hobbes, T. 165 1 Peter Las1ett.

(1991): On Liberty and Other Essays, ed.

title because they share assumptions about the need for contemporary theology to be orientated by three values: first, the analysis of oppression and its cor­ responding form of liberation; second, the employ­ ment of social analysis and theory as a corrective to the 'privatized' mode of traditional theology; and, third, the use of the paradigm of liberation from the

John Gray. Milton,]. 1644

Even if a univocal description is not yet available, these theologies may be linked together under one

Gray,J. 1989: Liberalism.

Mill, J. S. 1859

In other words, it is accurate to speak of 'liberation

(1925): Areopagitica. In Milton's Prose: A

Book of Exodus.

Selection. Nozick, R. 1974: Anarchy, State and Utopia. Oakesh ott, M. 1975

(1991): On Human Conduct.

Oppression and liberation

--1975: Hobbes on Civil Association.

The distinctive mode of theologizing developed in

Raw1s,J. 197 1: A Theory ofJustice.

liberation theology came from the combination of

Sandell, M. 1982: Liberalism and the Limits ofJustice.

detailed empirical analysis of forms of oppression

KENNETH R. MINOGUE

and the sociological and political analysis of these

The first theoretical con­

of Paulo Freire (1970) promoted descriptions of

forms. In Latin America, the educational theories liberation theology

struction of Christian faith elaborated in the

the poverty and powerlessness of the mass of the

Third World, liberation theology has the aim of

people. It was later realized that the socio-economic

presenting freedom from oppression as a matter of

analysis of Marx was effective in identifying these

universal religious significance. Of Latin American

forms of oppression as inevitable consequences of

origin and dating from the 1960s, liberation the­

the alliance of wealth and power specific to capital­

ology fuses concepts from the social sciences with

ism. Those theologians who were reflecting along

biblical and theological ideas. In particular, in its

with the people on the experience of poverty began

use of Marxist and neo-Marxist social theory it may

to speak of 'structures of oppression', and, inter­

be superficially read both by undiscerning theolo­

preting the situation theologically, they adopted the

gians and sympathetic sociologists as a form of

term 'structures of sin'.

radical social theory incorporating a secular ethic

It is not clear whether liberation theologians have

of justice. Indeed, a recent official response of the

made textual connections between their own style

Catholic church to liberation theology questions

of theologizing and Marx's usage in Critique of

the epistemological status of a theology which inte­

Hegel's Philosophy of Right, but the similarities are

grates elements of a Marxist theory (Congregation

striking. Marx identifies the oppressing class by its

for the Doctrine of the Faith, 1984). The hybrid form of liberation theology creates an

'embodiment of a limitation' ... 'which gives gen­ eral offence' (in terms of liberation theology this

initial impediment to definition. One might go fur­

might be the sinful structures which create wide­

ther and say that the use of the noun in the singular,

spread poverty), or by the deficiency of a particular

'theology', to describe the corpus of liberation lit-

sphere which becomes 'the notorious crime of a

350

LIBERATION THEOLOGY

whole society' (which might describe the place of

What distinguishes the approach of liberation

the Nazi holocaust in Jewish liberation theology)

theology from preceding forms, and more import­

(see Marx, 1975, p.

antly what constitutes its distinctive epistemology,

254).

The progression from a personal and psycho­

is summed up in its use of the term 'praxis'. West­

logical understanding of the foundations of the­

ern theologians were trained in a tradition that gave

ology to a sociological interpretation of reality is

primacy to theoretical knowledge. First came truth,

typical of liberation theology. For instance, the

and then its application. Liberation theologians

Catholic church's recommendation of a subjective

question this order. They give primacy to action;

lifestyle of poverty has been replaced in liberation

praxis comes before theory; orthopraxis comes

theology by an objective 'option for the poor'. Since

before orthodoxy. Without denying the usefulness

the church compromised itself with the oppressing

of this approach to theology, it may be asked if this

wealth-owning class, it must now identify with the

use of praxis is anything more than Aristotle's use

poor in the struggle for liberation. This recommen­

of the term to describe those matters which have to

dation to 'a fundamental option for the poor'

do with life in the polis; whereas in Marx 'praxis'

reflects Marx's view that 'If one class is to be the

has specific reference to that action connected with

class of liberation par excellence, then another class

the relationships of production. Once again, the

must be the class of oppression' (ibid.).

intimate connections between the notion of praxis

Marx's conclusion (with its own strange theo­

in Marxism and the materialist interpretation of

logical echoes) that social oppression of this kind

reality must create difficulties for theological inter­

means 'the total loss of humanity, which can there­

pretation of history.

fore redeem itself only through the total redemp­ tion of humanity' (ibid., p.

256), presents in secular

form the eschatological theme of the struggle to establish the universal Kingdom of God (with its social and political consequences) which is at the heart of liberation theology.

The Exodus paradigm It would be misleading, however, to discuss liber­ ation theology as if its coherence depended exclu­ sively on exact correspondence with a definitive Marxism, especially at a time when Marxism finds itself more and more incapable of keeping intact the

Radical social theory: deprivatizing the Christian

universalistic nature of its economic propositions.

message

At this point Marxism may have something to learn

The development and nature of liberation theology cannot be understood without seeing it, in part, as a

from liberation theology. In

1921, Ernst Bloch, in his original and inde­

reaction, first, against the individualism of classical

pendent interpretation of Marxism, argued against

Western theology; and, second, against the consen­

Engels and others that the language used by

sus theoretical approach of traditional Catholic

Thomas Mi.inzer in the Peasant War of

social thinking. Two influences were brought to

not a disguised form of secular political aims, but an

1542 was

bear in correcting the first weakness: German pol­

expression of deeply felt religious experiences

itical theology, which was defined by Metz as 'a

which also fostered political commitment. In liber­

critical corrective to the tendency of contemporary

ation theology the Book of Exodus occupies a cen­

theology to concentrate on the private individual'

tral and paradigmatic place in promoting Christian

(1968, p. 3); and, the other corrective, the recovery

endeavour to break the bonds of oppression. In the

of the social meaning of the Gospel by Latin Ameri­

story of Exodus, faith and politics are set together;

can Christians engaged in the struggle for justice.

the action of the people and the action of God are

Liberation theology attempted

one; political fact and theological event run to­

to correct

the

second weakness by drawing on Marxist contribu­

gether. Looked at from the point of view of the

tions to demonstrate that the analysis of social op­

liberation process itself, the Book of Exodus iden­

pression entails a theory of conflict and action. It

tifies two moments: liberation from (the oppression

has tried to be selective in its use of Marxist in­

of the Pharaoh); and liberation to (the Promised

sights, to avoid accepting, that is, the Marxist

Land). It is this paradigm that directs much of

system; but many Christian commentators are

liberation theologizing. Already in

doubtful if the analysis can be used without also

ference of Latin American Bishops in their famous

accepting the materialist interpretation of history.

Medellin document (which officially inaugurated

1968, the Con­

LIBERTARIANISM liberation thematics) referred to the revolutionary force

of

reflecting

and

Gutierrez

and

contemporary

on

liberation

remarks that due

to

in

Exodus;

351

Another division of libertarians is suggested by their views on government. Some, such as Murray

'it remains vital

Rothbard

similar

anarchists, or anarcho-capitalists, holding govern­

historical

(1973) and David Friedman (1989), are

experiences which the people of God undergo'

ment to be unnecessary (see

(1973, p. 159). See also CHRISTIAN SOCIAL THEORY.

believe that individuals can, at least in principle,

ANARCHISM). They

perform all the tasks by voluntary cooperation which are now undertaken by government, even

Reading

the provision and protection of law and order and

Boff, L. 1985: Church, Charisma and Power. Boff, L. and Boff, C. 1987: Introducing Liberation

of money. Relying on modern price theory, liber­ The­

ology.

Bonino, J. 1983: Towards a Christian Political Ethics. Guttierez, G. 1983: A Theology of Liberation: History, Politics and Salvation.

Institute ofJewish Affairs 1988: ChristianJewish Relations 21.1 (monograph issue). Lane, D. 1984: Foundations for a Social Theology. Segundo, J.-L. 1973: The Community Called Church. Sobrino, J. 1978: Spirituality ofLiberation. FRANCIS P. MCHUGH

tarian economists have produced many ingenious free-market solutions of the problem of public goods.

Other libertarians, like

Robert Nozick

(1974), are minarchists. According to them, a min­ imal state, limited to protecting individual rights, and supported by taxation, is necessary. All liber­ tarians agree, however, in opposing the compulsory redistribution of income in the name of 'social justice'. Libertarians think that the opposition to private property often derives from a misreading of history.

libertarianism

Asserting that individual liberty

They contend that the conditions of the working

is the primary political value and that private PROP­

classes were not worsened by

ERTY is its most important institutional safeguard,

early nineteenth century: on the contrary, capital­

CAPITALISM in the

the term came into use in the United States

ism enabled many more to live than would other­

of America after the presidency ofFranklin Delano

wise have survived. Libertarians also believe that

Roosevelt

the Great Depression between the two world wars

(1933-1945), whose supporters appro­ their

is not evidence of any inherent instability of the

branch of political and economic interventionism.

market order; it was caused or at least much aggra­

priated

the

old

name

'liberalism'

for

Hence, those of their opponents who also rejected

vated by government intervention. Libertarians

conservatism began to call themselves 'libertarians'.

take equally controversial positions on current

Regarding themselves as the rightful heirs of the

affairs; monopoly (often maintained by govern­

classical liberal tradition of John Locke and Adam

ment) is exaggerated by the foes of the market

Smith, most libertarians believe that liberty is of

order; environmental problems can sometimes be

intrinsic value; according to them, it is an inalien­

solved through the price mechanism; not develop­

able human right, a demand of reason, the natural

ment aid, but free trade and the unhindered flow of

condition of human beings. Some are inspired by

capital, will enable poor nations to escape the pov­

the romantic individualism of the writer Ayn Rand

erty trap; and so on.

(1957); others, taking their lead from Locke, base

Conservatives and classical liberals agree with

self-ownership. Some libertarians, however, argue

CoNSERVATISM and LIBERALISM). But classical liberals (like Friedrich

for liberty in the terms of the good consequences

A. Hayek and Milton Friedman) can contemplate,

which seem to flow from it. (The two positions are

in addition to the traditional functions of the min­

the right to liberty and property on the principle of

many of these positions (see

not mutually exclusive.) They believe that liberty is

imal state, the enforcement of social security, for

the only means of coping with the diversity of

example a 'safety net' or a guaranteed minimum

individual values, views and lifestyles: people can

income for the poorest. Conservatives, on the other

agree to disagree. Moreover, these libertarians

hand, take issue with the relentless pursuit of pri­

(many of whom are influenced by

AusTRIAN ECO­

vate satisfaction tolerated by libertarians: may con­

NOMICS or CHICAGO ECONOMICS) contend that the

senting adults really do whatever they want with (or

freedom to experiment, innovate and, inevitably, to

to) one another, including drug peddling and pros­

make mistakes is a necessary prerequisite of pro­

titution, provided only that they do not violate

gress.

other people's rights in the process? To the classical

352

LINGUISTIC PHILOSOPHY

liberals, libertarians respond by stressing the coer­

was inherently misguided. The correct procedure,

cive nature of public (as distinct from private) char­

on this view, was to

ity, and some of its undesirable, but unintended,

which governs the use of the crucial expressions

consequences. In the debate with conservatives,

connected with the alleged 'problem'. This would

describe the linguistic custom

they emphasize the difference between acceptance

lead the person seized by the perplexity to under­

and tolerance.

stand the real functioning of the relevant words, and thereby to come to be liberated from the temp­ tation to ask, and to answer, the spurious question.

Reading Barry, N. P. 1980

(1986): On Classical Liberalism and Libertarianism. Block, W. 1976: Defending the Undefendable. Friedman, D. 1989: The Machinery ofFreedom, 3rd edn. Lepage, H. 1982: Tomorrow, Capitalism. Nozick, R. 1974: Anarchy, State and Utopia. Rand, A. 1957: Atlas Shrugged. Rothbard, M. 1973 (1978): For a New Liberty: the Liber­ tarian Manifesto, rev. edn. HANNES H. GISSURARSON

It is this recipe for handling philosophical problems which led those who embraced this position to the practice of detailed- though somewhat impression­ istic- observations of the use of words, accompan­ ied by the conviction that this is the

only proper

method of philosophizing. The movement secured a powerful hold over the younger generation of philosophers who entered the profession after the war, a hold not seriously challenged until around

1960. The movement did

not at the time see itself as one position among This is a somewhat mis­

others, but rather as a definitive revelation, abro­

leading term, carrying the suggestion that it deals

gating past thought, and as the culmination of all

linguistic philosophy

of language. In fact, the ex­

previous philosophy. Its adherents had to 'cure'

pression is mostly used, and is best reserved, for a

their rivals of their tacit self-deceptions, rather

certain philosophical movement which crystallized

than argue with them as equals. It was all destined

in Cambridge under the leadership of Ludwig

to lead, either to the final euthanasia of philosophy,

with the philosophy

Wittgenstein

(1889-1951) during the years imme­

or to the birth of a new subject altogether.

diately preceding World War II. This movement

What were the mistaken assumptions concerning

came to dominate the philosophical scene in Eng­

language which had the power to haunt humanity

land, and to a smaller extent in other English speak­

for so long and actually to engender a whole learned

ing countries, during the decades immediately

discipline and profession? The mistake(s) can be

following the war. Though originating in Cam­

divided into one great generic error, on the one

bridge, its headquarters after the war were located

hand, and specific mistakes on the other. The gen­

in Oxford, under the leadership of Gilbert Ryle

eric mistake was that language does but one thing,

(1900-1976) and]. L. Austin (1911-1960). It was

and that this one role or function is reference to the world. Previous empiricist theories of language had

also sometimes referred to as 'Oxford philosophy'. The central idea of the movement was not that

often taken this for granted, and in particular,

philosophy would illuminate language, but rather, that language would illuminate philosophy. Philo­

Tractatus Logico­ Philosophicus (1921) had been based on this assump­

sophical problems were held to be in an important

tion. (It was the overcoming of this assumption

Wittgenstein's own youthful

sense spurious: they arose not because there really

which gave birth to the new revelation.) Such

was a problem to solve or a question to answer, but

visions of language did not of course deny that

because people seized by 'philosophical perplexity'

language is also used for a variety of other social

(an expression much used) were possessed, without

purposes, such as ritual, but they implicitly dis­

clearly or consciously realizing it, by mistaken ideas

counted such roles, treating them as minor irrele­

about the nature of language. These mistaken

vances and excrescences, not modifying the real

ideas manifested themselves to them in the form

essence of language. This was

of a conceptual disquiet, which led those possessed

the great error.

The specific mistakes were in a way but special

by it to ask characteristically philosophical ques­

concrete instances of the general mistake. For in­

all

stance, there is the misinterpretation of evaluation

tions. This diagnosis was said to be applicable to philosophy.

as the attribution of a characteristic, or of 'disposi­

The attempt to answer philosophical questions,

tional' traits as directly observable features. (To say

and, worse still, to try to substantiate these answers,

that something is brittle is to say that it is liable to

LINGUISTICS break, not that it has some perceptible characteristic right now.) The hypothesis which underlay Wittgensteinian

353

The Con­ cept of Mind (1949), which claimed to solve, or

practise this strategy was Gilbert Ryle's

'dissolve', the mind-body problem (and the 'other

linguistic philosophy was that, whenever philo­

minds' problem into the bargain). Probably the

sophical problems or theories are

formulated,

most influential practitioner of the method was

what is really happening is that the thinker has failed to realize this general truth about the diver­

]. L. Austin, who tried to show, in Sense and Sensi­ bilia, that the problem of knowledge as previously

sity of function of language, and is trying to impose

presented by theoreticians of knowledge, was mis­

THEORY OF KNOWLEDGE). When

a homogeneous model on linguistic material which

guided (see also

is inherently heterogeneous. Without such a mis­

our claim to knowledge was subjected to general

taken assumption, the question would not arise. For

doubt, there was, according to him, no case to

instance, moral theorists try to assimilate moral

answer.

discourse to descriptive or scientific discourse; pro­

This kind of classical Wittgensteinian philoso­

ponents of theories of mind fail to see that discourse

phy, carried out within philosophy and in a mark­

concerning intelligent performance refers to a wide

edly insular spirit - use of 'ordinary English' to

variety of skills, and not to a distinct observable

show that earlier philosophies were nothing but

zone; and so forth. During the heyday of the move­

clusters of muddles - eventually withered away

ment, this hypothesis was seen as an established

after two or three decades of enthusiasm. The sub­

revelation; in practice, it was used as a

definition.

sequent influence of Wittgenstein tended to be

It was an inherent and central part of Wittgen­

more among thinkers more clearly aware of his

stein's 'mature' position that theorizing, explan­

cultural relativism. These men were positively at­

ation and justification had no place in philosophy,

tracted by the general relativism. The outstanding

description of linguis­

tic custom. 'Forms of life', by which he appeared to

formulation of this position is Peter Winch's The Idea of a Social Science (1958). Such thinkers no

and were to be replaced by the

mean the actual linguistic custom of concrete

longer saw it as the diagnosis and terminal culmin­

speech communities, were beyond either explan­

ation of all philosophy, but as a philosophy among

ation or justification. Therefore this strategy was

others, but better, and more generous in its en­

self-justifying. In this strange way, a philosophy

dorsement of all cultures. In this kind of interpret­

which denied the traditional role of justification

ation, what is valued in Wittgenstein is not so much

or of validation to philosophy, itself practised it

his abrogation of previous philosophy (as an alleged

in an oblique fashion. It did so in a curious new,

misunderstanding of language), but his vindica­

all actually

tion of the equal value, dignity and autonomy of

existing styles of thought were valid. Only the

all cultural visions. In this form, Wittgenstein con­

indiscriminate and omnibus manner:

attempt to seek an external vantage point and jus­

tinues to exercise much influence in broader fields,

tify, or damn, existing practice was invalid. This

such as literary studies or cultural anthropology.

philosophy ignores the fact that the pursuit of the transcendence of the custom of any given commu­ nity is itself an important and pervasive feature of human intellectual history: Platonism of all kinds,

Reading Austin,]. L. 1962: Sense and Sensibilia: How To Do Things with Words.

transcendent religion, the Reformation, the En­

Gellner, E. 1959: Words and Things.

lightenment, the Cartesian philosophical tradition

Magee, B. 1971: Modern British Philosophy.

seeking a foundation for knowledge, all exemplify

Ry1e, G. 1949: The Concept ofMind.

it. Wittgenstein's indiscriminate relativism and lin­ guistic immanentism would damn them all. The first wave of deeply convinced and uncritical

Winch, P. 1958 (1976): The Idea of a Social Science. Wittgenstein, L. 1953 (1967): Philosophical Investigations.

ERNEST GELLNER

linguistic philosophers did not practise this implied relativism in any consistent or so to speak general­ izing way: they concentrated on

their own concep­

linguistics

At the beginning of the twentieth

tual custom, 'ordinary language', endeavouring to

century 'linguistics' could have been characterized

show that philosophic theories were misreadings of

as 'the study of the form and function of langu­

it, and could be 'cured' by attention to its nuances.

age', leaving the denotation of 'language' vague.

The most determined and celebrated attempt to

This might include areas such as literary theory,

354

LINGUISTICS

philosophical, psychological or sociological aspects of LANGUAGE, and even animal communication. In its modern usage, however, 'linguistics' tout court has come to mean 'the study of the grammatical structures of human languages'. For some, this would exclude pragmatics (the interpretation of utterances in context) and even semantics. How­ ever, these are generally included in the purview of linguistics. The subject has undergone immense changes during the century, resulting in a considerable degree of specialization, and a noticeable shar­ pening of the focus of research questions. At the same time the interface between linguistics and other areas of social relations and human cognition has become a serious object of enquiry, seeing the development of 'hyphenated' disciplines such as sociolinguistics, psycholinguistics, neurolinguis­ tics, as well as mathematical linguistics and compu­ tational linguistics. Linguistics has also interacted fruitfully with formal logic, epistemology, cogni­ tive psychology, artificial intelligence and 'cogni­ tive science' in general. The central concern of the nineteenth century was the historical development of languages, or diachronic linguistics. A shift of emphasis took place associated with Ferdinand de Saussure (1916). He distinguished diachronic linguistics from synchronic study, that is, the study of present­ day language structures. Viewing language as an essentially social phenomenon, he famously distin­ guished langue, the abstract system underlying lan­ guage, from parole, observed language use (cf. Noam Chomsky's psychological dichotomy be­ tween competence and performance). Central to Saussure's thinking was the structuralist notion that the essence of the organization of language is in sets of differences between abstract terms in a system. Structuralism flourished in Europe and America, particularly in the fields of phonology (sound struc­ ture) and morphology (word structure), where the concepts of the phoneme and the morpheme (the minimal meaningful component of a word) were developed. The phoneme concept played a particu­ larly important role. It is a speech sound conceived abstractly as a member of a set of contrastive sounds. Thus the 'th' sound of 'those' is a phoneme in English because it contrasts with other conson­ ants, including the 'd' of 'doze'. However, in Cas­ tilian Spanish, the same sound turns out to be simply a variant of the phoneme Id/ when it

appears between two vowels. That sound in Span­ ish, therefore, is not a phoneme in its own right. In the prewar work of the Prague school, notably Roman Jakobson and Count Nikolai Trubetzkoy (1939), phonological theory became the study of the phonetic differences between phonemes, en­ shrined as distinctive features. For example, the set /p t k/ is distinguished from /b d g/ by the one feature of voicing. The sound pattern of a language was thus based not on an inventory of phonemes, but the more abstract universal set of distinctive features with language-particular rules for combining them into 'bundles' representing individual sounds. This view of phonology remains highly influential, having been incorporated into generative phonology (Chomsky and Halle, 1968). In the USA structuralism was dominated by the views ofBloomfield (1933). He advocated a behav­ iouristic approach to linguistics, eschewing appeal to mentalist constructs. American structuralism developed the immediate constituent, or phrase struc­ ture approach to syntax, by which sentence struc­ ture is conceived of as a set of nested phrases each ultimately consisting of words and then mor­ phemes. Thus, the words of the sentence Black cats chase furry mice might be grouped into the following phrases, or constituents: [black cats], [furry mice] and [chase furry mice] to give [[black catsJ [chase [furry mice]]]. A feature of later American structuralism was concern with 'discovery procedures': the claim was that linguistic analysis had to proceed mechan­ ically from the phonology to morphology then syntax, without any 'mixing' of levels, so that, say, information about syntactic structure could not influence decisions about morphological struc­ ture. Structuralism was rapidly replaced as the dom­ inant approach to linguistics by the theory of gen­ erative grammar initiated by Noam Chomsky. Chomsky (1957, 1965) rejected concern with 'dis­ covery procedures' as methodologically unscien­ tific, and argued that the goal of linguistic theory should be the explicit characterization of the tacit grammatical knowledge of the (idealized) native speaker. This knowledge is technically called 'com­ petence', distinguished from actual language be­ haviour - 'performance' - typified by errors and imperfections of various sorts. To characterize such knowledge it is necessary to construct a grammar, a set of rules which when applied algorithmically will deliver all and only the well-formed ('grammatical')

LINGUISTICS

355

expressions of the language. Such a grammar is said

structure for a sentence); it is explanatorily

to 'generate' the (expressions of the) language.

if it embodies an explanation of how such structures

Chomsky

(1957)

provided a mathematical for­

adequate

could be acquired by the infant language learner.

malization of the immediate constituent approach

Explanatory adequacy is the most important of

to syntax, by developing the concept of a phrase

these goals, superseding the others as a matter of

structure grammar (psg). A psg is a set of rules for

pragmatic methodological fact (hence, a grammar

constructing phrases, generally visualized as tree

which appears explanatory but gets some of the

diagrams representing the hierarchical structures

facts wrong should not necessarily be rejected if

implied by nested phrases. He offered theorems

there are good grounds for supposing that future

demonstrating that a psg is inadequate to describe

technical improvements would allow those facts to

English. He argued that syntactic theory should be

be accounted for). This move puts language acqui­

able to characterize formally relationships such as

sition at the forefront.

The man who is visiting us is American and the corresponding question Is the man who is visiting us American? This requires a

logical problem of language acquisition:

that between the statement

A prime research question for linguistics is the how it is that

children learn grammars rapidly and effortlessly,

more powerful analytical tool, the syntactic trans­

despite the formal complexity of the task. A related

formation. In crude terms this is a grammatical rule

question is why any child can learn any language

which moves, deletes or adds parts of syntactic

with roughly the same ease, despite the superficially

trees. In the present case a transformation would

unlimited grammatical differences between lan­

is to the front of

guages. The standard approach to this puzzle in

the sentence. A grammar so endowed is called a

generative grammar is to argue for universals,

transformational grammar. The example is note­

highly abstract organizational properties shared by

move the second token of the verb

worthy because it shows that transformations have

all human languages. Further, these universals are

to appeal to structure, in this case the fact that

assumed to be unconsciously and innately known

the sequence

the man who is visiting us

is a phrase

(functioning as the subject of the sentence). The occurrence of

is

inside this phrase cannot be

fronted, showing that the transformation operates over more than just a string of words. In a later

1965)

by all humans, being ultimately part of the genetic endowment. Linguistic theory therefore has to for­ mulate these universals and account for their inter­ action with language-particular properties. A problem arises with the earlier approach to

a psg generates basic

generative grammar, under which the object to be

sentence structures (called 'deep structures', a term

acquired by the child is a (rather complex) set of

refinement (Chomsky,

frequently misunderstood to refer to language and

rules, for it turns out that such rule systems have

not sentences) which are then modified by trans­

formal (i.e. mathematical) properties rendering

formations.

them difficult to learn. Latterly (Chomsky,

Chomsky's approach to language is thoroughly

1986),

1981,

the emphasis on rules is dropped and re­

mentalistic, as is clear from his famous refutation of

placed by a conception of language acquisition as

1959).

the growth of a kind of 'mental organ', the language

Skinnerian

behaviourism

(Chomsky,

Chomsky regards linguistics as a particularly im­

faculty, on the basis of triggering experience gained

portant window on the human mind, arguing that

from the utterances to which the learner is exposed.

human languages are unique among animal com­

The child innately knows a set of universal prin­

munication systems in permitting an unbounded

ciples governing human language grammars, but

set of messages using finite means (i.e. a finite

these principles are subject to systematic variation,

vocabulary and a finite set of grammatical rules).

giving rise to the differences in grammatical struc­

He distinguished three types of 'adequacies': a grammar is

observationally adequate

ture found in the world's languages, such as the

if it generates

basic word order, or whether the language permits

all the right data and no wrong data (where 'data'

omission of the subject of the sentence. This vari­

means simply a string of words, morphemes, or

ation is referred to as 'parametrization' and learning

phonemes); it is descriptively adequate if it generates

a grammar is a question of fixing values for these

the appropriate structural descriptions, that is,

parameters.

structures which are not inconsistent with what is

The most significant inroads into the study of

known of the organization of the language or of

word meaning have been motivated by philosoph­

languages in general (such as the 'correct' tree

ical discussion of the nature of reference, analytic

356

LITERATURE

TRUTH, and the nature of 'natural

the cases subsumed under Grice's original set, and

kinds', essential properties and questions of DEFIN­

on the basis of this proposed a general account of

ITION. In particular, Putnam ( 1962) argues that

utterance interpretation and cognition, the Theory

since tigers have no essential properties, a word

of Relevance.

and synthetic

such as 'tiger' can only refer to a stereotype of tigerhood; the word itself escapes definition. Sentence semantics is generally studied within the framework created by formal logicians such as G. Frege, Bertrand Russell, A. Tarski, R. Carnap. Linguistics has been especially influenced by the model theoretic approach of Richard Montague

(1974). The central aim of such models is to specify conditions under which sentences express true or false propositions. A representative puzzle con­ cerns the notion of truth itself confronted, say, with non-referring definite descriptions (such as Russell's 'the present king of France'). Can asser­

Reading Anderson, S. R. 1985: Phonology in the Twentieth Century. Atkinson, R. M. 1992: Children's Syntax. Chomsky, N. 1980: Rules and Representations. Culler, J. 1986: Saussure. Lyons, J. 1977: Semantics, 2 vols. Newmeyer, F. J. ed. 1988: Linguistics: the Cambridge

Survey, 4 vols. Partee, B. H., ter Meulen, A. and Wall, R. 1990: Math­

ematical Methods in Linguistics. Piatelli-Palmarini, M. ed. 1980: Language and Learning:

the Debate between Jean Piaget and Noam Chomsky. Robins, R. H. 1979: A Short History ofLinguistics.

ANDREW SPENCER

tions predicated of such a (non-)entity be true or false, or do we have to say they bear some inter­ mediate truth value? Considerable effort has been

linguistics, socio-

See SociOLINGUISTICS

devoted to the semantics of quantifiers, words such as

All printed books in the unrestricted

all, some, every.

literature

Truth-based approaches to meaning have diffi­

sense constitute 'literature'. But in more restricted

culty coping with functional aspects of language,

usage it refers to a circumscribed body of imagina­

such as asking questions or giving commands.

tive writings within a given language, a nation, a

These functions, or speech-acts, are the province

period of time or more broadly as in the concept of

of the burgeoning field of pragmatics. In addition,

'world literature', which is deemed to be particu­

pragmatics deals with the way we convey implicit

larly worthy of esteem, for its formal beauty, its

content in an utterance. For instance, in answer to

affective power, or the 'truths' it expresses.

the question 'Would you like a cup of coffee?' the

Three broad types of definition recur in writings

reply 'Coffee always keeps me awake' could impli­

on literature: in terms of some distinguishing qual­

citly be taken as a refusal of the offer (or an accept­

ities of the literary text which mark it off from other

ance, depending on the context). Likewise, a claim

kinds of writing; in terms of an aesthetic response

such as 'Your office looks as though a bomb has hit

on the part of the reader; and in terms of social

it' would (usually) be literally false, yet it would

function.

generally be interpreted not as a lie but as a hyper­

The Russian formalists of the early decades of

bole. In fact, most discourse deviates in these ways

the twentieth century sought the literary in writing

from strict assertion of truths. Linguists and phil­

which is instantly recognizable for its departure

FoRMALISM). Ordin­

osophers of language such as ]. L. Austin, John

from everyday language (see

Searle, and especially Paul Grice (1975) have inves­

ary language invites the reader to look through the

tigated these questions in detail. Grice argues that

words to their meanings and referents, while liter­

speakers respect certain conversational maxims

ary language is self-reflexive, pointing towards its

such as 'speak what you believe to be the truth' or

own formal properties

'be relevant', but that these maxims can be broken

'making strange' the reader's everyday understand­

for special effect. Thus an apparently irrelevant

ing of the world. On this view the proper study

as language, and in so doing

statement about coffee flouts the maxim governing

of literary theory is the structure of literary form,

relevance but when this flouting is interpreted as

its organization and its devices (Matejka and

deliberate by the hearer, it can be used to convey

Pomorska,

1971).

D. Sperber and

However, specification of literature in terms of

D. Wilson ( 1986) argued that the maxim of rele­

qualities intrinsic to the literary text has been found

implicit meaning. More recently,

vance, together with other assumptions about the

wanting because of the failure to yield a satisfactory

way information is processed, will account for all

demarcation between literature and other kinds of

LITERATURE

357

writing. No defining quality has yet been advanced

tion to the art world of twentieth-century literature

which does not have the effect of excluding what is

than any other, because of the central place which

normally included, and vice versa. Thus the for­

the teaching of national literatures came to occupy

malist emphasis on linguistic play and reflexivity

within the curriculum (Mathieson,1975).

would include jokes and even crossword puzzles,

The selection of texts worthy of inclusion on the

but would exclude realist literature. Finally the

curriculum involves a multiple process of defini­

formalist approach does not register the selective,

tion. First, the literary tradition itself is selected,

evaluative dimension of the term, which cuts across

defined and perpetuated.Nothing more powerfully

typologies of literary form, to make judgements of

fixes a text within the literary canon than its inclu­

good and bad, sifting out those texts which deserve

sion as an object of study on a national educational

a place in literary history from those which will be

curriculum. In Britain, the A-level text, and the

excluded in spite of belonging to a literary genre of

texts studied in departments of literature in insti­

writing. Even in those approaches which eschew

tutions of higher education together constitute the

critical evaluation in favour of scholarship, such as

core of the literary canon. RolandBarthes's aphor­

that which prevailed in the Oxford English school

ism that literature is what gets taught has resonance

(Bergonzi, 1990), there is a built-in critical judge­

here.

ment in the determination of worthy objects of scholarship.

Secondly, because the selective process is an evaluative one, it defines literary good taste which

The attempt to find the distinctive mark of lit­

is always rooted in social class. Familiarity with

erature in the aesthetic response produced by the

literature is part of what the French sociologist

text on the reader, or in the adoption of an aesthetic

PierreBourdieu terms cultural capital (1979).Bour­

stance by the reader towards the text, does not

dieu argues that the class-related values of literature

succeed much better. For the aesthetic stance may

are transmitted across generations through selective

be taken towards almost any kind of writing, and

access to the dominant literary culture, as a range of

the aesthetic response may not always be produced

literary references is acquired. Others such as Ray­

in every reader, and may be produced in some

mond Williams (1977) and Gyorgy Lukacs (1970)

readers by texts which are not normally identified

locate literature in terms of class, but acknowledge

as literature.But the part played by the reader in

functions and values which transcend these origins.

determining textual meanings has been a recurrent

There are popular traditions, too, which have

theme in twentieth-century literary theory, which

spoken to the interests of the working-class reader:

has also seen the authority of the author fundamen­

English writers such asShakespeare,Milton,Bun­

tally challenged in a number of approaches to liter­

yan,Dickens and Hardy.Such literature has been a

ary interpretation. Reception theorists drawing on

staple of adult working-class education. Finally, the

HERMENEUTICS ( Iser, 1978; Fish, 1980) have given

selection of a national literature through the process

primacy to the moment of reading, underlining the

of selecting the literary canon plays a significant part

plurality of meaning in literature: an emphasis

in defining the nation (Doyle,1989).

shared from a very different theoretical perspective with the work ofBarthes (1970).

Literature as a social practice

Marxist theories ofliterature This embeddedness of literature within the educa­ tional institution means that it is an agent of So­ and

within Marxist terminology,

The third type of definition in terms of social func­

CIALIZATION,

tions points to literature as an institutionalized and

IDEOLOGY - the production and reproduction of

historically variable social practice. The institutions

social power relations. But Williams argues that

of literature include those of the literary market­

the reduction of literature to its ideological functions

place - publishing, bookselling, reviewing, the

poses as many problems as it solves: 'the assimila­

journals, literary prizes, coteries and so on (Suther­

tion of"literature" to "ideology" ...was in practice

land,1978). It constitutes what has been termed an

little more than banging one inadequate concept

art world (Becker, 1982), one which has been ob­

against another' (1977, p. 52).

liged to take its bearings in relation to another

In fact there has been a marked resistance to

powerful institutional practice, that of education.

such reductionism in the history of Marxist criti­

The academy has played a more vital part in rela-

cism. The Romantic belief in literature and art as

358

LITERATURE

enclaves of opposition to industrial capitalism was

by producing a knowing text designed to be decon­

drawn on by Marxist humanists such as Lukacs,

structed. A sophisticated game ensues within the

whose aesthetic of realism was rooted in pre­

confines of the literary critical academy and while

Marxist left Romanticism. He located in great lit­

its ground rules are very different from those of

erature a repository of authentic human values and

more familiar regimes of criticism, of the American

aspirations created during the bourgeoisie's period

New Criticism (Lentricchia, 1978) and English fol­

as a progressive historical class up to 1848, but

lowers ofF. R. Leavis (Mulhern, 1979), dismissed

which it was the historical task of socialism and

by these newer theories as 'humanist', it is no more

the working class to realize.

able to place itself outside, above and untouched by

For Lukacs great literature itself stood in no need of radical transformation. This conservatism was

the surrounding social world than was Romantic humanism.

challenged by Bertolt Brecht (1938) and in a differ­ ent register by the writers of the FRANKFURT SCHOOL for whom an art capable of saying 'no'

to capitalism and resisting its powers of eo-option

Committed literature Some interesting challenges within literary theory

had to be uncompromisingly radical to the point

and practice have been made by members of groups

of

who have been excluded or marginalized, or whose

near-total

inaccessibility.

Theodor

Adorno

sought an art which was 'non-affirmative' in the

own writing has been denied recognition as litera­

avant-garde, and this has proved more attractive

ture. Typically, the history of literature has been

to modern Marxist theorists of literature than

combed for 'lost' works by members of marginal

Lukacs's espousal of nineteenth-century realism

groups, and in the process, the dominant literary

(Adorno, 1967).

tradition has come under interrogation. Claims

But it was structuralism which was to transform mid-twentieth-century

Marxism.

Structuralist

have been advanced which link alternative narrative strategies, styles of writing, and so on, to the situ­

criticism, drawing on modern linguistics and on

ation and identity of the group, and these styles

the work of the Russian formalists, analysed the

then acquire a moral and a political value. In the

meaning of each part of the work in terms of its

past it was most often REALISM that was thus valor­

place in the whole. Structuralists such as Roland

ized, in a call for 'more realistic' or 'positive' cul­

Barthes, Tzvetan Todorov (1973) and Gerard Gen­

tural images. But realism has fallen out of fashion,

ette (1972) aspired to produce a 'science of the text'.

and many radical theorists since the late 1960s have

But the structuralist appeal to the authority of

identified it with the dominant culture, and aligned

science has been disallowed by poststructuralist

the writings of marginal groups with styles of

and deconstructionist theorists such as Jacques

writing which

Derrida (1967) and Michel Foucault (1969), who

Today if an affinity is claimed between a certain

have refused any distinction between scientific and

marginalized category of writer - lesbian, for

challenge

and

disrupt

realism.

ideological discourse (see STRUCTURALISM; DIS­

example (Zimmerman, 1985), or black (Gates,

COURSE; DECONSTRUCTION).

1984)- and a distinctive style of writing, it is likely

Deconstructionism can be understood as an at­ tempt to live with the heady vertigo which results

to be with an experimental style (see MoDERNISM AND POSTMODERNISM).

from such a thoroughgoing relativism. Its strategy

Literature in the twentieth century oscillated

is to look to the margins: to what a text refuses,

between a practice which sets itself apart, and one

disguises or finds it impossible to say. There is no

which is deeply concerned about its own relation­

doubt that this approach has been a most product­

ship to society and politics. Jean-Paul Sartre was

ive one in terms of textual analysis. The skilled

the twentieth century's most famous exponent

deconstructionist produces unexpected readings

of commitment in literature (Sartre, 1948). Or

'against the grain' of the text, and a greater degree

more precisely, in prose: he excluded poetry,

of consciousness of form in a whole range of writing

which he classified with music. All (prose) writing,

outside of that which is usually counted as litera­

he argued, was a form of 'secondary action', with

ture. But the success of deconstructionism depends

real effects. The man of letters must take sides,

on never standing still long enough to be in turn

consciously placing his writing in the service of a

deconstructed: move like a butterfly, sting like a

freedom which was posited for Sartre in the very act

bee. The sophisticated literary producer responds

of writing and reading. Only in a classless society

LITERATURE

359

would the optimal conditions for writing and read­

theoretical (Marks and Courtivron, 1980; Moi,

ing in full freedom exist. Short of that, degrees of

1987). Julia Kristeva, Luce Irigaray (1974) and

radical writerly commitment vary in different his­

He!ene Cixous drew onJacques Lacan's reworking

torical epochs. The detachment of the fin

of Freudian psychoanalysis (Lacan, ed. Mitchell

de siecle

1982).

writer was impossible for Sartre's generation be­

and Rose,

cause it was profoundly 'situated' by the experience

refused validity to any search for women's

Unlike the American critics, they

of war. Because the conscious commitment of the

in writing. For Cixous and Kristeva, 'woman'

writer must always be to freedom, the committed

cannot be defined. Human subjectivity is produced

identity

in process,

writer was placed on the side of the worker, the

in language and culture, and is always

colonial subject, the racially oppressed group (see

never fixed (Cixous, 1975, 1976; Kristeva, 1986).

)

EXISTENTIALISM .

The concern was less with women's writing than with what Cixous termed

Writing from the margins

ecriture ftminine: a fluid, Ecriture ftminine,

motile, playful form of writing.

like Kristeva's 'semiotic', is not exclusive to women

Under the impact of theories which have ques­

writers, and, notoriously, these theorists have actu­

tioned the status of literature, interest has been

ally paid more attention to male-authored texts.

directed towards a wider range of written forms,

Writing is identified as 'feminine' only in so far as

including working-class autobiography (Vincent,

both 'the semiotic' and the feminine are marginal to

1981). But outside the adult education context,

language and culture.

the relationship of the working class to the literary

While American and French feminist criticism

text has been largely one of exclusion. Rene Balibar

have very different theoretical roots, then, the

(1974) argues that in France, the level of educa­

former has proved open to the influence of the latter

tional attainment determines differential linguistic

in a manner parallel to the way in which Derridean

skills. Familiarity with literary French differenti­

deconstructionism has crossed the Atlantic (de

ates the higher levels to which few working-class

Man, 1979), and a synthesis has occurred Gardine,

children gain access. Thus literary French plays its

1985). Curiously, the marginality of 'woman' and

part in reproducing the social and cultural relation­

the feminine in language and culture has been

ships of class. The relationship of (white middle-class) women

transformed into an advantage under the influence of the French feminism, for it is prestigious avant­

to literature has also been analysed in terms of

garde, modernist and postmodernist forms which

women's relationships to language and writing.

have been claimed as feminine forms.

American 'gynocriticism'- the study of women's

What is absent from both terms of the synthesis

texts in an attempt to identify a 'female' aesthetic­

is the identification and location of literature within

has stressed the difficulties which women faced

a material and historically specific context. For the

when they attempted the pen in Victorian England

French feminists, writing which disrupts the struc­

and America (Showalter, 1978; Gilbert and Gubar,

tures of 'phallogocentric' language is in itself revo­

1979). It is an approach which characterizes the

lutionary, and an association is generated between

dominant culture as a male-produced one which

such avant-garde writing and a variety of marginal­

denies women their subjectivity, so that in taking

ized 'others' within society and culture- women,

up the pen, women took on those alien cultural

ethnic minorities, the Third World, the working

subjectivities.

class.

'Gynocriticism' locates the separation of public

Yet the relationship of (white middle-class)

and private spheres in the Victorian period as a

women to literature and writing generally is very

major cause of the difficulty faced by women taking

different from that of working-class men and

on the identity of the professional writer, over and

women. Gender structures the relationship to

above the marginalization of the feminine in lan­

writing and reading in a manner different from

guage and culture. The new French feminism from

class. In the schoolroom, little girls have found

the 1970s has little interest in the social circum­

themselves at home: 'The primary school celebrates

stances under which women wrote, but shares

the qualities that bind women; but this celebration

gynocriticism's identification of the feminine in

does not put little girls at an

language and culture as marginal, although the

tage. In fact, as any confirmation of the known

understanding of language is more rigorous and

self will, it actually aids the learning process'

educational

disadvan­

360

LOGIC

(Steedman,

1982,

p.

4).

Verbal and literary skills

have traditionally been expected and rewarded in girls and thereby reinforced. Sex per

se,

then, has

Reading

Bennett, T. 1979: Formalism and M arxism. B1och, E. et al. 1977: Aesthetics and Politics.

not been a barrier to writing and reading in quite

Eag1eton, T. 1983: Literary Theory: an Introduction.

the same way as class, and women have been and

Gates, H. L. Jr, ed. 1984: Black Literature and Literary

remain key, if subordinate, actors in the process of the transmission of literary culture (Lovell, Ellen Moers

(1978)

1987).

drew attention to the ways in

which, as mothers with the responsibility for the cultivation of the minds of young children, as teachers and as governesses, women might write with considerable authority. This authority from within the dominant culture may be linked to women's close association with the rise of the novel as a form (Spencer,

Theory.

Jameson, F. 1972: The Prison-House of Language. Lodge, D. ed. 1988: Modern Criticism and Theory: a Reader.

Selden, R. 1989: Practising Theory and Reading Literature: an Introduction.

Showalter, E. ed. 1986: The New Feminist Criticism: Essays on Women, Literature and Theory.

Williams, R. 1983: Writing in Society. TERRY LOVELL

1986; Armstrong, 1987).

The relationship of black writers to the institu­ tions of literary production and consumption adds

logic

This is an old discipline. As it was con­

ceived by its founder, Aristotle, in the fourth cen­

further complexity, since black writing is gendered,

tury

and vice versa. The label 'black', like that of 'Third

mathematics or physics, but a 'poietic' science, an

BC,

logic was not a 'theoretical' science, such as

World', places together people whose only common

organon or an instrument for science, which would

cultural attributes may stem from the racialism or

set the criteria for proper scientific thinking. Aris­

the imperialist domination they jointly and sever­

totle also called 'logic' a more restricted inquiry into

ally suffer. This label has nevertheless been con­

the nature of deductive arguments (where conclu­

sciously chosen in a historically important political

sions follow 'necessarily' from the premisses),

act of appositional solidarity in the United States

which came to be known as logic proper, by oppos­

and elsewhere (Gates,

ition to the idea of 'logic' in the broad sense of an

1984;

Spivak,

1988;

Said,

enquiry into the nature and method of knowledge

1983). Black and feminist criticism have interesting

in general. Arguments which display this feature,

parallels and divergences. Even before the develop­

for Aristotle, are syllogistic arguments, involving

ment of theories which made identity politics so

affirmative or negative propositions of subject and

problematic, there was less likelihood of black criti­

predicate form, quantified with such expressions as

cism slipping into ahistorical forms of essentialism.

'all' and 'some'. Syllogistics is the systematic study

Critics such as Edwards

(1984) who have discerned

of these arguments and of the means of proving

continuities between African and Afro-American

their valid forms, through various 'figures' and

and Caribbean literature are clear that these are

'modes', or patterns of premisses and conclusions.

cultural, and that common attributes of black lit­

Traditional logic, or the logic of terms, dominated

erature, variously identified in figuration (Gates,

1984),

in antiphony (Bowen,

of (un)naming' (Benston,

1982) or in 'a topos 1984), are a function of

the

curriculum

during the Middle Ages, and has

been refined through the centuries, without any major changes. The place of logic in the THEORY

cultural and social positioning. That positioning

OF KNOWLEDGE has been contested from the six­

has produced, typically, a literature which is

teenth century

'double-voiced', argues Gates, drawing upon, and

modern science made dubious its use for the dis­

onwards, when the advent of

speaking within, more than one cultural tradition.

covery and systematization of scientific truths. The

Black criticism has argued for the reinstatement of

renewal of the discipline came in the nineteenth

black vernacular and oral traditions as points of

century, when mathematicians such as George

reference in criticism of black writings, in addition

Boo le (in his

to the dominant European forms. But as with

derive the laws of syllogistic logic from the laws of

'women's writing', the effect of poststructuralism

algebra (an attempt foreshadowed by Leibniz). But

Laws of Thought, 1854) attempted

to

and deconstructionism has been to push black criti­

the advent of modern logic dates from G. Frege's

cism towards consciousness of difference and diver­

Begriffischrifi ( 1879),

sity rather than identity.

traditional subject-predicate form of the propos-

where for the first time the

LOGIC

361

ition was replaced by the mathematical distinction

achievement of contemporary logic is the study of

of argument and function, yielding a new analysis

recursive functions and computability, which, with

of quantificational expressions which could account

writers such as Emile Post, Alonzo Church and

for a greater number of inferences than traditional

Allan Turing, was to give rise in the 1940s to the

logic, and in particular for the expression of math­

theory of algorithms and automata, and to the birth

ematical concepts, such as the concept of number.

of computer science.

Frege, and soon afterwards Bertrand Russell,

Although modern logic could not deliver its

attempted a derivation of mathematical concepts

foundational promise for mathematics, philoso­

from logical axioms, according to the view known

phers were quick to appreciate its relevance for

as 'logicism', which was codified in Russell and

the theory of knowledge and the

Whitehead's

Principia

Mathematica

(1910- l l).

SCIENCE,

PHILOSOPHY OF

and attempted to treat logic as a new orga­

The logicist programme, however, proved difficult

non. Frege, Russell, and later the Viennese school of

to carry out: Russell discovered a contradiction in

positivism showed how logic could help to refor­

Frege's system ('Russell's paradox'), and his own

mulate the Kantian problem of a priori truth.

theory of 'logical types', framed to avoid the con­

Ludwig Wittgenstein's Tractatus Logico-Philoso­

tradiction, was not sufficient to allow the derivation

phicus (1921) assimilated logical truths to tautolo­

of mathematics from purely logical laws. One of the

gies, which say nothing about the world, in

main features of Frege's and Russell's logic is that

opposition to statements describing facts. This led

logic is 'universal' (van Heijenoort, 1967): it is a

to the formulation of the logical empiricist criterion

'language' which expresses all that there is, and not

of meaning, according to which a statement is

a 'calculus', in which the relations between symbol­

meaningful only if it is true from the meaning of

ism and the world, or relations within the symbol­

its terms alone (analytic) or if it can be verified by its

ism, can be represented explicitly. On the contrary,

relation to experience, or if it can be deduced from

logicians from the 1920s onward raised metasystem­

empirical statements alone. This is known as the

atic questions, and the distinction between proof

'linguistic' theory of logical truths, for logical state­

theory and semantics emerged. David Hilbert and

ments are, on this view, true by linguistic conven­

his school attempted to prove the consistency of

tions alone. According to the positivist philosophy

arithmetic by characterizing logic only in terms of

of science of writers such as Carnap, Schlick, or

axioms and rules of inferences of 'proof theory',

Reichenbach, logic serves not only to demarcate

without using semantic notions such as truth and

empirical from nonempirical science, but also to

validity (this view is known as 'formalism'). The

provide criteria for the analysis of scientific theories

main notion of modern logic is that of a formal

(see also

system, composed of a vocabulary of primitive ex­

view, a scientific theory has a dual structure: it is

pressions, of a deductive apparatus of axioms and/

composed of a (partially interpreted) 'theoretical

or rules of inferences, and of a semantics, establish­

vocabulary', consisting in fundamental laws having

ing the interpretations of the primitive expressions.

an axiomatic or postulational status from which

The precise formalization of a semantics, as a

theorems or empirical predictions are derived, and

PosiTIVISM).

On the classical neopositivist

theory of truth for formal languages, was given by

of an 'observational vocabulary' consisting in ver­

Tarski (1930). In 1930, Giidel proved the complete­

ifiable terms. The two languages are related by

ness of the main part of modern logic, quantifica­

'correspondence rules' which allow us to interpret

tion theory, establishing the coincidence of the

empirically the axioms or postulates. But the posi­

proof-theoretic and of the semantic concept of

tivist ideal of the complete replacement of the the­

deduction. In 1931, he proved his celebrated in­

oretical

completeness theorem for elementary

number

language of empirical predictions from the axioms

language

by

this

pure

observational

theory, according to which the consistency of arith­

could never be realized, for it was soon admitted

metic cannot be demonstrated. This ruined the

that theoretical terms could not be eliminated

hopes of Hilbert's programme, but opened the

through any logical procedure. Rudolf Carnap him­

path for new developments in metamathematics

self never renounced his project of giving a purely

and in the foundations of mathematics, either

logical analysis of the language of science, and of

from the proof-theoretical or from the semantical

formulating a sharp distinction between analytic

(model-theoretical) point of view. Another major

and synthetic statements. In his Logical Foundations

362

LOGIC

ofProbability (1950), he sought to define induction

rules. But the fact that human beings make logical

on a purely logical basis. But these positivist hopes

mistakes, and moreover systematic ones (Kahne­

have proved impossible to realize. On the one hand,

man et al., 1982; Wason 1968), renders this doctrine

the analytic/ synthetic distinction and the theory of

dubious. Some writers prefer to renounce the

meaning upon which it rests have been made dubi­

mental logic hypothesis, and try to account for

ous by W. V. 0. Quine's criticism (1952), and the

reasoning without rules framed according to stand­

conventionalist doctrine of logical truth has been

ard logical calculi Gohnson-Laird,

accordingly contested. On the other hand, the idea

standard objection to the normative character of

1983). The

of giving an algorithm for scientific method, in the

logic is that most human reasoning does not con­

form of a 'logic of confirmation' or of induction,

form to the ideal standards of rationality set by the

encounters difficulties so great (Goodman, 1955)

norms of ordinary classical logic. Some writers

that the realizability of the programme appears

(Stich, 1991; Nisbett and Ross, 1980) prefer to

virtually impossible.

conclude that the evaluation of the rationality of

The failure of the positivists' hopes in the theory

human beings is an empirical matter. Others

of knowledge does not imply, however, that logic

(Cohen, 1986) want to keep logic's normative status

ceases to play a role in the framing of hypotheses

as an ideal theory of human competence, which can

about the nature of cognitive rationality or of the

nevertheless be revised according to a 'reflective

rationality of action. This role is mainly normative,

equilibrium method' comparable to John Rawls's

in the sense that logic sets certain standards of

( 1971) similar conception of the revision of moral

interpretation of human behaviour, without which

normative standards. Similar problems can be en­

this behaviour cannot be interpreted at all. The

countered

main question is whether these norms can be abso­

AI systems are built according to certain logical

lute, or whether they are mainly relative. From the

inference rules, which simulate natural intelligent

beginning of the twentieth century, logicians have

performances only to a degree. Most AI researchers

in

ARTIFICIAL

INTELLIGENCE,

since

had an increased interest in the construction of

find here that classical deductive logic is of little

nonclassical logics such as modal, intuitionistic,

use, and have widely used nonclassical logics

quantum, relevance, three-valued logics, and so

(in

on, which all rest on various departures from clas­

1984).

particular

nonmonotonic

logic

-

Turner,

sical logical principles, such as bivalence, excluded

In the social sciences, the normative role of logic

middle, or extensionality. According to the doc­

can be considered from two standpoints. The first is

trine known as 'absolutism' (which was typically

the framing of hypotheses about the rationality of

Frege's and Russell's), there is only one logic, ap­

action, according to the standards of game, decision

plicable to all forms of discourse or areas of enquiry,

and utility theories (Von Neumann and Morgen­

and 'deviant' or 'nonclassical' logics are not really

stern, 194 4;Jeffrey, 1965). In their normative part,

logics. According to the opposite doctrine known as

the logic of decision and the logic of preference set

RELATIVISM, there are as many legitimate logics as

out standards of ideal rationality, which have been

there are areas of discourse susceptible of being

used, in particular by economists, to define optim­

studied from the point of view of the inferences

ality models of rational behaviour. The descriptive

that they license. This problem of the variety of the canons of

adequacy of these models has been contested, and a theory of'limited' or'bounded' rationality (Simon,

inference describable as 'logics' is manifest in

1957) has been proposed to deal with the more'real

many domains, such as linguistic semantics, where

life' situations of individual and collective choice.

the complexity of natural language seems to valid­

The notorious paradoxes of decision theory (pris­

ate a variety of formal logical models applicable to

oner's dilemma, Newcomb's problem) serve here as

its fragments (McCawley, 1981). It is also central in

instruments for the framing, testing and revisions

psychology, where the question has been asked

of the general hypotheses of rationality embedded

whether human beings 'follow' the laws of logic,

in the standard models. Here the role of a logic of

and in this sense are rational. According to the

individual or of collective action is not to impose

doctrine of 'mental logic', human logical compe­

strict standards or schemes of explanations, but to

tence owes its characteristics to an innate (or ac­

allow the study of the departures from these stand­

quired - Piaget and Inhelder, 1955) medium

ards. In particular a study of the irrationality of

encoded in the brain in the form of inference

individual and collective behaviour can come out

LONG WAVES

363

from the analysis of different criteria of rationality

War II. This implies not only a return to the

(Elster, 1983; Stein 1995).

supply-side aspects of the economy, partly as a

The second standpoint is the anthropological

reaction to the long-standing emphasis on Keynes­

study of the meanings of cultural beliefs. In anthro­

ian demand-oriented views, but expresses also the

pology, the rationalistic attitude of writers such

remarkable turn-around

as Lucien Levy-Bruhl, who attributed to primitive

entrepreneurial initiative and technical change.

in

economic

activity,

societies a 'pre-logical' mentality, has been widely

The role the theory of long waves nowadays

challenged by a cross-cultural relativism according

plays in economic discussions also goes along with

to which rationality and logicity are only relative

what can be called the revival of Schumpeter. While

to schemes of understanding proper to given cul­

most of the present century has seen Keynes on the

tures. For philosophers like Quine (1960), such

pedestal of economic science, the last part has

debates can only be evaluated in the context of a

brought a re-evaluation and deeper understanding

proper theory of translation and meaning. But the

of]. A. Schumpeter's writings and contributions to

study of our criteria of translation shows that nei­

economic science. In particular, his emphasis on the

ther full-blown rationalism nor relativism can be

role of the entrepreneur, combined with the process

consistently maintained: in devising a translation

of innovation, has received much more attention

manual for an unknown language we need to rely

and praise than in the past. In his view the idea of

on the general hypothesis ('principle of charity')

economic cycles with a period of 40 or 50 years is

that their speakers are on the whole rational, con­

related to the emergence of a burst of major innov­

sistent, and do not hold contradictory beliefs.

ations which are at the start of a long-run upswing

In this sense 'prelogicity is a trait infused by bad

in economic life. Nowadays, one could think in this

translators' (Quine). But relativism (and in particu­

respect of information technology as a source for a

lar linguistic relativism) also fails, for the very

long-standing upswing through the interlinked

coherence of the claim that there can be people

processes of diffusion, further innovation and imi­

having radically different 'conceptual schemes'

tation (see also INFORMATION TECHNOLOGY AND

from our own presupposes that we can impose

THEORY).

a common set of coordinates (a general presump­

Schumpeter revived the discussion of long waves

tion of rationality and coherence) in order to assess

in the 1930s, but it did not start with him. Two

cultural divergence (Davidson, 1974). This does

Dutch economists,]. van Gelderen and S. de Wolff

not

cannot

are both well known for their theoretical and statis­

sociological

tical work on long waves. They really discovered

grounds, but that they can be assessed only

the phenomenon, but in the literature it is mostly

within certain limits. In this sense too, logic sets

the Russian economist N. D. Kondratiev who is

mean

be assessed

that on

cultural

divergences

psychological and

certain minimal constraints on a theory of human

credited with the discovery. The main question is,

rationality.

of course, whether one can depict one cause that produces long waves. In the beginning price fluc­

See also RATIONALITY AND REASON.

tuations were related to changes in the total stock of gold. However, as new discoveries of gold-fields are

Reading Cohen, L. J. 1986: The Claims ofReason.

a matter of chance, this can not be a very convincing

E1ster, J. 1983: Sour Grapes: Studies in the Subversion of

approach. A more advanced approach can be seen in the theories that relate waves to movements in

Rationality.

McCaw1ey, J. D. 1981: Everything that Linguists Have Always Wanted to Know about Logic.

investment and, in particular, investment for re­ placement. S. de Wolff introduced, in this respect,

Stein, H. 1995: Without Good Reason. Stich, S. 1991: The Fragmentation ofReason. PASCAL ENGEL

the so-called echo principle. Nowadays, the most important theory about long waves is cast in terms of innovations. Modern authors who are inclined to relate the long wave

long

The popularity of long waves as a

fluctuations in innovations over time are ]. ]. van

topic in economic theory exhibits a cyclical pattern.

Duijn and C. Freeman. Van Duijn presents in his

Since the beginning of the 1980s more empirical

book (1983) the scheme shown here for the long

studies and theoretical analysis have been devoted

waves. According to this scheme, we have been

to long waves than in the other years after World

since the beginning of the 1980s in a period of

waves

364

LONG WAVES

A long-wave chronology Ist Kondratiev

2nd Kondratiev

3rd Kondratiev

4th Kondratiev

prosperity 1782-1792

prosperity 1845-1857

prosperity 1892-1903

prosperity 1948-1957

prosperity 1792-1802

prosperity 1857-1866

prosperity 1903-1913

prosperity 1957-1966

(war 1913-1920)

(war 1802-1815) recession 1815-1825

recession 1866-1873

recession 1920-1929

depression 1825-1836

depression 1873-1883

depression 1929-1937

recovery 1836-1845

recovery 1883-1892

recovery 1937-1948

recession 1966-1973

Source: J.J. van Duijn, eh. 20, inS. K. Kuipers and G. J. Lanjouw, eds, Prospects ofEconomic Growth (Amsterdam, North-Holland, 1980), pp. 223-33. recovery. In this respect information technology

be the most promising, but whether even this factor

has played and is still playing a major role. Freeman

is at the basis of a systematic pattern over such a

has stressed several times the interaction between

long period of time remains doubtful.

the diffusion of new technologies and institutional changes

in

society.

The

idea,

going

See also BUSINESS CYCLE.

back to

Schumpeter, is that innovations come in bursts

Reading

and spread over the economy, provoking imitation

Freeman, C. ed. 1984: Long Waves in the World Economy.

and preparing the ground for a booming economy.

Van Duijn, J. J. 1983: The Long Wave in Economic Life.

In conclusion, of all possible explanations of long waves the cyclical pattern of innovations seems to

ARNOLD HEERTJE

M science

prominently in the conduct of war, it may be argued

may be defined as the application of scientific

that MS, albeit not under that name, has been

method and analytical reasoning to the decision­

around as long as humanity.

management

science

Management

making process of executives in the control of

Most students of the subject, though, attribute

business and industrial systems for which they are

the rise of MS to the emergence of Operational

responsible. These systems may involve specific

Research (OR) and the term OR/MS was then

manufacturing, service or administrative oper­

coined to cover both. OR started in the UK in the

ations, whole departments or plants, or even com­

late 1930s and then expanded rapidly during World

plete enterprises.

War II both in the UK and the USA (where this

An important characteristic of management sci­

activity is called Operations Research) in order to

entists is their endeavour to approach managerial

assist in the conduct of military operations (hence

problems with the same kind of objectivity that is

the name). After the war, many scientists engaged

expected from pure scientists in their studies of

in military OR turned their attention to civilian

physical phenomena. The application of the scien­

applications and many OR groups were formed in

tific method implies the need for data collection,

industry and government departments on both

critical analysis of the assembled evidence, formu­

sides of the Atlantic in the 1950s and 1960s.

lation of hypotheses used to construct models of

Industrial applications of OR/MS were first

behaviour of the systems under scrutiny, specifica­

concentrated on production and inventory control

tion of criteria for measurement of variables that

in manufacturing industry, but in the last 30 years

affect the performance of these systems, design of

these activities have spread to cover many other

experiments (where appropriate), prediction of

functions of business, such as marketing, distribu­

future outcomes, and testing the validity and ro­

tion, finance, manpower, project management, and

bustness of proposed hypotheses and models. In the

any other activity that involves allocation of scarce

context of management science (MS) this process

resources. OR/MS has now penetrated almost

also involves recommending courses of action for

every sector of industry and business, including

executives to consider for implementation, and

service industries such as banking, fund manage­

finally analysing the effect of managerial decisions

ment, insurance, health, education, transport, com­

through measurement and feedback, for the pur­

merce and many others.

pose of modifying and refining existing models (or

Essentially, there is no difference between the

replacing them) and helping to improve future

definitions of OR and MS and the two terms have

decision-making and system performance.

developed side by side through the accident of

It is difficult to pinpoint any date for the first

history. The first OR Society (ORS) was formed

application of this methodology in the managerial

in the UK in 1950, followed by the Operations

arena. Jethro's advice to Moses to delegate author­

Research Society of America (ORSA) in 1952. OR

ity through a hierarchical structure for dealing with

was then developed and taught at many univer­

cases that needed adjudication may be cited as one

sities, first at the graduate level, either as an adjunct

of the early examples of applying logic to adminis­

to industrial engineering and other academic pro­

trative problems (Exodus 18). Some point to an

grammes or as a discipline in its own right, leading

investigation by Lanchester, published in 1916,

to a master's degree, and then it began to infiltrate

into the effect of military forces thrown into combat

various undergraduate programmes. The highly

as the first mathematical modelling exercise in the

mathematical nature of academic OR and the

study of warfare. Indeed, since problems of organ­

development of its analytical techniques have

ization, strategy and logistics have always figured

led to the literature being dominated by theoretical

366

MANAGERIAL REVOLUTION

expositions and many feared that applications in the

on analysis of information and on the formulation

real world and the potential contribution of OR to

of strategy based on scientific modelling. This is

the solution of managerial problems would thereby

where MS, assisted by the phenomenal growth of

be inhibited (a fear that is still widely held today). It

computing power in recent years, has an important

is partly for this reason that The Institute of Man­

contribution to make.

agement Sciences (TIMS) was established in

1953

See also DECISION THEORY; GAME THEORY.

in an attempt to emphasize the need for applica­ tions and implementation. Its proclaimed object­ ives were 'to identify, extend and unify scientific knowledge that contributes to the understanding and practice of management'. In practice, though, there was not much to dis­ tinguish between ORSA and TIMS, which had a

Reading Eilon, S. 1985: Management Assertions and Aversions. 1992: Management Practice and Mispractice 1999: Management Strategies. Hillier, F. S. and Lieberman, G. J. 1986: Introduction to Operations Research.

--

--

SAMUEL EILON

noticeable overlap of membership. The term OR/ MS has become widely used to indicate the close

Referring in its most

affinity and relationship between the two societies

managerial revolution

and to indicate that OR and MS may be regarded as

general sense to the process through which owner­

interchangeable labels, though many analysts still

ship and control in industry is supposed to have

feel that the OR literature, particularly in the USA,

passed from entrepreneurs and family owners to

has continued to be obsessed with theory and that a

professional, salaried managers, the term has also

gulf has developed between OR theory and MS in

been used to refer to changes in the class basis of

1995 the two societies merged into

political rule. In this latter sense it is the process

INFORMS, The Institute for Operations Research

through which a ruling capitalist class is replaced by

practice. In

and the Management Sciences. The literature and many academic programmes

a new ruling class of financial and technical man­ agers.

often highlight certain analytical tools that are said

The earliest formulation of the general thesis of

to be the hallmarks of OR, such as probability

the managering revolution in industry can be found

(1932). This book

theory and statistical methods, calculus of vari­

in the work of Eerie and Means

ations, linear and non-linear programming, dy­

grew out of a concern in American liberal circles

namic programming, combinatorial analysis and

about the industrial power exercised by New York

scheduling, queuing theory, the theory of games,

bankers. This concern has been expressed in the

network analysis, and allied techniques. Such de­

idea of a 'money trust' through which financiers

scriptors tend to characterize OR as a highly math­

such as]. P. Morgan were held to control industry

ematical occupation (some academics in the USA

on the basis of extensive shareholdings, loans and

even suggest that OR is merely a branch of applied

interlocking directorships. Adolf Eerie, a corporate

mathematics). This picture is an unfortunate dis­

lawyer, and Gardline Means, an economist, were

tortion of reality. In practice, formal techniques

more sanguine about this, seeing it as a mere phase,

play a very small part in OR/MS investigations,

in the move away from traditional owner control

which by their nature have to start with real prob­

and towards a system of 'management control' in

lems that demand solutions and not with a toolkit in

which business activities could more easily be har­

search of situations to which it can be applied. Even

nessed to the public interest. In

techniques such as linear and mathematical pro­

initiated his New Deal of economic and social pol­

gramming, which dominate the literature, cannot

icies aimed at overcoming the economic problems

1933, Roosevelt

1929. Eerie

be said to be in common use in business and indus­

ushered in by the financial collapse of

try (with the notable exception of the oil and chem­

was recruited to the 'brain trust' - a presidential

ical industries), and as for queuing theory, its

think tank which came up with many policy ideas

elaborate and convoluted models have been largely

for Roosevelt. In this way, the thesis of the man­

bypassed through the use of computer simulation. The complex nature of industrial and business enterprises, which have to operate under severe

agerial revolution came to have significant impact on official and business thinking in the United States.

competition and under many constraints, demands

Eerie and Means held that the increasing scale of

that managerial decisions have to rely increasingly

business enterprise meant that companies would

MANAGERIAL REVOLUTION

367

have to draw on wider pools of capital in order to

In the post-war period, Burnham's thesis was

finance their activities. As a result, the ownership of

especially influential among analysts of the emer­

company shares would become ever more widely

gent communist states, finding its expression in

dispersed. The owners of a company would own a

various views of 'totalitarianism' and in Djilas's

diminishing percentage of the company's shares

(1957) notion of the new bureaucratic class of East­

and would no longer be able to exercise the kind

ern Europe. Among writers on Western capitalism,

of control that was possible when they had personal

however, it was the formulation ofBerle and Means

ownership of the whole undertaking. They could

that was most influential. This view was, however,

initially exercise 'majority control', but when their

allied with a claim that the managerial revolution

shareholding fell below 50 per cent they could

was transforming industrial society and was creat­

exercise only 'minority control'. Eventually, their

ing a new society in which there would be no class

holdings would become so small that they would be

divisions. The managers, as seen by writers as

swamped by the mass of small shareholders. In this

varied as Bell (1961) and Galbraith (1967), were

situation, the capital is subscribed by a large

merely the current occupants of positions in an

number of individuals, each with a very small per­

open and meritocratic system. High rates of social

centage of the total, and no shareholder has suffi­

mobility ensured that they did not form a closed

cient shares to exercise control over the company.

social class, and their insulation from the demands

The top executives and directors - the 'manage­

of property and profit ensured that they acted in the

ment'- are no longer constrained by the interests of

general social interest. This view of PosTINDUS­

their shareholders and 'management control' has

TRIAL SOCIETY became for much of the 1950s and

been achieved.

1960s

The work ofJamesBurnham (1941) gave a more radical slant to this argument, seeing it as the basis

the

leading

sociological

perspective

on

modern society. The thesis of the managerial revolution, as ex­

for the rise to power of a new ruling class. Burnham

pressed

argued that the growth of business enterprise was

has been subject to considerable criticism during

in

theories

of

postindustrial

society,

more than a mere matter of increasing scale. There

the last 20 years. The belief that shareholding was

was also an increasing technical complexity of the

becoming irrelevant to control has been shown to

means of production, and Burnham argued that

be unfounded. The situation observed by Eerie and

control over industry was passing away from the

Means in the early 1930s was, at best, a short-lived,

groups dependent on the framework of private

transitional period. Since that time there has been

property and profitability (shareholders and finan­

a massive growth in share ownership by financial

ciers) to those who have the necessary skills and

institutions- banks, insurance companies and pen­

knowledge to run the new means of production.

sion funds. Shareholding has become more concen­

Organizational

trated, not more dispersed. This has enhanced

skills

and

technical

knowledge

were the bases of managerial power. Burnham saw

the power of the directors of the major financial

the knowledge base of managers as expressed in

institutions, who comprise an 'inner circle' of busi­

the new MANAGEMENT SCIENCE. The power of the

ness leaders (Zeitlin, 1989; Useem, 1984). Research

managers in industry gives them a leading role in

has also suggested that the evolutionism and inevi­

society as the agents of an evolving system of state

tabilism of the managerialist position must be ques­

ownership - their power in industry is matched by

tioned and that more attention should be given

the growing power of 'managers' in the state. The

to variations between countries in their experience

vast and complex bureaucracies of the modern

of business development (Scott, 1985).

state, he argued, required skilled administrators who would increasingly supplant elected polit­

Reading

icians. The managerial revolution, therefore, was

Berle, A. A. and Means, G. C. 1932: The Modern Corpor­

the process through which managers in industry and the state consolidated their power and became a new ruling class. Burnham, writing in the 1940s, felt that this had been achieved in the Soviet Union,

ation and Private Property. Burnham, J. 1941: The Managerial Revolution. Florence, P. S. 1951: Ownership, Control and Success of Large Companies. Gordon, D. 1945: Business Leadership in Large Corpor­

fascist Italy and Nazi Germany. Britain and the

ations.

United States, he argued, would soon follow in

Herman,

the same direction.

Power.

E.

0.

1981:

Corporate

Control,

Corporate

368

MAOISM

Mintz, B. and Schwartz, M. 1985: The Power Structure of American Business.

Scott,J. P. 1985: Corporations, Classes, and Capitalism, 2nd edn. --

could sweep away all reactionary forces (Day, 1975, pp. 339-47).

1986: Capitalist Property and Financial Power.

Useem, M. 1984: The Inner Circle. Zeitlin, M. R. 1989: The Large Corporation and Contem­ porary Classes.

JOHN SCOTT

When the United Front broke down in 1927 and the CCP leadership went underground in Shang­ hai, Mao retreated to the countryside and began the process of establishing a rural base and creating a Red Army, recruited from among poor peasants, agricultural labourers, vagrants, and even former bandits. Reflecting the voluntarist aspect of his

This term refers to the revolutionary

thinking, Mao insisted that such a Red Army, its

thought and practice of Mao Zedong (1893-1976),

class origins notwithstanding, would become 'pro­

Maoism

who spearheaded the victory in 1949 of a peasant­

letarianized' through the act of revolution itself.

based communist revolution in China, resulting in

The party leadership, still assuming that the revo­

the creation of the People's Republic, and then

lution would emerge from among the ranks of the

guided the development of the new state for most

urban working class, criticized Mao's 'peasant

of its first 25 years of existence. Maoism therefore

mentality' and his 'petit bourgeois military adven­

encompasses two aspects: firstly, Mao Zedong's

turism'. The failure of a series of armed attacks on

unique strategy of protracted revolution in an eco­

the cities in 1927-30, however, only convinced Mao

nomically backward country beset by foreign im­

that the revolution would need to be a protracted

perialism, relying on rural base areas and a peasant

one in which rural base areas would eventually

Red Army, and, secondly, his attempt to promote a

surround the cities.

'Chinese road to socialism' once political power had

During the early 1930s, in the rural soviet he

been achieved after 1949. The former aspect pro­

established in the southern province of Jiangxi,

vided inspiration for radical leaders of the THIRD

Mao formulated his theories of GuERRILLA warfare

WORLD in the 1950s and 1960s, struggling to

and underlined the need for close links between the

achieve national independence from their present

army and people; stressed the leading role of poor

or former colonial masters and their internal allies

peasant associations in the villages while at the same

(see COLONIAL LIBERATION MOVEMENT); while the

time emphasizing the necessity of winning over

latter aspect aroused the admiration of Western

middle peasants (those who owned the land they

radicals, particularly in the 1960s.

cultivated) and of adopting a flexible attitude to­

Mao Zedong, who came from a well-to-do peas­

wards rich peasants; and exhorted cadres to remain

ant family and who had received a secondary edu­

in close touch with grass roots opinion, a leadership

cation, was one of the founding members of the

approach later defined in 1943 as the 'mass line'.

Chinese Communist Party ( CCP) in 1921. Between

In criticizing the dogmatic approach of Moscow­

1923 and 1927, in line with Moscow's advice that

trained rivals, and asserting his ideological as well as

fledgling communist parties in the colonized world

military and political leadership, Mao referred to

forge alliances with bourgeois nationalist parties,

the 'Sinification of Marxism', the need to adapt

the CCP entered into a united front with the

Marxism to Chinese conditions.

much larger Nationalist Party (Guomindang) of

played a significant role in the rectification cam­

Sun Yatsen, whose aim was to defeat the militarists

paign Mao launched in 1942 to confirm his ideo­

and reunify the country. It was during this period

logical leadership of the party (as well as reflecting

The concept

that Mao, in contrast to most of the CCP leader­

Mao's determination to assert the CCP's independ­

ship, began to emphasize the importance of the

ence from Moscow). The campaign also illustrated

peasantry in the revolution. In arguing that it was

the Maoist emphasis on ideological remoulding, a

the 'semi-feudal' landlord system on which war­

process of small-group study and self-criticism to

lords and foreign imperialism depended, Mao at­

bring about changes in subjective attitudes and

tempted to shift the focus of the revolution from the

work style. Excessive formalism and bureaucratism

cities to the countryside. He criticized the timidity

were condemned and higher-level party cadres

of the party leadership for its negative attitude

were urged to 'go down to the countryside'

towards peasant 'excesses' and insisted that a mo­

fang)

bilized peasantry (with or without party leadership)

same time, the campaign called for greater central

(xia­

to work and live among the peasants. At the

MAOISM

369

discipline over party members. Local initiative was

reactionary classes ofGuomindang remnants, land­

always to be balanced by control from the centre,

lords, counterrevolutionaries and rightists. Mao

what Mao called 'democratic centralism'. Writers,

also envisaged a gradual transition to socialism.

too, were now expected to be subject to closer party

Land reform (1950-2), for example, while elimin­

supervision, reflecting Mao's lifelong ambivalence

ating landlords as a socioeconomic class and redis­

towards intellectuals.

tributing land

In order to meet the Japanese threat and to

to poor peasants,

allowed rich

peasants to retain the land they cultivated. In the

combat the economic blockade imposed on his

cities the private sector continued to exist until

Y anan base area by the Guomindang (the second

1956.

united front had broken down by 1940) Mao em­

By the mid-1950s, it was clear that Mao was

phasized self-reliance (which implied local eco­

dissatisfied with the Soviet model. Centralized

nomic initiative) and the need to mobilize the

planning had produced powerful economic minis­

entire population in a genuine 'people's war'. Mao

tries and increasingly differentiated state and party

in his later years was to hark back wistfully to the

bureaucracies, symbolized by elaborate pay scales;

'Yanan spirit', which for him became associated

emphasis on technical expertise diluted ideological

with ideological commitment, egalitarian ideals

fervour and threatened to create a technical and

and the close links forged between party and

managerial elite divorced from the masses; and the

people.

priority given to heavy industrial development led

The CCP constitution of 1945 officially pro­

to the draining of scarce agricultural resources in

claimed Mao's thought as the guide to party action.

order to fund it. It was to be in the countryside,

This was accompanied by the development of a

however, that Maoism in its post-1949 context had

Maoist cult, which sought to elevate his persona

its first impact. Concerned with growing inequal­

and ideas above those of his colleagues (Wylie,

ities in the villages and the preponderant influence

1980). With communist forces from the rural hin­

of rich peasants, Mao in 1955 encouraged the accel­

terland poised to take over the Guomindang-held

eration of the collectivization process. He dismissed

cities in the civil war of the late 1940s, CCP leaders

the determinist (see DETERMINISM) argument of

also hailed the Maoist strategy of protracted rural

party planners that full-scale collectivization had

revolution as a model for the colonized regions of

to await prior mechanization and industrial take­

Asia and Africa, thus implying that the Soviet

off (that is, the raising of the productive forces) and

Union should not be regarded as the only source

insisted that the transition to new socialist forms

of guidance for world communist movements.

and an increase in production had to advance to­

Many of the features of Maoism as it had de­

gether.

veloped to 1949, such as the populist faith in the

The second initiative Mao took over the heads of

rural masses (see PoPULISM), the voluntarist em­

his party colleagues revealed the antibureaucratic

phasis on the human will, an ingrained antibureau­

impulse of Maoism. In the Soviet Union, Khrush­

cratism and a suspicion of intellectuals, were to

chev's denunciation of Stalin in 1956 had raised the

remain in evidence after 1949 when Mao sought

issue of the relationship between party and people

to pioneer a 'Chinese road to socialism'. Internal

and it was with the concern that the CCP was

and external circumstances, however, compelled

becoming an entrenched bureaucratic elite that

the People's Republic to adopt initially the Soviet

Mao in the same year called on intellectuals to

model of development. In the early 1950s, there­

voice their criticisms in what became known as

fore, emphasis was placed on centralizing planning,

the One Hundred Flowers Campaign (derived

heavy industry and technical expertise.

from the slogan 'let a hundred flowers blossom, let

As in 1940, Mao was keen to distinguish China's

a hundred schools of thought contend'). The lack of

revolution from that of the Soviet Union. He re­

enthusiasm

ferred to the new regime in 1949 as a People's

prompted Mao in early 1957 to renew his call for

shown

by

his

party

colleagues

Democratic Dictatorship, an alliance of several

an 'open-door rectification' of the party in a speech

revolutionary classes - workers, peasants, petit

given outside party channels. He warned that

bourgeoisie and national bourgeoisie (that is, those

nonantagonistic contradictions in a socialist soci­

not associated with foreign capital) - led by the

ety such as those between leaders and led could

CCP, which would practise 'dictatorship' over the

become antagonistic if the party did not allow

370

MAOISM

outside criticism of its mistakes. A key Maoist

The Great Leap had disastrous consequences.

assumption underlying the campaign was the

Natural disasters, an

idea that class struggle would continue in a socialist

system and the channelling of peasant labour into

inefficient transportation

society, although it was to be a class struggle

mass irrigation works and unrealistic industrializa­

between competing ideologies rather than socioe­

tion projects led to a decline in agricultural produc­

conomic classes. In Mao's view, the party's elitism

tion and, ultimately, wide-scale famine. There was

and aloofness from the masses was an expression

also peasant hostility to the attempts by party

of the ideology of the old exploiting classes. Only

cadres to usher in a communist society through

by exposing itself to criticism from the people, who,

the institution of a free supply system, the creation

Mao

socialism,

of communal mess halls and nurseries, and the

could the party be rectified. As it turned out, Mao

confiscation of all private possessions. In the early

assumed,

broadly

supported

and his colleagues had to end the campaign when

1960s Mao was compelled to withdraw from active

criticism from intellectuals overstepped the re­

leadership while his party colleagues proceeded to

quired bounds and began to question socialism

modify Great Leap policies. Centralized planning

itself.

was re-established; the socioeconomic functions of

The definitive break with the Soviet model oc­

the commune were reduced and private plots and

curred in 1958 when Mao launched the Great Leap

rural free markets restored; resources were shifted

Forward, an ambitious campaign to accelerate the

back to the cities and rural schools and clinics

transition from SociALISM to CoMMUNISM and pro­

closed down; expertise took priority over 'redness'.

mote rapid economic progress. The ideological ra­

Mao criticized such trends as 'revisionist' and

tionale behind the campaign was the Maoist

warned that a restoration of reactionary classes

concept of PERMANENT REVOLUTION, the idea that

was a possibility in socialist society. By 1965, having

the attainment of communism could only come

been thwarted in his attempts both to revive a

about through waves of unceasing struggle in

collectivist spirit among the people and party and

which radical ideological advance accompanied (or

to root out revisionism in the cultural domain, Mao

even was the precondition for) an increase in eco­

was claiming that persons within the party leader­

nomic production. In what has been described as a

ship were taking the 'capitalist road'. It was in this

'utopian' approach (Meisner,

1982), Mao also

context that Mao launched the Cultural Revolution

argued that China's very backwardness was a posi­

in 1966. Arguing that 'bourgeois ideology' had

tive advantage since it provided more scope for

infected the superstructure (see BASE AND SUPER­

mass enthusiasm and initiative, another indication

STRUCTURE), Mao called on the masses to wage an

of his voluntarist faith in the human will. Such

onslaught on all forms of authority. Mao's major

enthusiasm, Mao believed, could best be harnessed

target was the party itself but he also attacked

by utilizing moral incentives (appealing to the

academic and cultural authorities who, in his

virtues of selflessness, asceticism and concern for

view, had favoured a divisive education system

the collective welfare) rather than material incen­

that stressed academic over political criteria as

tives. The ideal party cadre was now to be both 'red

well as encouraging reactionary bourgeois ideas

and expert', combining the correct ideological out­

(elitism, specialization, ideological neutrality and

look with technical or administrative expertise. At

the downplaying

the same time the communes established during the

struggle).

Great Leap would help bridge the gulf between city

of

the importance of

class

In an immediate sense the Cultural Revolution

and countryside by promoting rural industrializa­

was the outcome of an

tion and expanding rural educational and health

struggle between Mao and his opponents. The fan­

intraparty

leadership

facilities. The equally iniquitous gulf, in Mao's

atical Maoist cult that was deliberately cultivated at

view, that separated mental from manual labour

this time (ascribing an almost supernatural power

was to be eliminated by having cadres and intellec­

to Mao's thought) was also the grotesque culmin­

tuals 'sent down to the countryside' on the one hand

ation of a process begun in the 1940s that had

and, on the other, creating half-work half-study

sought to locate all-knowing wisdom within the

schools and colleges to enable the masses, in

person of Mao himself. In a wider sense the Cul­

Mao's words, to become 'masters of technology'

tural Revolution was to be a process of self-liber­

instead of remaining dependent on a technocratic

ation, as the masses confronted and struggled with

elite.

hierarchical structures in the attempt to revive a

MARGINALIST ECONOMICS socialist ethos and rejuvenate party organization. (It was this aspect that attracted Western radical intel­ lectuals and students.) Mao particularly appealed to the young since, in his view, they were more amen­ able to changing the status quo; the experience of struggle would also equip them to become worthy 'revolutionary successors'. High school and college

371

Meisner, M. 1982: Marxism, Maoism and Utopianism. --1986: Mao's China and After. Schram, S. 1969: The Political Thought ofMao Tse-tung, revised edn. --1989: The Thought ofMao Tse-tung. --ed. 1974: Mao Tse-tung Unrehearsed. Schwartz, B. 1979: Chinese Communism and the Rise of Mao, new edn.

students formed into Red Guards and were encour­

Starr, J. 1979: Continuing the Revolution.

aged to attack all vestiges of the past, described as

Wylie, R. 1980: The Emergence ofMaoism.

the 'four olds' (ideas, culture, customs and habits),

PAUL BAILEY

as well as 'pernicious' bourgeois influences of the present. As such, not only party leaders but also

marginalist economics

writers, intellectuals and teachers were subject to

describe the kind of economic analysis which,

This term is used to

criticism and humiliation. In the realm of culture,

after 1870, gradually superseded the doctrines of

Confucian philosophy (see CoNFUCIANISM) and

the English classical economists. Marginalist analy­

Western art were equally condemned.

sis, and, in particular, the concepts of marginal

Mao's experiment to create a new socialist cul­

utility and marginal cost, were primarily devoted

ture ended when increasing chaos and violence

to questions of the efficient allocation of resources

compelled him to call in the army (1967-8) to

by individual consumers and firms.

restore order and oversee the rebuilding of the

Marginal utility (or marginal cost) is the addition

party. Since Mao's death in 1976, and especially

to total utility (or total cost) of consuming (or

since 1980, his successors have implicitly rejected

producing) one more unit of a good. The need for

many features of Maoism: class struggle is now

a marginal concept may be found in the two funda­

officially proclaimed to have ended and the possi­

mental principles - or 'laws' - of diminishing

bility that an antagonistic contradiction might de­

returns and diminishing utility. The principle of

velop between party and people is denied; emphasis

diminishing returns, or of diminishing marginal

is now placed on developing the productive forces

productivity, as it was later more precisely restated,

(the economy), in a way which makes use of mater­

was first explicitly formulated by the great French

ial incentives and allows for disparities in wealth

economist and administrator

among individuals and between regions; education

(1727-1781) and played an important role in the

A. R. ]. Turgot

aims to create technical and managerial elites; and

theoretical system of the English classical econo­

self-reliance has given way to greater economic ties

mists, who dominated the subject in the first two­

with the capitalist world. This rejection has been

thirds of the nineteenth century. In its original form

paralleled by a growing disillusion with Maoism in

the principle of diminishing returns was applied

the West. It is important to note, however, that Maoism

only to agricultural production, when successive units of labour were applied to a fixed area of

was, and still is, influential in other parts of the

land. The principle then stated that the additional

world. In the 1950s Ho Chi Minh in Vietnam,

product or return to each successive unit of labour

Frantz Fanon in Algeria and Amilcar Cabral in

would decline as additional units were applied. It

Guinea-Bissau, to name but a few, drew on Maoist

was, therefore, necessary to distinguish between the

ideas of people's war, reliance on the peasantry and

average product of a unit of labour and the marginal

a voluntarist approach to revolution, while the

product of an additional unit.

Shining Path (Sendero Luminoso) movement in

Apart, however, from agricultural production,

present-day Peru explicitly refers to itself as Maoist

there was little scope for marginal concepts in Eng­

in orientation.

lish classical theory. Utility and the principle of diminishing utility played a very minor part,

Reading Ch'en,J. 1970: Mao Papers. Compton, B.1952: Mao's China: Party Reform Documents, 1942-1944. MaoZedong, 1986: The Writings ofMao Zedong, vol. I, ed. M. Kau and J. Leung.

while, as regards industrial production, it was gen­ erally assumed that costs were constant and that markets were competitive. There was, therefore, no role for the concepts of marginal cost or marginal revenue, since these were necessarily equal to average cost and average revenue. The need for

372

MARKET

marginal concepts arose when it was necessary to

It may be noted that the adjective 'marginal' did

distinguish between average and marginal cost, or

not come into general use until the late 1880s and

between average and marginal utility, or average

early 1890s, following its adoption by P. Wicksteed

and marginal sales revenue. A partial role for mar­

(1844-1927) and A. Marshall (1842-1924), and, in

ginal concepts began to emerge in the middle

German

decades of the nineteenth century when the pro­

1926). By the 1890s, however, with the marginal

duction and pricing problems of monopolies and

concept playing a central and essential role, an

(Grenznutzen), by F. von Wieser (1851-

public utilities, such as railways, came to the front,

analysis of the logic of choice, and of the rational

with their sharply falling average costs, and there­

allocation of scarce resources by households and

fore still more sharply falling marginal costs. It was

firms, was constructed, which, though it sometimes

with these problems that such major pioneers of

started from the highly simplified analysis of an

marginal analysis as A. A. Cournot (1801-1877)

isolated individual, such as Robinson Crusoe, pos­

and]. Dupuit (1804-1866) were concerned.

sessed a very wide applicability. Though based on

The marginal concept first took on a general,

extreme abstractions and simplifications, and very

central and fundamental role with the development

tenuous in content, this marginal analysis could be

of the neoclassical, marginal utility theory of value

applied to the valuation and allocation of scarce

in the early 1870s, following the seminal works of

resources by individual consumers and producers,

W. S. Jevons (1835-1882) in England, C. Menger

as well as by public utilities and government plan­

(1840-1921) in Austria, and L. Walras (1834-1910)

ners.

in Lausanne. These writers approached the prob­

Subsequently, with the systematic development,

lem of value and price from the side of utility and

by Keynes and others, of monetary and macroeco­

the demand for goods, rather than from the side of

nomics - that is, the analysis of the economy as a

costs, or labour, as had their predecessors the Eng­

whole and of national income and employment -

lish classical economists. There was now, therefore,

the marginal concept was applied to the analysis of

a vital role for the principle of diminishing utility,

aggregates, as with the marginal propensity to con­

and hence for marginal utility. According to the

sume (measured by the percentage of an additional

principle of diminishing utility, the utility forth­

unit of national income spent on consumption) or as

coming from each successive unit of a good con­

with the marginal propensity to import of a national

sumed - (say, the marginal utility from consuming

economy. It would, therefore, now be misleading to

successive slices of bread) - falls with each add­

apply the term 'marginalist' simply to the neoclas­

itional slice consumed, though the total utility of all

sical, microeconomic analysis of individual house­

the slices consumed will continue to rise until the

holds and firms. It would be even more misleading

saturation point is reached when the consumption

to imply that the use of the marginal concept neces­

of a further slice yields no utility, and subsequent

sarily, or usually, implies approval of any particular

slices yield a disutility. The rational consumer, con­

ethical or political assumptions.

cerned to obtain as much utility as possible from

See also NEOCLASSICAL ECONOMICS.

limited resources, will aim at equating the marginal utility of consuming an additional slice with the

Reading

cost to him, or price, of that slice, or with the utility

Howey, R. S. 1960: The Rise ofthe Marginal Utility School

foregone by paying the price of this marginal slice. The analysis of the decisions of the consumer, developed from the early 1870s onwards, was com­ plemented, in the 1980s, by the marginal product­ ivity analysis of the decisions of firms regarding how much of the different factors of production -

1870-1889. Hutchison, T. W. 1953: A Review of Economic Doctrines 1870-1929. Marshall, A. 1890 (1920): Principles ofEconomics. Schumpeter, J. A. 1954: A History ofEconomic Analysis. Stig1er, G. J. 1941: Production and Distribution Theories: the Formative Period.

(land, labour and capital) - to employ. The formula

Wicksteed, P. H. 1933: The Common Sense of Political

was propounded that the firm aiming at minimizing

Economy and Selected Papers and Reviews on Economic

its costs and maximizing its profits would hire units

Theory, ed. Lionel Robbins.

T.

of the various factors of production up to the point

W.

HUTCHISON

where the addition to its revenue, accruing from the As the set of social institutions in which

additional product of one more unit of a factor,

market

equalled the cost of employing that additional unit.

people freely exchange commodities (goods, re-

MARKET

373

the

therefore, be expected to converge upon a stable

medium of money, the market presupposes a social

and economically healthy equilibrium, neither in

DIVISION OF LABOUR

private

theory nor, especially, in practice. But, rather than

ownership of the means of production. The coord­

appeal to an outright overthrow of the entire set of

sources

and

services),

generally

and (at least

through

de facto)

inating properties of the market system have been

market institutions, post-Keynesians call for a fun­

the subject of a great deal of debate during the

damental role of the state, particularly significant

twentieth century. We can identify three schools

monetary, fiscal, and long-run investment policies,

of thought in this regard.

to smooth the business cycle and ward off economic depressions.

The market as inherently crisis-ridden The notion that the market system is fundamentally chaotic, and essentially crisis-ridden, found its most complete expression in

MARXISM

and in

some contemporary versions of post-Keynesian­

The market as a mechanism that theoretically exhausts all potential gains from trade The school of

NEOCLASSICAL ECONOMICS,

leading

of twentieth-century

school

the

economic

ism. Marxists contended that, because money acts

thought, hypothesizes that the market works like a

as a cash nexus, money separates the production of

mechanism that tends toward general economic

commodities from their ultimate uses, which makes

equilibrium, in which all supplies and demands

periodic crises inevitable. Individual capitalists, not

for scarce goods and services are, in principle, per­

fully informed about consumer demands, might be

fectly coordinated, and therefore all gains from

forced to sell their products at market prices that

voluntary trade are exhausted. Rather than viewing

(1910)

the market as anarchic and prone to crises, of either

explained, this could create widespread dispropor­

the Marxist or post-Keynesian varieties, neoclas­

fall below their values. As RudolfHilferding

tions between supply and demand and a fall in the average rate of profit (see

BusiNESS CYCLE).

Bank­

sical economists tend to explain the properties of a fully coordinated market system in a static, New­

ruptcies would likely increase and the number of

tonian fashion, as if all market participants enjoyed

unemployed grow. Over time, crises would inevit­

full and complete information and were guided by

ably grow more severe, and coupled with increased

the correct prices and incentives that would tend to

alienation and class conflict, conditions would

efficiently equate supplies with demands.

become ripe for a proletarian overthrow of capital­

Although a dominant view among economists,

ism and all its assisting institutions. Here, the

neoclassicism is not without its internal divisions

market was seen as an historically necessary, but

and critics. Some neoclassical general equilibrium

ultimately only transitory, set of institutions. Marx­

economists, such as Hahn

ists predicted that a total overthrow of market pro­

model of the market to be an important scientific

cesses, in favour of central economic planning and

abstraction that has yet to be an accurate descrip­

(1973),

consider their

social ownership of the means of production, would

tion of, or predictive apparatus for, any real-world

arise in the wake of capitalism's final crisis.

markets. Others, most notably those associated

While the traditional Marxist critique has fallen

with the Chicago School of free market economics,

out of favour, post-Keynesian economists, such

argue that free and open markets operate as if they

as Paul Davidson

(1978) and Hyman Minsky (1982), continue to argue that the market-capitalist

displayed the properties of the neoclassical model.

economy is subject to potentially violent swings

existing markets do tend to maximize economic

and inherent crises. They base their analysis on

efficiency by exhausting any potential gains from

the work of John Maynard Keynes, rather than

voluntary trade. This places them not only directly

Marx, and in particular on Keynes's discussion of

at odds with their contemporary post-Keynesian

uncertainty and expectations, and the disequilibra­

critics, but also with their general equilibrium

That is, the Chicago School maintains that real­

ting properties of the monetary system. Post­

theory colleagues who maintain that the neoclas­

Keynesians

sical market model has no relevance to real-existing

maintain

that

money

exists

only

because uncertainty exists. Given the fact that

markets.

modern market systems are monetary in nature,

Within the past two decades another division has

capitalists are necessarily quagmired in ignorance

gained currency within the neoclassical view of

and uncertainty. A modern market system cannot,

markets, one that focuses on the notion of 'market

374

MARKET SOCIALISM

failure'. Economists in the market-failure tradition

market process is neither a quantitative or predict­

attempt to use the notion of a perfectly efficient,

ive science, nor a mathematical system, but a quali­

general

normative

tative science of tendency and direction spurred by

benchmark to judge and critique actual market

entrepreneurial effort and expressed in a verbal

processes. Stiglitz's work

logic of cause and effect.

economic

equilibrium

as

(1995)

a

is exemplary in

this regard. To the extent that real market partici­

The New Institutionalist view of the market is

pants face imperfect information, high transaction

similar to the Austrian view in its scepticism over

costs, imperfect risk and capital markets, or exter­

the power of the abstract, neoclassical views. New

nalities, markets will fail to exhaust all gains from

Institutionalists insist that neoclassicism in all its

trade. This view emphasizes how markets fail, in

variants tends to model markets as mechanical and

practice, to reach the ideal efficiency conditions

abstract systems that are totally divorced from cul­

developed

ture, tradition and all its other supporting insti­

by

pure, abstract economic theory,

while also claiming that certain government inter­

tutions. In this view, the market is not only a

ventions can correct for market failures and in­

process of dynamic change; it is a process that

crease overall economic efficiency.

emerges, is shaped and is influenced by political, technological,

The market as an institutional process An alternative view of the market has gained force

scientific,

religious

and

cultural

factors. Any relevant theory of the market must account for the institutional properties within which market processes are embedded.

only since the latter part of the twentieth century.

Although Austrian, New Institutionalist and

Primarily associated with Ludwig von Mises ( 1949)

post-Keynesian theories of the market might res­

(1948) (see the school of AusTRIAN

onate with the views of other social theorists who

ECONOMICS) and the work of Douglass North and

have become disenchanted with both neoclassicism

others in the New Institutional Economics litera­

and Marxism, all three schools still remain at the

ture, this view argues that the market is not a

periphery of the economics profession, which

and F. A. Hayek

mechanism, as the neoclassical models suggest.

seems to be an unflinching stronghold of PosiTIVISM

Rather, the market is theorized as a dynamic dis­

within the social sciences.

covery process, one set in motion by the myriad plans and activities of producers and consumers

Reading

who cooperate and compete under the social div­

Boettke, P. J. and Prychitko, D. L. eds 1998:

ision of labour and its corresponding institutions. The Austrian theory of the market is unsatisfied with the neoclassical propensity to focus on the abstract and mechanical model of the market, as an end in itself (Hahn), as an 'as if description and defence of free markets (Chicago School), or

Market Process Theories. 2 vols. North, D. C. 1990: Institutions, Institutional Change and Economic Peiformance. Samuels, W. J. ed. 1992: The Chicago School of Political Economy. Stiglitz, J. 1995: Whither Socialism? DAVID L. PRYCHITKO

as a normative ideal to criticize real markets (market failure). Rather than focus on how a market mech­ anism would work under ideal conditions (such as

market, labour

See LABOUR MARKET

perfect information, zero transaction costs and so on), Austrians attempt to answer the question of

market socialism

how market processes can effectively discover and

theoretical concept (model) of an economic system

utilize dispersed and incomplete knowledge of its

in which the means of production (capital) are

participants, and thereby coordinate their produc­

publicly or collectively owned, and the allocation

In its primary sense this is a

tion and consumption plans at all. For Austrians,

of resources follows the rules of the market (prod­

uncertainty and error is pervasive, but, unlike their

uct, labour and capital markets). At the same time

post-Keynesian critics, Austrians point to the co­

the term has often been applied more loosely to

ordinating properties unintentionally provided by

cover the projects of reforming the economic

acts of entrepreneurship, and the incentive to

system of the countries of 'real socialism' (com­

detect and correct errors through relative price

munist countries) away from command planning

signals and profit and loss accounting. Unlike the

(see NATIONAL ECONOMIC PLANNING) in the direc­

neoclassical model, the Austrian theory of the

tion of market regulation (Yugoslavia after the early

MARKET SOCIALISM 1950s, Hungary after 1968, China, Poland, the

375

and interest rates, so as to balance supply and

USSR and Bulgaria in the 1980s). For ideological

demand (by appropriate changes in case of disequi­

reasons the designation 'market socialism' was,

librium), and instructs managers to follow two

however, largely avoided in some of the countries

rules: (a) to minimize average cost of production

in question, with preference for the formula of

by using a combination of factors which would

'socialist market' which was thought to be more

equalize marginal productivity of their money

acceptable for Marxists.

unit-worth; (b) to determine the scale of output at

Marx's political economy had for a long time been interpreted to hold that socialism was incom­

a point of equalization of marginal cost and the price set by the board.

patible with the market. Socialism makes the

Most of the subsequent accounts of the interwar

market redundant and overcomes its shortcomings

debate acknowledged the validity of the theoretical

as an allocation mechanism by bringing into the

argument presented by Lange, and accepted that

open the social nature of work, assigning it directly

Hayek retreated

ex ante to a particular role in the economic process

the practical impossibility of reconciling socialism

to

the

position

of

asserting

through the 'visible hand' of planning, which se­

with rational economic calculation.

cures full utilization of resources, especially human

be true when one follows - as Lange seems to

resources, free of cyclical fluctuations.

have done - the type of model of static general

This may

After the Russian revolution of 1917, any appli­

equilibrium as developed by Walras (1954). The

cation of the market mechanism was presented in

point made, however, increasingly forcefully by

the programmatic communist documents as only a

new

temporary concession to underdevelopment (Pro­

as Lavoie, 1985) is that the Mises/Hayek challenge

students

of

the

interwar

debate

(such

gramme ofthe Communist International, 1929, eh. 4).

has come from the positions of the school of Aus­

At the same time, however, the social democratic

TRIAN ECONOMICS,

wing of Marxism began to recognize the relevance

namic properties of the competition process, the

with the emphasis on the dy­

of the market in a socialist economy (Kautsky,

central figure of which is the entrepreneur. This

1922).

leaves unanswered the question of whether eco­

Theoretical debates on market socialism ac­

nomic actors who are not principals operating at

quired a new dimension in the interwar period,

their

particularly after republication by F. A. Hayek

employed by a public body are actually capable of

own

risk

and

responsibility

but

agents

(1935) of an article by L. von Mises published

entrepreneurial beha viour.

originally in 1920, which categorically denied the

Thus, Lange's 'competitive solution' had the

possibility of rational economic calculation under

merit of advancing the idea of an alternative to

socialism, because exchange relations between pro­

command planning as well as showing the indis­

duction goods and hence their prices could be es­

pensability of scarcity prices for rational allocation

tablished only on the basis of private ownership.

of resources under socialism. At the same time,

Among the many attempts at refutation of this view

however, it could not provide an adequate theoret­

(Taylor, 1929; Dickinson, 1933; Landauer, 1931;

ical base for change when market-oriented reforms

Heimann, 1932), probably the best known is that by

were put on the practical agenda in countries of

Oskar Lange (1936-7). Similar ideas had been de­

'real socialism'.

veloped in the same period by Abba Lerner (1934,

The first attempt to apply the ideas of market

1936, 1937), hence the often used designation of the

socialism in practice came in the early 1950s in

'Lange-Lerner solution'.

Yugoslavia, after the Stalin-Tito break. The Yugo­

Lange not only denied the purely theoretical

slav Communist Party searched both for greater

validity of Mises's stand (by pointing to Barone's

economic efficiency and for ideological legitimacy

(1908) demonstration of the possibility of dealing

vis-a-vis Stalinism. The latter was found in self­

with the question through a system of simultaneous

management, and as self-managed economic units

equations), but tried to present a positive solution.

must be autonomous, this engendered the process

This was to consist of a 'trial and error' procedure

of replacement of the command system by market

in which a central planning board (CPB) performs

coordination, albeit not conducted in a consistent

the functions of the market where there is no

way.

market in the institutional sense of the word. In

In the countries of the Soviet bloc the main

this capacity the CPB fixes prices, as well as wages

motive for the reform drive was dissatisfaction

376

MARKET SOCIALISM

with the command economy's performance when

by the mid-1980s was merely a change from direct

this became openly discussed after Stalin's death.

to indirect 'bureaucratic coordination' (Kornai,

In Poland a relatively comprehensive blueprint of

1986).

systemic changes was worked out in 1956-7; similar

Experience seems to have shown that the earlier

ideas in Hungary were quelled as a result of the

reform models, based on the idea of combining central planning with a 'regulated market' by

suppression of the popular uprising of 1956. Since then, a long string of attempts at economic

limiting market regulation mainly to the product

reforms - of various degrees of consistency, but

market (Brus, 1961), as well as on acceptance of the

heading in the same direction of increasing the

dominant position of state ownership of the means

role of the market - occurred in Eastern Europe:

of production, have proved inadequate. In the

Czechoslovakia in 1958 and in 1967-8; the New

course of the 1980s the projects for market-oriented

Economic System in the German Democratic Re­

change in communist countries underwent sharp

public in 1963; the 1965 so-called 'Kosygin reform'

radicalization: the need for a capital market, in the

in the USSR and its Bulgarian imitation; the Hun­

form both of commerical banking and of dealing

garian New Economic Mechanism (NEM) intro­

in securities, was widely recognized (Tardos, 1986;

duced in 1968; repeated attempts at reform in

Lipowski, 1988), and so was the need for a labour

Poland. However, at the beginning of the 1980s,

market, although sometimes not openly by name.

out of all these attempts only the Hungarian NEM

Moreover, a successful market-oriented econo­

what

mic reform has become closely linked with funda­

happened were, rather, secondary modifications

mental transformation of the ownership structure

remained

basically

operative;

otherwise,

within the framework of the command system. On

(Abalkin, 1988). One of the factors which evidently

the other hand, the tendency towards market­

contributed to the reconsideration of the ownership

directed change persisted, clearly under the pres­

issue was the experience of much more favourable

sure of a progressive deterioration of economic

results of systemic reforms outside the state sector

performance, which reached crisis proportions in

(cooperatives, private enterprise) in Hungary, and

most communist countries in the 1980s. In 1978-9

particularly the initial spectacular success of the

China joined the reformist ranks, and from 1985

'family production responsibility' in Chinese agri­

onwards the 'radical economic reform' became one

culture. The acknowledgement of the necessity of a

of the fundamental elements of Gorbachev's pere­

wide-ranging change in the ownership structure

stroika in the USSR.

was reflected towards the end of the 1980s in a

The reasons for the difficulties in carrying out

number of legal measures in various communist

market-oriented economic reforms are seen (Brus,

countries.

1979) in: (a) political resistance of the ruling elite;

about arenda (leasehold) of land, buildings and

In the USSR there was legislation

(b) vested interests of the administrative apparatus

equipment with the intention of maintaining the

as well as of some sections of the workers, who may

position of the state as a freehold er, but of opening

feel threatened in their job security; (c) substantive

the way towards entrepreneurship to workers' col­

obstacles to grafting a market mechanism on to the

lectives, partnerships or even individuals. In some

existing structures of planning and management,

other countries (Poland, Hungary) the principle of

property rights and the monopoly of power of the

a mixed economy was adopted, with state enter­

communist party. As a result, countries which

prises, cooperatives and private enterprises (the

made some headway in the reform process (Yugo­

latter without limits on size and employment)

slavia, Poland, Hungary) found themselves not only

intended to compete on equal terms.

in economic trouble worse than those (Czechoslo­

This conceptual, and to some extent also prac­

vakia, East Germany) which stuck to the old system

tical, development posed with renewed force the

(although nonsystemic factors must be taken into

question of the link between economic and political

account in any comparisons), but also actually failed

transformations. On the one hand, marketization

to cross the threshold between administrative

involving increased enterprise freedom, particu­

and market coordination of the economy. The

larly when accompanied by ownership changes,

examination of the Hungarian NEM in this respect

raised the political aspirations of the people, who

led to the conclusion that, despite the abolition

felt less subjugated by the all-pervasive state. On

of obligatory output targets and physical allocation

the other hand, in view of the resistance of the

of producer goods, the overall effect of the reform

ruling elites and their supporting strata, political

MARRIAGE pluralism became an indispensable instrument for effecting the transition from the old to the new

377

Lavoie, D. 1985: Rivalry and Central Planning: the Social­

ist Calculation Debate Reconsidered.

economic system, as well as of guarding the latter's

W.

BRUS

continuing existence. A denial of this link based on examples of successful market economies with au­

marriage

thoritarian political regimes (such as some of the

bond of a man and a woman for the purposes of

Marriage

is the socially

approved

was

sexual communion, procreation, child-rearing and

rejected by the reformers in communist countries

economic cooperation. Curiously, the direction of

as failing to recognize the true nature of the prob­

twentieth-century social thought was to document

lems they were facing.

and encourage the detachment of these functions

'newly

industrialized

countries'

in

Asia),

Consistent pursuit of market socialism - capital and labour markets, ownership restructuring, pol­

from the marital setting, leading some toward a radically altered definition of the term.

itical pluralism - may be regarded as blurring the

Of course, traditional views remained active. In

habitual distinctions between capitalism and social­

the West, the religious affirmation of marriage as

ism, and therefore denying to socialism the charac­

divinely ordained found its strongest champion in

ter of a bounded successor system to capitalism

the Roman Catholic Papacy. The encyclical Casti

(Brus and Laski,

1989).

This is not necessarily

Connubii

(1933)

reaffirmed the sacramental and

tantamount to the abandonment of basic socialist

irrevocable natures of marriage, stressed its sexual

policy objectives - full employment, equality of

monopoly, and celebrated the procreative function.

opportunity, social care- as well as of government

However, secular philosophical currents tended

intervention as the method to achieve them. What it

to move in different ways. Locke's

seems to imply, however, is the abandonment of the

pp.

383-85)

(1812,

vol. V,

basic redefinition of marriage as a vol­

concept of socialism as a grand design requiring

untary compact, necessary only so long as small

total replacement of the institutional framework

children needed protection, came in the late seven­

of the past; in other words, abandonment of the

teenth century. Two hundred years later, this shift

philosophy of the revolutionary break in favour of

toward a contractual understanding of marriage had

continuity in change. From this point of view,

a powerful momentum.

market socialism as an aim of a consistent trans­

Critical treatment of the specific functions of

formation of the countries of'real socialism' may be

marriage developed particular force after

said to share certain common features with market

Ellis

(1912,

pp.

53-66)

1900.

argued against the sexual

socialism as perceived by some Western social

monopoly claimed by legal marriage, a develop­

democratic parties (see also SociAL DEMOCRACY),

ment later given statistical support by the work of

including the British Labour Party (Fabian Society,

Kinsey (Kinsey et al.,

1986 and

(1982,

see FABIANISM); but any analogy must be

very tentative, recognizing differences in starting

p.

229).

Key

1948) and Masters et al. (1911, pp. 367-8) argued that

the economic factor in marriage had degraded

position and profoundly different conditions of

women. Even in marriage, she said, men and

struggle for achieving the desired aim, as well as

women ought to be economically independent,

ideological implications.

and all new mothers should draw support from the state, rather than from husbands (see FEMI­

Reading

NISM). The reformed family law of the new Soviet

Brus, W. 1961 (1972): The Market in a Socialist Economy.

Union attacked marriage's procreative monopoly

--1979: East European economic reforms:

by eliminating the legal distinctions between legit­

what

happened to them? Soviet Studies 31.2. Brus, W. and Laski, K. 1989: From Marx to the Market:

Socialism in Search ofan Economic System. Fabian Society 1986: Market Socialism: Whose Choice? A

Debate, pamphlet 516. Hayek, F. A. ed. 1935: Collectivist Economic Planning. Kornai, J. 1986: The Hungarian reform process: vision,

imate and illegitimate births. Ironically, as marriage faced this deconstruction, modern anthropologists affirmed the institution's universality. In his 'Cross cultural survey', Mur­ doch

(1949,

pp.

7-8)

defined marriage as existing

'only when the economic and the sexual are united

hopes and reality. Journal ofEconomic Literature, De­

into one relationship', and then claimed to find this

cember.

institution 'in every known human society'. Also

Lange, 0. and Taylor, F. 1936-7 (1948): On the Economic

Theory ofSocialism, ed. B. Lippincott.

universal, he said, was 'a division of labor by sex'. Malinowski acknowledged the forces cutting away

378

MARXISM

at the marital union, but concluded that there is

that of classical German philosophy in relation to

'something bigger in human marriage' rooted in

the bourgeoisie (Engels, 1888), though at the same

'the deepest needs of human nature and society'

time he stressed its scientific character. Through

(Briffault and Malinowski, 1957, pp. 27-8).

his writings and correspondence, Engels had a

Sociologists projected the development of new

strong influence on the first generation of Marxist

20)

thinkers, and by the end of the nineteenth century

viewed marriage as a human instinct shaped by

Marxism was firmly established, largely outside

natural selection. No longer needed in the modern

academic institutions, as a major social theory and

environment, marriage would survive only as a

political doctrine, assimilated in some cases into a

residual drive.

general philosophical system.

marriage patterns.

Westermarck (1936, p.

Groves (1928) focused on the

family's loss of economic and educational functions

In the social theory three main elements can be

to professionals. Parsons (1951) put a positive gloss

distinguished. First, an analysis of the principal

on this change, emphasizing the new importance of

types of human society and their historical succes­

marriage in adult personality adjustment. In the

sion, in which a pre-eminent place is given to the

1970s, resurgent feminist ideas led many sociolo­

economic structure or 'mode of production' in de­

gists to cast a pure egalitarian marriage as the future

termining the whole form of social life: 'the mode

model (Bernard, 1972). During the 1990s, others

of production of material life determines the gen­

urged a redefinition of marriage to encompass

eral character of the social, political and spiritual

same-sex couples (Sullivan, 1995).

processes of life' (Marx, 1859, Preface). The mode

At the same time, evidence gathered by Waite

of production itself is defined in terms of two

(Waite and Gallagher, 2000) still showed hetero­

factors: the forces of production (the available tech­

sexual marriage to be 'an important public good',

nology)

protecting children and society from various dis­

way in which production is organized, and in par­

orders. Even so, other observers suggested that

ticular the nature of those groups which either

and the

relations of

production

(the

marriage was disappearing in advanced industrial

own the instruments of production or simply con­

societies. Looking particularly at Sweden, Popenoe

tribute their labour to the productive process).

(1988, pp. 188-94) charted a reduced propensity to

From this analysis two fundamental ideas of Marx­

marry, the postponement of marriage to a later age,

ist theory emerged: a periodization of history,

a smaller portion of individual lives spent in wed­

conceived as a progressive movement through the

lock, a shorter duration of marriage and a growing

ancient, asiatic, feudal and modern capitalist modes

preference for alternative types of sexual union.

of production, and a conception of the role of social

See also FAMILY, DIVORCE.

classes in constituting and transforming social structures.

Reading

The second element is an explanatory scheme

Key, E. 1911 (1949) Love and Marriage. trans. A. G. Chater. Murdoch, G. P. 1949: Social Structure. Parsons, T. 1951: The Social System. Popenoe, D. 1988: Disturbing the Nest: Family Change and Decline in Modern Societies.

Waite, L. J. and Gallagher, M. 2000: The Case for Mar­ riage: Why Married People are Happier, Healthier, and

covering the changes from one type of society to another, in which two processes are crucially im­ portant. From one aspect the changes are brought about by the progress of technology, and Marx himself emphasized this when he wrote (1847, eh. 2, sect. 1) that 'the hand mill gives you a society with feudal lords, the steam mill a society with industrial capitalists,' or again later, in the Grun­

Better OffFinancially.

ALLAN C. CARLSON

drisse (1857-8, pp. 592-4), where he discussed most fully the consequences of the rapid advance of

Marxism

A body of social theory and political

science and technology for the future of capitalism.

doctrine derived from the work of Karl Marx and

From another aspect, however, social transform­

his close collaborator Friedrich Engels. Only after

ations are the outcome of conscious class struggles;

Marx's death was Marxism developed as a compre­

but the two processes are intimately related, since

hensive 'worldview' and as the distinctive political

the development of productive forces is bound

doctrine of many socialist parties, initially by

up with the rise of a new class, and the existing

Engels who expounded the 'Marxist worldview' as

dominant class becomes increasingly an obstacle to

the outlook of the working class, likening its role to

further development.

MARXISM The third element is the analysis of modern capitalism, to which Marx and later Marxists

379

quired an ethical doctrine as well as a social theory (see REVISIONISM) .

devoted most of their attention. Capitalism is con­

Among those Marxists who responded to the

ceived as the final form of class society, in which the

criticisms of Marxism as a social science, and

conflict between bourgeoisie and proletariat stead­

more generally to new conceptions in philosophy

ily intensifies along with the economic contradic­

and economics, the Austro-Marxists acquired a

tions of capitalism, manifested in recurrent crises,

distinctive influence through their elaboration of

and the process of SOCIALIZATION OF THE ECONOMY

the principles of a Marxist sociology and their in­

is accelerated by the development of cartels and

novative research in new fields of enquiry, which

trusts. This analysis, and the growth of mass social­

included studies of nationalism, of law, and of the

ist parties, necessarily led to a preoccupation with

most recent development of capitalism in its im­

the forms that a transition to socialism might take,

perialist stage (see AusTRO-MARXISM) . Lenin and

and to the elaboration of a Marxist political doctrine

the Bolsheviks, however, with the partial exception

which would help to integrate and guide the

of Bukharin (1921), paid little attention to alterna­

working-class movement.

tive social theories, and responded to Bernstein's

From an early stage, however, there were diverse

criticisms by identifying revisionism with REFORM­

interpretations of Marx's legacy and disagreements

ISM and the abandonment of revolutionary aims.

about its further development. In Germany, largely

Their versions of Marxism concentrated to a

under the influence ofKarlKautsky, Marxism was

large extent on the creation of a disciplined revolu­

conceived primarily as a scientific theory of social

tionary party which would be capable of leading

evolution

being

the working class and its allies (especially, in the

strongly emphasized) and its more deterministic

Russian case, the peasantry) to a successful con­

features seemed to be confirmed by the develop­

quest of power. In this way Marxism was conver­

(its affinities with Darwinism

ment of capitalism and the rapid growth of the

ted into a doctrine emphasizing political will and

socialist movement. In Russia, on the other hand,

party leadership as the crucial factors in social

where capitalism had only begun to develop and

change.

there was no mass socialist movement, Marxism

The Russian revolution, which installed the Bol­

was a doctrine expounded by small groups of revo­

sheviks in power, created entirely new conditions

lutionaries, and notably by Plekhanov, as a philo­

for the development of Marxist thought. Leninism,

sophical worldview, from which Lenin developed

and subsequently Stalinism, became established as

the idea of a 'socialist consciousness' brought to the

a dogmatic official ideology which acquired great

working class from outside; and this subsequently

international influence with the foundation of com­

became a central element in the ideology of the

munist parties on the Soviet model in other coun­

Bolshevik party and the Soviet state.

tries, while the German Social Democratic Party,

This division between more deterministic and

deeply divided and weakened as a result of the war

more voluntaristic interpretations runs through

and the defeat of revolutionary uprisings in

the later history of Marxism, in incessant revisions

19,

1918-

lost its former pre-eminence as a centre of

and reformulations of the social theory and of the

Marxist theory and practice. In the interwar years

political practice which was, at least in part, derived

and for some time after World War II Marxism

from it. By the first decade of the twentieth century,

became largely identified in the public mind with

Marxism was also confronted by increasing critical

Soviet Marxism, although there was in fact a pro­

discussion, both from outside, in the writings, for

found rift in Marxist thought, partly coinciding

example, of Max Weber, Emile Durkheim and

with the division in the international working­

Benedetto Croce, and from within, notably in Bern­

class movement, between the Soviet version and

stein's exposition

what was later called 'Western Marxism'. But the

(1899)

of the results of his effort

'to become clear just where Marx is right and where

latter was itself quite diverse. In some of its forms,

he is wrong', which led him to criticize several

and especially in the work of the Austro-Marxists,

aspects of Marxist orthodoxy, including the 'eco­

it continued to develop as a field of scientific en­

nomic collapse' view of the end of capitalism and

quiry, analysing the further changes in capitalist

the idea of an increasing polarization of society

society after World War I, the rise of fascism, and

between bourgeoisie and proletariat, and in later

the development of a totalitarian state economy and

writings to argue that the socialist movement re-

political dictatorship in the Soviet Union.

380

MARXISM

Other Western Marxists, however, who became

countries, the rise of fascism, the increasingly to­

members of the newly formed communist parties,

talitarian character of the Soviet regime, and critical

rejected the conception of Marxism as a scientific

attacks on the whole idea of a planned socialist

sociology and adopted a more Leninist view of it as

economy, initiated by von Mises (1920, 1922) and

a

continued in a lengthy controversy between conser­

working-class party, although considerable differ­

vative economists such as Hayek (1935) and from

ences existed or emerged among the principal ex­

the side of Marxism, especially Lange (Lange and

a

revolutionary

consciousness

embodied

in

ponents of this view, Korsch (1923), Lukacs (1923),

Taylor, 1938). Nevertheless the influence of Marx­

and

(1938)

ist thought, predominantly in a Leninist-Stalinist

rejected this whole outlook saying that 'the main

form, increased during the 1930s, largely because of

tendency of historical materialism is no longer

the contrast between the quite rapid and sustained

Gramsci

(1929-35).

Korsch

later

"philosophical", but is that of an empirical scien­

development of the Soviet economy and the condi­

tific method', and Gramsci's analyses of the state

tions of economic crisis and depression in the cap­

and civil society contained many elements which

italist world, as well as the recognition of the Soviet

could be, and have been, incorporated into a socio­

Union as a principal opponent of the fascist

logical theory. Lukacs also changed his ideas and in

regimes. But among Marxists themselves the criti­

the preface to a new edition of his early work (1923

cism of totalitarian socialism continued, and there

(1971)) he referred self-critically to its 'revolution­

were also increasing doubts, most strongly ex­

ary, utopian messianism' and expressed doubts

pressed by the Frankfurt school thinkers, about

about the content and methodological validity of

the revolutionary political role of the working

the kind of Marxism he had expounded. The earlier

class in capitalist society.

writings of Korsch and Lukacs, however, also

These themes continued to dominate Marxist

helped to promote another form of Marxist thought

thought after World War II. The extension of the

with the creation of the Frankfurt Institute of

Soviet system into Eastern Europe, followed by a

Social Research in 1923, which later (in the 1960s)

succession of uprisings against the new regimes

bloomed luxuriantly in the critical theory of the

from the 1950s to the 1980s, produced mounting

FRANKFURT

criticism of what was called 'real socialism' and its

SCHOOL.

Difficulties of another sort for Marxist theory

orthodox defenders, and the influence of Soviet

were raised by the practical problems of construct­

Marxism

ing a socialist society in post-revolutionary Russia,

varied array of theories and doctrines known as

steadily

waned.

Concomitantly,

the

in a mainly agrarian country, ravaged by war, civil

Western Marxism acquired a much greater influ­

war and foreign intervention. Most of the early

ence, including that which they exerted on dissi­

Marxists, like Marx himself, had in any case paid

dent movements in Eastern Europe, but in very

little attention to the question of how a socialist

different conditions from those of the interwar

economy and new social and political institutions

years. After World War II capitalism entered a

would actually be organized, confining themselves

phase of exceptionally rapid and sustained eco­

to such general descriptions as the 'associated mode

nomic growth, accompanied in Western Europe,

of production' or a 'society of associated produ­

under the influence of socialist movements which

cers'; although Kautsky (1902) and the Austro­

were now stronger than they had ever been, by an

Marxists did discuss more fully some of the issues

extension of public ownership, some degree of eco­

involved. In the Soviet Union the difficulties of

nomic planning and the development of what came

socialist development were compounded by the

to be called the 'welfare state'. In Eastern Europe,

urgent need to restore the shattered economy and

the movements of revolt, especially in Hungary in

to promote rapid industrialization, and this became

1956 and in Czechoslovakia in 1968, and the en­

the focal point of the intense debates of the 1920s

tirely different course embarked on by Yugoslavia

about the policies of the 'transition period'; debates

from 19 51 in the construction of a system of

which were finally ended by Stalin's dictatorship

workers' self-management, seemed to point to­

and the ruthless imposition of forced industrializa­

wards an eventual attainment in that part of Europe

tion and the collectivization of agriculture.

of a democratic socialist form of society. At all

Western Marxists in the interwar period had to

events they contributed to a notable revival of

contend with an array of problems: the failure of

Marxist

revolutionary movements in advanced capitalist

diffused, in Western countries, not only in history,

thought,

which

now

became

widely

MARXISM sociology and political science where it had long

381

'human agency' in social life, about the relative

had some kind of presence, but in economics and

importance of cultural (or ideological) and social

anthropology, philosophy and aesthetics. Marxism

factors in the development of society, and about

thus became a focal point of major controversies,

fundamental methodological issues; and they them­

which brought it into a new relationship with other

selves made substantial contributions to these de­

currents of social thought.

bates.

But this renaissance also increased the diversity

Although Marxism has retained a more import­

of Marxist conceptions, affected also by a wider

ant place in social thought than it had earlier in this

diffusion of some of Marx's own lesser-known

century, it became less influential in the 1980s than

writings, such as the Economic and Philosophical

in the previous decade and had to face major prob­

Manuscripts (1844) and the Grundrisse (1857-8).

lems. One of these is to provide some convincing

The Frankfurt school, through the writings of

analysis of the stability and growth of post-war

Theodor Adorno, Max Horkheimer and Herbert

capitalism, and in the light of that to reconsider

Marcuse, gained widespread influence as a cultural

the nature, or indeed the possibility, of a transition

critique of bourgeois society, conceived as being

to socialism as hitherto conceived in the advanced

dominated by 'technological rationality' and by a

industrial countries, taking account especially of

corresponding positivist/ scientistic orientation of

the apparent decline of specifically working-class

the social sciences, rather than by a capitalist class.

politics and the rise of various forms of nonclass

Against this the structuralist Marxism of Louis

politics in the new kinds of SociAL MOVEMENT. A

Althusser, shaped partly by the wider structuralist

still greater problem is presented by the changes in

movement (see STRUCTURALISM), asserted the im­

the countries of'real socialism', which culminated,

analysing the deep structures of

at the end of the 1980s, in the overthrow of the

human societies, and especially their modes of

communist regimes in most of Eastern Europe and

portance of

production, and portrayed Marxism as a 'new

the acceleration of fundamental changes in the

science' of the different levels of social practice,

Soviet Union towards a more market-oriented

from which the human subject as an autonomous

economy and a multiparty political system. Since

active being was eliminated. In another direction

most of the East European countries then embarked

the Praxis group of Yugoslav philosophers and

on a restoration of capitalism it is evident that the

sociologists concentrated their attention on the

Marxist theory of history, which envisaged no such

problems of alienation in both capitalist and state

reverse transition from socialism to capitalism,

socialist societies, and on the development and

stands in need of drastic revision, and it is a singu­

prospects of self-managed socialism, and their

larly inadequate response to these events to say that

writings had a particular impact on intellectuals

the countries concerned were not really socialist at

in Eastern Europe.

all. What is required is a much more fundamental

The Marxist thought of this period was divided

analysis of the development of capitalism and so­

not only between a vigorous Western Marxism and

cialism in the twentieth century, and a reorientation

a moribund Soviet Marxism (with a brief incursion

of Marxist theory, if that is possible, from being

of Maoism as a political doctrine that captivated

primarily or even exclusively an analysis of the rise,

some student radicals), but between two alternative

development and anticipated surpassing of capital­

conceptions which can be broadly categorized as

ism, to one which gives equal or greater prominence

'humanist' and'scientific' (Bottomore, 1988, Intro­

to studies of the emergence and development of

duction). Marxists in the first category laid stress on

socialism, and of the contradictions and crises

the humanist, democratic or emancipatory content

which may arise within a socialist economy and

of Marxist theory, and on the conscious, intentional

society. Whether this reorientation of ideas will be

actions of individuals and social groups, while those

accommodated within a scheme of thought that is

in the second category were primarily concerned

still recognizably a form of 'classical Marxism', or

with its scientific, explanatory character, and with

whether it marks the beginning of a 'post-Marxist'

the distinctive conceptual scheme and theory of

era, remains to be seen. It is evident at least that

knowledge that underlies it. Both orientations in­

over the past few decades Marxism had already

volved Marxist thinkers in much wider controver­

developed in such a way that its character was less

sies over the whole field of the social sciences,

that of a single tightly knit theory, and more that of

history and philosophy, about 'structure' and

a broad, though still distinctive, paradigm within

382

MASS CULTURE

which diverse kinds of explanation and interpret­

and distribution is in the hands of capitalist

ation are possible; and that in this process its role as

elites.

a political doctrine, separate from that of socialism

The position of the artist as creator of culture is a

in general, has been greatly attenuated, so that in

recurrent theme. Matthew Arnold's characteriza­

the future 'Marxist' parties are likely to be some­

tion of artists as 'aliens' is echoed in Karl Mann­

thing of a rarity.

heim's

conception

of

the

culture-producing

intelligentsia as a stratum relatively detached from Reading

the classes of modern society. From this perspec­

Avineri, S. 1968: The Social and Political Thought ofKarl

tive, mass culture represents the threat that the

Marx.

Bottomore, T. ed. 1983 (1991): A Dictionary of Marxist Thought.

Ko1akowski, L. 1978: Main Currents ofMarxism. Lichtheim, G. 1961: Marxism: an Historical and Critical Study.

McLellan, D. ed. 1983: Marx: the First Hundred Years.

TOM BOTTOMORE

remorseless commercialization of all aspects of modern life will integrate the intellectual too closely into the economic life of class society. T. S. Eliot explicitly rejected Mannheim's diag­ nosis. Often represented as aristocratic or elitist, even Nietszchean, Eliot's critique of mass culture is more accurately described as conservative. Eliot believed that the best guarantee against the levelling

Marxism, Austro-

See AusTRO-MARXISM

down and homogenization of culture was the main­ tenance of a stratified society in which the cultural

mass culture

'Mass culture' is a term used, usu­

ally pejoratively, to identify the culture of MASS

creativity of each class might be protected and the common cultural heritage preserved.

SOCIETY or, more generally, of the mass of the

Often bracketed with Eliot is the literary critic

population in modern societies. Mass culture is so

F. R. Leavis. However, if Leavis shared Eliot's

characterized not merely because it is the culture of

alarm at what they believed to be the decline of

the masses nor because it is produced for consump­

artistic standards and of popular taste and, like

tion by the masses, but because it is alleged to lack

Eliot, laid much of the blame on the development

both the reflectiveness and sophistication of the

of the mechanical production of culture, whether in

'high culture' of social, cultural or educational elites

the form of cinema, gramophone records or paper­

and the directness and simplicity of the folk cul­

back fiction, Leavis's critique of mass culture was nevertheless more democratic. Leavis bemoaned

tures of traditional societies. Although originally an elitist reaction to the cul­

the loss of a 'common culture' whose destruction

tural consequences, real and imagined, of political

began with the arrival of the machine and was

democratization and the application of technology

hastened by the development of the automobile

to the reproduction and diffusion of cultural prod­

which, because of the mobility it conferred, tended

ucts, the pessimism of the critics of mass culture has

to uproot individuals from family and community.

been mirrored in the work of left-wing critics of

At the centre of Leavis's critique was a romantic

capitalist consumer societies, most famously in the

myth of preindustrial society as a realm of real,

marxism of the FRANKFURT SCHOOL. There are both elitist and broadly democratic

organic communities innocent of the conflict be­ tween capital and labour. Modern mass production,

versions of the critique of mass culture, although

by contrast, standardized the worker's emotional

elements of the two are often conjoined. In the

experience as surely as it did his or her physical

eyes of its elitist critics, what damns mass culture

products. The result was a spiritual impoverish­

is that, in order to be easily accessible to the

ment of the masses and an entertainment industry

unlettered masses, it panders to their least noble

geared to passive diversion.

but most nearly ubiquitous sentiments and emo­ tions.

Mass culture is, accordingly, superficial

Despite the exalted role he proposed for literary critics, Leavis was not simply elitist. He believed,

and sentimental: thus a contributor to the New

unlike Eliot, that the real threat to cultural vitality

York Review described popular music as express­

came from the alienation of creative thinkers from

ing 'the deepest thoughts of the shallowest of

the common culture. Mass publishing, book clubs,

men'. The democratic critique of mass culture

newspapers and the mass media in general under­

contrasts

it

with

autonomous

popular culture

mined the organic relationship between creative

and emphasizes the extent to which its production

elites and a broad readership. The threat of mass

MASS MEDIA

383

culture was not a threat from below, in the shape of

even the new media of communication are increas­

the erosion of class distinctions, but from above, in

ingly dominated by a handful of transnational

the shape of profit-oriented capitalist mass media.

media corporations, the critique of mass culture

Similar themes are to be found in the work of the

and the 'culture industry' remains a forceful one.

sociologist, C. Wright Mills. Mills argued that, in the American society of the 1950s, increasing spe­

Reading

cialization of function and the collapse of pluralism

Giner, S. 1976. Mass Society.

led to a mass society in which power was increas­

Swingewood, A. 1977: The Myth ofMass Culture.

ingly concentrated and culture was a matter of elite

C. A. ROOTES

manipulation. Mass education, far from raising the general cultural level, produces only 'educated illit­

mass media

eracy' as education loses its critical function and

monly used to refer to a range of institutions con­

becomes integrated with the demands of the econ­

cerned

omy, leaving only the bland, undemanding and

generalized diffusion of symbolic forms. These

conformist culture of white collar suburbia.

forms

American social criticism was conjoined with Frankfurt school Marxism in Herbert Marcuse's

with include

The term 'mass media' is com­ the

large-scale

books,

production

newspapers,

and

magazines,

films, radio and television programmes, records, compact discs and so on.

One-Dimensional Man. Marcuse saw the mass

The origins of the mass media can be traced back

media as the principal agent of an engineered social

to the second half of the fifteenth century. Around

consensus that denied real human interests. Com­

1440 Johann Gutenberg, a goldsmith working in

mentators suggested that the availability of Mar­

Mainz, began experimenting with printing, and by

cuse's book in supermarkets was proof that culture

1450 he had developed his techniques far enough to

had become a mere commodity.

exploit them commercially. Gutenberg developed a

Marcuse's was a less recondite version of the

method for the replica casting of metal letters, so

critique of mass culture advanced by the leading

that large quantities of type could be produced for

theorists of the Frankfurt school, T. W. Adorno

the composition of extended texts. He also adapted

and Max Horkheimer. They argued that 'high art',

the traditional screw press for the purposes of

unlike mass culture, does not seek to reconcile the

manufacturing printed works. During the second

audience to the dominant economic and political

half of the fifteenth century, these techniques

order but has a transcendent, critical function. Be­

spread rapidly and printing presses were set up in

cause works of mass culture must appeal to a vast

the major trading centres throughout Europe.

homogeneous public, they allow no room for im­

The early presses were generally commercial en­

agination and do not engage the reader in a genuine

terprises concerned with the reproduction of manu­

dialectic but instead treat him or her as a passive

scripts of a religious or literary character, and with

object. The mass culture industry removes all

the production of texts for use in law, medicine and

genuine opposition to the reifying trends of capit­

trade. In the early sixteenth century the presses

alism and is, accordingly, the basis of modern to­

began to print periodicals and news sheets of various

talitarianism.

kinds, and in the early seventeenth century regular

The defenders of mass culture argue that, as a

newspapers began to appear. The book and news­

result of nearly universal literacy, diffusion of

paper industries expanded rapidly in the nineteenth

knowledge by mass media including television,

century, when techniques associated with the In­

and increased leisure, 'high art' now enjoys a larger

dustrial Revolution were applied to the production

audience than ever before. Folk cultures may be

of printed texts. Circulation increased significantly

'contaminated', but cultural diversity has not dis­

and, with the decline in illiteracy, books and news­

appeared, the impact of mass media is at least

papers became available to an increasing proportion

ambiguous, new media of communication such as

of the population in industrialized (or industrial­

the Internet are more widely accessible, and cul­

izing) societies.

tural innovation continues. Perhaps, but when

Radio and television broadcasting are phenom­

great works of art are acquired as investments by

ena of the twentieth century. The technical basis of

pension funds, when cold calculation of its pro­

broadcasting was developed by Marconi and others

spects of commercial success determines whether

in the 1890s and early 1900s, and the first steps in

a film is made or a book is published, and where

large-scale radio broadcasting were taken in the

384

MASS MEDIA

1920s. Television broadcasting was introduced on a

the medium of CoMMUNICATION may affect the

large scale in the late 1940s and it quickly became

nature of social organization and human sensibility.

one of the most popular media. In many Western

Innis introduced the idea that every medium of

industrial societies today, adults spend on average

communication has a certain 'bias' towards durabil­

between 25 and 30 hours per week watching televi­

ity in time or mobility in space. He suggested that

sion, and television has become the most important

societies in which the dominant medium is biased

source of information concerning national and

towards temporal durability (for example, stone or

international events. Given their significance in the modern world, it

clay) will tend to be small and decentralized, whereas societies with media which are biased to­

could be argued that the mass media have not re­

wards spatial mobility (for example, papyrus or

ceived the attention they deserve from social and

paper) will tend to be large and imperial, like the

political theorists. But a number of distinctive the­

Roman Empire (Innis, 1950 and 1951). Innis's work

oretical approaches to the mass media have been

was pathbreaking in the way that it linked the

developed. Among the first social thinkers to study

development of communication media to broader

the mass media in a systematic way were the early

considerations of time, space and power.

'critical theorists' associated with the Frankfurt In­

McLuhan suggested that media technologies

stitute for Social Research. These theorists, includ­

have had a fundamental impact on human senses

ing Max Horkheimer (1895-1971) and Theodor

and cognitive faculties. In contrast to traditional

Adorno (1903-1969), were interested in the nature

oral societies, the development of writing and

and impact of what they called 'the culture industry'

printing created a culture which was dominated

(Horkheimer and Adorno, 1947). Writing in the

by the sense of vision and by an analytical, sequen­

1930s and 1940s, they argued that the mass media

tial approach to problem-solving. It enabled indi­

have given rise to a new form of IDEOLOGY in

viduals to become more independent, rational and

modern societies. By producing large quantities of

specialized. But the development of modern elec­

standardized and stereotyped cultural goods, the

tronic media has, according to McLuhan, created a

mass media were providing individuals with im­

new cultural milieu in which the primacy of vision

aginary avenues of escape from the harsh realities

has been displaced by a unifying interplay of the

of social life and were weakening their capacity to

senses, and in which individuals are bound together

think in a critical and autonomous way. Horkheimer

in global networks of instantaneous communication

and Adorno suggested that these developments,

(see MoDERNITY) . In other words, electronic media

among others, had rendered individuals more vul­

have created a 'global village' (McLuhan, 1964) (see

nerable to the rhetoric of Nazism and fascism.

GLOBALIZATION ) .

A generally negative appraisal of the mass media

The views put forward by Innis and McLuhan

and their impact can be found in the writings of

are rather idiosyncratic and are treated with caution

other social and political theorists, particularly

by most media theorists and analysts. A large

those influenced by Marxism. For many Marxist

number of more detailed studies have been carried

theorists, the mass media are viewed primarily as a

out to examine the role of the mass media in modern

medium of ideology; that is, they are regarded as a

societies and their possible effects on social and

mechanism by virtue of which dominant groups or

political life. (For a review of this literature, see

classes are able to diffuse ideas which promote their

McQuail, 1987.) Nevertheless, the work of the

own interests, and which serve thereby to maintain

media theorists, among others, has helped to high­

the status quo. An example of this view is the

light the fact that the development of the mass

approach developed by the French Marxist Louis

media has shaped, in a profound and irreversible

Althusser, who treats the mass media as an integral

way, the nature of social interaction and cultural

part of what he calls 'ideological state apparatuses'

experience in the modern world.

( Althusser, 1971). A different account of the nature and significance of the mass media was developed in the 19 50s and 1960s by the Canadian authors Harold Innis (1894 -1952) and Marshall McLuhan (1911-1981).

Reading Eisenstein, E. L. 1979: The Printing Press as an Agent of

Change. Habermas, J. 1962 (1989): The Structural Transform­

Sometimes referred to as 'the media theorists',

ation of the Public Sphere, trans. T. Burger with F.

Innis and McLuhan argued that the very form of

Lawrence.

MASS SOCIETY Horkheimer, M. and Adorno, T. W. 1947 (1972): The Dialectic ofEnlightenment, trans. J. Cumming. lnnis, H. A. 195 1: The Bias of Communication. McLuhan, M. 1964: Understanding Media. McQuai1, D. 1994: Mass Communication Theory. Meyrowitz, J. 1985: No Sense ofPlace. Thompson, J. B. 1995: The Media and Modernity.

JOHN mass society

B.

THOMPSON

'Mass society' is a term used to

385

obligations of citizenship. Democracy might, acc­ ordingly, mean a levelling down in which the pas­ sions of the mass overwhelmed the reason of the educated elite and led to an intolerance of non­ conformity. The other major factor in this process was the transformation of predominantly agrarian societies by the interrelated processes of industrialization, bureaucratization and urbanization. Mass society

describe the condition of modern societies, societies

theory draws heavily on the works of those nine­

in which traditional forms of association such as

teenth-century theorists (especially de Tocqueville,

community, class, ethnicity and religion have de­

Tiinnies, Durkheim, Weber) who both identified

clined, in which social organization is predomin­

these changes and worried about the implications of

antly large-scale and bureaucratized, and in which

them for social cohesion and political order. Just as

social relationships are consequently relatively im­

the social relationships characteristic of preind us­

personal. In more extreme formulations, 'mass so­

trial society were transformed by industrialization,

ciety' is portrayed as one in which the population is

so the political order was threatened by the collapse

an undifferentiated mass, uprooted from commu­

of the previous moral order and the loosening of the

nity, tradition and customary morality, incapable of

mechanical constraints which hitherto had helped

discrimination in matters of cultural taste and pol­

to hold societies together.

itics alike, and consequently subject to waves of

But the classical sociologists did not, unlike the

emotion and fashion and prey to the manipulations

mass society theorists who later drew upon their

of unscrupulous charismatic politicians. Mass society theory was especially influential as a

work, assume that the trends they identified were absolutes. The various versions of the 'community­

diagnosis of the cultural and political ills that after

society' polarity were intended as heuristic devices,

World War I facilitated the spread ofFASCISM and

and seen as dimensions of on-going social processes

bolshevism. In the 1950s and 1960s, mass society

rather than as end-states. Durkheim, in particular,

theory was advanced as a critique of an American

saw that if social development entailed the destruc­

society that was seen as conformist and politically

tion of traditional forms of community and moral­

demobilized. In recent years it has become unfash­

ity,

ionable, both because its elitist cultural pessimism

innovation. The mistake of mass society theorists

there

were

nevertheless

possibilities

of

has seemed unwarranted in light of evidence of

was to be so blinded by nostalgia that they failed to

continuing and possibly increasing social and cul­

see the development of new forms of community

tural pluralism, and because it has been associated

and morality even in societies dominated by

with a conservative politics that failed to compre­

modern forms of association.

hend the changed nature of political participation since the mid-1960s.

It is as a contribution to political sociology that the mass society perspective attains its clearest the­

The mass society perspective was, however,

oretical specification. Kornhauser (1959) stressed

by no means a twentieth-century novelty. The

the disruptive impact of rapid social, economic

threat posed by the uncultured, decadent or des­

and political change but attached centrality to the

perate urban masses to elites of talent or virtue had

secondary associations de Tocqueville thought so

been a recurrent theme in political philosophy since

important to the health and stability of liberal dem­

classical antiquity. It was, however, events of

ocracy. In the absence of such intermediate associ­

the late eighteenth and early nineteenth centuries

ations, the poorly integrated mass of the population

that sharpened these concerns and laid the basis for

was believed to be susceptible to mobilization by

the modern conception of mass society. So precipi­

political elites while elites themselves were danger­

tately did theFrench revolution sweep away trad­

ously uninsulated from the pressures of mass

itional aristocratic regimes across Europe that

opinion. The result was vulnerability to political

even thinkers (such as ]. S. Mill) who were not

volatility and extremism.

reactionary worried that democratization amounted

Kornhauser's book may be read as an attempt to

to the political incorporation of people insuffi­

generalize from the explanations (especially those

ciently educated responsibly to undertake the

of Lederer, Arendt, and Neumann) of the rise of

386

MATERIALISM

extremist movements and totalitarian societies in

claims that all reality is essentially material; in its

the 1920s and 1930s. Most attention was, under­

more specific form, that human reality is.) In the

standably, focused upon Nazi Germany. The col­

Marxist tradition, materialism has normally been of

lapse of Germany into Nazism was attributed to the

the weaker non-reductive kind. Materialism may be

recency and speed of Germany's transformation

regarded as a 'holding operation', against forms of

into a democratic, mass society. So rapid was this

idealism, asserting the existence of abstract entities

change that the old associations of community, class

such as universals (unless identified as the proper­

and religion had collapsed, leaving anomic and

ties of material things), supernatural beings or

rootless masses putty in the hands of manipulative

minds (unless identified with, or at least rooted in,

politicians who disposed of distinctively modern

bodily processes); and against explanations which

means of organization and communication.

invoke such entities. Materialists thus exclude the

Plausible though it was, as an account of the rise

possibility of disembodied existence and are meta­

of Nazism, mass society theory is flawed. There is

physically oriented against dualism. In this article I

strong evidence to contradict its central propos­

will first consider materialism in the realm of the

ition. Germany in the 1920s was indeed a society

philosophy of mind, before turning to Marxist ma­

which had suffered rapid and dislocating change,

terialism.

but the most disturbing of those changes were

Opposing classical Cartesianism, early and mid­

political rather than primarily social. Germany,

twentieth-century BEHAVIOURISM argued that mind

before the accession of the Nazis to power, was

consists in outer acts or even movements. In the

not a society in which intermediary social organiza­

third quarter of the century it became clear that

tion was weak but, on the contrary, one in which

behaviourism traded, to say the least, on a confu­

associational life was much stronger than in France

sion between meaning and empirical grounds. The

where the appeal of fascism was relatively limited.

dominant form of materialism, the central state

Mass society theory reached its nadir when ap­

materialism (CSM) advocated by D. Armstrong,

plied to the new social movements of the 1960s and

U. T. Place and ]. ]. C. Smart, involved three

1970s. Those movements provided abundant evi­

steps: (a) the analysis of prima facie mental state­

dence that it was not anomic, socially atomized

ments, such as 'I am thinking now,' as 'topic-neu­

individuals who were most prone to take radical

tral', that is, as saying nothing about the nature of

political action but, on the contrary, people who

the process involved; (b) the definition of a mental

were relatively well socially integrated and more

state, both in opposition to the classical view as an

than usually motivated by commitment to strong

inner arena and to behaviourism as an outward act,

moral principles. Indeed it is this evidence that is

as a (real) state of a person apt for the production of

most damaging to mass society theory. For all that

certain sorts of physical behaviour, so that the mind

rapid change is disturbing and frequently politic­

is seen as an inner arena identified by its causal

ally destabilizing, it is not usually the people who

relations to the outward act; and (c) the speculative

are most dislocated by rapid change who are most

identification of these inner processes with the phy­

prone to taking radical political action. Moreover,

sico-chemical workings of the brain, or more fully

for those among the dislocated who do take radical

the central nervous system. CSM is most plausibly

action, the character of their political involvements

construed as a regulative principle or research pro­

is more often a reflection of the values into which

gramme, backed by neurophysiological evidence.

they were previously socialized than an unreason­

But the notion of the reduction involved in step 3

ing reaction to their changed circumstances.

is suspect; and it has been argued that CSM faces

Reading

ing causality and social interaction (Bhaskar, 1979

insuperable difficulties of analysis, and in sustain­ Giner, S. 1976:

(1989), eh. 4, sections 4 and 5). Eliminative materi­

Ha1ebsky, S. 1976:

alism (El M), perhaps most persuasively advocated

Mass Society. Mass Society and Political Conflict. Kornhauser, W. 1959: The Politics ofMass Society.

by P. Churchland, following up on the writings of

A. ROOTES

P. Feyerabend, W. V. 0. Quine and R. Rorty,

In its broadest sense, materialism

not a revisionary analysis of prima facie mentalistic

contends that whatever exists just is, or at least

terms, but denying that the statements in which

depends upon, matter. (In its more general form it

they occur can be true. But it is not clear that El M

C.

rejects the topic-neutral analysis (step 1), offering materialism

MATERIALISM

387

can be consistently stated. Other realist philoso­

existing, historically social forms, given as the con­

phers, objecting to the deterministic and reduction­

ditions and media of that activity, but reproduced

istic implications of CSM and El M alike, have

or transformed only in it. Failure adequately to

counterposed to it a view of minds as causally

distinguish

(and taxonomically) irreducible, but dependent,

(a) and (/3) as two aspects of the unity

of known objects has led to tendencies to both

(a) to ({3)

modes of matter. For instance, on the position of

epistemological idealism (reduction of

synchronic emergent powers materialism (SEPM)

from Gyiirgy Lukacs and Antonio Gramsci to Les­

advanced by R. Bhaskar, mind is conceived not as a

zek Kolakowski and Alfred Schmidt) and reversion

substance, whether material or immaterial, but as a

to traditional contemplative materialism(reduction

complex of powers. This has analogies with H.

of(/3) to

Putnam's 'functionalism'.

and the contemporary exponents of 'reflection

'Double-aspect theories', revived by P. Straw­

(a) from Engels and Lenin to Della Volpe

theory'). And failure adequately to distinguish (/3)

(y) as two aspects of the unity of transformative

son, are often regarded as species of materialism -

and

because on them, mind and matter are two modes of

activity (or as the duality of praxis and structure)

a single substance. But they suffer from an ambiva­

has resulted in both sociological individualism and

(y) to ({3), as in, for in­

lent ontological commitment. If the mental attri­

voluntarism (reduction of

butes are real(irreducibly causally efficacious) then

stance, Jean-Paul Sartre) and determinism and

they amount to SEPM; if not to CSM. On the other

reification(reduction of({3) to (y) as in, for instance,

hand, if this question is evaded, then there is no

Louis Althusser).

nonsubjective criterion for the attribution of any

The hallmark of the dialectical materialist trad­

mental states at all. Epiphenomenalism, still some­

ition (see also DIALECTICAL MATERIALISM ) was a

times supported, has difficulties in doing justice to the phenomenon of our

agency.

combination of a dialectics of nature and a reflec­ tionist theory of knowledge. Both were rejected by

It is this that the early Marx stressed in elaborat­

Lukacs in the seminal text of Western Marxism,

practical materialism (PM), asserting the

History and Class Consciousness (1923), which also

constitutive role of human tranformative agency

argued that they were mutually inconsistent. In

ing his

in the reproduction and the transformation of social

general when Western Marxism has been sympa­

Historical materialism (HM), asserting the

thetic to dialectical motifs, it has been hostile to

causal primacy of men's and women's MoDE OF

materialism. On the other hand, when Western

PRODUCTION and their natural (physical) being, or

Marxism has advertised its materialism, this has

forms.

of the labour process more generally, in the devel­

usually been of an exclusively epistemological

opment of human history consists in a substantive

kind, as in Althusser, G. Della Volpe and Lucio

elaboration of PM. It is rooted in ontological materi­ alism(OM), asserting the unilateral dependence of

broached, as in S. Timpanaro's re-emphasis of the

Colletti; and, where ontological topics have been

social upon biological(and more generally physical)

role of nature in social life, discussion has often

being and the emergence of the former from and its

been vitiated by an unreflected empirical realism.

subsequent causal efficacy on the latter(cf. SEPM).

In any discussion of materialism there lurks the

epistemo­

problem of a definition of matter. For Marx's PM,

logical materialism(EM), asserting the independent

which is restricted to the social sphere(including of

And it presupposes scientific realist or

existence and transfactual efficacy of at least some of

course natural science) and where 'materialism' is to

the objects of scientific thought.

be understood as 'social practice', no particular

Only PM can be dealt with in any detail here.

difficulty arises. But from Engels on, Marxist ma­

Early

terialism has had more global pretensions, and

Writings, 1975, pp. 421-2) implies a distinction between (a) objectivity or externality as such and

the difficulty now appears that if a material thing

The First Thesis on Feuerbach (see Marx,

is regarded as a perduring occupant of space

({3) objectification as the production of a subject, or

capable of being perceptually identified and re­

in the terminology of modern scientific realism

identified, then many objects of scientific know­

identification

between the intransitive objects of knowledge and

ledge, although dependent for their

the transitive activity of knowledge production.

upon material things, are immaterial. Clearly if

The Sixth Thesis(ibid., p. 423) entails a distinction between(/3) intentional human activity and

(y) the

reproduction or transformation of the antecedently

one distinguishes between scientific and philosoph­ ical ontologies,

such

considerations need not,

as both Bertrand Russell and Lenin saw, refute

388

MEASUREMENT

philosophical materialism. But what then is its con­ tent? Some 'materialists' have subscribed to the idea of the exhaustive knowability of the world by science. This seems an extraordinarily anthropo­

Reading Armstrong, D. 1968: A Bhaskar, R. 1979

Materialist Theory ofMind. (1989): The Possibility ofNaturalism, 2nd

edn.

centric- even idealist- conceit. On the other hand,

--

the weaker supposition that whatever is knowable

Churchland, P. 1979:

must be knowable by science, if not tautologous, merely displaces the truth of materialism on to the feasibility of NATURALISM in particular domains. For such reasons one might be tempted to treat materialism more as a prise de position than as a set of quasi-descriptive theses, and more specifically as: (a) a series of denials, largely (remembering that

1993: Dialectic.

Scientific Realism and the Plasticity of

Mind. Labica, G. 1980:

Marxism and the Status of Philosophy.

Putnam, H. 1976: The mental life of some machines. In

The Philosophy of Mind, ed. J. Glover. Philosophy and the Mirror ofNature, part I. Soper, K. 1981: On Human Needs. Timpanaro, S. 1976: On Materialism. Rorty, R. 1980:

ROY BHASKAR

Hegel could plausibly assert that the history of philosophy is the history of idealism) of claims

materialism, dialectical

of traditional philosophy, concerning the existence

TERIALISM

See DIALECTICAL MA­

of God, souls, forms, ideas, sense-data, duties, the Statements such as 'A is more X

absolute and so on, or the impossibility (or inferior

measurement

status) of science or earthly happiness; and (b) as an

than B', 'A is n times more X than B' appear as

indispensable ground for such denials, a commit­

grounded when adequate measurement procedures

ment to their scientific explanation as modes of false

are defined thanks to which a set A, B, C . . . of

or inadequate consciousness or ideology. However

objects can be compared with respect to X. Thus,

such an orientation still presupposes some positive

a rod A can be said to be longer than B once a

account of science (ideology, etc.). In fact it may be

measure of length has been defined and applied to

easier to justify materialism as an account of science

A and B. In the same way, a society A will be

and scientificity than it is to justify materialism per

considered as more mobile socially once a measure

se; and perhaps only such a specific explication and

of social mobility has been defined.

defence of materialism is consistent with Marx's

Measurement is a current operation in the social

critique of hypostatized and abstract thought (for

as well as in the natural sciences. Without measure­

example, in the Second Thesis on Feuerbach (ibid.,

ment, it is impossible to answer such simple de­

p. 422)). It is significant here that a transcendental

scriptive sociological questions as: Are rates of

realist explication of materialism is congruent with

suicide greater now in country A than twenty years ago? Is social inequality decreasing or increas­

an emergent powers naturalist orientation. The importance of this last consideration is that,

ing in society A? Is social inequality greater in

since Marx and Engels, Marxism has conducted a

country A than in B? Has intergenerational social

double

mobility been increasing or decreasing in country A

polemic:

against

idealism

and

against

vulgar, reductionist or 'undialectical' materialism (that

is,

contemplative

(Marx)

or

in the last decade?

mechanical

While these questions show that the social sci­

(Engels) materialism). And the project of elaborat­

ences cannot avoid measurement, they illustrate

ing a satisfactory 'materialist' account or critique of

also the difficulties of measurement in these sci­

some subject matter, characteristically celebrated

ences. Ethnomethodologists and phenomenologists

by idealism, has often amounted in practice to the

have rightly made the point that measuring, say,

attempt to avoid reductionism without reverting to

rates of suicide can be meaningless, since the social

dualism. This has normally necessitated a war of

definition of suicide is variable with time and place

position on two fronts - against various types of

and recording a death as a suicide is a social decision

'objectivism' and against various formally counter­

affected by many factors. These objections should

posed, but actually complementary or interdepend­

be relativized, however: while it is true that such

ent, types of 'subjectivism' (Bhaskar, 1989, pp.

measures as suicide rates should not be taken at

131-2). It would then be the intention of Marxist

their face value, they can provide reliable 'weak'

materialism to transform the common problematic,

comparative statements (as in: 'rates of suicide

thus throwing both the errors and the partial in­

appear to increase from time 1 to time 2'; 'they are

sights of the old symbiotes into critical relief.

greater in country A than in B').

MEDICINE

389

A second methodological difficulty is even more

of the clinical examination (to localize the lesion),

crucial. Lengths can be measured in inches or

and the post-mortem (which allowed the truth

centimetres: if a rod appears as longer than another

about the lesion to be revealed to the medical eye)

in inches it will also be longer in centimetres. How­

(Foucault,

1963).

ever, this property of alternative physical measures

This new model of illness was remarkably suc­

(according to which they are monotonically related

cessful: rival systems of medicine were soon swept

to one another) is generally lost in the case of the

away as hospitals were built throughout Europe and

measures used in the social sciences. Thus, social

North America and the medical profession organ­

mobility can be measured by the so-called Glass

ized systems of state licensing to marginalize and

index, by the Yasuda index or by many other in­

eliminate the 'non-qualified' from treatment of the

dices (Boudon,

1973). In the same fashion, income

sick (Starr,

1982). Thus by the early twentieth

equality /inequality, educational equality /inequal­

century a strong pathology-based biomedicine, as

ity, and so on, can be measured in several ways.

it is often called, was firmly established and in a

Now, it is theoretically possible that, say, a society

position to benefit from the enormous increase in

A appears as more mobile or more equal than B with

resources devoted to healthcare during the rest of

regard to some variable when one measure is used,

the century, particularly through the commitment

while the reverse will be true with another measure.

of governments to healthcare welfare programmes

This means that concepts such as 'social mobil­

for their populations (see HEALTH) .

ity' or 'inequality' are actually much more ambigu­

Despite the continuance and dominance of a

ous than 'length' or 'temperature': the various

biomedical approach to illness throughout the

available indices correspond actually to various in­

twentieth century - with its narrow gaze directed

terpretations of these notions. In practice, however,

on the pathological lesion deep inside the body- a

these various measures often appear as convergent.

parallel interest in the social and psychological world of the patient emerged (Armstrong,

See also SociAL STATISTICS.

1983).

During the mid-nineteenth century, the public health movement had successfully improved the

Reading Douglas, J. C. 1967

(1970): The Social Meanings of

living conditions of the population by measures directed to environmental hygiene, such as sanita­

Suicide. Pawson, R. 1989: A Measure for Measures.

tion, food inspection and clean drinking water.

RAYMOND BOUDON

Indeed, it has been argued that the improvements in the health status of the population since the mid­

media

See MASS MEDIA

nineteenth century are the result of these social policies rather than the actions of individual clin­

medicine

All societies have ways of interpreting

and understanding the phenomenon of illness.

icians (McKeown,

1979). After its 'golden age',

public health became routinized and neglected;

Factors as diverse as the stars, sins, the weather

but it was revived in the early years of the twentieth

and a person's constitution have been used in the

century with the discovery of the social as a new

past as the basis for explanatory frameworks; but

space in which illness could manifest itself. Recog­

the dominant explanation in the twentieth and

nition of a link between 'social factors' and diseases

twenty-first centuries in the West - and increas­

such as tuberculosis and venereal disease formed

ingly throughout the world- is based on a theory of

the basis for this new social medicine. In its most

disease which first emerged in the late eighteenth

recent form, often referred to as the 'new public

century in Parisian hospitals (Ackerknecht,

health', emphasis is given to the regulation of life­

1967).

Whereas the previous medical view had held that

styles through health promotion activities, and to a

an important characteristic of illness was its move­

belief that individuals should begin to take respon­

ment, the new medicine of hospitals made the rad­

sibility for maintaining their own health (Martin

ical claim that it could be localized to specific

and McQueen,

1989).

malformations of anatomic structures - so-called

In parallel with the emergence of concerns

pathological lesions- inside the body. This analysis

for the overall health of the population, clinical

at once justified the hospitalization of the patient (to

medicine began to recognize the importance of

place the body in a neutral setting) where medical

the individual patient's psychosocial world. This

practitioners could practise their new-found skills

shift can be seen particularly in psychiatry, which

390

MESSIANISM

moved away from its nineteenth-century exclusive

nomenon, is itself a social artefact: the difference

preoccupation with insanity towards the everyday

between normal and abnormal in medicine (physi­

as found in the clinical

ology and pathology) must be rooted in normative

problems of anxiety and depression (see PsYCH­

assessments of how the body should be functioning.

IATRY AND MENTAL ILLNESS; DEPRESSION).

In this sense, all diseases, despite their biological

problems of coping,

The extension of medicine into areas of social

manifestation, encode social evaluations of what is

life, both through social medicine and the concerns

to count as normal in any particular society. A

of an increasingly psychosocially orientated clinical

further extension of this approach is the argument

medicine, has evoked a number of responses. One

that not only is the boundary between normal and

has been to welcome the shift in emphasis as a

abnormal socially derived, but the very content of

humanizing and liberating change. Instead of ob­

pathology reflects a historically located way of read­

jectifying patients as nothing more than physical

ing the nature of the body (Armstrong, 1983) and

bodies, recognition of the psychosocial aspects of

the mind (Rose, 1990).

illness means that patients have their autonomy

During the late twentieth century, medicine has

and dignity respected; the late twentieth-century

held together an ascendency over an increasingly

identification of the patient as a consumer is but

complex health division of labour: in many ways the

one

patient-oriented

move into psychosocial areas can be seen as part of a

Other commentators have been more critical. If a

vince of illness. Nevertheless, there are already

medicine of bodies could be reproached for objecti­

signs of independence from other healthcare pro­

component

of

this

more

strategy for maintaining hegemony over the pro­

VISIOn.

fying those same bodies, then a medicine which

fessionals, such as nurses, and an increasing use of

monitors the psychosocial functioning of the pa­

alternative and complementary practitioners by the

tient has analogous effects on the patient's whole­

public; at the same time biomedicine is having to

ness.

In

short,

medicine

stands

accused

of

cope

with

challenges

to

its

effectiveness

and

medicalizing social life, reducing feelings, cogni­

efficiency (Cochrane, 1972), and major constraints

tions and behaviour to yet more 'factors' which

on its future funding. Taken together these suggest

need proper management (Arney and Bergen,

a growing challenge to the dominant framework of

1984). On the one hand, this is said to remove

medicine in which illness is conceptualized.

responsibility from autonomous patients by per­ suading them to seek and become dependent on

Reading

medical advice for all aspects of living (Illich,

Armstrong, D. 1983: Political Anatomy ofthe Body: Med­

1978); and on the other hand, the move to empha­ size self-responsibility for health means an add­ itional burden of stigmatization when people 'fail' in their task (Crawford, 1977). A third response to the extension of medicine's purview into the psychosocial world of the patient has been to treat it as neither liberating nor repres­

ical Knowledge in Britain in the Twentieth Century.

Arney, W. R. and Bergen, B. J. 1984: Medicine and the Management ofLiving: Taming the Last Great Beast.

Foucault, M. 1963: The Birth of the Clinic. Illich, I. 1978: Medical Nemesis: the Expropriation of Health.

Starr, P. 1982: The Social Transformation of American Medicine.

sive, but as reflecting another facet of the multi­

DA VID ARMSTRONG

layered relationship between medicine and society. From the significance of medical diseases, such as

mental illness

cancer and

ILLNESS

tuberculosis,

as metaphors in lay

See PSYCHIATRY AND MENTAL

thought (Sontag, 1979), to the impact of organic A redeemer is awaited who will

models of equilibrium on social theory, medical

messtamsm

ideas have fed into the social. The influences in

transform the present order, replacing it with a

the other direction are more subtle, yet more pro­

reign of universal harmony and bliss. This 'messi­

found. These range from the recognition that much

anic' idea is crucial for the cultural complex

of what passes for esoteric and technical knowledge

emerging from Mediterranean history. While mes­

is in fact predicated on lay knowledge (Hughes,

sianism originated in Mesopotamia, it took differ­

1977), to the claim that all medical knowledge em­

ent forms in the Judaic, Christian and Islamic

bodies social representations. Thus the category of

contexts and has taken on new meaning in modern

disease, which medicine reads as a biological phe-

times.

METHODENSTREIT

391

The prophetic books of the Old Testament con­

notice of 'messianic movements' in other peoples,

tain the basic features of the messianic expectation:

such as the 'cargo cult' of Melanesia or the 'land

the centrality of prophecy itself; an active rather

without evil' of the Guarani in South America. The

than contemplative attitude; the perception of pre­

messianic notion has thus been expanded to include

sent conditions as unbearable ('captivity' or 'exile');

beliefs of a transhistorical and transcultural dimen­

a linear vision of history, where present suffering

sion. This more generalized use of the term, how­

looks to the past for harmony and to the future for

ever, has occurred in a discursive context, carried

redemption; the visible and collective nature of that

by travellers, laden with Western memories and

transformation; the extension of its scope towards

expectations.

universal limits, involving all peoples, friend or foe,

Although fundamental, messianism has never

and all nature, savage or domestic, earthly or

entirely dominated the culture of which it is a

cosmic; the affinity between messianism and later

part. Law and tradition, on the one hand, contem­

apocalyptic literature, symbolizing the traumatic

plation and magic, on the other, have always formed

passages from this to the other world order; re­

fundamental counterpoints to the messianic ex­

demption as an extraordinary feat which transcends

pectation. Priests, legislators, merchants and phil­

human capacities in every way; the personal nature

osophers have traditionally been mistrustful of

framed between

prophecy. Even today most social scientists study

divine sovereignty and human unrest; the person­

messianism with a polemical bias, recalling the

of reality's ultimate meaning,

alization of the word and the act of redemption,

catastrophic results that may issue from radical

made real by the coming of the 'Messiah'.

promises of immediate redemption. This kind of

Jewish tradition projects His coming to the end

criticism is as old as messianism itself.

of time, when all nations shall recognize the God of Israel. Christians believe that the Messiah has al­

Reading

ready been amidst us, and continues to dwell among

Cohn, N. 1970:

us through sacramental and charismatic means (see

The Pursuit ofthe Millennium, revised and

expanded edn. S achedina, A. A. 1980:

Islam underlines the prophetic element in this

Islamic Messianism: the Idea ofthe Mahdi in Twelver Shi'ism. Scho1em, G. G. 1961 (1973): Major Trends in Jewish Mysticism, revised edn. Wallis, W. D. 1943: Messiahs: Their Role in Civilization. Wors1ey, P. 1957 (1970): The Trumpet Shall Sound: a Study of 'Cargo' Cults in Melanesia.

tradition, subsuming Jewish and Christian memory

RUBEM Cl:SAR FERNANDES

also CHARISMA ) . Humankind is therefore internally divided between recognition and ignorance, or denial, of His presence, living through a time of transition between His first and second coming, when all division will be overcome.

as part of a revelation that reaches its ultimate point Formally,

the

'dispute over

with and after Muhammad. Universal judgement,

Methodenstreit

at the end of history, is reaffirmed and dramatized

method' dates from Car! Menger's critique of

(Jihad, holy war) between

German historical economics as expounded in

the faithful and those who will not bow to the only

in the present struggles

Modern rationalism challenged transcendence.

Untersuchungen uber die Methode der Sozialwis­ sen-schafien (1883) and Schmoller's review of this book (1883), together with Dilthey's Einleitung in die Geisteswissenschafien that appeared the same year (see Dilthey, 1923). Menger had drawn at­

The religious symbolism was therefore translated

tention in his book to the absence of a systematic

into immanent and supposedly conceptual terms.

methodological appraisal of POLITICAL ECONOMY,

Yet the messianic expectation was not forgotten.

especially in Germany. A major section of his

Rather, it was reinterpreted and integrated into the

work was given over to specific criticisms of

true God. The messianic element common to Islamic culture is particularly developed by the Shi'ite branch.

his

ideologies characteristic of modernity, shaping the

German historical economics, and it is this aspect

historical horizon of 'nations', 'races' and 'social

of the book that has come to characterize the nature of the dispute.

classes'.

Menger's critique and

The planetary expansion of modern culture has

Schmoller's quick response initiated a dispute on

generalized that horizon, which became refracted in

the nature and relation of theoretical and practical

a great variety of local traditions. Travellers, mis­

knowledge in the social sciences that has survived

sionaries,

to this day.

merchants

and anthropologists gave

392

METHODOLOGY

Menger argued in the preface to his critique that

thermore, as later writers pointed out, whereas

contemporary political economy was characterized

Roscher as the founder of the German historical

by a plurality of methods that derived from a failure

school of economics clearly stated his belief in the

to distinguish consistently between the precepts of

existence

theoretical EcoNOMICS and the methods to be

Schmoller at times denied any such economic re­

followed in the practical investigation of economic

gularity. Menger was able to mount a precise epi­

forms. As a consequence, there was a lack of clarity

stemological critique of the manner in which

of

laws

of

economic

development,

and agreement concerning the nature and purpose

'history' and 'economy' combined in the work of

of political economy that was becoming increas­

Schmoller, but no such concise defence of 'histor­

ingly problematic. His treatise sought to correct

ical method' was ever formulated by Schmoller.

this through a systematic critique of the conception

While this can be attributed to a lack of clarity in

that the principles of economics could be developed

Schmoller himself over the nature of historical and

on the basis of a practical study of national econ­

economic method, a logical defence of historical

omies- or, as Wilhelm Roscher had argued in 1843,

method is a formidable task.

that the laws of economics could be revealed

Max Weber avowed himself a member of the

through a study of the formation of economic

'younger historical school' of German economics

systems. Menger drew attention to the fact that

in the early 1890s, but the methodological principle

there was a lack of symmetry between the historical

of VERSTEHEN that he went on to develop in his

method as practised in law, and the method as

writings is more indebted to the principles es­

practised in economics. Exponents of the former

poused by Menger than to any historical under­

were capable of identifying clear principles that

standing of social action. The present lack of any

persistently eluded exponents of the latter such as

detailed account of German economics in the later

Schmoller, Roscher and Karl Knies. In many re­

nineteenth century makes it difficult to appreciate

spects, of course, the lines of his argument recapitu­

the finer aspects of the controversy, but it is pos­

late aspects of methodological debate since the

sible to judge its effects as transmitted through the

beginning of the century, but Menger does not

work of Weber, as well as in the existence of a

situate his argument by reference to French and

translation of Menger's original critique.

English debates on 'inductive' versus 'deductive' political economy, debates associated with the

Reading

names of David Ricardo, Thomas Malthus and

Hasbach, W. 1895: Zur Geschichte des Methodenstreites

Richard Jones. Schmoller in his review rejected the idea that theoretical Nationaliikonomie could in fact aspire to the revelation of general economic principles: 'Economic phenomena are the outcome of individ­ ual economic desires and must therefore be con­ sidered from this point of view,' he stated. This focus on self-interest was necessarily a concrete

in der politischen Okonomie. In

Jahrbuch fiir Gesetz­ gebung, Verwaltung und Volkswirtschafi NF Jg. 19, 465-90, 751-808.

Hutchison, T. W. 1981: Car! Menger on philosophy and method. In

The Politics and Philosophy of Economics. Investigations in the Method of the Social Sciences with Special Reference to Economics.

Menger, C. 1883 (1985):

Schmoller, G. 1883: Zur Methodologie der Staats- und Sozial-Wissenschaften. In

one, identifiable only within the fabric of social

Jahrbuch fiir Gesetzgebung, Verwaltung und Volkswirtschafi NF Jg. 7, 975-94.

activity. Only on this practical, concrete and histor­

KEITH TRIBE

icizing basis could one advance to firm principles This notion, which describes the

which would then permit a degree of deductive

methodology

reasoning on forms. Schmoller further argued that

critical activity directed by scientists toward the

Menger's proposed reform owed much to John

procedures, theories, concepts and/ or findings

Stuart Mill's 'natural scientific logic', hinting at a

produced by scientific research, should not be con­

dimension to the controversy that was to develop in

fused with 'technology', that is, the activity of deal­

the next decade.

ing with the techniques, devices and recipes used

A difficulty in assessing the issues raised by the

by scientific research.

exchanges between Menger and Schmoller is that

Methodology is important for a simple reason: in

the former in no respect resembles our modern

the social and human sciences as well as in the

preconceptions of an abstract economist, while the

natural sciences, it represents an essential (though

latter's 'historical economics' is highly diffuse. Fur-

of course not exclusive) path through which scien-

METHODOLOGY

393

tific progress is brought about. A better under­

long as this point is not realized, many ill-grounded

standing of the world can be gained, in Karl Popper

conclusions can be drawn from inequality measures

fashion, by generating theories and trying to make

(see MEASUREMENT) .

them as compatible as possible with observational

One of the methodological points developed by

data. But it can also be gained by a reflexive critical

Lazarsfeld has become particularly famous: that a

view addressed by the scientist toward his or her

correlation between

own activity. Thus, the special theory of relativity

correspond to no causal influence between

was probably born in part from the failure of the

Several important studies can be mentioned, in

Michelson-Morley

fact, whose impact derives from the fact that they

experiment,

but

also

from

x

andy can be spurious, that is, andy.

Albert Einstein's critical analysis of the notion of

demonstrated

simultaneity.

people

which had been interpreted in a causal fashion.

treated this notion as unproblematic, Einstein

Thus, the post-Weberian controversy on The Prot­

Whereas previously

most

the spuriousness of

x

correlations

noted that it is clear and unambiguous only as

estant Ethic has shown that, while Weber saw a

long as events do not occur on mobiles moving

direct influence of the puritan ethos on the develop­

away from - or towards - one another at a speed

ment of the capitalist spirit, this correlation should

significant with regard to the speed of light. This

also be interpreted as the product of a number of

critical analysis of a familiar notion produced, as is

indirect effects. Writers such as H. Li.ithy and H. R.

well known, a revolution in our representation of

Trevor Raper showed, for instance, that the coun­

the physical world. Among classical sociologists, Max Weber as well

tries which had been receptive to the new faith were also more open to business. Weber himself had

as Emile Durkheim paid great attention to method­

already recognized that the French Huguenots

ology and devoted important writings to this field.

were active in business because other professional

P. Lazarsfeld among modern sociologists insisted

opportunities, notably cultural or political, were

with particular force on the importance of method­

closed to them, officially or in practice.

ology for the development of the social sciences. In

As in the case of the notion of simultaneity in

several publications and notably in the volume he

physics, methodology can often take the form of a

co-edited with M. Rosenberg, The Language of

critical analysis of notions currently used in the

Social Research, he tried to illustrate and institu­

social sciences. Thus Durkheim was not satisfied

tionalize methodology. Unfortunately, the very

by the notion of'primitive mentality' used by Levy­

notion of methodology is often misunderstood:

Bruhl to explain the beliefs in magic, probably

this is readily confirmed by the fact that in many

because he detected in it an ad hoc and circular

places methodology courses are actually technology

character. At any rate, he developed a theory of

courses.

magic of his own (close to Weber's) where he tried

A few examples will show that methodology can

to show that magic could be explained by good

effectively have an important impact in the social

reasons, without supposing that the 'primitive'

sciences. Thus, the study of socioeconomic devel­

followed logical rules and mental procedures differ­

opment took a new course when the meaning of

ent from ours. This criticism can be generalized:

aggregate measures of the so-called nationalproduct

many contemporary authors are critical towards

was criticized and clarified and when it was realized

irrational, 'over-socialized' views of men, of social

that the GNP of a country would increase tremen­

actors and of social behaviour and have proposed,

dously, given the way this quantity is defined, if

following in this respect the Weberian tradition, to

each citizen would clean his neighbour's car rather

interpret behaviour and beliefs as inspired by

than his own. In the same way, it has been shown

reasons, at least so long as no proof to the contrary

that income inequality can be measured in several

can be given. Actually, the importance of Weber's

ways and that there is no guarantee that all the

sociology of religion is above all methodological: its

measures will lead to the same conclusion. While

main innovation lies in the fact that it shows by

stick A will always be longer than stick B, inde­

many examples that even beliefs that are apparently

pendently of the way the two sticks are measured,

the most strange can be explained as inspired by

incomes can appear as more unequally distributed in

reasons. Thus, the Roman civil servants had good

society A than in society B when a given index is

reasons for being attracted by the cult of Mithra: it

used, while they appear as more equally distributed

included hierarchical values close to the values of

in A with regard to another acceptable index. As

the Roman administration itself.

394

MIDDLE CLASS

Methodology can take the form of a systematic

tions'. These range from professionals, such as

criticism of the notions, concepts, inferences from

doctors, accountants, lawyers, academics and so

statistical or qualitative data, or models of behav­

on, to people in relatively routine and less skilled

iour proposed by the social sciences. It can also

clerical jobs. Sometimes middle class is taken to

discuss the very nature of explanation in the

refer to all those with 'non-manual' occupations;

social sciences. Thus, to some writers, the social

at other times owners of factories and the self­

sciences should consider themselves as interpret­

employed are excluded.

ive rather than explanatory (see VERSTEHEN). To

Whichever definition is used there is no doubt

others, building or generating models is a major

that

activity of the social as well as of the natural

numbers and as a proportion of the employed

such

groups

have increased in

absolute

sciences and defines the very notion of explan­

population in all the major Western countries. In

ation.

Britain, for example, the proportion of non-manual

See also PHILOSOPHY OF SCIENCE; PHILOSOPHY OF SOCIAL SCIENCE.

per cent in 1981. This increase has been particularly

employees has risen from 19 per cent in 1911 to 47 marked among female employees. By 1981 approxi­

Reading

mately three-fifths of female workers, but only

Boudon, R. 1979: Generating models as a research strat­ egy. In Q}talitative

and Q}tantitative Social Research, ed.

R. Merton et al. --

1998: Social mechanisms without black boxes. In

Social Mechanisms: an Analytical Approach to Social Thoery, ed. P. Hedstrom and R. Swedberg. Durkheim, E. 1895 (1982): Les Ri!gles de la mithode socio­ logique. Lazarsfeld, P. and Rosenberg, M. 1955: The Language of Social Research. Pawson, R. 1989: A Measure for Measures.

about two-fifths of male workers, had non-manual jobs. However, there are marked differences in the gender composition of different non-manual jobs. Most professional workers are male; most lower level white-collar workers are female. There are many theories which attempt to place such a class or classes within the overall class system of advanced

capitalist societies. These can be

divided between Marxist and Weberian theories. In the former it is argued that it is the relations of

Pellicani, L. 1988: Weber and the myth of Calvinism.

production which generate different social classes,

Telos no. 75 (Spring); 57-85. (1968): Gesammelte Aufiiitze zur Wis­ senschaftslehre.

while in the latter it is maintained that classes are

Weber, M. 1922

RAYMOND BOUDON

produced through the different ways in which rewards from different occupations are acquired and distributed through the market. Marx's own views were contradictory. On the

middle class

There has been a longstanding

one hand, he argued that there would be growing

series of controversies about the place of the middle

polarization between the 'two great hostile camps'

class in the overall class system of advanced indus­

of the bourgeois and the working classes with the

trial societies. The controversies include whether

result that the middle classes would be squeezed

there is one middle class or a number; whether such

out and forced to join one or other of the hostile

a CLASS (or classes) is in any sense in the 'middle' of

camps (see also BouRGEOISIE). On the other hand,

society; whether the position of the class(es) is

he maintained that the middle class will in fact grow

being changed through a process of 'proletarian­

in size as a smaller proportion of the workforce

ization'; and whether such a class(es) will develop

would need to play a direct role in the production

forms of politics and consciousness aligned to either

of material commodities- in particular there will be

the WoRKING CLASS or the capitalist class or will be

increased

relatively independent of both.

workers'.

importance

of

'commercial

wage­

The term 'middle class' appears to have been

Many Marxists have argued however that such

used first by the Reverend Thomas Gisborne in

office workers are a fundamentally unstable group­

1785, to refer to the propertied and entrepreneurial

ing. Indeed some writers have asserted that there is

class located between landowners, on the one hand,

no middle class as such, merely a number of inter­

and agricultural and urban labourers, on the other.

mediate strata. As a result of the insecurity of em­

This usage remained common during the nine­

ployment and the 'deskilling' of their labour, with

teenth century, but in this century the term 'middle

office enlargement and mechanization, such strata

class' has come to refer to 'white-collar occupa-

will experience the 'proletarianization' of their class

MIDDLE CLASS

395

position (Braverman, 1974). And it is argued that

women are increasingly obtaining the educational

over time the middle strata will come to adopt

credentials which are necessary for promotion.

proletarian forms of class consciousness and polit­

Finally,

ics, including union organization and voting for

workers are willing to join trade unions which

left-wing parties.

it does seem that many white-collar

often take up 'proletarian' positions on issues.

Other Marxist writers have argued by contrast

Indeed it is white-collar workers in the public

that there is no general process of proletarianiza­

sector who have been the most militant in the

tion. Poulantzas (1974), for example, maintains that

1980s in many European countries.

there is a substantial 'new petty bourgeoisie' deter­

In recent years, researchers have been emphasiz­

mined not only by economic but also by political

ing a number of points. First, the distinction be­

and ideological structures, and which has a class

tween Marxist and Weberian theories became

position different from both capital and labour.

much less clear-cut in the 1980s. This is because,

Johnson (1972) has argued that certain professions

on the one hand, Marxist writers now analyse in

will not be proletarianized where their power rests

much more detail labour market differences, par­

on forms of knowledge which cannot be easily ex­

ticularly those resulting from the differential pos­

pressed and codified in technical terms. In the

session of educational credentials. And, on the

USA Ehrenreich and Ehrenreich (1979) maintain

other hand, Weberians have come to appreciate

that there is a distinctive 'professional-managerial

that lying behind occupational differences in the

class' based on the possession of a college degree,

labour market are a wide array of structural trans­

who function to reproduce capitalist culture and

formations of production. In particular, the inter­

relations. This new class has given rise to new

nationalization of production means that there are

forms of politics which disrupt previously struc­

large differences in the relative size and importance

tured politics between capital and labour. Finally,

of the middle classes between different societies,

Wright (1985) maintains that not all positions in the

particularly depending on where the headquarters

division of labour are in fact to be seen as class

of the major companies are located.

positions as such - they are rather to be viewed as 'contradictory class-positions'. Weberian writers have developed a number of

Second, an example of this coming together of Marxist and Weberian approaches can be seen in the recent literature on the 'service class'. This

diverse arguments partly in opposition to Marxist

notion was developed by the Austro-Marxist Karl

claims. Lockwood (1958), for example, maintained

Renner who argued that as capitalism expands its

that clerical workers were not being proletarianized

scale of operations, capitalists increasingly employ

because they occupied a work situation which still

people to carry out those functions that they can no

gave them a superior status compared with manual

longer perform personally. This class serves capital,

workers. Giddens (1973) maintained that dichot­

either directly within capitalist organizations or

omous theories of social class must fail because they

indirectly within professions and the state. Gold­

are unable to recognize how the market capacity of

thorpe (1980) has developed this notion, both in

educational and technical qualifications generates

showing its relatively heterogeneous origins, and in

middle-class occupations which possess consider­

emphasizing the importance of career and trust to

able economic advantages over manual occupa­

the service class. More recently, research in Britain

tions. Other writers have claimed that there is no

has suggested that new kinds of service-class pos­

such single entity as the middle class. Rather there is

itions are being developed which do not involve

a fragmentary class system made up of various

lifetime service with a single organization. The

social groups which possess different images and

development of a so-called 'yuppie' culture has

conceptions of what that system is like. Indeed it is

been attributed to the increased numbers of people

further claimed that investigating people's work

possessing high-level professional and managerial

experiences over their lifetime shows that there is

skills which permit them to move between organiza­

enormous diversity. Many male clerical workers,

tions.

for example, are not to be viewed as 'proletarian­

Finally, it has been strongly argued that there

ized' because they experience career mobility and

is no simple 'proletariat' whose interests can be

become managers. It is female white-collar workers

unproblematically established and to which some

who are much more likely to be in proletarianized

sectors of the middle class may be moving. Whet­

jobs, although there is some evidence that young

her 'proletarian' politics emerges depends on a

396

MIGRATION

calculation by workers as to whether they would

American society. In Europe, since the middle of

benefit from such politics. Furthermore, it is sug­

this century the migratory trend has been reversed,

gested that contemporary society is much affected

with the original countries of emigration in indus­

by the growth of a powerful service class which is

trial Europe first drawing in workers, then their

changing the contours of social and political life and

families, from southern Europe, and then from

in particular affecting the 'proletariat' and its ability

Africa, from the West Indies, south-east Asia and

to develop its own distinctive forms of politics.

Indonesia, and from the old colonies. When the

People in modern societies are not all 'middle

migratory flows began to stabilize and the popula­

class' but as the middle class changes so it is having

tion to settle, the European economies entered into

profound effects on everyone else.

troubled times, during the 1970s, and economic, demographic, cultural and political studies of im­ migration expanded.

Reading Abercrombie, N. and Urry, J. 1983: Capital, Labour and

In the 1920s, the sociologists of the Chicago school (see CHICAGO SOCIOLOGY) dealt with immi­

the Middle Classes.

Bourdieu, P. 1979 (1984): Distinction.

gration in terms of urban integration, of change

Hyman, R. and Price, R. eds 1983: The New Working

from the traditional to the modern way of life.

Class? White Collar Workers and their Organizations: a

How do the migrant communities coming from

Reader.

the rural South, the black community among

JOHN URRY

others, or from various parts of the world, integrate into the town in a spatial way and into modernity

migration

Movements

of

peoples from one

from a cultural viewpoint? Robert Park and Ernest

place to another are extremely old phenomena.

Burgess studied the trajectories of the various

Invasions, conquests, exoduses, seasonal moves

groups in the urban space by isolating cycles and

and definitive settlements on other territories and

regular processes which range from segregation to

in different societies punctuate human history.

integration, through a transitional process of rela­

Today, there are few societies that have not been

tionships of progressive reciprocity with the host

shaped by the integration of groups and cultures

society. These studies prove that the melting-pot

which have been aggregating for ages. The Euro­

pattern, the mixing in American culture, allows

pean societies - sixteenth-century Spain, and then

of very numerous exceptions: some immigrants

the industrial societies, with the notable exception

happen to fail in their settlement plans and go

of France- saw early important migrations towards

back to their mother country; others cannot manage

the 'virgin lands' of America, Australia and of the

to put an end to segregation and to the obstacle of

colonial empires. Those migratory movements to

PREJUDICE; others even remain in a closed commu­

new lands were explained by the same reasons that

nity space; and finally some merge into the modern

apply today: the overpopulation and destitution

town. With the passing of years, the signs of urban

which prevailed in certain regions of Europe, such

segregation in the American cities have hardly

as Ireland, Scotland or the south of Italy, and the

changed, and segregation of the various groups,

disorganization of the traditional economies due to

mainly the black and white groups, is still the

a widening capitalist market, mainly in Britain.

standard rule.

Occasionally, emigrations result from political or

Immigration can be viewed as a process of cul­

religious causes: the minorities, oppressed on polit­

tural transformation, as an ordeal suffered by the

ical, ethnic or religious grounds, fly from the

actor who sees the norms, values and identifications

threatening regimes. To Jews, Protestant minor­

of his or her group of origin moving away, without

ities, Armenians, political refugees and others, the

adopting for all that the patterns of their host soci­

new countries are symbols of freedom as well as of

ety and without feeling accepted. The famous study

affluence.

of Thomas and Znaniecki, The Polish Peasant

The sociology of migrations is essentially de­

(1918), of the life stories of Polish immigrants

voted to immigration, to the process of integration

who came to Chicago at the beginning of the cen­

and assimilation of a foreign community in a host

tury describes the mechanisms of 'acculturation'

society. Not unexpectedly, the United States is the

and of cultural transformation undergone by the

country in which this sociology first developed,

migrant who has to change from rural to urban

since immigration coincided with the very birth of

society, from a community structured by its reli-

MILITARY

397

gious values to the diversity of the town, from

fight against racism. On the other hand, they

recognition to anonymity. The violent breaking of

may fight for the recognition and respect of their

traditional ties, isolation and the normative uncer­

cultural identities, and, instead of stressing their

tainties, may turn immigration into an experience

similarity

of social disorganization leading to the deviant and

their differences and ETHNICITY, an 'ethnicity'

with

the

host

society,

emphasize

marginal behaviours often associated with immi­

thanks to which they can be acknowledged and

gration.

become political actors. Eventually, the groups

But the migrant is not always alone, since he or

which are economically integrated and yet keep

she may also belong to a community which still has

community links within an ethnic business enter­

coherence in its new place, is able to welcome new

prise or a culture may form lobbies, notably in the

arrivals, to offer them resources and a sense of

United States.

security and continuity in identity, and to make

An old land of emigration, Western Europe, is

the cultural change ordeal easier for them. In fact,

now a land of immigration owing to the imbalance

the total assimilation of a group to the host culture

between rich countries and poor countries; thus

as early as the second or third generation is some­

the European countries become more and more

thing rare, and many societies appear as medleys of

multiethnic. At a time when economies and culture

communities whose relationships of reciprocity

transcend

transform little by little the culture of the host

movements share in a notable transformation of

their

national

limits,

the

migratory

society. Immigration must be viewed as a process

the European pattern in which the nation-state

of progressive assimilation during which the iden­

defined a culture, a territory and a political frame­

tities of the actors who are present are changing and

work. Consequently, the 'immigrant problem' is

mixing without ever totally merging and there is no

often a problem of the host societies.

lack of historical studies revealing the dynamic and

Reading

enriching nature of all this cultural 'work'. However, the assimilation process does not always proceed in a more or less harmonious way. Immigrant groups, even those that are today the best assimilated and integrated, have almost all encoun­ tered the hostility of racist or xenophobic move­ ments, with varying degrees of violence depending on economic and political circumstances. In times of

Brubaker, W. R. ed. 1989: Immigration and the Politics of

Citizenship in Europe and North America. Castles, S. and Kosack, G. 1973: Immigrant Workers and

Class S tructure in Western Europe. Duchac, R. 1974: La sociologie des migrations aux Etats-

Unis. Eisenstadt, S. N. 1955: The Absorption ofImmigrants. Miles, R. 1982: Racism and Migrant Labour.

economic difficulties, immigrants may be seen as

Myrdal, G. 1944 (1962): An American Dilemma.

dangerous economic competitors who take jobs

Noiriel, G. 1988 (1996) The French Melting Pot.

away from workers in the host country, and insecure

Park, R. E. and Burgess, R. W. 1929: Introduction to the

or downwardly mobile groups use them as scape­ goats for their own difficulties, blaming them for threatening the unity of the country, or of the 'race'. The policies of the state vary noticeably with these circumstances, ranging from attempts to at­ tract labour or increase population, to severe rest­ riction

of

immigration

under

pressure

Science ofSociology. Rose, A. M. 1970: Distance of migration and socioeco­ nomic status of migrant. In Readings in the Sociology of

Migration, ed. C. J. Jansen. Thomas, W. I. and Znaniecki, F. 1918 (1958): The Polish

Peasant in Europe and America.

FRAN<;:OIS DUBET

from

xenophobic groups. In the United States since the Traditionally, the study of the military

end of the last century, and in Europe in recent years,

military

immigrant communities have tried to increase their

has focused on three main themes; firstly, the

capacity for political negotiation and social partici­

status of the military as a complex organization;

pation. Generally, three strategies appear among

secondly, its role as a profession; and finally, its

the immigrant movements. The immigrants can

relationship with the parent society. This division

join existing social movements and so take part in

is based on well-established sociological concepts

the political life of the country, a strategy often

and each area reflects facets of mainstream theory.

chosen by immigrant workers who participate in

Today, however, increasing interest is shown in the

trade unionism. Or they may identify with demo­

analysis of the military as a social institution with a

cratic movements which champion civil rights and

distinctive culture.

398

MODE OF PRODUCTION

The review of the military as an organization

culture in terms of its symbols and rituals may be

recognizes that armed forces are a highly bureau­

acceptable to society at large, but the more critical

cratized structure, the basic characteristics of which

features of its role models or values are expected to

reflect the ideal-type BUREAUCRACY as this was con­

coincide with those of the parent society. Such a

ceptualized by Max Weber. Three basic models are

coincidence then justifies the maintenance of the

identified: the mass army recruited through con­

military as a specialized institution tasked with the

scription; the citizen army in which military service

management of violence through the ordered appli­

and civic responsibilities coincide, and the all­

cation of force.

volunteer force. Yet, despite differences in insti­ tutional format, common features emphasize the

Reading

high degree of centralized authority and acknow­

Finer, S. E. 1962:

ledge the importance of stability, continuity and homogeneity of values. As a bureaucracy, the military employs within its hierarchical structure a large number of technical specialists. These are, essentially, professionals. Their activities exhibit identifying characteristics of the professional model: expertise, corporateness and responsibility. Janowitz ( 1960), in analysing the

The Man on Horseback: the Role of the Military in Politics. Harries-Jenkins, G. 1977: The Army in Victorian Society. Janowitz, M. 1960. The Professional Soldier. Kuh1mann, J. and Callaghan J. eds 2000: Military and Society in Twenty-first Century Europe. Moskos, C. C. and Wood F. R. eds 1988: The Military: More Than Just a Job. Sega1, D. R. and Sinaiko H. W. eds 1986: Life in the Rank and File.

military as a social system, stresses, however, that the details of these characteristics change over time.

mobility, social

See SociAL MOBILITY

The military profession is not a static concept but a dynamic institution which adapts to changing con­

mode of production

ditions in the parent society. Indeed, the military

eth-century understandings of MARXISM, history

today is moving from an organizational format that

can be periodized into different modes of produc­

According to most twenti­

is predominantly institutional to one that is becom­

tion, each with its own internal dialectic of class

ing increasingly occupational (Moskos, 1988). The

struggle. This 'materialist conception' of history

former is legitimated in terms of shared values and

was outlined in the German Ideology (Marx and

norms, that is, a purpose transcending individual

Engels,

self-interest in favour of a presumed higher good.

works by both Marx and Engels, although they

1845-6) and developed in subsequent

Members are seen to be following a calling iden­

did not always use the concept of a mode of pro­

tified with concepts such as duty, honour, country

duction in this way. In the twentieth century, it

(Harries-Jenkins, 1977). The occupational model,

became the central concept of what has become

in contrast, is identified with the pragmatic object­

known as 'dialectical materialism', adherence to

ives of the marketplace. Service in the military is

some version of which continues to distinguish

then just another job.

Marxist from other forms of social thought (see

Notwithstanding

the

implications

of

such

MAT ERIALISM).

changes, the relationship of the military to its

According to this view of history, the fundamen­

parent society is largely unaltered. Endowed with

tal difference between types of society occurs in the

a near monopoly of arms, possessing a sophisticated

way production takes place. Any society's 'mode of

communications network and constructed as a

production' consists of two elements: its forces and

highly purposive organization, the military con­

its relations of production. The forces of produc­

tinues to exercise a dominant role in contemporary

tion refer to society's productive capabilities, not

society. Given the mood, motivation and dispos­

just in a technological but also in a social sense, and

ition, the military may intervene in the domain of

include not only material means of production but

the civil power. More usually it continues to be a

also human abilities both physical and conceptual.

major user of scarce resources thereby inviting crit­

The relations of production refer to the social rela­

ical discussion of its behaviour as a social institu­

tions under which production is organized: how

tion. This recognizes the extent to which armed

resources and labour are allocated, how the labour

forces are expected to show a long-term transform­

process is organized and how products are distrib­

ation towards convergence with civilian structures

uted. It is the specific combination of both forces

and norms. Some features of a distinctive military

and relations of production which defines the pat-

MODE OF PRODUCTION

399

tern of class relations in any society and thus its

over the extent and control of the surplus. This

internal dynamic.

provides the internal dynamic of modes of produc­

Within Marxism, classes are defined by their

tion, an internal dynamic which eventually leads to

relation to the process of production, in particular

revolution as a previously subordinate class over­

to the production of a surplus. A surplus is pro­

throws existing relations of production to set itself

duced in any mode of production in which not all

up as the new ruling class based on a new mode of

available labour time is needed to provide for the

production more appropriate to the further devel­

direct consumption needs of the population, and

opment of the forces of production. Thus, for

some members of society work more hours than

example, the growing but subordinate capitalist

those needed to produce their own means of sub­

class overthrew feudal relations of production

sistence. If the producers of the surplus and those

when their restrictions on the labour market held

who control its use are distinct, such societies will

back the development of more efficient capitalist

have at least two classes. The ruling class of any

methods of surplus extraction.

mode of production is the one that has the control

The above rather deterministic account of the

of the surplus, consuming some of it but also using

materialistic conception of history is one that

it in other ways to enhance its own power and to

became general currency only in the twentieth

further the process of surplus extraction or Ex­

century.

PLOITATION.

national organization of social-democratic parties

It is the specific way in which the surplus is extracted by the ruling class that defines a particular

which

1914,

The

Second International, the inter­

collapsed

into

nationalistic

splinters

in

promulgated an official Marxism which,

mode of production. For example, under capitalism

influenced by Engels's interpretations, tended to­

the bourgeoisie's ownership of the means of pro­

wards economism. According to this official view,

duction enables it to employ workers for less than

the mode of production formed an economic 'base'

the value of their product and thus extract a surplus

which

in the form of profit. This method of surplus ex­

aspects of society (see also

traction is thus purely economic, grounded in the

TURE).

apparently fair rules of exchange. In other modes of

International or Comintern, founded to unite the

determined

all

other

'superstructural'

BASE AND SUPERSTRUC­

This view was also adopted by the Third

production, such as feudalism, the method of sur­

nascent communist parties after the Russian revo­

plus extraction, initially direct labour on the lord's

lution, and restated by Stalin

land, later the payment of rent, is due to customary

rect understanding of Marx, thus becoming the

(1938)

to be the cor­

right backed up where necessary by the use of force.

foundation of'Diamat' (for dialectical materialism).

All class, or surplus producing, modes of pro­

Although there is evidence in Marx's writings to

duction hold within them the seeds of their own

support this particular reading of the historical

destruction. Particular relations of production will

process, his own usage of the term 'mode of pro­

be appropriate to a particular stage of development

duction' was more varied and his account of history

of the forces of production. A mode of production

less rigid.

will be relatively stable when its forces and relations

There are a number of problems with the official

other,

version. First it can be criticized for technological

allowing for their mutual reproduction. However,

determinism. Although mediated through a consid­

of production

are

appropriate to

each

through the existence of a surplus and thus the

eration of the relations of production and the

potential for change, the forces of production will

agency of class, the development of the forces of

all modes of production, however

production alone form the ultimate driving force of

slowly. Ultimately a point will be reached at

history and it appears that revolution is not only

develop in

which existing relations of production become a

possible but inevitable at the appropriate stage of

fetter on the further expansion of the forces of

their development. Early twentieth-century his­

production and the mode of production will be

tory, with the success of revolution in backward

overthrown to give way to a new one under which

Russia yet the failure of revolution in advanced

the forces of production can continue to develop. The process by which this takes place is class

Germany, would appear to throw doubt on this; although events in the Soviet Union nearer the end

struggle. Classes, defined in the Marxist sense to

of the century could be interpreted to give support

exist only when there is a surplus to be fought over,

to the view that revolution in a backward country

are inherently antagonistic and engage in struggle

was ultimately doomed to failure.

400

MODEL

But more fundamentally, the unpredictability of

appropriation of nature' (relations of production)

the revolutionary process has led to a questioning of

and those of 'expropriation of the product' (prop­

the whole role of the economic, that is, the relations

erty relations and those of distribution). Thus in

and forces of production, in the above account. For

this formulation, production is hypostasized to

it has not appeared possible to map the process of

consist only of relations with nature, while the

class struggle on to changes in the mode of produc­

scope for social relations is found in the mode of

tion in such a clear-cut manner as the base/ super­

expropriation of the product alone, the relations of

structure analogy would imply. In particular it

property and distribution. But this, according to

would seem that the role of consciousness has at

their critics, is to miss Marx's fundamental insight

times been crucial and that the apparently 'super­

that not only are relations of distribution socially

structural' factors of ideology and politics can affect

specific, but that the labour process itself forms the

the economic to the extent of bringing about or

core of the social relations of the capitalist mode of

preventing a transformation of the mode of produc­

production, and indeed, in a different form, of any

tion.

other mode of production.

A highly influential attempt to grapple with this problem was made in the 1960s by the French structuralist

Marxists,

Althusser

and

Balibar

(1970), who tried to find a way to retain the cer­ trality of the concept of a mode of production, while dispensing with the crude base/ superstructure model. In their view a 'social formation' is repro­ duced at a number of different levels: ideological and political as well as economic. They replaced the

Reading Althusser, L. and Balibar, E. 1970: Reading 'Capital'. Banaji, J. 1977: Modes of production in a materialist conception of history. Capital and Class 2. Bettelheim, C. 1978: Class struggles in the USSR. Brenner, R. 1977: The origins of capitalist development: a critique of neo-Smithian Marxism. New Left Review

104. Clarke, S. 1980: Althusserian Marxism. In One-Dimen­

notion of determination with one of structural caus­

sional Marxism: Althusser and the Politics of Culture.

ality between levels in which the non-economic

Cohen G. A. 1978: Karl Marx's Theory of History: a

levels are also necessary to the reproduction of the whole 'social formation' including its mode of pro­

Defence. Colletti, L. 1972: From Rousseau to Lenin.

duction. However, within such an interdependent

SUSAN F. HIMMELWElT

structured totality, the economic sets limits within which the other levels can be only 'relatively au­

model

tonomous' because they have to function in ways

or a representation, normally by analogy (but some­

An interpretation of a formal system and/

which reproduce the mode of production. Revolu­

times by metaphor or even metonymy), of one thing

tion occurs when this process becomes 'overdeter­

by something else (for instance for heuristic, ex­

mined'; contradictions between the levels, rather

planatory or test purposes). The century opened

than within the economic alone, providing the

with a blistering attack by Pierre Duhem (1906) on

motor of change.

the mechanical models (and 'broad but shallow',

But this formulation has been criticized for miss­

pictorializing minds) of English physicists such as

ing the dialectical element in Marx's materialist

James Clark Maxwell, Lord Kelvin and Oliver

conception of history by making too much of a

Lodge, in support of his own Cartesian conception

conceptual separation between the mode of produc­

of science. Theory should bind together experi­

tion (the economic level) and the (noneconomic)

mental laws, but any model associated with the

conditions of its reproduction (Clarke, 1980).

(partially) interpreted axiom system is logically

Making the levels relatively 'autonomous' could

and epistemologically quite redundant. Agreeing

not resolve the problem of economic determinism,

with Duhem's position that a theory consisted in a

because all other levels remained constrained to a

deductively organized structure of empirical laws,

privileged economic one, and neither did it grasp

Norman Campbell nevertheless argued, in his

the Marxist idea of the dialectic as consisting of

Physics, the Elements (1920), that to be intellectually

interconnected elements, because the levels were

satisfying or capable of growth, a theory must also

disconnected.

involve a (non-deductive) relation of analogy with

In Althusser and Balibar's notion of the eco­

some known field of phenomena. Thus, on Camp­

nomic level, the mode of production was defined

bell's view, it is not merely the consideration that

to consist of two sets of relations, those of 'the real

Boyle's law, Charles's law and Graham's law were

MODERNISM AND POSTMODERNISM

401

all deductive consequences of the kinetic theory of

singly connected, multiply connected and semi­

gases, but the corpuscularian model associated with

connected paramorphs respectively, as exempli­

this theory - in virtue of which gas molecules are

fied by the kinetic,

imagined to be, in certain respects (the positive

theories. Thus Darwin worked the theory of do­

Darwinian and Freudian

analogy), like billiard balls bouncing off each other

mestic selection and Malthus's theory of population

and exchanging their momentum by impact -

together with the facts of natural variation into a

which secures our intellectual assent to it. In the

novel theory of a new kind of process: natural

theory, the respect in which gas molecules are

selection. Harre has argued that multiply connected

unlike billiard balls, that is colour, size (the negative

paramorphs must lead to the postulation of new

analogy), are just ignored; while the respects in

kinds of entities or processes. But imaginative

which we do not know whether or not gas molecules

model-building, so essential in science, is always

are like billiard balls (the neutral analogy) are used

subject to rigorous empirical test.

as a source of 'surplus (or unbound) meaning' to suggest ways in which the theory can be refined. In the positivism that characterized PHILOSOPHY OF SCIENCE until the late 1960s, Duhem's approach

was triumphant. Moreover there were substantial difficulties with Campbell's own position. Thus Braithwaite argued that the intellectually satisfying nature of models could not justify the choice of any particular one. Moreover the implicit notion of explanation - as a reduction of the strange or un­ known to the familiar - is suspect. For scientific

Reading Bhaskar, R. 1975 (1978): A Realist Theory ofScience, 2nd edn, esp. eh. 3, section 2. Campbell, N. R. 1953: What is Science? Duhem, P. 1906 (1962): The Aim and Structure ofPhysical

Theory. Harre, R. 1970: The Principles of Scientific Thinking, esp. eh. 2. Hesse, M. B. 1966: Models and Analogies in Science. Losee, J. 1980: A Historical Introduction to the Philosophy

ofScience, esp. eh. 9.

revolutions may involve transformations in our

ROY BHASKAR

conception of what is plausible. At the core of these problems lies Campbell's continuing empir­

modernism

ical REALISM and deductivism, and in particular

ism, as a general term in cultural history, denotes

and

postmodernism

his unwillingness to admit models, as Max Black,

a richly varied set of aesthetic breaks with the

Modern­

Mary Hesse, Rom Harre and Roy Bhaskar have

European realist tradition from the mid-nineteenth

urged, as possible or hypothetical descriptions of

century onwards. Realism is premised on an iden­

an unknown but knowable reality, and in conse­

tity between the work of art and the external nature

quence to see science as essentially developing.

or society with which it deals, an identity which is

Thus Bhaskar's transcendental realism sees dedu­

secretly guaranteed by the metaphor of the mirror

cibility as neither necessary nor sufficient for ex­

which lies at the very core of realist AESTHETICS.

planation and allows that in the scientific process

The realist artwork offers modestly to 'reflect' the

even the positive analogy may be overturned.

reality which is set before it, neither adding any­

Any model of a subject possesses a source (which

thing to nor subtracting anything from it. The

may itself be a model). Models may be convention­

metaphor of 'mirroring' seeks to guarantee the ob­

ally divided into those in which the subject is the

jectivity and impersonality of the work, avoiding

same as the source, the homoeomorphs, and those

the potential distortions of personal caprice or class

in which it is different, the paramorphs. A doll is a

bias on the author's part.

a baby. Homoeo­

Modernist artists, from a whole variety of pos­

morphs may be classified into scale models, class

itions, rejected these basic realist tenets. Reflection­

representatives, idealizations and abstractions. But

ist aesthetics, they argued, were unacceptably

it is clearly paramorphic model-building, that is the

passive, reducing the work of art to an empty echo

construction of a model utilizing antecedently

or 'ghost' of more fundamental social processes,

available cognitive resources (Bachelard's 'scientific

bleeding it dry of any distinctive substance of its

model of a baby, modelled

on

loans') for an unknown subject (whose reality can

own. That substance, in their view, resided not in

be eventually empirically ascertained), which is

the work's content, which necessarily came to it

most important in creative, knowledge-extending

from elsewhere (history, nature, psychology), but

science.

Such models may be based on one,

in its form, in its stylistic or technical reworkings of

more than one or just aspects of a source, that is

its raw materials. Form is thus the central term of

402

MODERNISM AND POSTMODERNISM

modernist aesthetics - with Russian FoRMALISM,

the pitiless rigour of its 'functionalism'. Such is the

appropriately, being one of its major schools - and

aesthetic logic of the modernist architecture of Le

it is the practical and theoretical emphasis on form

Corbusier and the International Style or of Waiter

which guarantees the 'autonomy' of the artwork,

Gropius and his Bauhaus. Alternatively, the mod­

that irreducibly aesthetic dimension which pre­

ernist artist can look for forces of dynamism already

vents it from being mere historical document (real­

at work within society and align himself or herself

ist novel) or emotional expression (romantic lyric

with them in an attempt to blast away the stifling

poem).

cobwebs of the cultural and political past. Such is

But as soon as we start trying to date the origins

the project of Italian and Russian futurism, which

of the modernist 'turn to form', we see that this is

celebrates the vast energies of contemporary sci­

no simple internal debate in aesthetic theory but

ence and production: ocean liners, aeroplanes,

itself a complex 'reflection' of profound social anx­

motor cars; factories and skyscapers; machine

ieties (see also SociOLOGY OF ART) . If Charles Bau­

guns and tanks. Such prodigious 'forces of produc­

delaire and Gustave Flaubert are taken as the

tion', wielded by the new, dynamic breed of

pioneers, then the origins of modernism can be

modern men and women that urban life was gener­

assigned (as they often have been by Marxist critics)

ating, would blast apart the claustrophobic social

to the politically bloody year of 1848; the brutal

'relations of production' which fettered them in

suppression of the revolutions of that year is seen

bourgeois society. Such an aesthetics, clearly, at

as throwing the would-be universalism of classical

once implies a revolutionary politics, but futurism

or realist writing into terminal crisis. Alternatively

(in the person ofFilippo Marinetti) could serve the

one can hunt for origins in movements rather than

cause of fascist counter-revolution as enthusiastic­

individuals, and see modernism as only truly get­

ally as it did (through Vladimir Mayakovsky and

ting under way with the accelerating series of avant­

others) the Bolshevik socialist project.

garde experimentalisms from the 1880s onwards:

If, with futurism and International Style archi­

naturalism, symbolism, cubism, expressionism, fu­

tecture, you can judge the present to be 'inauthen­

turism, surrealism, constructivism, and others. The

tic' in the name of the future, so too can you in the

social factors which form the matrix of this great

name of the deep past. Contemporary history, for

carnival of aesthetic experiments would then in­

this other wing of modernism, is nightmarish in its

clude the rise of mass culture, working-class mili­

philistine rationalism and crass mass culture; and

tancy and revolution, feminist political agitation,

against such a degraded present the work of art

the new technologies of the second industrial revo­

must, in both theme and form, reactivate the forces

lution, imperialist war between 1914 and 1918, and

of memory. This project takes many varying specific

- bringing all these to an intense experiential focus

forms. The work may appeal to a personal past, a

- the dynamism and alienations of life in the great

Proustian temps perdu or lost wholeness, by which to

European capitals: Paris, London, Berlin, Vienna,

condemn a deracinated adult present; or it may, as

Petersburg.

with the representations of medieval Gothic cath­

'History is a nightmare from which I am trying to

edrals in some of the great texts of the period,

awake,' says Stephen Dedalus in James Joyce's

hark back to a lost cultural past, an epoch of

Ulysses (dating from 1922). For most modernisms,

unified sensibility and 'organic community' or

contemporary history is in one way or another

Gemeinschafi, before the 'fall' into bourgeois indi­

nightmarish or (in another key category of modern­

vidualism. Alternatively, little pockets of'memory',

ist aesthetics) 'inauthentic', and the work of art

of authentic being, may still residually exist in the

seeks to 'awake from' it into a more authentic or

capitalist present: in geographically remote corners

even utopian mode of being. Yet these general

of the earth, in neglected dimensions of our phys­

emphases can be fleshed out in detail in violently

ical experience, or in a Jungian, myth-informed

contradictory ways. History may be seen as bogged

collective unconsciousness which the modernist

down by the dead hand of tradition, by a social and

work, by virtue of its dislocations of form, may

aesthetic conservatism which weighs like a night­

tap into.

mare on the brains of the living. The modernist

Dislocated, perceptible form, then, may enact

work must then, by a huge effort of technological

both the dynamism of the future and the unsettling

imagination, lift itself out of this ruck of dead,

return of the archaic past, but perceptible form also

inauthentic past styles, and purge them away by

characterizes another strand of modernism which

MODERNISM AND POSTMODERNISM

403

repudiates any such ideological investment of tech­

happen to like but also praise for the wit and vitality

nical innovation. For this vein of modernism, from

of mass-cultural commercial styles. The postmod­

Gustave Flaubert and Henry James onward, his­

ern work, Venturi insists, must 'learn from' such

tory is chaotic flux which must be redeemed by the

forms, incorporating them pleasurably into its very

formal symmetries of the work of art. By virtue of its

substance rather than austerely negating them.

intense

This dissolving of the rigid modernist distinction

the

craftsmanship,

its obsessive quest

for

mot juste or self-conscious intricacy of plot, the

work transcends history, constructing a realm

between 'high culture' and MASS

CULTURE,

first

manifest in architecture, has its equivalent in

of aesthetic autonomy which bears no relation

many other cultural fields, and is indeed often

whatsoever to past, present or future. Such tran­

cited as

scendentalist aesthetics- sometimes termed 'aes­

culture.

the central characteristic of postmodern

theticism' or 'high modernism'- have come to be

The elitism of modernist art lies in the difficulty

contrasted with the 'historical avant-garde' (futur­

of its forms, that 'organized violence upon ordinary

ism, surrealism, Dadaism), which aims to break

language' or conventions which for Roman Jakob­

open this sealed realm of aesthetic value and return

son defined modernism as such. Any attack on its

the aesthetic to everyday life (see Burger, 1984).

elitism is, accordingly, necessarily a critique of its

If modernism is a multiple rather than unitary

obsession with form. In this sense, postmodern art

phenomenon, then postmodernism, from the late

can be seen as the 'return of content', a content

1950s or early 1960s on, will be no less polyseman­

which was either radically subordinated by the

tic: its force in any particular context will depend on

modernist preoccupation with form or, on occa­

which version of modernism it is pre­

sion, abolished by it altogether. Such a model,

sumed to negate. The concept of postmodernism

extrapolated from developments in architecture, is

emerged early in architecture, but has since been generalized to virtually all fields of culture. Post­

finely developed by Linda Hutcheon in A Poetics of Postmodernism (1988). She defines the postmodern

modern architecture is an attack, above all, on the

novel, exemplified by such authors as Gabriel Gar­

precisely

International Style. While it does not repudiate the

cia Marquez, Gi.inter Grass, John Fowles, E. L.

emphasis on technological innovation in Le Cor bu­

Doctorow and others, as 'historiographic metafic­

sier or Waiter Gropius, it does problematize some

tion'. Such novels return to questions of plot, his­

of the key values associated with technological ad­

tory and reference which had once seemed to be

vance in modernist architecture: universalism,

exploded by modernist fiction's concern for textual

elitism, formalism. The austere, rectilinear white

autonomy and self-consciousness,

facades and flat roofs characteristic of the Inter­

simply abandoning such 'metafictional' concerns.

but without

national Style claim to be universal architectural

This suggestive model can be readily extended into

forms, adhering to the canons of a pure, scientific

other areas, including the return of representation

reason independent of the idiosyncracies of any

and the body in painting, and so on.

particular time or place. Postmodernism finds

The attack on modernist universalism, elitism

such claims arrogant and even authoritarian, and

and formalism constitutes what we might call the

invests heavily instead in localism, particularism,

attractively 'ecological' moment of postmodernism,

regionalism, rein venting the traditionalist and ver­

its decentralist openness to repressed styles or ex­

nacular styles and building materials which mod­

periences and to cultural Otherness (women, gays,

ernist aesthetics had consigned to the dustbin of

blacks, the Third World). However, to build a

history. The white surfaces and flat roofs of univer­

thatched cottage or narrate a Victorian love story

sal Reason may gratify the avant-garde architect,

in 1990 is not the same as to construct these arte­

but they are, objects postmodernism, not much fun

facts in the seventeenth or nineteenth century. It is,

for anybody else, including those who have to live

in effect, to construct an image or simulacrum of

in them. Some of the best-known postmodernist

such entities; and this is the point where reserva­

Learning

tions about postmodern culture tend to come to the

from Las Vegas in the 1970s and Tom Wolfe's From Bauhaus to Our House of 1982, thus launch a

in the postmodern, to a concern with space and

manifestos, including Robert Venturi's

fore. The modernist obsession with time gives way,

populist assault on the elitism oflnternational Style

geography, with synchronic rather than diachronic

architecture; and this attack involves not only the

differences. There is much that is liberating about

defence of traditionalist building styles that people

this, as Western modernity abandons its imperialist

404

MODERNITY

arrogance towards those 'primitive' cultures which surround it; but there may also be a 'freezing' of history, a loss of imagination and thus of the prac­ tical possibility of radical social change. The styles of the past may be welcomely reinvented, but only, perhaps, as one-dimensional images in the 'heritage industry' of an eternal present. In a world domin­ ated by mass media and technologies of cultural

Bradbury, M. and McFarlane, J. eds 1976: Modernism 1890-1930. Burger, P. 1984: Theory of the Avant-Garde. Connor, S. 1989: Postmodernist Culture: an Introduction to Theories of the Contemporary. Harvey, D. 1989: The Condition ofPostmodernity. Hutcheon, L. 1988: A Poetics ofPostmodernism. Jameson, F. 1991: Postmodernism, or, The Cultural Logic of Late Capitalism.

reproduction, the modernist dream of a utopian,

Lyotard, J.-F. 1979 (1984): The Postmodern Condition.

'authentic' experience beyond mass culture van­

Williams, R. 1989: The Politics of Modernism.

TONY PINKNEY

ishes. Saturated as we are from birth by the images, stereotypes and narrative paradigms of a ubiquitous

Modernity is a 'contrast concept'. It

mass culture, we have long since lived on the pulses

modernity

that 'death of the subject' which poststructuralism

takes its meaning as much from what it denies as

has recently articulated at the level of theory.

what it affirms. Hence the term can appear at differ­

Again, there are progressive dimensions to this

ent

development; along with the dream of authenticity,

depending on what is being denied and, by contrast,

modernism's contempt for ordinary people has also

what is affirmed. For Augustine in the fifth century

vanished. But if we can no longer appeal to Nature

AD, the late Latin word modernus expressed the

or the unconscious, to authentic Lawrentian sexu­

rejection of paganism and the inauguration of the

ality or Third World precapitalist enclaves against

new Christian age. Renaissance thinkers, recover­

the image-ridden First World in which we live,

ing classical humanism, fused this with Christianity

what now is the basis of political critique - above

to make the distinction between 'ancient' and

all in the wake of the collapse of a communist

'modern' states and societies. The eighteenth-cen­

times

with

widely

differing

meanings,

project which seems to have shared in the very

tury Enlightenment not only interposed 'medieval'

universalism

of modernist culture

between 'ancient' and 'modern' but made the cru­

Such ambivalences about the value of postmod­

now. This added a new fluidity to the concept.

ern culture also infiltrate any attempt to sketch the

From now on, modern society was our society, the

and

elitism

itself ?

cial identification of the modern with the here and

social matrix from which it emerges. By general

kind of societies we lived in- whether in the eight­

consent, postmodernism comes into being as capit­

eenth or the twentieth-first century. Western soci­

alism shifts from its Fordist to its post-Fordist

ety, as showing the sharpest contrast with earlier or

moment (see FORDISM AND POST-FORDISM), from

other - the two came to seem synonymous - soci­

the standardized products of monolithic produc­

eties, became the emblem of modernity. This evo­

tion lines in giant factories to the decentralized

lution determined the contours of modernity. To

use of information technology sophisticated enough

modernize was to Westernize.

to allow 'flexible specialization'. This shift from the

Modern society therefore carried the hallmarks

One to the Many within capitalism itself then poses

of Western society as it had developed since the

new questions about the trends toward pluralism

eighteenth century. It was industrial and scientific.

and difference we have noted in postmodern cul­

Its political form was the nation-state, legitimated

ture. Are these genuine steps towards a democra­

by some species of popular sovereignty. It gave an

tization of the unacceptable absolutism of some

unprecedented role to the economy and economic

forms of modernism, or are they rather, perhaps,

growth. Its working philosophies were rationalism

merely the latest ruses of a global economic sys­

and utilitarianism. In all these ways it rejected not

tem which, having seen off its Communist antagon­

just its own past but all other cultures that did not

ist, now has us more firmly in its grip than ever

measure up to its self-understanding. It is wrong to

before?

say that modernity denies history, as the contrast

Reading

remains a necessary point of reference. But it is

with the past - a constantly changing entity Berman, M. 1983: All that is Solid Melts into Air: the Experience ofModernity.

true that modernity feels that the past has no lessons for it; its pull is constantly towards the

MODERNIZATION

405

future. Unlike other societies, modern society wel­

ex1stmg forms be regarded as provisional. It is

comes and promotes novelty. It can be said to have

therefore entirely to be expected that new features

invented the 'tradition of the new'. Modernity - modern industrial society - re­

emerge. The important question is how far the essential dynamism

of industrialism has been

ceived a comprehensive analysis in the writings of

checked or redirected. The worldwide spread of

the principal social theorists of the nineteenth cen­

the industrial way of life, under the aegis of global

tury- Hegel, Marx, Tocqueville, Weber, Simmel

capitalism, is a testimony to its continuing force. At

and Durkheim. Their analyses remain relevant in

the same time industrialism is threatening the life­

many respects for contemporary societies - Marx

support systems of the planet. It is here that indus­

included, despite the failure of state socialism

trialism might run up against its limits; and the

in several parts of the world. But the growth of

rethinking and redirection that this would involve

certain features in our time - the globalization

might well unpick some of the fundamental strands

of the economy, the decline of the nation-state,

of modernity. Whether this would take us 'beyond

the great migrations of population - have led

modernity' is something we cannot yet tell.

some thinkers to postulate the end of modernity as it has generally been understood. Geoffrey Barra­ clough

(1964)

has proposed 'contemporary history'

as something different from

'modern history';

others have gone further and announced 'the post­ modern age'. None of these claims carries conviction. Nearly

Reading Berman, M. 1983: All That is Solid Melts Into Air: the Experience ofModernity. Ca1inescu, M. 1987: Five Faces ofModernity. Giddens, A. 1990: The Consequences ofModernity. Habermas, J.

1985

(1989,

1990):

The Philosophical

Discourse ofModernity.

all the developments picked out can be shown to

Jervis, J. 1998: Exploring the Modern.

have their roots firmly in classic modernity. This is

Kumar, K. 1995: From Post-Industrial to Post-modern

particularly true of the renewed emphasis on tran­

Society.

sience, fragmentation and the loss of a sense of

KRISHAN KUMAR

meaning to the historical process. Thinkers such This is a process of economic,

as Baudelaire, Nietzsche and Burckhardt had al­

modernization

ready remarked on these tendencies of their time.

political, social and cultural change occurring in

Nietzsche's 'last man' was already experiencing the

undeveloped countries as they move towards more

difficulties and dilemmas of 'post-modern' man.

advanced and complex patterns of social and polit­

Modernity was never of a piece, as Weber and

ical organization. It has been closely studied and

Simmel in particular were at pains to emphasize. Its

defined in American post-war sociological theories

dynamism constantly threw its parts into conflict

which start with an implicit or explicit reference to

with each other- the polity against the economy,

a dichotomy between two ideal types: the trad­

culture against instrumental rationality. Much of

itional society (which in some versions can also be

what appears as 'postmodernity' first found its ex­

called 'rural', 'backward' or 'underdeveloped') and

pression in the cultural revolt against modernity

the modern society (or 'urban', 'developed', 'indus­

which marked the movement of 'modernism' at

trial'). These types of social structure are somehow

the turn of the century. Modernism certainly

historically connected by means of a continuous

echoed modernity in its stress on functionalism

evolutionary process which follows certain general

and technological sophistication; but it equally, in

laws. The idea is that all societies follow a similar

such currents as surrealism and Dadaism, sub­

historical course of increasing differentiation and

verted certain tenets of modernity by espousing

complexity from one polar type to the other.

the claims of the 'pleasure principle' against those of the 'reality principle'.

As some societies have already industrialized, they become the basis on which the modern society

It is undeniable that today's modern society is

paradigm and the ideal typical process of transition

not in many ways the modern society of Marx or

can be constructed. Some theories emphasize the

Weber's time. But modernity is not Western soci­

endogenous nature of the process of change (Ros­

ety in any of its particular phases. It is the principle

tow,

of Western society as such. The commitment to

others emphasize the importance of exogenous

continuous growth and innovation requires that

factors such as the diffusion of values, technology,

1960;

Hoselitz,

1965;

Parsons,

1951)

while

406

MONARCHY

skills and forms of organization from advanced

The theories of modernization have been criti­

nations of the West to poor nations of the Third

cized in a number of ways. Most important are the

World (Lerner,

But in any case traditional

accusations of abstractness and lack of historical

societies are supposed to follow the same pattern of

perspective. First, it is a mistake to treat under­

change undergone earlier by the developed nations.

development as a universal original situation, as

1958).

Modernization theories, therefore, seek to identify

lack of development in general, as a stage which

in the organization and/ or history of industrial

all developed countries went through. Second,

countries the social variables and institutional

modernization analyses tend to assume a prescrip­

factors whose change was crucial for their process

tive character and instead of studying historically

of development in order to facilitate this process in

the structural context of the specific features of underdeveloped societies they only seek to establish

the newly developing countries. A convenient classification of modernization the­

whether these features follow or depart from the

ories is that which distinguishes sociological, eco­

ideal Western model which is supposed to be the

nomic and psychological versions. The sociological

norm. Third, implicit in all the theories of modern­

versions highlight the role of a wide variety of social

ization is the idea that present-day developing

and institutional variables in the process of change.

countries should go through the same stages and

describes the process in

processes as developed countries went through pre­

terms of changes from prescriptive actions to elect­

viously. Even when they recognize the existence of

ive actions, from the institutionalization of the trad­

some historical differences (Germani,

itional to the institutionalization of change; and

Rostow,

from a conjunction of relatively undifferentiated

accept that they could essentially alter the pattern

institutions to their increasing differentiation and

of change. History can be repeated, developing

specialization. Most of these versions have been

countries can industrialize in the same way as the

influenced by Max Weber through Talcott Par­

older industrial countries and in some respects they

Thus Germani

(1965)

1960,

1965,

and

acknowledge them) they refuse to

sons's interpretation of his ideas, and use the PAT­

have even more advantages in doing so. There is

TERN vARIABLES to describe the ideal typical social

hardly any discussion of the international order as a

structure of 'traditional' and 'modern' societies:

system dominated and manipulated by certain in­

affectivity versus affective neutrality, ascription

dustrial countries in their own interest. Moderniza­

versus achievement, diffusion versus specificity,

tion

particularism versus universalism and orientation

modernization and industrialization is inevitable

theories

assume

that

the

process

of

towards collective interests versus orientation to­

and that newly developing countries have the

wards private interests.

same if not better opportunities to industrialize.

The psychological versions emphasize internal

As Hoogvelt has put it, they have turned the ab­

factors and psychological motives as the motor

stracted, generalized history of European develop­

forces of the transition. Thus McClelland

ment into logic (Hoogvelt,

(1961)

proposes the 'need for achievement', a desire to do well, as a crucial motivation which, by spreading among the entrepreneurs of a country, leads to eco­ nomic development. This motivation is not innate or hereditary and can be developed in a country in transition to modernity by means of education. The economic version is well represented by Rostow

(1960) and his theory of stages of economic

growth. He suggests that all societies pass through

1982,

p.

116).

See also DEVELOPMENT AND UNDERDEVELOP­ MENT.

Reading

Essays on Sociological Aspects of Political and Economic Development.

Eisenstadt, S. N. 1961:

Frank, A. G. 1972: Sociology of development and under­ development of sociology. In Dependence and Under­ development, ed. J. D. Cockcroft, A. G. Frank and D. L. Johnson.

five stages: traditional society, preconditions for

Larrain, J. 1989:

take-off, take-off, road to maturity and the age of

Smelser. N. J. 1964: Toward a theory of modernization. In

high mass consumption. Rostow believes that the

Theories ofDevelopment.

Social Change, ed. A.

Etzioni and E. Etzioni.

JORGE LARRAIN

process of development going on at present in Asia, Latin America, Africa and the Middle East is analo­

While monarchy is the institution of

gous to the stages of preconditions and take-off in

monarchy

Western societies in the late eighteenth and nine­

rule over a state by the head of a hereditary family,

teenth centuries.

monarchism is the doctrine that this is best. Mon-

MONETARISM

407

archy or kingship is one of the most ancient types of

United States the constitution itself is the symbol of

government and, until this century, the most

unity, not the elected president.

common. The most ancient claim for AUTHORITY

A few constitutional monarchies survive, none

is either that a king is a descendant of a god or that

exercising real political power but some (like the

the office is sacred. This makes obedience a natural

British) serving to legitimize a hierarchical social

duty. But the power of kings was not perceived as

order; others, as in Holland, Denmark and Norway,

absolute or sovereign. Until the seventeenth cen­

contrive to appear more democratic in style, and are

tury, there was no clear idea of absolute sover­

more bourgeois than aristocratic. Modern social

eignty: for if monarchy was a divine institution,

theorists show surprisingly little interest in why

kings themselves were bound to obey God's laws.

such seeming anachronisms endure.

Medieval monarchs in Europe were seen as the steward or guardian of the realm on God's behalf.

Reading

Christianity had, indeed, introduced a potentially

Cannadine, D. 1983: Context, performance and meaning

civilized complication to simple claims to absolute

of ritual: the British monarchy and the invention of

authority: Christ had preached that some things were Caesar's and some God's. The theology was dualistic: the church claimed a large degree of au­ tonomy but even laymen (if they were powerful) could question if secular power was rightly used. Under monarchy there were always some justifi­ cations for rebellion and some ambiguities about

tradition, c.1820-1977. In The Invention of Tradition, ed. E. Hobsbawm and T. Ranger. Martin, K. 1937: The Magic ofMonarchy.

--1962: The Crown and the Establishment. Nairn, T. 1988: The Enchanted Glass: Britain and its

Monarchy. Shils, E. and Young, M. 1953: The meaning of the coron­ ation. Sociological Review

NS

I, 63-81.

succession. Both in the Christian and the Muslim

BERNARD CRICK

world an incompetent elder son could be passed over for another member of the immediate family.

monetarism

In the Caliphate, succession was often determined

from

This is the modern name, dating

1968, for several old economic doctrines

by assassination or limited warfare between royal

linked to the 'quantity theory of money', and the

brothers or cousins.

political and social project associated with them. The fundamental, basic proposition of monetar­

In the seventeeth century the idea became by

ism is that the rate of growth of the money supply

Thomas Hobbes, that for the sake of peace and

in an economy determines the rate of inflation

common,

as

formulated

most

powerfully

avoidance of civil war an abstract entity called the

of prices; that is the quantity theory proposition

STATE should exercise all power and be the exclu­

whose origins are traceable at least to David

sive object of loyalty. No longer 'open in the name

Hume's essays of

of the king!' but 'in the name of the state'. The

and its foundations were refined and developed,

doctrine of the 'divine right of kings' was a belated

especially in the first

and largely unsuccessful attempt to claim this sov­

century (David Ricardo through the currency

1750-2. Subsequently the idea 40 years of the nineteenth

ereignty for the person of the monarch. Louis XIV

school), the first

might claim that 'L'etat c'est moi,' but it was a

(especially K. Wicksell, A. C. Pigou and I. Fisher),

30 years of the twentieth century

conscious paradox. For by then monarchy was

and the quarter century from

1956 (initiated

everywhere coming to be seen as an office, to be

by

also

exercised on advice and prudently, not the dispos­

ECONOMICS) .

able property of a person or dynasty.

Milton

Friedman)

(see

CHICAGO

That quantity theory proposition is associated

Loyalty to persons was the great virtue preached

with the idea that the quantity of output or volume

by royal apologists, but this proved easier in

of activity does not vary in response to increases in

modern times if their powers were limited. Waiter

the money supply, for otherwise the effect of the

Bagehot (1867) famously distinguished between the

latter would partly increase the amount of goods

'dignified powers' of Queen Victoria and her

produced instead of wholly making itself felt on

'efficient powers', which he believed to be few.

their prices; the quantity of goods can be treated

The dignified, symbolic or ritual powers were a

as if it were always equal to the amount produced

focus of loyalty and continuity to the nation, other­

with full employment of labour. That idea (Say's

wise difficult to locate in a competitive party

Law) was rarely held in absolute form and,

system, especially in a multinational state. In the

in rescuing the quantity theory from Keynes's

408

MONEY This everyday phenomenon is the su­

demolition of Say's Law, Friedman's 1956 restate­

money

ment explicitly dropped it, arguing that the money

preme social fact of modern society, yet the social

supply affects either output or the price level. How­

theory of money has been largely neglected by

ever, subsequent work by Friedman and his succes­

social scientists. This neglect has arisen because

as

money has been reduced to a rational instrument,

frequently as the more general idea that money

seen alternatively as a means of exchange (see NEo­

affects either prices or output.

CLASSICAL ECONOMICS), or as a means of communi­

sors

uses

the

direct

money-price

relation

Those ideas underpin the monetarist concentra­

cation (see AUSTRIAN ECONOMICS). The historical

tion on controlling inflation through controlling the

development, forms of existence and modes of

money supply which is generally counterposed to

operation of money have been reduced to its eco­

the Keynesian focus on controlling unemployment

nomic and social functions, its primary function

through fiscal (budgetary) policy (see KEYNESIAN­

being conventionally identified as its role as means

ISM). That characteristic policy causes monetarism

of exchange. While various theories of money

to be widely identified with deflationary policies

differ in their specification of these functions, and

that induce recession, but monetarist economists

in the hierarchical relationship proposed between

apply their beliefs in both directions; for example,

them, they have in common the dissolution of

seminal monetarist studies of the 1930s concluded

the specificity of money as a social phenomenon,

that the depression could have been avoided by

reducing it to a means of representation of nonmo­

policies to reverse a fall in the money supply.

netary phenomena. However, in stressing the sym­

Nevertheless, in politics the monetarist label is

metry of exchange relations as the basis of the

associated with right-wing governments whose pol­

instrumental rationality of money, such theories

icies have a deflationary bias, frequently sharply

neglect the essential asymmetry of relations of dom­

deflationary. Their ideology of controlling inflation

ination through which money asserts itself not as a

is linked to a belief in reducing state spending and

mere symbol, but as an autonomous social power.

borrowing which claims two intellectual bases: first,

The dominant conception of money dates back at

the idea that controlling state borrowing produces

least to Aristotle, who explained the emergence of

control of the money supply; and, second, the idea

money in terms of the inconvenience of barter,

that reducing expenditure and borrowing by the

defining the primary function of money as its role

state liberates the dynamism of private capital in

as means of exchange, but recognizing also its deriva­

expanded spheres.

tive functions as the measure of value and, at least

Since controlling the money supply has proved

implicitly, also as a store of value. The subsequent

to be a chimera in advanced capitalist societies, the

development of monetary theory has added re­

monetarist project has increasingly been defined in

markably little to Aristotle's analysis, the main

residual terms as a hostility to state expenditure,

debate being between those who have insisted that

especially 'welfare state' spending, promotion of

money must itself have a value, and those who have

unregulated private capital, and hostility to organ­

argued that primitive forms of commodity money

ized labour. In those forms monetarism has defined

could be replaced by purely symbolic forms of

the strategic views of many governments and polit­

money, whose value was determined by convention

ical elites for long periods since 1975. Nevertheless,

and, for some, endorsed by the state. This debate

the rationale articulated for it, especially by the

has overlapped with that between those who follow

International Monetary Fund over a long period,

Aristotle in seeing the function of means of ex­

continues to turn on control of the money supply

change as primary, and those heretics who have

despite the impracticality of such controls in a

attributed primacy to other functions of money.

complex, growing economy.

The political significance of the debate centres on the 'quantity theory of money': if the primary func­ tion of money is as means of exchange, an increase in

Reading Friedman, M. 1968: Quantity theory. In International Encyclopaedia ofthe Social Sciences, vol. 10, pp. 432-47. Friedman, M. and Schwartz, A. J. 1963: A Monetary History ofthe United States, 1867-1960. Mayer, T. ed. 1978: The Structure ofMonetarism. LAURENCE HARRIS

the supply of money will lead to rising prices. If its primary function is as store of value, an increase in the money supply will lead to falling interest rates. Adam Smith (1776), following David Hume ( 1752), laid the foundations of modern economics by reasserting the Aristotelian orthodoxy against

MONEY

409

the 'mercantilist' heresy, which saw the primary

as systems of symbolic exchange, an approach

function of money in its role as store of value.

which has been further developed in the postmod­

Knapp's 'state theory of money' (1905) stressed

ernist conception of society as a communication

the primacy of the function of money as means of

network (Habermas, 1981; Luhmann, 1983, 1984;

payment, validated by its status as legal tender.

cf. Ganssmann, 1988; see MODERNISM AND POST­

Keynes (1930) followed Knapp, stressing the pri­

MODERNISM) in which money is analogous to the

macy of 'money-of-account' over money as means

linguistic sign (a conception which brings the

of exchange. However neither the mercantilists nor

theory of money full circle, since Saussure's theory

Knapp developed a systematic theory of money to

of the sign (1916) was inspired by the economists'

challenge the classical orthodoxy, while Keynes did

conception of money).

not develop the implications of his undoubted in­

Sociologists have not ignored the irrational

sights, restricting himself to the analysis of the

aspects of money, nor have they been content

motives for holding money as the basis of his theory

with the economists' psychologistic conception of

of interest and employment (1936). Thus Keynes's

such irrationality. Nevertheless sociologists have

theory was soon reabsorbed into the classical ortho­

followed the economists in viewing such irration­

doxy, in the form of the 'neoclassical synthesis', the

ality as a pathological phenomenon, as a social

primacy of the function of money as store of value,

institution whose primary function to serve as a

expressed in Keynes's theory of 'liquidity prefer­

rational instrument acquires secondary meanings

ence', being reduced to an irrational deviation from

which may subvert its original purpose. Simmel's

the normal functioning of the monetary system,

Philosophy ofMoney (1907), the only serious socio­

based on the primacy of money as means of ex­

logical contribution to the theory of money, is a

change.

brilliant exploration of the pervasive influence of

The economists have not been so naive as to

money on social life, but the irrationality of a soci­

believe that their theory is adequate to the everyday

ety dominated by money is attributed to a universal

reality of a society in which money is transparently

metaphysic, the psychological process through

not merely a rational instrument, but is also both the

which means and ends come to be inverted. Thus

substance and symbol of wealth, status and power.

the essential feature of money in a capitalist society,

Nevertheless the irrationality associated with a de­

that it can serve as a means only because it is the

veloped monetary system is treated as a pathological

supreme end, is attributed to a mysterious psycho­

phenomenon, separable in principle from the nor­

logical process that has to be invoked because of the

mality embodied in the ideal system of the econo­

original, and erroneous, designation of money as

mists' theories, to be explained by sociologists and

the instrument of reason.

social psychologists, or even by theologians and

The only social theorist systematically to chal­

moral philosophers. Such irrationality is explained

lenge the orthodox conception of money has been

not in terms of the objective irrationality of capital­

Karl Marx. Until recently interpretations ofMarx's

ist society, but in terms of the subjective irration­

theory of money have remained within the func­

ality of social actors, which is called on to explain all

tionalist framework, generally insisting that the

the evils of modern society: the 'trade cycle', mass

primary function of money lies in its role as the

unemployment, persistent poverty, growing in­

independent form of value, and so as capital. This

equality, the 'abuse' of power, industrial conflict,

conception of money accords with the Marxist con­

urban decay all result from the failure of human

ception of capitalism as a society based not on

beings to live up to the ideals of rationality em­

exchange and communication, but on ExPLOIT­

bodied in the theories of the economists.

ATION and domination, whose development is de­

Sociology, for all its concern with the non-ra­

termined not by human needs and aspirations, but

tional dimensions of social action, has not offered an

by the accumulation of capital. This theory leads

effective challenge to the economists' orthodoxy.

Marxists to argue that the 'substantive irrationality'

Weber (1921-2) concurred without question with

of capitalist society is inseparable from, and more

the economists' conception of money as the instru­

fundamental than, its 'formal rationality'. How­

ment and means of expression of economic ration­

ever, it does not define a distinctively Marxist

ality. Parsons (1967) went further, seeing the

theory of money, validating the orthodox view of

economists' conception of money as a model for

Marx as a minor heretic, whose monetary theories

the analysis of other social subsystems, considered

were derivative and flawed.

410

MONOPOLY CAPITALISM

Within the functionalist interpretation of Marx, money remains an instrument, an instrument not of reason but of capital. The irrationality of money is not inherent in money, but lies outside itself, in the social relations which it serves to symbolize. The implication, seized on by the reform movement in the Soviet bloc, is that money is socially neutral, and can as well serve as an instrument of socialist planning as it can serve as an instrument of capital­ ist exploitation.

Backhaus, H.-G. 1969

(1980): On the dialectics of the

value-form. Thesis XI 1, 94-120. Clarke, S. 1982

(1991): Marx, Marginalism and Modern

Sociology. Ganssmann, H. 1988: Money: a symbolically generalized medium of communication?

Economy and Society 17.3,

285-316. Knapp, G. F. 1905

(1924): The State Theory of Money,

abridged edn. Luhmann, N. 1983: Das sind Preise: ein soziologisch­ systemtheoretischer Klarungsversuch.

The publication ofMarx's early works and of the

Grundrisse has opened the way to an alternative, and more radical, interpretation ofMarx's theory which gives a central role to his critique of money. This approach represents a convergence of the analysis of the 'value-form', pioneered in Germany, and of money as a mode of domination, pioneered by the

Soziale Welt,

34.2, 153-70. --1984: Die Wirtschaft der Gesellschaft als autopoie­

Zeitschrififiir Soziologie, 13.4, 308-27. Notes on money, crisis and the state. CSE Conference Papers. Negri, A. 1984: Marx Beyond Marx. Simmel, G. 1907 (1990): The Philosophy of Money. tisches System.

Merrington,J. and Marazzi, C. 1977:

SIMON CLARKE

Italian autonomia movement, in the early 1970s

The term was used by

(Backhaus, 1969; Negri, 1972). This interpretation

monopoly capitalism

reverses the conventional relationship between

Lenin to define a new stage in the development of

form and function, seeing the functions of money

CAPITALISM at the end of the nineteenth century, in

as deriving from the properties of money as a par­

which economic life was dominated by large cor­

ticular socialform. This approach rejects the analyt­

porations, bank capital had merged with industrial

ical separation of the 'real' from the monetary

capital to form financial oligarchies, and the major

system, which marks both orthodox economics

capitalist nations were engaged in imperialist ex­

and orthodox Marxism, and which appears in

pansion.

inverted form in postmodernist theories. Money

Finance Capital (1910) for his basic conceptions,

Lenin

was

indebted

to

Hilferding's

does not symbolize a real relationship which lies

but he expounded them in the context of an entirely

behind it. Still less does money constitute the 'econ­

different political doctrine which envisaged social­

omy' as a purely symbolic realm. It is only with the

ist revolutions as an outcome of war between the

development of capitalism that money dissolves all

imperialist powers. Subsequently, Lenin and later

'prehistoric ties', so that relationships between in­

Marxist-Leninists elaborated a conception of 'state

dividuals can only be constituted as social relation­

monopoly capitalism' (see Hardach and Karras,

ships, and so acquire a determinate social character,

1978, pp. 47-50, 63 -8) to take account of the in­

through the form of money. In a developed capital­

creasing involvement of the state in the capitalist

ist society money is not, therefore, merely a symbol,

economy. These ideas too, had affinities with Hil­

it is the primary mediating term between individual

ferding's later conception of 'organized capitalism'

and society. This apparently trite observation has

(see Bottomore, 1981, pp. 14-15), but they differed

quite fundamental consequences, for it implies that

profoundly in being embedded in an increasingly

the theory of money, far from being a technical

dogmatic and intellectually barren Bolshevik ideol­

economic theory, must be at the very heart of the

ogy.

theory of capitalist society (Merrington and Mar­

Monopoly capitalism was given a different mean­

azzi, 1977; Negri, 1979, Lesson 2; Clarke, 1982,

ing, however, in the book by Baran and Sweezy

Chapters 3 & 4; Clarke 1988, chs 4 and 5; Ganss­

(1966), where it was argued that new 'contradic­

mann, 1988; cf. Aglietta and Orlean, 1982, who

tions of capitalism' had taken the place of those

develop a comparable, but non-Marxist, anthropo­

analysed by Marx. The high rates of economic

logical theory of money).

growth, and an apparently greater stability of post­ war capitalism, reflected a significant change in the character of the capitalist economy, from competi­

Reading Aglietta, M. and Orlean, A. 1982:

nate.

La Violence de la mon­

tion to monopoly. This results in a steady and continuing increase in the profits of monopolistic

MORALITY

411

firms, approximating society's 'economic surplus'

Durkheim (1925) argues that there are three

according to Baran and Sweezy, who then went on

elements in morality: an imperatival aspect; attach­

to argue that this rising economic surplus necessar­

ment to social groups; and the autonomy of

ily leads to stagnation unless it is counteracted in

moral agents (cf. Max Weber's 'ethics of responsi­

some way (see Hardach and Karras, 1978, pp.

bility'). Like

61-3). But this conception, like those elaborated

sought a nonindividualistic explanation of the

Durkheim,

Westermarck

(1906)

by Marxist-Leninist thinkers, in fact paid little

origin of moral beliefs, being influenced also by

attention

counteracting

William Sumner, Ferdinand Tiinnies and Vilfredo

influences, such as the development of welfare cap­

Pareto in stressing the importance of the senti­

italism and a number of more 'socialistic' changes in

ments. The moral ideas have their roots in custom,

to

various

important

the economy. In the future social theorists are likely

and develop in the light of reason. Modern writers

to be concerned less with what are called - often

have concentrated on the morality of modernity;

misleadingly- 'monopolies', and more with study­

see for instance the view ofP. Berger, B. Berger and

ing the structure and influence of large corporations

H. Kellner (1973) that modern morality is to be

in the context of welfare capitalism and extensive

understood in terms of the pluralization of 'life­

state regulation in its diverse forms.

worlds'.

Reading

humans tend to develop moral beliefs. Freud

Explanations have also been offered of why Baran, P. and Sweezy, P. 1966:

Monopoly Capitalism.

Hardach, G. and Karras, D. 1978: A Short History of Socialist Economic Thought. Lenin, V. I. 1916

(1923) claimed that morality consists in the in­ ternalization of parental commands in the form of demands made by the superego. He allowed de­

(1964): Imperialism: the Highest Stage of

Capitalism.

velopment from mere obedience to these com­ mands into the reflective morality of the ego

TOM BOTTOMORE

ideal. Levi-Strauss (1949) stressed the importance of reciprocity and exchange in the development of

morality

In its normative or prescriptive sense,

institutions such as marriage, which are partly

it is that consideration or set of considerations pro­

constituted by moral expectations and beliefs.

viding the strongest reasons for living in some

Advocates of game theory have put notions of

specified way; in its descriptive sense, such a con­

cooperation at the centre; many moral institu­

sideration or set of considerations adhered to or

tions, such as promising, can be seen as social

avowed by some person or group. (See also

solutions to coordination and cooperation prob­

VALUES. )

lems, such as the Prisoners' Dilemma (see Elster,

Thus, if we assume that the Ten Command­ ments are a correct representation of the demands of morality, morality (normative) requires us to live

1989b). Philosophical

work

on

normative

morality

can be roughly characterized as either second

without killing one another, to keep the Sabbath

order (metaethical) or first order. (See ETHICS. )

holy and so on; while, even if we assume that the

Metaethics has concerned itself with three main

Decalogue is mistaken, we can describe it as consti­

questions: the truth value of moral judgements,

tuting the morality (descriptive) of any person who

the nature of moral reality, and moral episte­

avows or lives by it.

mology.

Work on descriptive morality in modern times

A.]. Ayer (1936) introduced the logical positiv­

has centred on the content and explanation of moral

ism of the VIENNA CIRCLE into mainstream Anglo­

beliefs. Anthropologists have continued to docu­

American philosophy. According to his emotivist

ment the moral systems of other cultures and

position, moral judgements have no truth value,

subcultures, one of them (Turnbull, 1972) describ­

being mere expressions of attitude (the 'Boo/

ing the apparent absence of morality among the

Hurrah theory'). Through the writings of R. M.

Ik. Historians of ideas have attempted to explain

Hare (1981), prescriptivism - the view that moral

how particular moral ideologies, such as that of

judgements are essentially commands - became

Nazi

Germany,

developed,

while

sociologists

influential. ]. L. Mackie (1977) argued that all

have tried to account for and analyse morality in

moral judgements

general.

no objective moral reality to which they refer.

are false,

because there is

412

MUSIC

Mackie's view demonstrates the interconnection of the three metaethical themes mentioned. Discussion of the nature of moral reality re­

Nonutilitarian theories have tended to be rooted in the work of Kant. Such theories have been de­ scribed as deontological (Greek dei= 'one must').

volved around the so-called 'fact/value distinc­

One example is that of Ross, who thought that we

(1903) argued that evaluative

ought, for instance, to keep promises for reasons

tion'. G. E. Moore

facts are unlike those facts which constitute the

independent of welfare. More recent Kantians in­

subject matter of the natural sciences. Rather,

clude Christine Korsgaard

goodness is a nonnatural property of things. A

tualist T. M. Scanlon

more common view was that there are no evaluative

(1996) and the contrac­ (1998).

Since the publication of Elizabeth Anscombe's

(1958), a new

facts: the world is evaluatively neutral and to be

article 'Modern moral philosophy'

described in scientific terms. This view, of course,

strand has emerged in moral theory, putting greater

provided the impetus for accounts of moral judge­

emphasis on the nature of moral character and the

ments as not primarily assertive, such as emotivism.

virtues (see Crisp and Slate,

1997).

In North America, there has been a revival of realist

Because of the dominance of metaethics, the

naturalism, according to which moral facts are nat­

philosophers of the first half of the twentieth cen­

ural facts of the same broad kind as, say, chemical or

tury paid little academic attention to practical first­

biological facts (see Brink,

1989).

order moral problems. Since the Vietnam war this

Discussion in moral epistemology has revolved

has changed, and discussions of issues such as abor­

around the question of how we might be said to

tion, war and the environment are now widespread

know moral facts, and the nature of moral know­

(see Singer,

ledge. Intuitionism was dominant after Moore. We

1986).

See also JusTicE;

NoRM; RIGHTS.

are held to possess a 'moral sense' which enables us to intuit the rightness or goodness of concrete par­ ticulars or the correctness of certain fundamental moral principles (see Ross,

1939). This is a form

of moral foundationalism. According to coherent­ ism, moral knowledge consists in the most consist­ ent and coherent set of moral beliefs (see Brink,

1989). In first order ethics, questions have been asked about the nature of morality with a more obvious

Reading Crisp, R. and Slate, M. 1997. Virtue Ethics. Hare, R. M. 1981: Moral Thinking. Mackie, J. L. 1977: Ethics. Scanlon, T. M. 1998. What We Owe to Each Other. Singer, P. ed. 1986: Applied Ethics. Westermarck, E. 1906: The Origin and Development of the Moral Ideas.

Williams, B. 1985: Ethics and the Limits ofPhilosophy.

ROGER CRISP

relation to how we should live. A central issue has been that of

RELATIVISM: is there a universally true

movement, social

See

SociAL MOVEMENT

morality, or are moralities relative, perhaps through being grounded in specific social practices or 'forms of life' (see Maclntyre,

1981)? Also, how important

music

While the relationship between music and

society has been studied by musicologists, ethno­

are specifically other-regarding considerations as

musicologists and sociologists, development in all

opposed to, say, considerations of self-interest or

three disciplines has, to a greater or lesser extent,

1985)? Another question has

been fragmentary and characterized by fundamen­

aesthetics (Williams,

been how to distinguish the boundaries of the

tal theoretical problems.

moral. Williams has used the notion of blame as a

Musicology and musical analysis, focusing on

distinguishing mark of the moral (see also Skor­

the study of Western art music, have been orien­

upski,

1993).

tated to the explication of the formal properties

Modern first-order moral philosophy has been

inherent in the musical work. This concern with

dominated by the development of moral theories,

structures has led to a conception of the musical

according to which morality consists in one or a

work as being divorced from its social or cultural

small number of pertinent considerations. Acc­

context. Consequently, the social researcher must

ording to utilitarianism, as espoused for example

either establish some explanatory or analytical

by Moore and Hare, the only consideration which is

link between musical structures and society, or

directly relevant to the question of how to live is the

redefine and marginalize musicology's concept of

overall maximization of welfare.

autonomous music.

MYTH The historical study of music has been in­

413

An engagement with formalism occurs most pro­

Music is

foundly, although not uniquely, in the work of Max

grasped through a stylistic development, such

Weber and Theodor Adorno. Weber used music to

that the work of any given period is understood

illustrate and explore the limitations of RATIONAL­

fluenced by musicology's formalism.

in terms of a style that is formally related to, and

IZATION. The musical system of a given culture is

logically develops, the style of the preceding

examined in terms of the degree to which it mani­

period. Reference to social history concerns only

fests a rationalization of the natural musical phe­

the ambient conditions within which musical cre­

nomena.

ation took place, with little or no consideration of

formalist approach by suggesting that music is at

Adorno

similarly

broke

down

the

any explanatory links between society and the mu­

once autonomous and yet a social fact. The seem­

sical product. Only recently has there been a sign­

ingly autonomous development of music, charted

ificant shift of emphasis, away from formalism and

by orthodox music history, is sociologically de­

towards the consideration of music within a 'web

coded by recognizing the social basis of the mater­

of culture' (Tomlinson, 1984). The social history

ials and forms of thought that music uses, albeit that

of music is increasingly seen in terms of the goal of

music manifests a development of that material

recovering the meaning of a given piece of music,

autonomously from the all-embracing economic

by consideration of the culturally specific values

purposes of capitalist society.

that informed its production, consumption and

PHENOMENOLOGY, SEMIOTICS, and STRUCTURAL­

dissemination. While formal analysis is not aban­

ISM have had an increasing influence on the sociology

doned, emphasis shifts to the recognition of the

of music, allowing more sophisticated analyses of

values and meanings attributed to music in a spe­

musical meaning, in terms of its social construction

cific CULTURE.

within specific situations, and its determination

Ethnomusicology is divided between more or

through culturally specific codes.

less explicit biases to musicology, and as such to

Most recently a more concerted attack has been

the analysis of the inherent structure of non­

launched on the presuppositions of traditional mu­

Western musics, and to anthropology, and thus

sicology. Directly or indirectly, ethnomusicology

to the consideration of music within its cultural

and sociology have led to a new questioning within

context. The latter approach has led to the chal­

musicology of the assumption of the aesthetic au­

lenging of the universality of Western conceptions

tonomy of the musical work. Increasingly music is

of music. From an initial concern with the com­

seen to be produced and defined within a social

parison of different cultures' musics, increasingly

context, suggesting that notions of 'autonomy' are

sophisticated explanations have been suggested in

ideological constructs.

terms of the uses to which music is put by groups, and the functions that music serves for

Reading

the society as a whole. More recently, and in line

Adorno, T. W. 1976: Introduction to the Sociology ofMusic,

with the developments in social history, music has been interpreted as an integral part of a symbol­ ically

expressed

culture.

Increased

scope

has

therefore been made for the interpretation, as opposed to causal or functional explanation, of the music. with

Leppert, R. and McC1ary, S. eds 1987: Music and Society: The Politics of Composition, Performance and Reception. Nattiez, J. J. 1990: Music and Discourse: Toward a Semi­ ology of Music, trans. C. Sabbate. Nett!, B. 1983: The Study ofEthnomusicology.

The sociology of music has tended to be con­ cerned

trans. E. B. Ashton. Frith, S. 1978: The Sociology of Rock.

a

positivistic

documentation

of

the social conditions of musical activity. Here the

SupiCic, I. 1987: Music in Society: a Guide to the Sociology ofMusic. Weber, M. 1958: The Rational and Social Foundations of

formalist definition of music is ignored rather

Music, trans. D. Martinda1e, J. Riedel and G. Neu­

than challenged. At its weakest, the concern is ex­

wirth.

ANDREW EDGAR

clusively with the extramusical social phenomena that occur in the presence of music, or that deter­

Myth in social science usage generally

mine its production, consumption and distribution.

Myth

The music itself is neither explained nor inter­

refers to a sacred narrative involving supernatural

preted.

beings that has woven into it popular beliefs about

414

MYTH

mankind, the social world and the nature and mean­

osophy, IDEOLOGY and religion. The most famous

ing of the universe. Theories of myth can be

writer in this tradition was Sore!, for whom myths

divided into psychological, functionalist, structur­

(including

alist and political.

Revolution) were images capable of evoking in­

the

General Strike and Proletarian

Nineteenth-century anthropologists interested

stinctively all those sentiments which enable a

in EvoLUTION and diffusion of cultures sought to

people, party or class to bring its energies into

discover the origins of myths, interpreting them as

play for political action. For Sore!

unscientific thought and incomplete records of his­

social movements develop by the pursuit of a myth,

torical

(1906)

all great

de­

which supplies the necessary idealism to bind and

veloped by Sigmund Freud (see PSYCHOANALYSIS)

unite people behind a cause. The idea of myth as an

instead tended to seek in myth themes of universal

essential element woven into the fabric of a general

psychic conflict (repression, incest taboo, sibling

ideology was echoed in Mussolini's conception of

events.

Psychoanalytic

approaches

envy, Oedipus complex), or archetypal Images

fascism as a living faith. Political myth is a mobiliz­

arising from the 'collective unconscious' (Jung,

ing device, a celebration of the irrational impulses

1964).

whose appeal to mythmakers lies more in its lucid

The functionalist tradition, represented by Mal­ inowski, criticized these theories for abstracting

and compelling vision of redemption and salvation than arguments based on abstract principles.

myths from their social context. From empirical

Central to most theories is the idea that myths are

studies of the Trobriand islanders, Malinowski

unconnected to, and outside of, ordinary space and

argued that 'myth fulfils in primitive culture an

time. 'Once upon a time', the 'Golden Age' the

indispensable function': it is a product of a living

'Dawn of Time' or the 'end of history' all imply

faith which services to codify and reinforce group

past or future events that are not diachronically

norms, safeguard rules and morality, and promote

linked to the present. In this respect, myths have

social cohesion

79) (see FUNCTIONALISM).

been interpreted as 'liminal phenomena' told at

More recent approaches, including those of

times or places that lie 'betwixt and between'

(1925,

Leach and Aycock Barthes

(1957),

p.

(1983),

Douglas

(1975)

and

have been heavily influenced by

normal states of being (Turner, Thus, according to Eliade

(1968,

p.

1968, p. 578) 34), those who

STRUCTURALISM, and in particular, Levi-Strauss

participate in myth are transported temporarily

Using theories developed within psy­

from the everyday world on to a plane where time

choanalysis and linguistics, Levi-Strauss inter­

is deemed to be 'sacred', 'concentrated' and of

preted myths not as charters for action providing

'heightened intensity'.

(1964-72).

explanations or legitimation for existing social ar­ rangements, but as systems of signs; a language

Reading

whose meaning is coded and lies below the narrative

Barthes, R. 1957 (1973): Mythologies.

surface. Myths are cognitive devices used to render visible and reflect upon the major contractions and principles that underlie all human societies, each myth being a variation on universal themes, end­ lessly recombining the symbolic elements consti­ tuted by sets of binary oppositions (mother/father;

Douglas, M. 1975 Implicit Meanings. Eliade, M. 1968: Myths, Dreams and Mysteries. Leach, E. and Aycock, A. 1983: Structural Interpretations

ofBiblical Myth Levi-Strauss, C. 1964-72 (1970-8). Mythologiques 3 vols. Malinowski, B. 1925 (1948): Magic, Science and Religion

and other Essays.

nature/ culture, female/ male, raw Icooked), which

Sore!, G. 1906 (1972): Reflections on Violence.

reputedly reflect the fundamental categories of the

Turner, V. 1968: Myth and symbol. In International

human mind. In political science, the meaning of the term has sometimes been extended to include political phi!-

Encyclopaedia of the Social Sciences, ed. D. L. Sills, vols 9-10.

CRIS SHORE

N There is not and probably cannot be a

define a nation. Arabic dialects differ to the point of

universally agreed, so to speak neutral, definition

mutual unintelligibility, but this on its own neither

nation

of this term. The inherently contested nature of the

undermines the idea of an Arab nation, nor auto­

definition is a consequence of the complex and

matically turns the speakers of a distinguishable

tangled nature of the raw material to which the

dialect into a nation. What then is the answer?

term is applied. Humanity is subdivided into

In premodern times, the question was not merely

many diverse cultures (groups distinguished by

devoid of a general answer but, more significantly,

language, custom, faith and so forth), and into

it was seldom asked. Human beings were members

diverse political units (groups committed to mutual

of kin-groups or of local organizations, subjects of

aid, sharing an authority structure, and so forth).

dynasties, adherents of faiths often linked to polit­

Neither cultural nor political boundaries are gener­

ical legitimation, members of ritually or legally

ally neat; cultural traits such as language, religious

defined social strata, and so forth. Cultural iden­

adherence or folk custom frequently cut across each

tification and political loyalty was complex and

other. Political jurisdictions may be multilayered,

variable. The question of the nation was seldom

so that obedience to a local authority in some con­

asked, and only becomes pervasive and insistent in

texts may coexist with submission to a more general

the context of a special kind of sociopolitical organ­

higher authority for other purposes. Political and

ization which has become pervasive since the turn

cultural boundaries seldom converge with each

of the eighteenth into the nineteenth century.

other.

Characteristic of this kind of society is the re­

It is impossible to apply the term 'nation' to all

placement of an agrarian economic base by an in­

units which are either culturally or politically dis­

dustrial one. People working the land become a

tinguishable, and there is little temptation to do so.

minority, sometimes a very small one, and more­

If one were to do so, there would be too many

over one no longer markedly distinguished from the

nations, and too many individuals would have mul­

rest of the population. Most work is semantic,

tiple national identities. The question is -which of

involving manipulation of meanings and people,

the either culturally or politically distinguishable

rather than of physical objects. Occupational mo­

groupings are in fact plausibly called 'nations'?

bility is the norm. Both the nature of work (involv­

The sheer existence of a political unit does not in most cases give rise to the presumption that its boundaries

define

a

nation.

ing

constant

anonymous

communication

with

many people, mostly strangers) and the nature of

Characteristically,

all social contact presuppose near-universal literacy

many historic political units are either smaller or

and a good measure of formal education. Such

larger than what are

education ceases to be a privilege, and becomes

normally called nations:

empires are multinational; city-states or tribal seg­

instead the precondition of social effectiveness and

ments are smaller than a nation. Nevertheless, pol­

acceptability and employability. In these circum­

itical units which are clearly willed and endorsed

stances, a shared and

by their members can sometimes be called nations

based culture does become the main criterion of

even when multicultural: it is natural to speak

social identity; one of the main roles of the state is

of the Swiss nation,

standardized

education­

notwithstanding cultural­

the maintenance and protection of such a culture.

linguistic differences within it, or the presence

Human beings identify with their literate culture,

inside the polity of politically significant subgroups,

and states protect such cultures. The state in turn is

'cantons'. Likewise, it would not correspond to actual usage to allow any given cultural differentiation to

legitimated by providing protection for a national culture, and the symbols it primarily employs are national rather than dynastic or religious.

416

NATIONAL ECONOMIC PLANNING

In this kind of world, a 'nation' is a large, an­ onymous population which both shares a common

Reading

political legitimacy. Both the external criterion of

Nations before Nationalism. (1924): Die Nationalitdtenfrage und die Sozialdemokratie, 2nd enlarged edn with new preface. Gellner, E. 1983: Nations and Nationalism. Smith, A. D. 1991: National Identity.

shared culture and the subjective criterion of polit­

ERNEST GELLNER

CULTURE and either has, or aspires to have, its own political roof (see also STATE) . 'National' identity becomes a general preoccupation and a criterion of

Armstrong,J. 1982: Bauer, 0. 1907

ical will are present in this definition, though their relative weight may vary. The Swiss, as indicated,

national

are defined by a shared will rather than culture: the

economists in the past and the neoclassical econo­

economic

planning

The

classical

same criterion also makes Gaelic-speaking Scottish

mists in modern times have been concerned mainly

Highlanders into Scots, notwithstanding a linguis­

with the behaviour and interactions of two groups

tic distinctiveness. The applications of this definition remain conten­

of economic actors, enterprises and households. The actors would be typically assumed to be maxi­

tious. The disagreements are not a fault of the

mizing private benefits, profits and utilities respect­

definition, but are inherent in the situation. The

ively. They interact by trading private goods and

point is that on the way to the establishment

services on terms determined in (economy-wide or

of nation-states, each providing a single political

international) competitive markets.

roof for a single shared culture, conflicts occur,

Central to the traditional case for national eco­

often of great severity, concerning just which of

nomic planning is the recognition that apart from

the pre-existing cultures are to be granted a state,

private goods, private interests and individual pref­

or which of the pre-existing political units are

erences, there are also, and in any modern society

to be granted a culture as its ward and its raison

even more so, nonprivate goods, common interests

d'etre. While from a theoretical point of view it is

and social preferences. Markets for such goods may

essential to distinguish between modern 'nations'

not exist or can be grossly inefficient. The decisions

on the one hand, and 'mere' tribes, castes, dialects,

about the economic resources needed to satisfy

religious minorities on the other, this does not

these common interests must therefore be made in

tell us which of these multiple premodern differen­

a different way. National planners are, or are sup­

tiations are to be allowed to turn themselves

posed to be, the representatives of such interests,

into a modern nation. Only historical destiny,

acting on behalf of a whole society. These represen­

not some independent criterion, can decide this

tatives form the third group of economic actors.

ISSUe.

They are or should be the elected representatives

The term 'nation' does occur in premodern con­

of the society, acting in their resource allocation

texts, describing, for instance, regionally based

roles through various agencies of the national gov­

corporations of students in medieval universities,

ernment. These bureaucratic agencies and the pro­

or the totality of the gentry in a given political unit

cess of bargaining which national planners initiate

(Poland). But in the interests of logical tidiness, it

and over which they preside are the counterparts,

is best to restrict the term to the modern phenom­

respectively, of market institutions and market

enon of a large anonymous population, both sharing

competition. The regulations and direct resource

a literature culture and endowed with a will to

allocation decisions of the agencies are what may be

possess a single political authority (though some­

called the visible hand of bureaucracy, or the bur­

times one or the other of these two elements may

eaucratic coordination mechanism, the counterpart

predominate). This definition cannot provide us

of Adam Smith's invisible hand of the price mech­

with the ability to tell in advance of the event just

anism, or the market coordination mechanism

which premodern groupings will or will not suc­

(Kornai, 1980).

ceed in becoming nations. Nationalists imbued

In the course of much of the twentieth century,

with a strong sense of the justice of their cause

excepting the 1980s and the 1990s, the worldwide

tend to feel that their culture really, 'objectively'

tendency has been for governments to devote an

defines a nation (see NATIONALISM) : but this feeling

increasing proportion of national resources to the

engenders the historical reality of the nation, rather

provision of public goods, such as national defence,

than being, as the nationalist supposes, its reflec­

public transport, law and order, and to the provi­

tion.

sion of merit goods, such as health, education and

NATIONAL ECONOMIC PLANNING

417

housing. National plans, though of a limited kind,

economy (CME) the direction of causality tended

are needed for the purpose of arriving at the deci­

to run from resources to supplies, and then to

sions about the size and composition of current and

demands. In particular consumer supplies reflected

investment spending in these areas in the course of

input planners' preferences and usually deviated

time.

considerably from the levels which would have

However, for a period of time national economic

existed if freely determined by the market. Adminis­

planning assumed a truly spectacular role in former

tered prices, taxes and subsidies would have been

socialist countries with centrally managed econ­

used to bring the levels of consumer demands closer

omies (the former Soviet Union, Central Europe,

to those of such supplies (Kushnirsky, 1982).

China, Cuba, North Korea, Mongolia and Viet­

National plans in a CME varied in terms of the

nam) and, to a much lesser extent, in newly indus­

periods of time they covered and in terms of

trialized countries with market-based economies.

the degree of aggregation. Annual plans were the

The origins of this role can be traced in large part

most operational and the most disaggregated. These

to the spread of socialist doctrine for much of the

plans would themselves be subdivided into quar­

twentieth century, promoting nonprivate owner­

terly and monthly plans. Medium-term plans, usu­

ship as socially superior and advocating the new

ally to run for five years, were more aggregated and

role for state authorities as an all-purpose entrepre­

often only indicative rather than obligatory. Purely

neur either alongside, in place of or in the absence

indicative and highly aggregative were long-term

of private entrepreneurs (Gomulka, 1986, eh. 1).

national plans. To ease the task of plan formulation

National planning in these countries became all­

and subsequent implementation, state enterprises

embracing, concerned not just with some individ­

producing similar goods were typically grouped

ual sectors or regions, but with development of the

together to form a production association, several

entire economy taking into account demands and

associations formed a branch, headed by a ministry,

supplies for individual products (or groups of prod­

and the activities of the industries were coordinated

ucts) and their intertemporal relationships. Social­

by the central planning authority. These enterprises

ist national planners tended to see markets as failing

negotiated with their higher authorities production

to mobilize adequate financial savings and human

plans which specified the minimum output targets

resources for development, and

as promoting

and maximum input quotas, including new capital

myopic and erratic behaviour of investors, leading

investment. These enterprise-specific plans were

to potentially serious underinvestment, especially

drawn in terms of a limited number of products,

in activities where externalities are present, and so

some 5,000 to 50,000 at the association level and

social benefits deviate from private benefits. A

some 200 to 2,000 at the central level. Most of these

major boon for the spread of national planning in

'products' were large groups of similar goods, usu­

market economies was also the Great Depression of

ally expressed in both physical terms (tons, square

the 1930s and the direct and successful involvement

metres and so on) and value terms. The immediate

of governments in the supply side of economies

aim for central planners was to select from a set of feasible alternatives the volumes of enterprise­

during World War II. In these formerly socialist countries state owner­

specific demands and supplies of such products in a

ship prevailed, and the scope, the ends and the

manner which would ensure approximate balance at

instruments of national planning depended largely

the economy-wide level for each of the products.

on the decision-making autonomy of state-owned

The additional and more demanding aim was to do

enterprises and on the extent to which community

the national balancing in a way that final or net

preferences, effectively planners' preferences, dom­

outputs of the economy would maximize some sort

inated over the preferences of individual consumers

of index of national welfare or, at any rate, that these

in determining the economy-wide demands. Under

outputs would meet planners' objectives in a

the traditional Soviet-type system (the USSR be­

manner considered satisfactory (Manove, 1971;

tween 1928 and 1990), much production and invest­

Heal, 1973; Ellman, 1979).

ment activity was planned and managed from the

Crucial to the performance of such a planned

centre, while consumers' sovereignty and enterprise

economy was the behaviour of enterprises. Since

autonomy were highly restricted.

By contrast

both output targets and input quotas were typically

to market economies where supplies and demands

large aggregates, an enterprise-specific plan im­

are closely interrelated, in any centrally managed

posed from above can be viewed as representing a

418

NATIONAL ECONOMIC PLANNING

set of (resource, demand and financial) constraints

budget constraint' helped to develop, and was itself

defining the set of choices still open to the enter­

enhanced by, 'paternalistic attitudes' of the centre

prise. The choice of its own plan by the enterprise

to enterprise (Kornai, 1980).

(agent) depended in turn on the incentive system

Despite the widespread presence of microeco­

imposed by the centre (principal), particularly on

nomic

the credibility of its disciplining threats (Schaffer,

central planners were on the whole capable of main­

disequilibria

and

inefficiency,

socialist

1989). The terms of both the imposed plan and

taining macroeconomic balance. They kept wages

the incentive system were enterprise-specific and

low and this ensured that profit margins were usu­

therefore open to bargaining between the enterprise

ally exceptionally high by Western standards.

and the centre. The bargaining asset for the enter­

These profits financed large investment activity

prise was the limited access to the information on its

and funded current expenditure of the state budget,

true production possibilities by the centre. In the

a large proportion of which was financing consumer

bargaining process enterprises were therefore in a

subsidies. Except in former Yugoslavia, central

position to seek both greater input quotas than

planners were also able to control well the growth

necessary and lower output targets than possible.

of wages and other incomes and thereby limit price

They were also typically better off by not revealing

inflation to rates typically below 10 per cent

present production possibilities, since this infor­

per annum (Wiles, 1980). However, in some coun­

mation would have been used by the centre to

tries and in certain periods, this control was ser­

increase their future output targets. This practice

iously eroded or nearly lost (Poland in 1950-1,

of planning whereby achieved levels of perform­

1980-1, 1988-9, the former USSR in 1989-91)

ance are used as a starting point to determine new

leading to bursts of what Kolodko and McMahon

targets is known as the application of the 'ratchet

(1988) call 'shortageflation'. Politically motivated

principle' (Berliner, 1976; Cave and Hare, 1981).

attempts to keep state controlled prices below

Since many dissimilar goods were included in

market-clearing levels led in turn to the growth of

composite output targets, these targets had to be

black markets and the phenomenon of 'forced

expressed in value terms. The producer had in this

savings'.

case an interest, given the cost-plus principle of

The early reformers of CMEs, in the quest for

price formation, to use expensive inputs in order

combining economic efficiency and socialist prin­

to minimize effort needed to implement a given

ciples, did not advocate the reduction of state own­

plan. This led to a bias in CMEs to produce mater­

ership or central planning, but merely the abolition

ial-intensive products (see Gomulka and Ros­

of enterprise-specific plans. Enterprises would as a

towski, 1988 for an estimate of the bias). Most

consequence be financially and managerially inde­

product prices in CMEs were state imposed and

pendent. To elicit better performance it was

rigid, responding little to market disequilibria.

thought vital that they also operate in a competitive

Such ad hoc prices differed substantially from the

market environment. However, according to the

marginal social cost of production. To reduce their

reformers, key prices, performance criteria and in­

allocative role, and as a response to the effort-min­

centives would be set by the centre to induce enter­

imizing behaviour of enterprises, central planners

prises to produce, although no longer individually

would typically set high output targets and low

but jointly, what the centre wanted them to pro­

input quotas, so that the set of choices from which

duce. In this 'planned socialist economy with a

an enterprise selects its own plan was small. This

regulated market' (Brus, 1961) the competitive

practice of'taut planning' attempted to bring to the

market mechanism was intended to be used as an

fore the allocative role of these quantitative targets

instrument to implement central plans (Malinvaud,

which for planners were meaningful, and diminish

1967, proposed a possible implementation of this

the role of prices. However, inflexible prices led to

idea in a fully developed mathematical model; for a

widespread and persistent microeconomic disequi­

survey of possible implementations see Heal, 1973).

libria, and this in turn caused the phenomenon of

This idea of indirect or parametric central planning

'forced substitution' (of shortage goods by surplus

was at the heart of the Hungarian reform between

goods). Given the poor quality of prices, profits

1958 and 1990, the Polish reform from 1982 to

could not be relied upon as a measure of perform­

1989, and the Chinese reform initiated in 1978.

ance. This feature of CMEs led to the practice of

Under those reforms shortages were reduced and

tolerating loss-making. This tolerance of 'soft

price flexibility increased. However, competitive

NATIONAL POPULAR REGIME

419

markets were not established, private enterprise

the rules of liberal democracy, can be called a na­

remained restricted, paternalistic and intervention­

tional popular regime. Countries in the process of

ist attitudes of the state owner to enterprises per­

development, in most of Asia, Africa and Latin

sisted. As a result the old deficiencies, particularly

America, as well as in Eastern Europe before

high inefficiency and low innovation, continued

World War II, are especially likely to experience

unabated. This failure of reforms within the system

this kind of rule. Its origins can be basically twofold.

subsequently led, in Central Europe and the former

In some cases, conservative or foreign-dominated

USSR, to a frontal attack on the twin pillars of the

political systems are toppled by a violent takeover

system itself; central (direct or indirect) planning

by alienated sectors of the elite - often the military­

and state ownership. In Central Europe and the

which use the state apparatus to reorient economic

former USSR central planning was abandoned in

and social policy and acquire mass support. In other

the period 1989-92. The original arguments of von

cases, mass movements are organized from below,

Mises (1935) against the feasibility of rational eco­

and only after a long period of appositional politics,

nomic calculation in the 'Socialist Commonwealth',

either reformist or revolutionary, do they accede to

initially challenged by Lange and Taylor (1938),

power.

appear to have been vindicated (see Lavoie, 1985,

In the first case, that is, when the national popu­

and Balcerowicz, 1995, for recent reviews of the

lar regime has been installed from above, the result is often of a highly authoritarian kind, with the

arguments). There has been a parallel shift in developed

addition of officially controlled mass demonstra­

market economies of Western Europe and Japan,

tions. Many countries in the Middle East have

as well as in most newly industrialized developing

followed this pattern since World War II, and so

countries worldwide, away from active and exten­

to a lesser extent has Turkey since the days of

sive 'indicative' central planning (Brada and Estrin,

Mustafa Kemal Atati.irk in the 1920s. The mass

1990). In many of the countries privatization pol­

component of the regime generally takes the form

icies have also reduced the size of the public sector.

of an official single party. In Turkey, however, the

However, the more traditional economic role of

regime eventually generated a system of competi­

central authorities in the provision of public and

tive parties, in a slow process of liberalization punc­

merit goods, as well as macroeconomic stabilization

tuated by renewed military interventions.

management, regulations and law enforcement,

The degree of popular support obtained by na­

remains largely intact throughout much of the

tional popular regimes is difficult to ascertain, as it

world economy.

is not genuinely tested in free elections. That sup­

See also S ociALIST ECONOMics; S ociALIZA TION OF

port, however, is often present, particularly during

THE ECONOMY.

the early periods of consolidation, as a result of

Reading

icies and of the monopoly or near monopoly of the

nationalist, revolutionary or radically reformist pol­ Balcerowicz, L. 1995: Socialism, Capitalism, Transform­

ation. Cave, J. and Hare, P. 1981: Alternative Approaches to

Economic Planning. Ellman, M. 1979: Socialist Planning. Gomulka, S. 1986: Growth, Innovation and Reform in

Eastern Europe. Heal, G. M. 1973: The Theory ofEconomic Planning. Johansen, L. 1978: Lectures on Macroeconomic Planning,

mass media. Public opinion is usually polarized by those policies, and a large sector of the erstwhile dominant classes is thrown into opposition or exile, while a new ruling class is formed on the basis of the bureaucracy, the military and the new capitalists. In the second case considered, that is, when a national popular regime has its origins in insurrec­ tions from below, mass politics take a somewhat different character, because of the more genuine

vols I and 2. Kushnirsky, F. I. 1982: Soviet Economic Planning, 1965-

80.

and spontaneous nature of the party representing the revolution. However, structural constraints de­

STANISLAW GOMULKA

termine a convergence in the nature of these

A system of govern­

Mexico, whose 1910 revolution can be considered

regimes with those originating from above. In national popular regime

ment that derives its legitimacy from affirmations of

to have generated, after a few years of civil war, the

mass popular support and from the defence of

first national popular regime in the twentieth cen­

national interests, while not following too strictly

tury, the formation of a dominant party took almost

420

NATIONAL SOCIALISM

a couple of decades, and was compatible with the

force (like that of Vargas in 1930) evolved towards

existence of minor opposition parties. The regime

becoming the basis of popular parties capable of

has evolved in a clearly capitalist direction, and the

maintaining their strength in a reconstituted demo­

ruling party has become increasingly conservative,

cratic regime.

while opposition from both the right and the left

In Eastern Europe between the two world wars

has been growing and becoming capable of challen­

several governments partook of the traits here

ging the regime. As a result trends are discernible

assigned to national popular regimes, and of those

towards the consolidation of a more competitive

of fascism. Often national popular regimes or their

and free political system, unless a military coup

associated populist parties have been branded as

stops this process.

fascist. It is a fact that in some of them fascist

In Algeria the regime established in 1962 was

elements have a presence, but the traits of the two

based on a successful national insurrection which

systems are quite different. It is, however, probably

had to wage a protracted struggle against French

no coincidence that the fascist components of na­

colonialism. The ensuing legitimacy of the freedom

tional popular regimes are greater in relatively more

fighters gave them an extended credit from the

developed countries, such as Argentina, Brazil and

masses and the new elites, and enabled them to

in Eastern Europe. The presence of authoritarian

establish important reforms and elements of a so­

and mass mobilization traits is not enough to clas­

cialist economy. In Iran the fundamentalist Islamic

sify a regime as fascist, as these traits are also

revolution of 1979 enthroned a religious and highly

present in communist countries. They do establish

bellicose version of a national popular regime, ap­

a contrast with liberal democracy, but the Latin

parently quite capable of receiving continued,

American experience shows that the heirs of those

though regimented, popular support.

regimes can become permanent participants in a

National popular regimes, particularly those originating from below, can evolve in a socialist direction, or at the very least adopt a socialist

competitive political process, in which they occupy a position nearer to the left than to the right. See also POPULISM; NATIONALISM.

phraseology, in an attempt at maintaining support among the masses or the radicalized middle sectors

Reading

and the intelligentsia. Some revolutionary socialist

Almond, G. and Coleman, J. S. eds 1960: The Politics of

regimes, such as those in Cuba and from 1979 to 1990 in Nicaragua, have come to power with a complex pattern of social support, and share some of the traits of national popular regimes, including the cult of personality and a preference for one­ party systems. Some instances of national popular regimes are a

Developing Areas.

Apter, D. E. 1965: The Politics ofModernization. Dahl, R. ed. 1973: Regimes and Oppositions. Linz, J. and Stepan, A. eds 1978: The Breakdown of Democratic Regimes.

O'Donnell, G., Schmitter, P. and Whitehead, L. eds 1986: Transitions from Authoritarian Rule: Prospects for Democracy.

mixture between the two polar types considered

TORCUATO S.

DJ

TELLA

before, those originating from above and those ori­ ginating from below. In Argentina the military

National Socialism

coup of 1943, with Juan D. Per6n as a leading

general explanations of National Socialism - as

figure, established a regime with national popular

a political movement, ideology, and regime -

traits. Forced by the opposition to grant free elec­

has been undermined by the progress of detailed

tions, the political party formed by Per6n revali­

research and the emergence of 'postmodernist'

The earlier confidence in

dated its credentials of representing the masses.

paradigms. The theories of Hitlerism, ToTALITAR­

The ensuing constitutional presidencies of Per6n

IANISM, FASCISM, or the German Sonderweg (see

(1946-55) saw a progressive deterioration of the

Grebing, 1986; Blackbourn and Eley, 1984) now

recently re-established liberal democratic system,

appear usable only for the light they shed on par­

ending in a military coup in 1955. Peronism in

ticular features, or as incentives to further reflection

opposition retained its character of a mass party,

and analysis. It seems problematic today whether

and has since become a permanent feature of the

the National Socialism of the 1920s, such as de­

Argentinian political system. In other Latin Ameri­

veloped in industrial-capitalist Germany under

can countries as well governments originating from

AdolfHitler's leadership, established a dictatorship

above or from a combination of civilian and military

(1933-45) which brought suffering to a great part of

NATIONAL SOCIALISM

421

humanity through World War II and the policy of

national Habsburg empire

mass extermination, can simply be subsumed under

tion of the German Workers' Party), and after

the general category of fascism, even though it was

World War I they had a resurgence in Austria,

(1903

saw the founda­

historically associated with it (see Larsen et al.,

Czechoslovakia and Germany. The National So­

1980).

cialist movement was at first only a splinter party

One of the roots of National Socialism in Euro­

of the 'viilkisch' workers in post-war Munich, but

pean history is to be found in the intellectual

soon found in Hitler an outstanding propagandist

and political efforts, even before the turn of the

and eventually a mythically transfigured leader. As

century in France and in Central Europe, to unite

the National Socialist German Workers' Party

a bellicose nationalism with mass politics in the

(NSDAP) it adopted in

early phase of democratization, and with socialist

which radical nationalistic and imperialistic claims,

1920

a programme in

conceptions. Although this 'new nationalism', not

and demands for the revision of the international

yet fully realized by such diverse parties as Adolf

and domestic post-war order were combined with

Stoecker's 'Christian-Social Workers' Party' in

wide-ranging anti-Semitic issues and middle-class

Berlin or Georg von Schiinerer's Pan-Germans in

and social demands (such as the nationalization of

Vienna, is often assimilated in traditional political

trusts, profit-sharing in large enterprises, commu­

thought to the extreme right, it did in fact, like

nalization of wholesale distributors, and the div­

fascism generally, evade this left-right schema

ision of large landed property) subsumed under

(see O'Sullivan,

This ]anus­

the comprehensive notion of a classless 'people's

faced attitude also explains why controversy among

community'. The heterogeneity of this programme

1983,

chs

2

and

3).

social scientists and historians has persisted over

was indeed constantly emphasized by contempor­

whether National Socialism should be regarded as

aries and by historians, and little significance was

revolutionary or reactionary, backward-looking or

attributed to it in the political practice of National

modernizing (see Prinz and Zitelmann, 1991), as an

Socialism. Nevertheless, it enabled the NSDAP to

attempt to achieve social stability by reactionary

present itself as being uncommitted to specific

means or as an (unintended) economic and societal

social groups, and during the world economic crisis

modernization achieved by a 'conservative' political

to respond to contradictory elements of dissatisfac­

revolution (see Schoenbaum,

tion and protest, uniting them in a mass movement.

1966).

In contrast with Mediterranean and West Euro­

Hitler's worldview (expounded in

1925

in Mein

which was formed in the Vienna of the

pean fascism, National Socialism started from a

Kampf),

national culture which was characterized by con­

late Habsurg monarchy and refined in the counter­

ceptions of a mythical common descent, of 'blood

revolutionary climate of post-war Munich, serves

and soil', of 'race' and the 'Volk'. Another essential

the historian to some extent as the main formula­

element was 'modern'

based on

tion of National Socialist ideology. Its basic prin­

Christian traditions. These elements were com­

ciples are the social Darwinist struggle for existence

ANTI-SEMITISM

bined in a distinctive way in Germany from the

(see

time of national unification 'from above' in

1871.

the 'Aryan race'; and an elitist view of individuals.

expressed

The central aims set out are the conquest of 'living

The

belief

in

the German

'Volk',

SociAL DARWINISM); belief in the superiority of

public festivals,

space in the East' and a radical 'removal of the Jews'

popular novels and writings, and Wagner's operas,

from society, which in practice became merged in

through

national

monuments,

became established as a kind of 'secular religion' in

the struggle against 'Jewish Bolshevism'. Unlike

many sections of German society (see Mosse,

the National Socialist agrarian romantics Richard

in symbols and liturgical forms as 'theatrical polit­

(1895-1953) and Heinrich Himmler (19001945), Hitler, who accepted the existence of private

ics'. This was another, still more important source

property though wanting it to be subordinated to a

1964).

This 'German ideology' was communicated

Darre

of National Socialism, and at the same time a pre­

'people's community', conceived the future trans­

condition for its diffusion when German society

formed Germany as a highly industrialized and

was convulsed by the economic and social crises of

technologically advanced society (see Zitelmann,

the interwar years.

1987; Kershaw, 1991, eh. 1 and

Forerunners of National Socialism, both in name

conclusion).

The principles of a charismatic leadership, vio­

in the na­

lent 'anti-Marxist' and antidemocratic agitation,

tionalist struggles in German Bohemia of the multi-

and paramilitary politics (the 'private army' of the

and organization, emerged before

1918

422

NATIONALISM

SA and later the SS 'private police') were perfected

These suggested limits to the 'totalitarian' pene­

by the NSDAP after the failed Munich Beer Hall

tration of German society by National Socialism

putsch of 1923, although the party leadership re­

created the impression after the defeat of 1945 that

strained many 'revolutionary' combative tenden­

there had been scarcely any convinced National

cies among its militant members and avoided any

Socialists, but only fellow-travellers, opportunists

appearance of trying to seize power unconstitution­

and deluded individuals. Post-war 'denazification'

ally. The party membership and electoral support­

implemented by the occupying Allies was limited in

ers in the early 1930s gave the impression of a

West Germany and superficial in East Germany,

modern, if asymmetrical, people's party much

but there was little revival of National Socialist ideas

more than that of middle-class or petty bourgeois

in the proper sense. Neo-Nazi organizations and

party which many Marxist and liberal theorists of

parties have had little influence, except briefly in

fascism emphasized. Equally dubious are the as­

the late 1960s with the emergence of the German

sumptions about the financing of the NSDAP's

National Democratic Party (which was not neo­

rise, mainly by 'big capital', but the seizure and

Nazi in the full sense) and more recently since

consolidation of power in 1933 is hardly conceiv­

1990, although the 'Republicans' are right-wing

able without the support of national and conserva­

nationalists rather than neo-Nazis (see Benz, 1989).

tive elites of the late Weimar Republic (the Prussian landed

aristocracy,

military

leaders

and

high

Reading Baldwin, P. 1990: Social interpretations of Nazism. Jour-

officials). The establishment of National Socialist rule raises fundamental questions about its structure and functioning. In particular, German historians debated in the 1980s whether the 'Third Reich' depended in fact on the will of Hitler as the all­ powerful leader, or was a polyarchy of rival subor­ dinate leaders and bureaucracies which, in the final analysis, can be reduced to the structural di­ chotomy of 'state' and 'party' factors in the power

nal of Contemporary History 25, 5-37. Bracher, K. D. 1970: The German Dictatorship. Broszat, M. 1981: The Hitler State. Jackel, E. 1972: Hitler's Weltanschauung. Kershaw, I. 1989: The Nazi Dictatorship, 2nd edn. Mayer, A. J. 1988: Why Did the Heavens Not Darken? Mosse, G. L. 1975: The Nationalization ofthe Masses. Noakes, J. and Pridham, G. eds 1983-98: Nazism 1919-

1945: A Documentary Reader, 4 vols. Peukert, D. 1987: Inside Nazi Germany.

structure of the Nazi dictatorship ('dual state') (see

GERHARD

BOTZ

Fraenkel, 1941 and Neumann, 1942). In the same The doctrine requires that the pol­

context, diverse answers have been given to the

nationalism

question whether in the Nazi regime a direct real­

itical and the ethnic group must be congruent.

ization of the

More

National

Socialist,

or Hitler's,

specifically

and

concretely,

nationalism

programme can be discerned, or whether the brutal

holds that the national state, identified with a na­

reality of the 'Third Reich', lacking a proper

tional culture and committed to its protection, is

foundation on a distinctive ideology,

was the

the natural political unit; and that it is scandalous if

consequence of an unplanned process of self­

large numbers of members of the national commu­

radicalization, resulting from latent tendencies in

nity are obliged to live outside the borders of the

the German or in any modern society. Above all, in

national state. Nationalism is also not too well dis­

explaining the origins of the 'final solution' of the

posed to the presence within the borders of the

Jewish question, this debate gave rise to diametric­

nation-state of large numbers of non-nationals.

ally opposed and politically diverse evaluations, to

But the political situation which quite specially

which corresponded different judgements on the

scandalizes nationalists is one in which the ruling

everyday reality of the National Socialist system:

stratum of a political unit belongs to an ethnic

as a terroristic totalitarian dictatorship to which the

group other than that of the majority of the popu­

whole population was subjected (Arendt, 1951), or

lation (see also NATION).

as a regime of consensus, partial 'popular resist­

The principle of nationalism, as outlined, is very

ance' and a significant degree of latitude in private

widely held and even more commonly taken for

life, which was outside the public rituals of assent

granted in the modern world. To a very large pro­

and the horrible events of the persecution of polit­

portion of our contemporaries, it simply seems

ical opponents and Jews, and- for a long time- the

obvious and self-evident that people should prefer

effects of the war.

to live in political units with fellow members of the

NATIONALISM same 'nationality' or culture and, above all, that

2

423

The impact of nationalism is due to the formu­

they should find rule by foreigners offensive. The

lation and dissemination of nationalist ideology,

national and political unit is the one which repre­

worked out by various thinkers at the turn of the

sents and expresses the will of the majority of

one

eighteenth into the nineteenth century, then

nation, protects its interests and ensures the per­

elaborated further and subsequently dissemin­ ated. The main proponent of this theory is Elie

petuation of its culture.

Kedourie.

Under the impact of nationalism, both the ethno­ graphic and the political map of Europe, and in a

3

A theory held by many Marxists to the effect that the real underlying conflict in history is

different manner that of the rest of the world, has come to be redrawn. The principles which had

between classes, so that interethnic conflict is

governed the drawing of the map of Europe in

an irrelevancy; but nevertheless, it acquires im­

1815, after the Napoleonic wars, were dynastic or

portance because dominant classes foster na­

religious: little if any attention was given to bring­

tionalist sentiment, in order to distract the

ing the nationality of subjects and of rulers into

attention of those whom they dominate from

harmony with each other. In many parts of Europe,

their real interests. Nationalism is a plot to

this would in any case have been quite impossible:

prevent the oppressed from fighting their real enemies. (But see also Bauer, 1907).

the ethnic map of much of Europe was extremely complex, and implementing the nationalist prin­

4

Nationalism arises in the course of economic

ciples to respect it would have required that the

'development', that is, during the diffusion of

political map should resemble a jigsaw puzzle.

industrialism, interpreting this term broadly as

Moreover, it was often quite impossible to project

an economy based on a rapidly growing and

the ethnic boundaries on a territorial map at all:

very powerful technology. The diffusion of

ethnic, cultural and religious groups were fre­

such an economy leads 'backward' areas and

quently separated not by territory, but by their

their populations to be incorporated in the in­

place in a social structure. They often inhabited

dustrial economy on terms disadvantageous to

the same territory, but their role in society was

them, both economically and socially. To pro­ tect themselves, they must organize with a view

distinct. It is important to note that styles of drawing

to creating their own political units, ones which

political boundaries which respected dynastic, reli­

will guide their economic development, espe­ cially during its earlier and fragile stages.

gious or community links but which ignored the principle of nationality were at that time and at previous times taken for

granted.

They were

5

Nationalism is a by-product of conditions pre­ vailing in the modern world, when most people

seldom challenged or found offensive. The ques­

no longer live in closed village communities,

tion arises as to why a principle, once largely

when work is semantic, not physical, and re­

ignored or weak, should in the course of the nine­

quires the capacity to communicate in a shared,

teenth and twentieth centuries have become so very

fairly context-free idiom and in writing, when

strong and effective. A number of answers have

the occupational structure changes rapidly and

been proposed for this crucial and important ques­

cannot easily tolerate an ethnic division of

tion:

labour, and when contact with and dependency on large bureaucracies, both political and eco­

There is an atavistic instinctual drive within

nomic, pervades all aspects of life. In these

human beings, which makes them wish to be

conditions, universal literacy and the use of

close to others of the same 'blood' or culture (or

standardized codes become the norm. A per­

both) and to hold territory together, and which

son's mastery of such a code becomes his or her

also leads them to detest those they consider

most important asset and means of access to

alien, resent their proximity (especially in large

employment, social and political participation,

numbers), and resent even more strongly the

acceptability and dignity. Only the state can

rule of foreigners. The reawakening of these

protect and maintain the required cultural

drives may be attributed to various causes,

homogeneity, and the principle of

such as the decline of religious faith, the disrup­

one culture

one state,

tends to operate. It then becomes of

tions of modern life, or a general tendency to a

great concern to any individual that the state in

return to a 'naturalistic' vision of human beings.

whose territory he or she resides should use the

424

NATURAL SELECTION same culture as the one to which the individual in question

is committed.

Individuals will

struggle so that this congruence be achieved, either by assimilating into the dominant cul­ ture, or by trying to turn their culture into the dominant one. They will endeavour to create new states around this favoured culture, and/ or modify existing political frontiers.

Hall , J. A. (ed). 1998: The State of the Nation. Ernest Gellner and the Theory ofNationalism. Hobsb awm , E.

1990: Nations and Nationalism since

1780. Kedouri e , E. 1960: Nationalism. Kohn, H. 1962: The Age ofNationalism. Renan, E. 1882 (1945): Qu' est -c e qu'une nati on? In Ernest Renan et l'Allemagne, ed. Emi1e Bure . Set on-Wats on, H. 1977: Nations and States. Smith, A. 1971: Theories ofNationalism.

The present author is inclined to believe that the

--1979:

truth of the matter is to be found in a combination

Century.

of positions

(4) and (5).

The objection to the 'atav­

istic' theory is that the dark instinctual drives of

Nationalist

Movements

in

the

Twentieth

--1991: National Identity. --1998 Nationalism and Modernism.

ERNEST GELLNER

human beings, powerful though they are, have not in the past prevented an intensity of hate and mur­ derousness between members of the same 'blood' or

nationalization

See SociALIZATION

cultural groups. There is no good reason to believe that the call of Blut und Boden ('blood and soil')

natural selection

should have become more powerful in our age. The

ISM, natural selection is the primary mechanism in

According to NEO-DARWIN­

'ideological' explanation fails to explain why just

terms of which the adaptation of organisms to their

these ideas, in an age of over-production of ideas,

environment is to be explained. It depends on three

should have had more appeal than their rivals, often

subsidiary mechanisms: variation, inheritance and

propagated by more zealous and more talented

CoMPETITION. Individual organisms vary in many

thinkers and writers. Some Marxist theories of

of their traits, some variants being better adapted to

nationalism as a cunning ploy of ruling classes

the environment than others. Given competition

seem to have little factual support.

for scarce resources, better-adapted individuals

However, the issue is in no way closed, and the

will prevail over those less well adapted and, if the

empirical or historical evidence is more than am­

superior variant is heritable, it will come to be more

biguous. The theories favoured by the present

common in successor generations, and the species

author apply better to Europe than they do to

to be better adapted to its environment.

much of the Third World, where nationalism has

Some notable developments in recent social

certainly led to a powerful anticolonial movement

thought show signs of the influence of the idea of

(see COLONIAL LIBERATION MOVEMENT; NATIONAL

natural selection. Cultural ecology explores, an­

POPULAR REGIME), but where subsequently colonial

thropologically, the adaptation to the environment

frontiers have been, to a remarkable extent, per­

of ideology and other aspects of culture (Sahlins

petuated and maintained. Plural, multi-ethnic pol­

and Service,

ities have also survived, as have a proliferation of

idea of selection, as does the theory of Talcott

states sharing the same culture (Arab and Hispano­

Parsons

American states). The linking of the political sali­

of adaptive upgrading via differentiation (see Evo­

ency of nationhood to the industrial era has also

LUTIONARY PROCESS IN SOCIETY).

1960)

(1966),

and exploits, analogically, the

associated with his functionalism,

been challenged, for instance, by one of the most

The idea of adaptation via variation and selection

active and serious scholars of nationalism, Anthony

provided a model for BEHAVIOURISM, as B. F. Skin­

Smith.

Reading Anders on, B . 1983: Imagined Communities: Reflections on the Origin and Spread ofNationalism. Armstrong, J. 1982: Nations before Nationalism. Billi g, M. G. 1995: Banal Nationalism. Breuilly, J. 1982: Nationalism and the State. Deutsch, K. 1966: Nationalism and Social Communication, 2nd edn. Gellner, E. 1997: Nationalism.

(1971, eh. 1), and is invoked by (1973) to account for the development

ner acknowledges

F. A. Hayek

of the market (see EVOLUTIONARY PROCESSES IN THE ECONOMY) and to justify the OPEN SOCIETY. This idea, which also provided inspiration for the evolu­ tionary

epistemology

of

Karl

Popper

(1972),

had earlier grounded the PRAGMATISM of John Dewey

(1938)

and, in the biological domain, pro­

vided theoretical foundations for SociOBIOLOGY and ETHOLOGY.

NATURALISM Ideas about adaptation through selection were

425

ated with PosiTIVISM, dominant in the philosophy

invoked by advocates of SociAL DARWINISM to

and

defend the inequalities generated by unconstrained

in the Anglophone world) until c.1970; (b) anti­

practice

of

the

based

on

social

sciences

(at

least

economic competition, and by advocates of eugen­

naturalism,

ics to justify programmes of restrictive reproduc­

of the uniqueness of social reality, that is as prein­

a distinctive conception

terpreted, conceptualized or linguistic in character

tion. Perhaps the most important long-term influence of the idea of natural selection is its contribution to

-

HERMENEUTICS, the 'official opposition' to positiv­

ism, strong in the Germanic world and in the prac­

the process of SECULARIZATION. For selection pro­

tice of the humanities; and (c) more recently,

vides, for the explanation of the adaptation of or­

a qualified critical naturalism, grounded in an essen­

ganisms to their environment and to each other, an

tially realist conception of science and a transform­

alternative to the creationism associated with reli­

ational conception of social activity, which has

gious fundamentalism.

begun to come to the fore in the last quarter of the

One common misunderstanding of natural selec­

century (see REALISM).

tion should be noted.Selection-driven processes of

Positivism finds expression in the Durkheimian

evolution are oriented to no final goal and need not

sociological tradition and in behaviourism, func­

generate any fixed sequence of stages in which

tionalism and structuralism. Its immediate philo­

PROGRESS is manifested. The theory of natural se­

sophical antecedents lie in the work of David

lection thus stands opposed to the HISTORICISM

Hume, ]. S. Mill, Ernst Mach and the VIENNA

with which it is often identified.

CIRCLE, providing the spine of the orthodox concep­

tion of science. The immediate philosophical an­

Reading Darwin, C. 1859: The Origin ofSpecies. Gou1d, S. J. 1980: Ever Since Darwin. Maynard Smith, J. 1958 (1975): The Theory ofEvolution, 3rd edn. FRED D'AGOSTINO

cestry

In the twentieth century naturalism

usually connoted three related ideas:

hermeneutics comes from

Wilhelm

Max Weber. They fused Kantian and Hegelian distinctions so as to produce a contrast between the phenomenal world of nature and an intelligible world of freedom, grounding distinctions between causal

naturalism

of

Dilthey, Georg Simmel, Heinrich Rickert and

explanation

understanding

(Erkliiren) and interpretive ( Verstehen ), the nomothetic and the

IDIOGRAPHIC, the repeatable and the unique, the

realms of physics and of history.It finds expression

2 3

the dependence of social, and more generally

in the Weberian sociological tradition and in phe­

human, life upon nature, i.e.materialism;

nomenological, ethnomethodological and inter­

the susceptibility of these to explanation in es­

pretive studies in general. A discrimination must

sentially the same way, i.e.scientifically;

be made within this second camp between those

the cognate character of statements of fact and

who seek to synthesize or combine positivist and

value, and in particular the absence of an un­

hermeneutical principles such as Weber or Ji.irgen

bridgeable logical gulf between them of the kind

Habermas, and those dualists who deny positivism

maintained by David Hume, Max Weber and

any applicability in the human sphere such as H.G.

G.E.Moore, i.e.ethical naturalism.

Gadamer or P.Winch.The third, critical naturalist tradition is immediately based on the realist phil­

This entry is mainly concerned with the second

osophy of science developed by Rom Harre, E.H.

sense. It has been the dominant issue in the phil­

Madden, Roy Bhaskar and others and the concep­

osophy, and a controversial issue in the practice, of

tion of social activity independently proposed by

the human sciences.Naturalism, in this sense, must

Pierre Bourdieu, Anthony Giddens and Bhaskar.It

be distinguished from two extreme species of it:

has been taken up and developed by a number

scienticism, which claims a complete unity, and

of writers including Russell Keat, Ted Benton,

reductionism, which asserts an actual identity of

William Outhwaite and Peter Manicas. Most of

subject matter, between the natural and social sci­

these authors locate an early sociological expression

ences.

for it in aspects of the work of Marx and more

Three broad positions can be delineated: (a) a

recently in social theory (both Marxist and non­

more or less unqualified naturalism, usually associ-

Marxist) aiming to draw on both structuralist and

426

NATURALISM

t

Society

t

Individual The Weberian stereotype

2

'Voluntarism'

Society

Individual The Durkheimian stereotype 'Reification'

Society

socialization

3

I

I

I

I

I

I

I

I

I

I

I

I

I

I

I

I

I

I

I

I

Individuals

reproduction/transformation

The transformational model of social activity

Verstehende traditions in a geohistorically and eco­

social life. Further, realists have argued that trans­

logically informed way. It is not easy to characterize

posed positivist themes enter directly into herme­

the work of poststructuralist, and more generally

neuticists' substantive metatheories.

postmodernist, thinkers. For the most part they

The case for critical naturalism turns on the

adopt a Nietzschean epistemological perspectivism

extent to which an independent analysis of the

on a Humean or positivist ontological base.

objects of social and psychological knowledge is

While positivists have based their naturalism on

consistent with a realist theory of science. Thus,

relatively a priori epistemological theory, herme­

whereas on the Weberian tradition social objects

neuticists have grounded their antinaturalism in

are seen as the results of, or constituted by, inten­

ontological considerations, particularly the mean­

tional or meaningful behaviour, tending to volun­

ingful or rule-governed character of social reality.

tarism (see figure

Moreover while positivists insist that hypotheses

tradition social objects are seen as possessing a life

about such features must be subject to the normal

of their own, external to and coercing the individ­

1),

and on the Durkheimian

2),

procedures of any empirical science, hermeneuti­

ual, tending to reification (see figure

cists can correctly point to the complete absence of

critical naturalist conception society is seen as

laws and explanations conforming to the positivist

both pre-existing and a (transcendentally and caus­

canon. In response to this positivists plead that the

ally) necessary condition for intentional agency

on the

social world is much more complex than the natural

(Durkheim's insight) but equally as existing and

world or that the laws that govern it can only be

consisting only in virtue of it (see figure

3).

identified at some more basic, for instance neuro­

On this conception, then, society is both the

physiological, level. Both positivists and hermeneu­

condition and outcome of human agency (the dual­

ticists have accepted a fundamentally positivist

ity of structure) and human agency both produces

account of natural science. If this, as the realists

and reproduces (or transforms) society (the duality

argue, is false, then positivists have to make out a

of structure). On this model, in contrast to the

special case as to why positivism should be uniquely

hermeneutical perspective, actors' accounts are

(and most implausibly) applicable to the human

both corrigible and limited by the existence of

realm; and hermeneuticists, for their part, have to

unacknowledged conditions, unintended conse­

reassess their contrasts. Thus both of Winch's two

quences, tacit skills and unconscious motivation;

main arguments are parasitic on a positivist ontol­

but, in opposition to the positivists' view, actors'

ogy. Constant conjunctions of events are neither

accounts form the indispensable starting point of

necessary nor sufficient either for natural or for

social enquiry. The transformational model entails

social scientific understanding: both alike are con­

that social life possesses a recursive and non-teleo­

cerned with the discovery of intelligible connec­

logical character, inasmuch as agents reproduce and

tions

transform the very structures which they utilize

in

their

subject

matter.

Nor

do

the

conceptual and the empirical jointly exhaust the

(and are constrained by) in their substantive activ­

real. Realism can allow that conceptuality is dis­

ities. It also indicates a relational conception of the

tinctive, without supposing that it is exhaustive, of

subject matter of social science, in contrast to the

NEEDS methodological individualist and collectivist con­ ceptions

characteristic

of

the

utilitarian

(and

Weberian) and Durkheimian traditions of social

427

May, T. and Williams, M. eds 1998: Knowing the Social World. Buckingham: Open University Press. Outhwaite,

W.

1983:

Concept

Formation in

Social

Science.

theory.

ROY BHASKAR

Certain emergent features of social systems which, on the invocation of a causal criterion for describing reality, can be regarded as

ontological

limits on naturalism, are immediately derivable

needs

A term for essential human requirements,

necessities for subsistence, needs have only really

from this model. These may be summarized as the

become the subject of theory in the twentieth cen­

concept

and

tury. Previously philosophers had argued either

greater space-time specificity of social structures.

that need was an essentially contested concept, or

dependence,

activity

dependence

The causal interdependency between social science

that there was no essential contested concept, or that

relational limit;

there was no essential distinction between needs

and its subject matter specifies a

while the condition that social systems are intrinsic­

and wants. Thinkers as early as Plato and Aristotle

ally open - the most important epistemological limit

had postulated human needs as the basis for the city

- accounts for the absence of crucial or decisive test

(polis), a social aggregate whose economic founda­

situations in principle, necessitating reliance on

tion was market exchange. But so undefined was

exclusively explanatory (not predictive) criteria

the Greek concept of need that it was frequently

for the rational assessment of theory. However sub­

translated as 'demand'. Stoic and Epicurean writers

ject to (and, arguably, just in virtue of) these qua­

of the Hellenistic period used needs as a criterion to

lifications, both the characteristic modalities of

distinguish between virtuous and corrupt lives,

theoretical and applied explanation which realists

promoting the ideal of 'the man of few needs'.

specify (see PHILOSOPHY OF SOCIAL SCIENCE) appear

Thinkers like Epictetus and Seneca argued that

possible in the social, just as in the natural, sphere.

needs have an elasticity that permits them to prolif­

On critical naturalism, then, the social sciences can

erate if the moral will does not intervene to check

be 'sciences' in exactly the same sense as natural

them. This was a line of thinking taken up

ones, but in ways which are as different (and spe­

by Enlightenment thinkers such as Jean Jacques

cific) as their objects.

Rousseau, who in both his First and Second Dis­

critical difference, necessitated by the

courses follows Seneca in arguing that analysis of

consideration that the subject matter of social sci­

the decline of civilization turns on the distinction

A fourth

ence includes not just social objects but beliefs about

between 'natural' and 'artificial' needs. French

those

explanatory

environmental psychologists and early socialists

critique of consciousness (and being), entailing

of the late eighteenth and early nineteenth centur­

objects,

makes

possible

an

judgements of value and action, without parallel in

ies, such as Helvetius, d'Holbach and La Mettrie,

the domain of natural sciences, vindicating a

drew an obvious conclusion from this distinction:

modified form of substantive ethical naturalism,

that the good society depends on appropriate need

(3) above. However, it seems vital to see

formation in the individual (compare AF FLUENT

that is

such critique, and social science generally, as condi­

SOCIETY) .

tioned by human beings' dependency on the natural

The break between early moralistic and unsys­

(I)

tematic treatments of needs and the use of the

order, that is materialism or naturalism in sense above.

concept in a quasi-technical way comes with

Reading

doubt by the Scottish political economists, Hegel

Hegel in the Benton, T. 1981

(1985):

Realism and social science. In A

Radical Philosophy Reader, ed. R. Edgley and P. Osborne. Bhaskar, R. 1989: The Possibility ofNat uralism, 2nd edn. Giddens, A. 1976: New Rules ofSociological Method. Harre, R. and Second, P. 1972: The Explanation ofSocial Behaviour. Keat, R. 1971: Positivism, naturalism and antinaturalism

Philosophy of Right. Influenced no

defined civil society as 'a system of needs', referring to the economic function of society as the provider of necessaries for subsistence through the mechan­ ism of market exchange. While this option harks back to Aristotle, who had in the

Politics already

made the distinction between use value and ex­ change value on which it turns, Hegel produced a

in the social sciences. Journal for the Theory of Social

wider conception of society as a tissue of institu­

Behaviour 1.3.

tions and structures created in the process of need

428

NEOCLASSICAL ECONOMICS

satisfaction. Marx, who owed so much to Hegel,

problems raised by the poor and the homeless,

expanded this notion in the concept of a mode

whose needs are desperate.

of production, society's base, on which institutional superstructures were erected as needs dictate.

Reading

Marx, too, neglects to define needs or to address

Helier, A. 1976: The Theory of Need in Marx.

them specifically, however. In the 1844 Manu­ scripts,

for

instance, he makes a Rousseauian

distinction between human and inhuman needs, whereas in Capital he refers to needs as indistin­ guishable from demands, adding that it matters not whether they are real needs or spring from

lgnatieff, M. 1984: Needs of Strangers. Leiss, W. 1976: The Limits to Satisfaction: an Essay on the Problem of Needs and Commodities.

Soper, K. 1981: On Human Needs: Open and Closed Theories in a Marxist Perspective.

Springborg, P. 1981: The Problem of Human Needs and the Critique of Civilization.

fancy in terms of their system effect (Springborg, 198 1 , eh.

PATRICIA SPRINGBORG

6).

In the twentieth century a focus on human needs

neoclassical economics

The development of

has been prompted by two considerations: problems

neoclassical economics dates from the break with

in Marxist theory, and issues in public policy. Clas­

classical economics which took place in the last

sical Marxists were faced with explaining the unex­

third of the nineteenth century. All schools of Eco­

pected longevity of capitalism, predicted to collapse

NOMICS seek to explain in their different ways the

due to overproduction and underconsumption. A

disjunction between use value and exchange value.

number of Marxist revisionists, marrying Freudian

The classical school had the labour theory of value

notions of instinctual desires to observations about

as its central mode of explaining the worth of

the role of the media by theorists of mass society,

different commodities - the rates at which they

came up with an explanation in terms of 'false

exchange. There were many anomalies with this

needs'. Beginning with Erich Fromm, who first

theory, especially concerning the difficulty of

propounded the idea in the 1930 s, and including

valuing rare things- 'masterpieces'- and commod­

Wilhelm Reich, Herbert Marcuse and members of

ities in the production of which durable capital

the Frankfurt school, these thinkers argued that

played a major role. The labour theory relied on

capitalism has a unique capacity to introject into

the role of labour time expended in the production

the psyche of its subjects the needs it requires

of a commodity to explain its rate of exchange

them to have for the system to survive.

against another good. The use value - the useful­

A second stimulus to the theoretical discussion of needs has been the development of policy studies. Education theorists, town planners, social workers

ness or utility of the good - played no active role in this explanation. Almost

simultaneously,

though

in

different

and civil servants address themselves to 'need­

ways, three authors argued for replacing the clas­

based' policies. Thresholds for needs and criteria

sical theory with a theory based on subjective con­

to discriminate between conflicting needs com­

siderations as well as objective or resource cost

mand attention in their theories. The distinction

considerations. Use value or utility become one

between true and false needs, as formulated by neo­

side of the equation explaining exchange value.

Marxists, is now generally seen to be essentially

Lean Walras (1834-19 10), William Stanley Jevons

moralistic and unscientific, lending support as it

(1835-1882) and Car! Menger (1840-192 1) within

does to the 'dictatorship over needs' (Feher et al.,

three years of each other proposed an anticlassical

1983) established by the command economies of

approach. Their work came to be known as the

socialist countries. With the imaginative work

'marginal revolution', because they used the notion

of Michael Ignatieff (1984), theorists are once

of marginal utility as the explanation for exchange

more focusing on the problem of needs for the

values (see MARGINALIST ECONOMICS) . The mar­

have-nots: those for whom the institutions of pri­

ginal revolution is often thought of as synonymous

vate property leave no public space, squeezed by

with neoclassical economics, but this is a miscon­

the debt burden created by the collusion of capital­

ception.

ist economies of the First World and dictatorships

Jevons and Menger, were explicitly anticlassical.

The

marginalist

pioneers,

especially

in the Third World. The WELFARE STATE, whose

It was Alfred Marshall (1842-1924) who con­

legitimacy rests on its claim to guarantee subsist­

sciously sought to emphasize continuity rather

ence and security, cannot fail to address the

than rupture with earlier English economists, and

NEOCLASSICAL ECONOMICS

429

who created neoclassical economics as the legitimate

(4) Equilibrium. Optimization by a consumer is

successor of classical economics. He incorporated

successful and defines an equilibrium for him; equi­

marginalism into the main body of economics but

librium is a situation such that in the absence of new

also integrated it with classical theories of rent and

information the individual has no reason to change

of international trade.

his behaviour. The same applies to producers.

Neoclassical economics thus emerges as a con­

(5) Competition. In arriving at his decision, the

scious result of Marshall's efforts to propagate a

individual consumer takes the prices of the goods as

rounded synthetic blend of classical economics

given; the consumer is too small a part of the total

(though without the labour theory of value) and

economy to exert any power by virtue of his actions,

marginalism. But modern economics, especially

for instance to influence the price. Producers are in

in the 1960s and since, has one major difference

a similar situation only in perfectly competitive

from Marshallian economics. Marshall thought of

industrial structures. These are desirable but not

markets in separate, partial equilibrium fashion;

universal. In noncompetitive situations, individual

Walras had earlier put forward a simultaneous gen­

producers (and very rarely consumers) exert market

eral equilibrium way of theorizing about econom­

power and affect the price at which they sell or buy.

ics. Modern economics has gone much more along

The competitive case is the norm.

the Walrasian lines.

(6) Market clearing. In the absence of outside arbitrary constraints, a world of individual con­

Basic propositions

(I) Methodological individualism. The individual

sumers and producers will so act that the market for the commodity in question (in partial equilib­ rium) and all commodities (in general equilibrium)

consumer is the starting point and end point of

will clear, that is demands will equal supplies.

neoclassical economics. He (let us face it, it is he)

There will therefore be no excess demand or excess

maximizes his utility, and his attainment of an opti­

supply of an involuntary nature.

mum provides the criterion for evaluating economic

(7) Welfare maximum. In competitive general

alternatives. The individual producer or the firm, if

equilibrium situations consumer welfare will be at

specified separately, only derives its rationale as

a maximum. This can be either on utilitarian

being ultimately consumer or owned by consumers.

grounds which allow the adding up of the utilities

(2) Economic rationality. The consumer seeks to

of the several consumers, or on the Pareto criterion,

optimize. Optimization involves maximizing an ob­

which states that a situation is optimal in the sense

jective function (utility) subject to constraints.

that no-one can be made better off without at least

Income, or resources in general, act as constraint.

one person being made worse off. In either calculus,

The consumer faces a multiplicity of ends but

a competitive equilibrium is a situation of max­

scarce means, which leads him to optimize.

imum welfare.

(3) Choice and substitution. Faced with opti­

Around these basic propositions, neoclassical

mization as a task, the individual is helped by the

economics has extended and enriched its ability to

fact that he has a choice. Apart from the resource

model an increasing number of human activities

constraint, there are no other constraints that he

within its framework. Thus, crime, marriage, child­

should ideally face. Thus the range of goods and

bearing and the choice of family size have all been

available opportunities in general is such that he can

studied, as well as the more narrowly defined eco­

choose one rather than another good. Goods are

nomic activities such as occupational choice, invest­

substitutes of each other: either in satisfying a

ment, consumption, production and so on. Given

single want, or because wants are competing and if

the methodological individualist starting point,

not one, another can be satisfied. In general there is

neoclassical economics has an uneasy time of theor­

no hierarchy of wants or needs. On the production

izing about aggregate, macroeconomic relation­

side as well, the technology is such that alternative

ships. Aggregation over individuals or firms or

ways of producing a good or, if not, substitute

commodities leads to internal problems of coher­

inputs or substitute final goods, are always avail­

ence. A search for microfoundations of macroeco­

able. If for some reason such substitutes are not

nomics is thus endemic and an unsolvable part of

available and the scarce good is unique then a suffi­

neoclassical economics.

cient rise in its price will encourage a search for substitutes and such searches will be successful.

Its detractors criticize neoclassical economics for being static, too equilibrium oriented, making

430

NEO-KANTIANISM

unrealistic assumptions, ignoring institutional, cul­

domly' throw up variants of all kinds, better and

tural, social data, for neglecting power or (class)

worse

conflict. Its continued dominance in economics is,

'selects' those which better fit organism to environ­

however, sustained not only by its institutional

ment (Maynard Smith,

hegemony in universities but also by the commit­ ment of its practitioners to a rigorous adherence to

adapted,

from

which

1958,

the

eh.

environment

2).

Three common misunderstandings of evolution are clarified by neo-Darwinism.

the small number of basic propositions, and to

First, natural selection does not optimize organ­

active and ferocious internal critical mechanisms

ism-environment fit, but merely tends to improve

which try to assure that at least by its own internal

it. Herbert Spencer's 'survival of the fitter' would

standards only high quality and rigorous work

be more accurate. Evolution fails to optimize, in

passes muster.

part, because it can only select from actually occur­ ring variants, which are unlikely to include the

Reading

optimally adaptive one (Simon,

Blaug, M. 1962 (1985): Economic Theory in Retrospect, 4th edn. Boland, L. A. 1985: The Foundations ofEconomic Method. Hahn, F. H. 1984: Equilibrium and Macroeconomics. Hey,]. and Winch, D. eds 1990: A Century ofEconomics. Stigler, G. 1965: Essays in the History ofEconomics.

MEGHNAD DESAI

1983,

eh.

2).

Second, neo-Darwinism does not imply that all traits have been selected for their adaptive superior­ ity. Distinct traits may be genetically 'linked', en­ abling neutral or maladaptive traits to 'hitch-hike' with traits of positive adaptive value (Gould, eh.

1983,

3).

Third, evolution is not necessarily a 'struggle for survival' involving direct competition between or­

neo-colonialism

See CoLONIALISM

ganisms; species can establish or occupy hitherto unoccupied environmental niches and thus avoid

neo-Darwinism tion (Huxley,

The synthetic theory of evolu­

1974),

combining Charles Darwin's

conflict with other species (Hutchinson,

1965).

Important questions about neo-Darwinism in­

ideas about NATURAL SELECTION with Gregor Men­

clude its scientific status (Ruse,

del's about genetics, is the basis of neo-Darwinism,

and its adequacy, particularly in relation to S ociO­

1973,

sect.

3.2)

which provides, largely through the statistical tech­

BIOLOGY, to account for genetically grounded dis­

niques of population genetics, an account of the

positions to altruistic behaviour (Maynard Smith,

adaptation of organisms to environments.

1975,

Neo-Darwinism is an advance on

eh.

12).

Darwin's

own theory of evolution, which depended on con­

Reading

cepts of variation and inheritance which were

Dawkins, R. 1986 (1988): The Blind Watchmaker.

poorly understood in his time. Mendel's results

Simpson, G. G. 1949: The Meaning ofEvolution.

FRED D'AGOSTINO

provided a basis for distinguishing between an organism's constitution (genotype) and its physio­

The term may be applied to

logical and behavioural traits (phenotype), and for

neo-Kantianism

our understanding of genetic recombination during

any philosophy or social theory that interprets itself

reproduction,

as developing and revising analytical methods from

now

recognized

as

the

primary

source of heritable variation, on which selective

Kant, or responding to the problems, for example

processes depend.

of epistemology and ethics, posed by Immanuel

Neo-Darwinism should be distinguished from neo-Lamarckian theories of EvoLUTION, briefly

Kant

(1724-1804).

The term is used with greatest

precision to refer to a movement within German

(and tragically) dominant in Russia (Medvedev,

philosophy, prior to World War I. This movement

1969), according to

which maladaptation of organ­

consisted of two major schools, based at Marburg

ism to environment elicits a response by the organ­

and at Heidelberg, the latter being significant in its

ism which results in its acquisition of a trait which

influence on Max Weber. Other sociologists, such

better fits it to its environment and which is in­

as Georg Simmel and Emile Durkheim, while not

herited by its offspring. According to this account,

presenting themselves explicitly as neo-Kantians,

environment 'instructs' organism. This idea is re­

may be seen to develop sociology by attempting to

pudiated in neo-Darwinism, according to which

find preconditions in society for Kant's a priori

processes of recombination and mutation 'ran-

rules.

NEO-KANTIANISM

431

The return to Kant in the 1860s was a response to

ness behind any empirical consciousness. A Kant­

the apparent failure of both idealist and materialist

ian division of the practical and theoretical reason is

post-Kantian philosophies. It was an attempt to

maintained, but transformed in so far as values are

rebuild philosophy, not through slavish imitation

made the transcendental precondition of theoretical

of Kant, but by seeking to reinterpret him in the

reason.

light of the foregoing generations of Kantian critics.

The Heidelberg school concentrated on the

Neo-Kantian schools are characterized as much by

methodology of the cultural sciences. Rickert, in

what they reject in Kant as by what they adopt. Hermann Cohen (1842-1918) and Paul Natorp

an attempt to overcome the fact-value dualism inherent in Windelband's philosophy, postulates a

(1854-1924) were the major figures in the Marburg

'third realm', of culture, containing both fact and

school. Their work is centrally concerned with

value. Through practical judgement subjects create

epistemology, and specifically with the construc­

cultural goods. That is to say that sensible objects,

tion of the object domain of the individual natural

and hence objects accessible to theoretical reason,

sciences. However, this entails a movement away

are placed in relation to values, and are thereby

from Kant's transcendental analysis, towards the

given a value dimension. Again, the subject does

formation of a general logic. Transcendental en­

not create values, for culture, as a system of prevail­

quiry involves explicating the necessary precondi­

ing values, is the transcendental precondition of the

tions of the possibility of experience. For Kant, a

possibility of apprehending cultural goods. Rickert

priori rules determined the synthesis of sensations

seeks to clarify his position by distinguishing be­

into objects of experience. Hence, only when a

tween the value judgements of a historical actor and

subjective

the activity of the historian . The actor is guided by

sensation

is

legitimately

subsumed

under a priori particulars and categories (according

what he/she believes 'ought to be'. The historian,

to what Kant terms schemata) does it become ob­

however, responds to values only in so far as they

jective, and only thus does the subject have know­

are actually accepted by the actors. This serves in

The transcendental

fact to undermine the transcendental nature of

analysis therefore presupposes that the a priori

Rickert's argument. The comparison with the con­

rules are necessarily applied in experience. How­

stitution of nature fails, because the historical sub­

ledge of objective

reality.

ever, the formal or general logics that Cohen and

ject, as well as the theorist, actively creates values.

Natrop sought to develop are explicated independ­

The constitution of culture thereby occurs empiric­

ently of experience. They are rather methodologies

ally, not transcendentally.

for the conceptualization of the objects of particular

Weber develops Rickert's arguments, but within

sciences, and so not applicable to experience in

the context of an empirical sociology. Weber does

general. Further, these logics are not presented as

not merely accept that the social actor actively

necessary, a priori rules, but rather as desirable.

creates values, but argues further that in the ration­

This leads to the 'never-ending task' of perfecting

alized and disenchanted modern world, actors

the constitution of the scientific object domain,

create a proliferation of competing values. In so

until conceptual thought comes to correspond to

far as rationalization may be seen as the predomin­

the thing-in-itself. The leading representatives of the Heidelberg

ance of theoretical reason, there no longer exist commonly accepted means of assessing competing

(or Baden) school were Wilhelm Windelband

values. Weber's methodology of the IDEAL TYPE

(1848-1915) and Heinrich Rickert (1863-1936).

may then be seen as a development of Rickert's

By giving primacy to Kant's Critique of Practical

analysis of the historian's activity. An ideal type is

Reason they offered an analysis of the constitution

a heuristic, and so without transcendental import.

of knowledge grounded in values. Windelband

Yet it 'constitutes' the meaning of a cultural phe­

argued that all judgements, in logic, ethics and

nomenon for the theorist. Value is given to the

aesthetics, are guided by the subject's presuppos­

cultural phenomenon only through recognition of

ition of the universal values of truth, goodness and

the values that are actually accepted by the actors.

beauty. The values themselves cannot be proven, in

Neo-Kantian elements may also be seen in the

so far as they are, as Kant argued, beyond the

work of Simmel. He responds to the problem of the

jurisdiction of theoretical reason. The empirical

transcendental constitution of society with a theory

subject is not then seen to create values, because

of forms of sociation. Simmel recognizes that the

values are posited by a transcendental conscious-

unity of society is constituted by the social actors,

432

NEW CLASSICAL ECONOMICS

and not merely by the theorist. His concept of

individuals to alter their actions and hence supplies

forms therefore refers both to the multitude of

and demands. Only when supply and demand are in

general types that actors use to constitute a struc­

balance will prices cease to fluctuate. In such a

tured totality out of the diversity of social life, and

situation, prices are 'equilibrium' prices, and are

to the sociologist's understanding of them, as pro­

said to 'clear the market'. The economic theory

cesses that give rise to the actors' 'consciousness of

based on optimizing individuals and competitive

sociation'. However, the relationship between tran­

market-clearing prices was called 'classical eco­

scendental and empirical processes again becomes

nomics' by Keynes, to denote the theory from which he was trying to escape in the 1930s. It is

ambiguous. Finally, Durkheim's sociology, and especially the sociology of religion, is an example of an at­

also known as pre-Keynesian theory, and Walrasian theory.

tempt to ground Kant's a priori categories of

One implication of this body of theory is that

understanding in some social substrate. Durkheim,

output, employment and real wages are determined

following Kant, accepts the actuality of categories

in the labour market. A profit-maximizing entre­

and values, but looks for the conditions of their

preneur will hire labour up to the point at which the

possibility in society, as a reality sui generis. Society

revenue obtained from selling the output produced

thereby becomes a moral force, having a transcen­

by the last person hired just equals the wage paid to

dental objectivity. With this approach Durkheim

that

can trace variations in the categories of understand­

wage); a utility-maximizing individual will supply

person (marginal product equals the real

ing, by reference to concrete variations between

labour until her /his psychological rate of exchange

societies.

between leisure and labour hours exactly matches what is gained in terms of goods by an extra hour's

Reading

work (marginal rate of substitution of leisure for

Arato, A. 1974: The neo-idealist defence of subjectivity.

consumption equals the real wage). In a competitive

Telos 21, 108-61. Coplestone, F. 1963: A History ofPhilosophy, 9 vols. Vol.

1: Fichte to Nietzsche, pp. 361-73. Durkheim, E. 1912 (1968): The Elementary Forms of the Religious Life, trans. Joseph Ward Swain. Habermas, J. 1968 (1971): Knowledge and Human Interests, trans. Jeremy J. Shapiro. Rickert, H. 1962: Science and History; A Critique ofPosi­ tivist Epistemology, trans. George Reisman.

labour market, fluctuations in the real wage will clear

the

market and

the

equilibrium

labour

demanded and supplied then suffices to determine aggregate output produced. With this supply-side determination of output, it follows that first, any unemployment is voluntary, and second, that any additions to aggregate demand by government action can only alter the composition of output

Rose, G. 1981: Hegel Contra Sociology.

(government demand 'crowding out' private sector

Simmel, G. 1959: Georg Simmell8S8-1918; a Collection of

demand). Finally, given prevailing monetary insti­

Essays with Translations and a Bibliography, ed. K. H. Wolff. Weber, M. 1947: Methodology of the Social Sciences, ed. and trans. E. A. Shils and H. A. Finch. ANDREW EDGAR

tutions and arrangements, the supply of money serves to determine the price level, and the rate of interest equates the supply and demand for loan­ able funds. This is the 'classical dichotomy': real variables are determined in the labour market, and monetary variables by the quantity theory of

new classical economics

Following the mar­

money.

ginalist revolution in the 1870s, orthodox economic

This scenario is an equilibrium one, with wage

theory was based on examining the behaviour of a

and price flexibility maintaining the economy at a

set of individuals with given preferences, given

full employment equilibrium or restoring it to that

initial endowments, and access to a given technol­

equilibrium following some disturbance. The the­

ogy, each of whom optimized their objectives (util­

oretical questions that are asked are whether such

ity or profit) in competitive markets on the basis of

an

parametric prices. Prices themselves are then deter­

and whether it is stable. The conditions required

equilibrium exists,

whether

it

is

unique,

mined by the interaction of all individuals together,

for existence are not particularly demanding, but

by, that is, supply and demand. If markets are

the story concerning uniqueness and stability is

competitive, then if supply and demand are not in

rather different. Suppose that there is a disturbance

balance, fluctuations in prices will lead optimizing

in some market. There will be some short run

NEW CLASSICAL ECONOMICS

433

fluctuation until equilibrium is restored. But how

New classical macroeconomics has many obvious

will agents adjust their behaviour to the disturb­

similarities with pre-Keynesian theory. It is 'new' in

ance, how long will the short run fluctuation last,

that it is underpinned by the explicit assumptions

and will the new equilibrium outcome be the same

that agents are presumed to form expectations 'ra­

in the long run as that prevailing prior to the dis­

tionally' (see RATIONAL EXPECTATIONS), out-of-equi­

turbance? The answer to the first question turns on

librium price adjustments are very fast (for some,

how economic agents are presumed to form expect­

instantaneous), and because of this speed of adjust­

ations, to the second question on how quickly out­

ment to equilibrium there is little if any difference

of-equilibrium price adjustment occur, and to the

between the short run and the long run. The analysis

third question on whether short run adjustment

is rigorous and often mathematically demanding in

paths affect the long run equilibrium outcome.

its detail. But otherwise in its presumption of wage

While answers to these issues underpin classical

and price flexibility, it harks back to pre-Keynesian

economics, they were not well formulated at the

themes. Its most famous result concerns 'policy

time, and it was not until the last quarter of the

invariance'. Because markets are in equilibrium (or

twentieth century that these questions were pre­

adjust to equilibrium almost instantaneously), the

cisely posed and answers offered.

economy is at full employment. But some variables

Keynes's approach in the 1930s was to presume

(in particular money wages via contractual wage

that economic agents base their expectations partly

settlements) are set in advance. Optimizing agents

on habit and partly on 'herd instincts', that price

set these at their expected full employment level. If

adjustments to clear out-of-equilibrium markets

these expectations turn out to be wrong, then there

are relatively slow and quantity adjustments faster,

might be temporary departures of output and em­

and that the policy focus should be firmly on

ployment from their full employment levels. But

the short run, with government intervention on

markets will adjust almost instantaneously, and

the demand side of the economy (via activist fiscal

there is no role for government. For because expect­

and monetary policy) to prevent an equilibrium

ations are rational, optimizing agents will take pre­

with involuntary unemployment. While the theor­

dictable countercyclical government

etical details remain the subject of continued con­

monetary policy into account in their behaviour.

troversy, the post-war era (1945-73) was one of

Policy can only have effects if it 'surprises' agents,

fiscal

and

apparent Keynesian success in macroeconomic

and rational expectations ensure that policy that

management. However, the end of the post-war

systematically surprises agents is not possible.

boom marked the end of this success, and Keynes­

Hence the only roles for government are to use

ian innovations began to be questioned. Particularly

monetary policy to control the price level, to pro­

important was the divorce between conventional

mote supply-side policies (particularly income tax

Keynesian macroeconomics and any foundation or

cuts to improve incentives to work) to increase po­

grounding in the behaviour of individuals at the

tential output levels, and to minimize surprises by

microeconomic level. This latter was increasingly

preannouncing monetary and fiscal policy rules.

emphasized in the late 1960s and through the

Fluctuations in the economy will still arise from exogenous shocks, but such surprises can only be

1970s. Two approaches were taken to the microeco­

temporary, and, after expectations have quickly

Both

absorbed their effects, wage and price flexibility

retained the starting point of optimizing individ­

will restore the economy to full employment levels.

nomic

foundations

of

macroeconomics.

uals. One approach, which became known as 'new

New classical theory was very influential in the

Keynesian economics', saw these individuals as

last quarter of the twentieth century, its LAISSEZ­

operating in imperfectly competitive markets (es­

FAIRE implications and supply-side emphases har­

pecially the labour

market

monizing with the political ideologies prevailing

clearing prices were not necessarily established.

particularly in the US and the UK. But the new

market)

in

which

The other approach, by contrast, made a virtue

classical results are crucially depended on the

out of the assumptions of perfect competition and

market-clearing assumption and the starting point

(at least almost) instantaneous adjustment to full

of optimizing individuals with rational expect­

equilibrium via wage and price flexibility. This

ations. Keynesian economists reject the former,

second approach is called 'new classical macroeco­

and Marxist and other radical economists the indi­

nomics'.

vidualistic starting point as well.

434

NEWLEFT

Reading Begg, D. K. H. 1982: The Rational Expectations Revolution in Macroeconomics.

Blanchard, 0.]., and Fischer, F. 1989: Lectures onMacro­

The fiscal and monetary measures helped to bring about the recovery of the American economy, al­ though the fiscal measures were weak and vacilat­ ing. Some of the other measures probably retarded the recovery, by raising costs and increasing uncer­

economtcs.

Hahn, F. H. 1984: Equilibrium and Macroeconomics ( espe­ cially chs 15 and 16). Lucas, R. E. 1981: Studies in Business Cycle Theory. Sargent, T. J. 1987: Macroeconomic Theory. 2nd edn. SIMON MOHUN

tainty in the business community. The recovery was still incomplete and unemployment was still high at the time World War II became a dominant factor in the economy. All of the New Deal measures were hotly con­ tested at the time, mainly on the ground that they

New Deal

A group of economic policy measures

were improper interferences with economic free­

taken in the United States between 1933 and 1940,

dom. On the other hand there were complaints that

under the leadership of President Franklin Roose­

the New Deal was propping up a basically flawed

velt, intended to produce recovery from the Great

system that needed more radical restructuring. But

Depression and to correct defects in the system

the measures were overwhelmingly popular, as evi­

believed to have been revealed by the depression.

denced by Roosevelt's electoral successes.

There was no single theory underlying the steps

Sixty years later American policy has gone far

taken. All kinds of things were tried. Many meas­

beyond the New Deal in almost every respect -

ures were discarded because the conditions to

more regulation, more transfer payments, for social

which they were addressed passed, because they

security, unemployment insurance welfare and

failed or because they were found to be unconsti­

medical care, and more active fiscal and monetary

tutional. Among the more durable policy changes

policy. Even those who are most concerned by the

were:

increased power of government in the economy would regard a return to the New Deal as a return

2

Substantial liberation of monetary policy from

to small and limited government. The complaint

the constraints of the gold standard and greater

about the New Deal, if there is complaint, is not

acceptance of the responsibility of monetary

now about the steps taken in the 1930s but about the

policy for stabilization of the economy.

path on which the Federal government then

Increased

reliance

on

government

budget

entered.

policy for achieving and maintaining high em­ ployment. This came at first pragmatically in the form of public works and other work relief programmes and was later rationalized in terms of theory by Keynesian economics (see KEYNES­ IANISM). 3

The beginning of the federal WELFARE STATE in America. The main ingredients of this were:

Reading Lehergott, S. 1984: The Americans: an Economic Record, pp. 453--{)5. Stein, H. 1969: The Fiscal Revolution in America. -- 1988: Presidential Economics: the Making of Eco­ nomic Policy from Roosevelt to Reagan and Beyond, pp. 27--{)4.

HERBERT STEIN

(a) the social security system, providing retire­ ment benefits for workers; (b) the unemployment insurance system;

New Left

(c) the provision of financial aid to poor families

variety of political doctrines and social movements

with dependent children. 4 5 6

7

Government intervention to control prices and

A descriptive term loosely applied to a

which emerged in the late 1950s, after the 1956 uprising in Hungary, and then developed strongly

production in agriculture.

during the 1960s, particularly in opposition to the

Government promotion of trade union organ­

American intervention in Vietnam and the military

ization.

occupation of Czechoslovakia by Warsaw Pact

New or enlarged government control of prices,

countries. The New Left brought together in an

entry or other aspects of transportation, power,

uneasy alliance diverse social movements - radical

communications and financial industries.

students, sections of the peace movement, and

Movement towards a more liberal international

the early feminist and ecology movements - along

trade policy.

with intellectuals of extremely varied origins and

NEW RIGHT

435

orientations, including dissident communists, an­

eaucratic socialism. But critical theory itself became

archists, left-wing socialists and cultural critics.

more diverse, and, among the older generation of

A great wealth of ideas flourished in these move­

thinkers increasingly nonpolitical and pessimistic,

ments, among them two which had more or less

engaged in a despairing cultural criticism, with ever

universal appeal: 'participatory democracy', and

fainter hopes of the emergence of a 'countercul­

radical criticism of what was called 'the system'.

ture'. In any case, Marxism in its revived and vari­

These were closely related, since participatory

ously reconstructed forms was only one of the

democracy meant the full and continuous involve­

intellectual influences (mainly among students)

ment of all individuals in decision-making which

on the New Left, along with anarchism, utopian

directly affected their lives, while the system being

socialism and the new ideas of ecology and femi­

contested was elitist and excluded those who were

msm.

subordinated to it from any effective part in con­

The New Left reached the peak of its develop­

trolling it or determining its policies. The univer­

ment in the USA in the late 1960s, in the civil rights

sality of these ideas was strikingly illustrated by

movement and the opposition to the Vietnam war,

their diffusion in the countries of 'real socialism'

in Europe in 1968 in widespread student protests,

as well as in capitalist countries, reflecting the fact

especially the 'May movement' in France, and in

that in both types of society elitist forms of domin­

the 'Prague spring' in Czechoslovakia. Since then

ation prevailed, whether it was that of the large

its influence has gradually diminished, the onset of

corporations and the 'military-industrial complex'

its decline signalled by the failure of the student

or that of party officials and bureaucrats, and ex­

movements in France, West Germany and else­

cluded any genuine participation by ordinary citi­

where to bring about any substantial social changes,

zens. Only in Yugoslavia (and for a short period in

and by the suppression of the Czechoslovak reform

China, where the agricultural communes and the

movement in August 1968, though its ideas con­

'cultural revolution' were seen by some as embody­

tributed to the eventual success of the opposition

ing policies of popular involvement in decision­

movements in Eastern Europe in 1989. Its disinte­

making) were the elements of participatory democ­

gration in the Western capitalist countries, during

racy to be found in the system of self-management,

the 1980s, had as its counterpart a strong revival of

and the Yugoslav experience, as it was interpreted

conservative doctrines in the N EW RIGHT. Never­

and discussed especially by the Praxis group of

theless, although the New Left as a broad move­

and

ment has ceased to exist, some of its component

Cohen, 1975), became an important influence on

elements have continued to develop in other forms,

some sections of the New Left.

and in particular the peace movement, feminism

philosophers

and

sociologists

(Markovic

At the same time there was a general renaissance

and the ecology movement; and the central idea of

of Marxist thought in philosophy and the social

'participatory democracy' is far from having ex­

sciences, influenced by the earlier writings of

hausted its influence, especially in the green parties

Gyiirgy Lukacs and Antonio Gramsci, now redis­

which grew rapidly in Western Europe during the

covered and widely read, by the new 'structuralist'

1980s and emerged more recently in Eastern

Marxism of Louis Althusser, and by the ideas of the

Europe.

FRANKFURT SCHOOL of critical theory. The last of

these probably had the greatest influence, through the writings of Herbert Marcuse in the USA, of Theodor Adorno, Max Horkheimer, and (in the second generation) Ji.irgen Habermas in Germany. Their work raised many of the most acute problems facing the radical movements in the 1960s: the political role of the working class in relation to new social movements which

were not class­

based; the power of mass culture and ideology in

Reading Caute, D. 1988: Sixty-Eight: the Year ofthe Barricades. Habermas, J. 1968-9 (1970): Toward a Rational Society.

Jacobs, P. and Landau, S. eds 1966: The New Radicals: a Report with Documents.

Marcuse, H. 1964: One-Dimensional Man. Markovic, M. and Cohen, R. S. 1975: Yugoslavia: The Rise and Fall ofSocialist Humanism.

Touraine, A. 1968 (1971): The May Movement.

sustaining structures of domination, and their con­

TOM BOTTOMORE

nection with the scientific and technological orien­ tation of modern societies; and the need for a

New Right

critical analysis of the basis of authoritarian-bur-

describe a widespread reaction among Western

A term adopted in the 1980s to

436

NEW RIGHT

intellectuals against SociALISM, an ideology which,

The outlook now more accurately described

in dilute form, had underlain the post-war demo­

as Old Right, or (in the US) as 'palaeo­

cratic consensus. The title was misleading, how­

conservative',

ever, not least in its implied symmetry with the

example, Roger Scruton and William F. Buck­

and

still exemplified by for

NEW LEFT. First, the 'New Right' was much more

ley. It was 'new', or 'neo-', in the 1980s only in

diverse. Secondly, though ideologically inclined, it

the sense of being rediscovered. Burkean and

was not a self-conscious 'movement', and was

anti-individualist, it stresses, not rights or ab­

united by little more than a shared antipathy to

stract, unqualified liberty, but duty, authority,

socialism. Thirdly, few New Rightists would have

morality, religion, tradition, culture, society

accepted the title or regarded it as useful. Finally,

and national identity. Such things resist trans­

most New Right thought was neither new nor par­

lation into 'market' desirabilities, and are thus

ticularly 'right-wing'. The expression has been out

proper objects of political concern, being as

of use for some years, partly because much of what

much under threat from unfettered capitalism

it signified is now either obsolete, or discredited, or

and the liberal doctrines which promote it as

so widely accepted as to have become orthodoxy

from socialism. Especially in the US, some

even under left-wing governments (e.g. in Britain,

thinkers of this stamp (e.g. Russell Kirk) ideal­

the USA and China).

ized the small, agrarian CoMMUNITY under

Socialism's historic rivals are CoNSERVATISM and

LIBERALISM, and New Right thought was usually one or the other, or a mixture. There were four main schools.

patrimonial or aristocratic rule; and 2

'true' neoconservatism, e.g. the outlook of the New York Jewish journal Commentary, which during the Cold War was anticommu­ nist, fiercely patriotic, 'hawkish' in foreign

Neoliberalism (or 'liberal-conservatism') Of all New Right doctrines, this was by far the most influential on governments (even some communist governments). Leading figures included F. A. Hayek, Karl Popper and Milton Friedman. All prized the 'spontaneous order' allegedly exem­ plified in free markets, common law, and (the more conservative would add) tradition, and de­ plored any politics (notably socialism) pretending to definitive knowledge of human needs. Such ab­ solute knowledge (it was said) is available to no central observer, and hence to no government. Nevertheless it exists, but only as diffused through­ out the myriad unpredictable transactions between individuals living in a free or OPEN SOCIETY. As many decisions as possible, therefore, should be transferred to the market, which maximizes choice. When insufficiently restrained by law or constitu­ tion, democracies become political markets, where votes are traded against welfare benefits, subsidies, union privileges etc., and the cost, in the shape of

affairs (especially as regards Israel), and gener­ ally liberal or social-democratic on domestic issues.

Often

descended

from

desperately

poor immigrants, members of this circle had an urban perspective, little nostalgia for trad­ ition, and a high regard for capitalism, on ac­ count of the wealth and social mobility it creates. Many

Old

Right

attitudes,

especially

those

regarding collective identity, are now stigmatized as 'politically incorrect'. However, when adopted by ethnic and other 'minorities', contemporary left­ leaning governments may tolerate and even pro­ mote

them

('multiculturalism').

Among

'true'

neoconservatives, Israel has lapsed somewhat from favour, since its enemies can no longer be seen as extensions of Soviet power, nor Israel as a bulwark against it. So too has capitalism, effectively for 'Old Right' reasons (but also for Old Left reasons, which are often similar).

excessive taxation or inflation or both, falls jointly on the most productive and the weakest, least pol­ itically organized members of society. (See also

NEOCLASSICAL ECONOMICS.) Neoconservatism

Libertarianism (or 'anarcho-capitalism ') This ingenious doctrine is largely confined to the US. Except in economics, its influence on govern­ ment has been minimal. This is not surprising, since libertarians regard most state action, bar the

Misleadingly, this title denoted two quite different

enforcement of property rights, as either unneces­

approaches:

sary or illegitimate.

NOMENKLATURA The following prescriptions are typical: abolition

437

really crucial factor in socialism's eclipse was its

of all statutory restraints concerning planning, pol­

record. Equally, some New Right measures have

lution, industrial safety, drugs and sex (relevant

proved as unworkable as their socialist alternatives.

action to come from interested parties); privatiza­

Nevertheless, if the New Right seems

tion of all public property and infrastructure (e.g.

very likely because so much of its thinking has

pass/:, that is

roads), together with welfare, law and order and

passed into the common currency, and thus become

defence. Libertarianism is INDIVIDUALISM in its ex­

invisible.

tremest form, and even-handedly stresses both

ROBERT GRANT

freedom and personal responsibility. Its patron saints are Locke and von Mises, and its fundamen­

Reading

tal tenet is Ayn Rand's slogan 'Hands off!'. (The

Barry, N. 1987: The New Right.

maxim also applies in libertarian foreign policy,

Friedman, M. 1962: Capitalism and Freedom.

which is isolationist.) Other representative figures (at least in the 1970s and 1980s) were Murray Rothbard and Robert Nozick.

Gray, J. 1993: Beyond the New Right. Have!, V. et al. 1987: Vaclav Havel or Living in Truth, ed. J. V1adis1av. Hayek, F. A. 1973-9 (1982): Law, Legislation and Liberty. Jordan, G. and Ashford, N., eds 1993: Public Policy and

French and Eastern European anticommunism

the Impact of the New Right. Levitas, R. ed. 1985: The Ideology of the New Right.

Both these tendencies have been weakened by the

Nozick, R. 1974: Anarchy, State and Utopia.

fall of Soviet communism, but there were several

Scruton, R. 1980 (1984): The Meaning of Conservatism.

links between their subscribers: (a) Continental ex­ This system of names played a

istentialism; (b) experience of Marxism (either as

nomenklatura

former believers, or as subjects of Marxist regimes);

very important role in the control methods of the

The Gulag Archipelago). The French nouveaux philo­ sophes (e.g. B.-H. Levy) were mostly ex-1968 stu­

monolithic, Stalinist type of socialism (see also To­

dent radicals, who, rejecting Marx, Sartre and the

democratic reforms.

and (c) the influence of Solzhenitsyn (especially

TALITARIANISM) ; its revision and radical change

became the main problems in the efforts to achieve

French revolutionary tradition, embraced a mixture

In line with the decisions of leading organs,

of neoliberalism and neoconservatism. The Eastern

nomenklatura included a list of jobs or posts of

European New Right were divisible into the older

different elected organs where personal changes

ex-communist emigres (e.g. Kolakowski, Milosz),

(appointments, disciplinary procedures and so on)

who had mostly become neoliberals or social demo­

were decided by the party at different levels (from

crats, and the younger internal dissidents. The

local to the highest central institutions). The most

latter were largely popular (rather than aristocratic­

important jobs covered by nomenklatura were those

ally minded) conservatives who after 1989 nearly all

in the chain through which the leaders to be elected

succeeded to positions of power in their various

by party organs at lower levels were determined by

countries. (The most notable were the dramatist

the next higher level. This gave party democracy a

Vaclav Have!, still Czech president, and the Soli­

purely formal character, which, during political

darity leader Lech Wal�sa, whose presidency in

crises which preceded the more recent sweeping

Poland proved a failure.) Preoccupied with cultural

away of party regimes, provoked some of the party

and religious questions, they strongly distrusted

membership to revolt (Hungary in 1956 and 1988;

instrumental,

Poland in 1956 and 1980; Czechoslovakia in 1968).

goal-directed politics, but found

those forced upon them by their newly democratic

Appointment to various state and economic

circumstances. In many cases, frequently in conse­

functions was also decided by party organs. It

quence of the upheavals caused by their neoliberal

happened frequently that rational requirements,

economic policies, they have lost power, at least

abilities and skills were pushed into the background

temporarily, to ex-communist rivals.

in favour of political reliability. In state and eco­

New Right thought was bitterly reviled, espe­

nomic life this contraselection by the apparatus

cially by literati unwilling to confront its detailed

reduced the effectiveness of the economy. Thus it

arguments. Nevertheless, it completely wrested the

was natural that one aim of the economic reforms

political initiative from socialism, deflating its cen­

was to liberate the economic leadership from the

tury-old claims to intellectual superiority. But the

pressure of nomenklatura.

438

NORMS

The appointed and elected leaders of mass or­ ganizations also belonged to nomenklatura, includ­ ing those of the trade unions, youth organizations, the association of writers and the official peace

Dji1as, M. 1957: The New Class: an Analysis of the Com­ munist System. Lozovsky, S. 1925: Lenin i professional'noe dvizhenie. Voz1ensky, M. 1985: Nomenklatura.

ANDRAS HEGEDUS

movement. This meant that the leaders of these bodies did not depend on their own movements or organizations but on various party institu6ons. The

norms

At its most general the idea of a norm is

which is taking place

the idea of a pattern. There are two main ways in

in the East European countries has released the

which this idea has been developed in social theory,

leaders of these organizations from the old frame­

where social norms have been the focus of concern.

work of nomenklatura and in this way the oppor­

First, there is the idea of a norm as an actual pattern

renaissance of

CiVIL SOCIETY

tunity arises for leaders to be elected democratically

of behaviour, as what is normal in the sense of being

and for the organizations to achieve their own inde­

regularly or standardly done by members of a popu­ lation. (The labels 'social habits' and 'usage' are

pendence. Nomenklatura also played a highly significant

used of some such patterns.) Second, there is the

role in culture and the mass media because of the

idea of a norm as a prescribed pattern: as what is

information blockade typical of the Stalinist system

considered in a given population to be the thing to

(see also

ELITE THEORY).

This was more important

do. (The labels 'convention', 'social rule' and

LAW

than the different offices of censorship. All the

are used of certain patterns in this category .) I shall

leaders of institutions which formed public opinion

refer to norms of this type as 'prescriptive norms'.

depended for their existence on different party

Social norms are often associated with expect­

organs, which largely prevented the aspiration of

ations. Two different kinds of expectation need to

intellectuals for glasnost.

be distinguished: predictive expectations about what

Bold theoretical conclusions were developed

will in fact be done by members of a population, and

concerning nomenklatura as an important compon­

normative or deontic expectations. Normative ex­

ent of monolithic

STALINISM.

Especially important

pectations involve a belief that the 'expected' be­

among them is the work entitled Nomenklatura,

haviour ought to occur, in some more than merely

by Vozlensky, who regards those belonging to

predictive sense. Actual patterns are likely to be

nomenklatura as the ruling class of these societies.

associated with predictive expectations, prescribed

This is actually the concretization of Milovan Dji­

patterns with normative expectations.

las's theory about the 'new class' which developed

The term 'norm' itself is relatively recent in standard social theory usage. The more established

in these societies. These theories, however, ignored the main char­

terms 'custom', 'tradition', 'convention', 'law' and

acteristics of the power-holders, so that the use of

so on tend to be used for specific types of norms.

the term 'class' to denote these strata can be ques­

They have all been variously defined by different

tioned. It is precisely their inclusion in nomenkla­

authors in sociology, philosophy and elsewhere.

tura which indicates that their existence depends on

W. G. Sumner distinguished and discussed a

the relevant organ of the party, and if they lose its

wide variety of types of norm in Folkways: A

confidence they drop out of the power situation.

Study of the Sociological Importance of Usages,

One of these counter-arguments is that in contrast

Manners, Customs, Mores, and Morals

to ruling classes in other socioeconomic formations,

stressed the variety of contents norms may have,

position cannot be passed on to the next generation,

and the difference in importance that may be at­

although

to

tached to different norms: thus laws are given the

nomenklatura start in life with better chances. Yet

'specific sanction of the group as it is organized

very often in practice they tended to avoid jobs

politically' (p.

the offspring

of

those

belonging

belonging to nomenklatura. Instead they chose oc­

(1906).

He

56).

Norms may relate to any area of human life, from

cupations which provided greater independence

everyday greetings and dress to sexual conduct and

and more income.

political processes. In The Rules of the Sociological

Method Reading Deutscher, I. 1954: The Prophet Armed: Trotsky, 1879-

1921.

(1895)

Durkheim noted a continuum of

prescriptive norms between the 'fixed' norms of written law and uncodified and even ephemeral norms such as those of etiquette. In Suicide

(1897)

NORMS

439

he emphasized the importance of prescriptive

this comes about. Sometimes (as with some norms

norms as a framework for human life. Many have

relating to gender roles) important needs of one

stressed the need for some prescribed patterns as a

group in society may be slighted or ignored by the

way of producing and maintaining social order in a

existing norms. Consciousness of this may lead to

context where instinctive drives are insufficiently

pressure for change, which may or may not suc­

determinate (as in coordination problems,

see

ceed. The factors involved in such processes of

below) or where people's desires are in conflict (as

change will be complex. Other important topics

in the 'prisoner's dilemma' type of situation). In

include deviance from established norms (how

Suicide Durkheim used the term ANOMIE to de­

much occurs, who deviates and why?), conflict

scribe a state of society in which there were rela­

among norms and the genesis of norms.

tively few clear-cut prescriptive norms. Such a

A fundamental theoretical question is how best

state, he conjectured, can cause an increase in a

to understand the notion of a prescriptive norm. In

society's suicide rate. Prescriptive norms, then,

recent philosophy, jurisprudence and economics

are important for human psychological wellbeing.

careful attention has been paid to the related ques­

A way to reduce the suicide rate, he suggested, is to

tions of how to analyse the everyday notion of a

strengthen the individual's ties to particular smaller

social convention and a social rule.

groups such as the conjugal family and occupational

The game-theoretic approach is exemplified by

groups. Norms can of course characterize both

the influential work of Lewis ( 1969) who follows a

large-scale societies and small groups such as a

suggestion of Schelling

marital couple or medieval guild.

special type of situation involving more than one

In the Rules Durkheim proposed that while social norms are associated

with 'external' sanctions

(1960).

Lewis focuses on a

person and argues that where a situation of this type recurs in a population an actual pattern of behav­

ranging from informal criticism and ostracism by

iour may be expected to result. He refers to patterns

others to legal penalties for deviance, a major factor

that arise in this way as 'conventions'. The type of

in producing conformity to norms is the SociALIZA­

situation in question is called by Lewis a 'coordin­

TION process whereby individuals come to internal­

ation problem'. Such problems are common in

ize norms: following the norm becomes 'second

human social life. A small-scale example is of two

nature' and the external constraints of society are

people whose telephone call has been cut off. Who

relatively rarely called into play any more.

should call back? In such situations people may

Max Weber, though differing from Durkheim on

reach a successful outcome by chance at first, then

many aspects of social theory, also emphasized the

be inclined to repeat what worked last time, or to

importance of norms in his discussion of funda­

expect that others will do so. Thus there may arise a

mental sociological concepts Weber

distinguished

(1921-2,

custom

from

29-36).

'self-perpetuating system' of expectations of con­

convention,

formity, preferences for conformity, and conform­

pp.

where conformity is regarded as binding on the

ity by all to a certain regularity (such as the original

individual, as it is with law. With convention, any

caller calling back) (Lewis, p.

member of the relevant population may apply sanc­

that a general belief that this regularity ought to be

42).

Lewis suggests

tions for deviance. With law a limited 'staff' of

followed is likely to arise in this case (p.

people are the expected purveyors of sanctions,

ever, he sees emergence of an actual pattern of

physical or psychological. More recently Talcott

behaviour as the primary phenomenon; a general

97).

How­

Parsons argued for the crucial role of norms and

prescription of conformity is merely a probable

values in society; in particular they enable people to

consequence. Lewis does not make any kind of

predict what others will do, which is of enormous

prescription part of his definition of convention.

practical importance.

Critics have argued that Lewis has not captured

There will be many social norms in any social

the vernacular concept of a social convention, as he

group. Durkheim, Parsons and others emphasized

had hoped. Among other things it does not appear

the importance for societal functioning of a har­

that conventions only arise in the context of prior

mony or integration among these norms. Many questions can be raised about norms in general and particular types of norm. Norms can and do change over time or cease to exist. Any theory of social change will need to explain how

coordination problems; the question of aetiology is not preempted by definition. Further, a convention appears to involve a prescription at its core. What is it for a group to have a rule or prescrip­ tion about action? According to Hart

(1961)

the

440

NORMS

as a body. This can be done in the

members must take a certain 'critical reflective atti­

prescription

tude' to some actual pattern of behaviour. They

absence of any explicit agreement. One way of

acquiesce in criticisms and demands

must regard it as a standard to be conformed to by

doing it is to

all members. Hart stresses that most members must

of the type described by Hart. (Compare Williams,

believe that they are

entitled to criticize one another

1968, p.

207.) A plausible way of analysing the idea

for deviance from the standard, and that they are

that a group has a rule, then, is in terms of group

entitled

members' joint acceptance of that rule.

to demand

compliance if deviance is

threatened.

Gilbert (1996, chapter

2, see also chapter I) has

The question then arises of what is the basis for

argued that something agreement-like is required

any such belief. It would not obviously be justified

for the emergence of a stable regularity in behaviour

by the simple fact that each member personally

among the purely rational agents of classical game

believed that members should conform to the

theory where there is a recurring coordination

standard, for instance. Certainly an entitlement to

problem. Agents who are moved to action on the

take another to task for deviance from a standard

basis of reasons for acting, as opposed to instinct or

does not flow directly from that person's own ac­

habit, cannot appeal to the existence of a successful

ceptance of the standard or from one's own accept­

precedent, or to the salience of a given solution, since these do not of themselves provide reasons for

ance of it. Gilbert (1989, esp. pp.

373 If.; also 1999) argues

choosing the precedented or the salient option. To

that a special type of acceptance of a prescription

the extent that humans function as rational agents,

directly generates an entitlement to criticize others

then, social norms construed as jointly accepted

for not conforming to the prescription. What she

prescriptions are likely to be a major force in the

calls

joint acceptance of a prescription involves an

agreement-like process by virtue of which those

organization of their life in society. See also VALUES.

involved understand themselves to be mutually obligated to support the prescription, and hence

Reading

to conform to it, in the course of living together.

Gibbs, J. P. 1965: Norms: the problem of definition and

One who deviates from the prescription then vio­ lates his obligations to the other parties. Explicit agreement is not essential to this process. The parties must indicate to each other that they are willing to be jointly committed to accept the relevant

classification. American Journal ofSociology 70, 586-94. Raz, J. 1975:

Practical Reason and Norms. The Emergence ofNorms.

Ullman-Margalit, E. 1977:

MARGARET GILBERT

0 As anthropological research has shown,

at the age of 60 is about 20 years) and the

each society divides the lifespan into a definite

fact that old age is considered to be a social

old age

number of stages embedded in the culture. It assigns

problem and not just a private, family affair. The

a meaning to these stages and defines, for individ­

WELFARE STATE and society's increasing interven­

uals, the conditions of transition from one stage to

tions on behalf of the aged have led to distinguish­

another during the life course, that is, the socially

ing an old age dependent on social and medical

organized lifespan. Old age designates the last stage

institutions from one that is autonomous and sup­

and thus has to be understood as a continually re­

ported by social service policies aimed at integra­

negotiated social construction. It cannot be reduced

tion (Guillemard, 1983). Social policies have an

to a biological reality of decrepitude and invalidity

active part in redefining the life course and old

resulting from senescence. During each epoch of its

age. Measures providing for early withdrawal

history, a society reinterprets the chronological and

from the labour force, which have been adopted in

biological differences among individuals so as to

most industrial countries during the last decade, are

organize the life course and assign specific social

reshaping old age and lowering its threshold by

statuses and roles to each age group (Balandier,

constructing a category of 'occupational old age'

1974). Historians have shown how the roles and

that starts before the retirement age (and often as

statuses of the aged have fluctuated (Laslett, 1976;

early as

Minois, 1987). The aged in preindustrial societies

old age is ever more 'socially defined' as a time of

were not systematically assigned a prestigious

social uselessness, when the aged may become de­

status, nor was value always attached to their

pendent wards and social outcasts (Guillemard,

wisdom and experience. Although industrialization

1986a, 1986b, 2000).

55) (Kohli et al., 1991). As a consequence,

tended to reduce old people's social status, this does not hold equally true for all social classes. For in­ stance, becoming old in our society, a process char­ acterized by entry into the economically inactive population as well as the loss of both a parental role and social bonds, takes place at different chrono­ logical ages depending on the social class. Lessened

Reading Balandier, G. 1974: Anthropo-logiques. Guillemard, A.-M. 1982: Old age, retirement and the social class structure: toward an analysis of the struc­ tural dynamics of the later stage of life. InAgeing and the

death' occur earlier in the working than the upper

Life Course, ed. T. Hareven. Le declin du social: formation et crise des poli­ tiques de la vieillesse.

classes, since persons from the latter may profit from

--1986b: State, society and old-age policy in France

their social resources (contacts, education and so on)

from 1945 to the current crisis. Social Science and Medicine, 23, 1319-26. --2000: Aging and the Welfare-State Crisis. --ed. 1983: OldAge and the Welfare State. Kohli, R. et al. 1991: Time for Retirement: Comparative Studies ofEarly Exit from the Labor Force.

social integration, reduced roles and even 'social

in order to prolong the roles and functions they assumed at maturity (Guillemard, 1982). Along with the growth of industrial society, pen­ sion systems have been set up and expanded with, as a consequence, the age of retirement becoming a significant threshold for entry into old age. Retire­ ment thus shapes this last stage of life, which has gradually been divided into old age and extreme

--1986a:

Laslett, P. 1976: Societal development and ageing. In

Handbook ofAgeing and the Social Sciences, ed. R. Bin­ stock and E. Shanas. Minois, G. 1987

old age - categories that reflect both the consider­

(1989): History of Old Age: From An­ tiquity to the Renaissance.

ably longer lifespan (in France, life expectancy

ANNE-MARIE GUILLEMARD

442

ONTOLOGY

As originally defined by Plato and Ar­ istotle, this term for rule by the few, based generally on the possession of wealth, was contrasted with monarchy (rule by a single person) and democracy (rule by the people). In modern social thought the term has been largely displaced by that of elite (see ELITE THEORY), although references to oligarchical tendencies are still made in analysing the structure of power in organizations of various types. The best-known use of the term in twentieth­ century social thought was by Roberto Michels ( 19l l ) who argued, from his study of the German Social Democratic Party, that a sharp distinction between the leading officials and the rank and file, resulting in rule by the few, necessarily de­ veloped in all large-scale organizations (even social­ ist ones). This view, formulated as the 'iron law of oligarchy', is clearly related to Gaetano Mosca's proposition that the 'organized minority' will always dominate the unorganized majority, and Michels went on to examine the 'technical and administrative causes' which produced such dom­ ination. Michels's conception was largely derived from the elite theorists, and it was later developed in a particularly anti-democratic form when he became a supporter of Mussolini and the fascist movement, invoking Max Weber's notion of the 'charismatic leader' to explain his new allegiance (Mommsen, 1981). The iron law of oligarchy has been contested in various ways, by the numerous critics of elite the­ ories, among them notably Marxist thinkers whose class theory envisages an eventual 'classless soci­ ety', and by others who conceive the possibility of an extension of democracy, or even a wide-ranging 'participatory democracy', which would hold in check the elitist and oligarchical tendencies of large-scale organizations. Among the latter, some commentators on Michels's law have questioned the view that organization is necessarily accompan­ ied by oligarchy, especially in the case of socialist parties (Beetham, 1981), and have drawn attention to the existence of counteracting forces, so that it is possible in some cases to speak of an 'iron law of democracy', and more generally of an ebb and flow of oligarchical and democratic tendencies in polit­ ical and other organizations (Brym, 1980, eh. 3). It is in relation to such opposing tendencies, and especially to the consequences of the growth of bureaucratic administration, that recent discus­ sions of oligarchy, or more frequently of elites, have taken place. oligarchy

Reading Beetham, D. 1981: Michels and his critics. European Jour­

nal ofSociology 22.1, 81-99. Brym, R. J. 1980: Intellectuals and Politics. Michels, R. 1911 (1962): Political Parties: a Sociological

Study of the Oligarchical Tendencies of Modern Democ­ racy. Mommsen, W.J. 1981: Max Weber and Roberto Michels: an asymmetrical partnership. European Journal ofSoci­

ology 22.1, 100-16.

TOM BOTTOMORE Two senses of the term can be distin­ guished: either (a) the branch of philosophy con­ cerned with the nature of existence or being as such, apart from any particular existent objects (philo­ sophical ontology); or (b) the entities posited or presupposed by some particular substantive scien­ tific theory (scientific ontology). Sense (2) is rela­ tively unproblematic and may be generalized to extrascientific contexts. Traditional philosophical ontology reflected on the nature and relations be­ tween different kinds of existents - the sense in which, for example, numbers, minds and qualities could be said to exist. Immanuel Kant and David Hume criticized such enquiries as necessarily un­ decidable, or even meaningless, attempts to trans­ gress the bounds of possible experience, and proposed a rejection of ontology not just in the styles practised by Leibniz or John Locke, but generally. In the mainstream of analytical philosophy the prohibition on ontology was generally upheld in the twentieth century. But working from within this tradition, Roy Bhaskar has recently argued that philosophical ontology need not be dogmatic and transcendent, but may be conditional and im­ manent, taking as its subject matter not a world apart from that investigated by science (a Platonic or Lockean-Leibnizian noumenal realm), but just that world from the standpoint of what can be established about it by conditional a priori or tran­ scendental argument. Bhaskar has further argued that any THEORY OF KNOWLEDGE presupposes an ontology of what the world must be like for know­ ledge, under the descriptions given it by the theory, to be possible. Thus the Humean theory of causal laws presupposes, in]. S. Mill's words, that 'what happens once will, under a sufficient degree of similarity of circumstance, happen again', that is, that there are constant conjunctions, or parallel cases, in nature. ontology

OPEN SOCIETY

443

From this perspective, the post-Humean dogma

as being-in-the-world: from our manipulation of

that statements about being can always be analysed

tools to authenticity in respect of our finitude. In

as statements about our knowledge of being is a

his later work Heidegger moved from a concern

mistake-which Bhaskar calls the' epistemicfallacy'.

with ontology to what might be called metaontology

It is, however, a mistake with consequences. In the

-for instance, why is there being rather than noth­

first case, it merely glosses the generation of an

ing? - and to a metahistory of the epochs of being,

implicit

starting with the mere traces of being in the pre­

ontology -in the dominant (in the twenti­

eth century) Humean case, of atomistic events and

Socratics and culminating in the contemporary age

closed systems-and a fortiori of an implicit realism

of nihilism and technology. His critique here over­

(in this case, of an empirical realism). Secondly, it

laps with that of the Lukacsian and critical theoretic

conceals a deepseated anthropocentric bias in non­

traditions in Western Marxism. There are interest­

(explicitly) realist philosophies of science, under­

ing historical connections here. Heidegger knew

anthropomorphic

Lukacs's work and Ji.irgen Habermas began his

analysis of being in terms of human

philosophical career strongly influenced by Hei­

being. Thirdly, it coexists with an esoteric natural­

degger, for all his subsequent disdain for ontology.

lying which is what we may call the

fallacy - the

ization of knowledge -for example in the Humean case through the reification of facts and the fetish­ ism of their conjunctions; that is to say, with in effect the compulsive determination of knowledge of being by being - in the reciprocal

ontic fallacy.

Finally, transposed to the social domain and in a hermeneutical or otherwise linguistified key, the collapse of what critical realists call the'intransitive (or ontological) dimension' takes the form of the analysis of being in terms of our discourse about being- the

linguistic fallacy.

Reading Bhaskar, R. 1975 (1978): A Realist Theory ofScience, 2nd edn. --1989: Reclaiming Reality. Habermas, J. 1974: Theory and Practice. Heidegger, M. 1927 (1962, 1970): Being and Time. --1947 (1971): Letter on humanism. In Poetry, Language and Thought.

Luk:ics, G. 1923 (1971): History and Class Consciousness. ROY BHASKAR

Indeed the linguistic The phrase has now entered the

fallacy is the form in which in ordinary language or

open society

LINGUISTIC PHILOSOPHY, on the one hand, and post­

vocabulary

structuralist and more generally postmodernist

employed by leader writers and politicians, though

of politics,

being

quite

commonly

thought (for instance, in 'discourse analysis'), on

hardly by the lay person. It is usually used to denote

the other, the epistemic fallacy is most characteris­

a society where no ideology or religion is given a monopoly, where there is a critical interest in new

tically committed. Substantively,

on

the

transcendental

realist

ideas whatever their source, where political pro­

ontology the world appears as structured, differen­

cesses are open to public examination and criticism,

tiated and changing. Applied to the social domain

where there is freedom to travel and where restric­

this ontology requires, as critical naturalism, fur­

tions on trade with other countries are minimal, and

ther elaboration, e.g. to incorporate what has been

where the aim of education is to impart knowledge

called the duality of structure and praxis and a

rather than to indoctrinate.

relational conception of the subject matter of social

The term 'open society' (together with its ant­

science. On the critical realist research programme,

onym, 'closed society') first gained currency from a

transcendental ontology is only in its infancy, and

famous book by Karl Popper (1945). As he acknow­

much remains to be done-on other categories such

ledged, this pair of terms had been introduced

as negation or reflexivity, on the ontological pre­

previously by Henri Bergson

suppositions of further sciences and on those of

thinkers' conceptions of a closed society had much

These two

in common. Both saw it as a small, tightly knit, face­

social practices besides science. Outside the analytical tradition,

(1932).

the

philosopher

to-face community. According to Bergson, it is a

of being has been Martin Heidegger. In his early

centralized, static and unprogressive society, its

Being and Time (1927)

religion authoritarian, its morality absolutist, its

Heidegger argued that fun­

damental ontology or the 'science' of being, as

customs rigid. Popper stressed its antiscientific,

enquiry into being, was itself dependent upon

magical, tribalist outlook. A point made by Bergson

Traditional philosophies

but not by Popper was that war with neighbouring

have forgotten the salient features of human being

societies will usually be seen by the leadership of a

human being or

Dasein.

444

OPINION

closed society as a desirable way of fostering tribal

impossible dream, if only because the canvas

loyalty and corporate unity.

cleaner and the cleaning instruments are part of

However, their conceptions of an open society

the picture to be wiped out. The closer a revolu­

diverged considerably. For Bergson, the emergence

tionary political leadership approximates this im­

of an open society will come about only when the

possible ideal, the more havoc and destruction it

multiplicity of closed societies eventually gives way

will cause. (See also

to one all-embracing world society in which pro­

native is piecemeal

gress and diversity are encouraged, and religious

scale reforms, but requires them to proceed in a

dogma and authoritarian morality give way to mys­

step-by-step manner, making it possible to monitor

tical intuition and spontaneity.

the process and keep a check on the sociological

For Popper, by contrast, the essential character­

TOTALITARIANISM.) The alter­ engineering: this allows for large­

hypotheses being relied on. Error may have got into

istic of an open society is not mystical intuition but

these, with the result that the intended aim is not

the unfettered use of critical reason. And such a

achieved, or is accompanied by consequences that

society may be quite small; he instanced Athenian

are both unintended and unwanted. Critical sur­

society under Pericles (when its slaves are not

veillance becomes impossible when

regarded as integral to it). And the attainment of

reforms are going on in the same area. (See also

an open society is not a consummation lying in

SOCIAL DEMOCRACY.)

some distant future. Indeed, Popper claimed, suc­

A related idea of Popper's (1945) was negative utilitarianism; this says that governments should

cessful moves in the past towards greater openness,

too many

especially in the West, have generated among some

aim, not directly at increasing overall happiness,

influential thinkers, most notably Plato in ancient

but at reducing known suffering.

Greece, a longing to return to a closed society. For

Another doctrine Popper saw as hostile to the

HISTORICISM and the related doc­ moral futurism (what will be, is right).

life in an open society can be arduous and people are

open society was

not necessarily happier there than they would be in

trine of

a closed society. They may suffer from what Popper

Popper recommended an individualistic method­

called 'the strain of civilization'. Some people

ology (see

would gladly give up the burden of individual re­

INDIVIDUALISM). FREEDOM.

See also

sponsibility in return for the imagined warmth and security of a closed society. Popper agreed with Bergson, however, concern­

Reading Levinson, R. B. 1953: In Defense of Plato.

ing the temporal priority of a closed to an open

Magee, B. 1973: Popper, ehs 6 and 7.

society; according to Popper, the former came nat­

O'Hear, A. 1980: Karl Popper, eh. 8.

urally, as it were, whereas the latter always had to be

Popper, K. 1976: Unended Qyest, eh. 24.

struggled for. He gave two reasons for this.

Sehi1pp, P.A. ed. 1974: The Philosophy ofKarl Popper, 2

(1) To be open, a society has also to be, to a considerable degree, what he called an 'abstract' society; here face-to-face transactions with known

vo1s, pp. 820-924. Soros, G. 1998: The Crisis of Global Capitalism: Open Society Endangered. J.

persons give way to impersonal dealings with an­

W. N. WATKINS

onymous, role-playing individuals. And the transi­ tion to such a society will be a late development.

operations research

See MANAGEMENT SCIENCE

(2) It is natural for people to regard the taboos Among many different definitions two

and rigid customs of a closed society as natural and

opmwn

unalterable, as if they were laws of nature. Thus the

elements are commonly found: that opinions deal

move to an open society also requires the revolu­

with controversial matters, and that they are

tionary recognition of the man-made, conventional

capable of rational justification.

character of social institutions, another late devel­

The first critical point is that one cannot have an opinion about a matter of demonstrable truth or

opment.

(1945) attacked various doc­

falsehood. One cannot have an 'opinion' that the

trines that are hostile to the idea of an open society.

three angles of a triangle are equal to two right

One was the dream of utopian engineering, epitom­

angles, nor can one legitimately hold an opinion

In his book Popper

ized by Plato's idea that the philosopher-king

that Australia does not exist. This is not quite as

cleaning his canvas. This is an

simple or straightforward as it might seem. We are

should begin by

ORGANIZATION confronted regularly with the tentative nature of

445

opinion may be derived from two, possibly conflict­

knowledge, for the universe is not the certain place

ing, attitudes - one to the stimulus itself, and the

many assume it to be. Even within a specific time­

other to the circumstances in which it must be

space setting, where a body of settled 'facts' are not

expressed.

seriously challenged and therefore are not matters

See also PROPAGANDA; IDEOLOGY.

of opinion, circumstances change so that what was settled may become disputed. Many once sup­

Reading

posedly incontrovertible facts - the indivisibility

Childs, H. L. 1965: Public Opinion: Nature, Formation,

of the atom, for example - have been proved to be errors. There may well develop a controversy about whether a question formerly not debated is now controversial. Many who hold views on controver­ sial matters firmly deny there is anything in the

and Role. Lippmann, W. 1922: Public Opinion. Petty, R. E. and Cacioppo, J. T. 1981: Attitudes and Persuasion. Qualter, T. H. 1985: Opinion Control in the Democracies. TERENCE H. QUALTER

least questionable or disputable about their convic­ tions. It is a matter of opinion whether a subject is a matter of opinion. In an increasingly sophisticated

organization

society, as the certainties of an older, more homo­

ingly frequently used notion in the social sciences is

The starting point for this increas­

geneous order come to be challenged, the range of

the analogy between animate organisms and soci­

things on which we can hold opinions widens. All

ety. In biology the organism is an entity producing

new areas of thought, all re-examinations of ortho­

beings similar to itself, while in society organization appears as a unit of persons and groups separated by

doxy, raise questions of opinion. The second element proposes that opinions are

the division of labour but also cooperating with

those views which are capable of being accepted by

each other. Entity and reproduction are significant

the rational mind as true. This is not to suggest that

features of organization in society, as of the organ­

each opinion, as propounded by each individual,

ism in nature.

has a logically reasoned foundation. Opinions may

The organizations emerging in society can be

be acquired in many ways, among which logical

classified in many different ways, and the classifica­

deductions from objective premises or empirical

tion to be adopted can be decided on the basis of the

observations are only sometimes a factor. Many

requirements of a specific research approach. Fer­

hold their opinions out of habit, or accept them

dinand Tiinnies made a classic differentiation be­

from the authority of others. The essential require­

tween two basic types of social organization which

ment is that in their internal content they be con­

is still in use: Gemeinschafi, which is characterized

sistent with

by being born into something and living one's life in

some

defensible

interpretation

of

public data, and that they could be reached by the

it, for instance village communities and ethnic sub­

normal processes of reason.

cultures; and Gesellschafi, a type of organization

However formulated or arrived at, opinions have

which comes into being by the conscious will of

their roots in the related concept of attitudes. An

the participants, where membership is normally

opinion may in fact be described as an expressed

decided by the free decision of the people con­

attitude, perhaps modified by the need for expres­

cerned. (See also Soci AL STRUCTURE.) An essential

sion. Attitude itself is another complex idea in

feature of modern societies is the diversity of these

which certain common threads run through scores

organizations, which spread more and more widely

of detailed definitions. The first point is that atti­

through social life. They can also be classified from

in

several viewpoints, and this is a major theme of

an inclination to respond to external stimuli in a

organization theory. The most important differen­

favourable

tiations are the following.

tudes

are

internal or

mental

unfavourable

states,

reflected

manner.

Attitudes

embody a basic evaluation of the world- a combin­

Military organizations, a very old form of organ­

ation of beliefs about 'reality', together with moral

ization in history, in which a strict relationship of

judgements of approval or disapproval, likes and

leadership and subordination asserts itself,

dislikes.

though in recent times professional competence is

There is no exact correlation between an indivi­

al­

gaining ground, and parallel with this the func­

dual's set of attitudes and the expressed opinion

tional elements are being reinforced alongside the

on a specific situation. This is because the voiced

linear chain of command.

446

ORGANIZATIONAL BEHAVIOUR

Work organizations,

a main type of which is the

subordination; (b) dichotomous organization where

hierarchically structured enterprise (see MANAGE­

bureaucratic leading organs are operated by lay

MENT SCIENCE). This form is predominant in eco­

persons; (c) organization fully managed by lay per­

nomic life and as a result of various reformist efforts

sons (self-management). Secondly, the relationship

it is assuming a more and more humane character,

between the organization and state power. Three

gradually losing its original rigidity.

main types can again be differentiated: (a) organiza­

Political parties Western

societies

and political organizations. In parliamentarianism

has

pro­

moted to the rank of the most important organiza­

tion subordinated to state power and identified with it; (b) organization in opposition to state power; (c) organization neutral with respect to state power.

tion of civil societies the political parties which, on

See also FORDISM AND POST-FORDISM; INDUSTRIAL

the basis of general elections, have a smaller or

ORGANIZATION; ORGANIZATIONAL BEHAVIOUR; OR­

greater share of power. Some of them do not get

GANIZATIONAL THEORY; SYSTEM THEORY.

the chance to acquire real power but as institutions for holding the executive accountable they may

Reading

have an important role in society. The latter role

Simpson, R. L. 1959: Vertical and horizontal communi­

was

especially

important

in

the

process

of

reforming socialist countries, where the introduc­ tion of parliamentarianism encountered very severe obstacles in the constellation of power.

Profossional interest-protection organizations,

cation in formal organisations.

Administrative Science

{htarterly 4. Tiinnies, F. 1887

(1955): Community and Association. The Organisation Man.

Whyte, W. H. 1960:

ANDRAS HEGEDUS

the

most typical form of which is that of the TRADE UNIONS organized by occupation. They play an

organization, industrial

important role not only in the protection of

GANIZATION

See

INDUSTRIAL OR­

workers' interests but also as mediators between This interdisciplin­

the power-holders and the masses. In the USSR,

organizational behaviour

Stalinism emphasized only the latter role of the

ary study focuses on the human and social aspects

trade unions, but in the course of recent reforms

of management in formal organizations as a 'tech­

the role of interest protection is increasing, and

nical' problem. It draws primarily on sociology and

against organization on the basis of economic

psychology, but also on economics, MANAGEMENT

sectors the principle of professional organization

SCIENCE and production engineering to study the

is becoming more prominent.

structure and functioning of organizations and the which are

behaviour of groups and individuals within them.

often connected with the conservation of historic

The application of this subject to practical prob­

monuments on the basis of local patriotism. More

lems of managing change in organizations is re­

recently, however, in these organizations the sign­

ferred to as organizational development. In the

ificance of environmental protection and the elim­

twentieth century the impact of social science on

ination of problems caused by the ecological crisis is

management thinking has built up to become the

growing (see also CiVIL SOCIETY).

major force.

Local interest-protection organizations,

organized

From the point of view of organizational behav­

partly within the official churches and partly out­

iour the task of management may be considered as

side them. Especially important among the latter

the organization of individuals' behaviour in rela­

are the basic communities, an indicator of a possible

tion to the physical means and resources to achieve

future renaissance of religion.

desired goals. A basic problem then becomes: how

Religious organizations,

which

are

Of course, this list could be continued and within

much organization and control of behaviour is ne­

each category new subcategories could be distin­

cessary for efficient functioning, and what form

guished. Instead it is more useful here to underline

should it take? It is in the implied answer to this

the significance of two aspects of organizations

question that two sides of a continuing debate can

through which they can be classified and analysed.

be distinguished- characterized by Pugh

First, the degree of bureaucratization of organiza­

the 'organizers' and the 'behaviouralists'.

(1990)

as

tion (see also BUREAUCRACY). Three main groups

The organizers stem from the work of Henri

can be differentiated here: (a) bureaucratic organ­

Fayol, Frederick W. Taylor and Max Weber.

ization which is clearly governed by bureaucratic

They maintain that more precisely determined

ORGANIZATIONAL THEORY

447

structures, plans and programmes, with improved

development if the organization is to function

specification, monitoring and control of the behav­

efficiently.

iour required to achieve them, are necessary for

Studies of decision-making have also suggested

effectiveness. They point to the advantages for

that it is not possible to take a completely rational

efficient goal achievement of specialization of func­

approach to management (Simon, 1947). A par­

tion and task, clear job definitions, standardized

tially rational piecemeal approach normally occurs

procedures and clear lines of authority, that is, the

(Lindblom, 1959). Even nonrational approaches to

form of organization for which Weber (1922) used

decision-making are encouraged as a spur to in­

the term BUREAUCRACY.

novativeness (March, 1976).

Fayol's (1916) definition of what management is,

Further developments stem from those who take

and Taylor's (1947) approach to the extreme sub­

a 'contingency approach' arguing that a balance

division and control of the tasks of shopfloor

must be kept between the concerns of the organ­

workers (called 'scientific management') had and

izers and the behaviouralists. This balance will be

continue to have a considerable impact on both

contingent on the particular contextual situation of

management thinking and practice. While Fayol

the organization which will cause differences in its

and Taylor were enthusiastic advocates of full man­

structure (Burns and Stalker, 1961; Pugh and Hick­

agement control, Weber expressed considerable

son, 1976) as will the technology used in producing

concern about the social implications of the spread

the output as demonstrated in the sociotechnical

of bureaucracy in terms of the bureaucrats' ability

system approach (Emery and Trist, 1960). Simi­

to usurp democratic functions. But since this con­

larly, different tasks of a work group, and the needs

cern was based on his belief in the overwhelming

of its members, will require differences in leader­

technical efficiency of the bureaucratic approach,

ship (Fiedler, 1967).

its impact on the field of organizational behaviour was to underline the arguments of the organizers. These ideas have been developed, for example,

The Marxist approach (Braverman, 1974) has been to argue that the extreme organizers will always be preferred by managements since their aim is not

by spelling out the minimum required characteris­

efficiency in performance, but efficiency in the con­

tics of an effective bureaucratic structure (] aques,

trol of the working class in the interests of capital. An important recent development, with the ex­

1976). The behaviouralists stem from the work of

pansion of international trade and the rise of multi­

Elton Mayo, Kurt Lewin and Abraham Maslow.

national corporations, has been the systematic

Mayo (1933) studied shopfloor work groups in

identification of cross-cultural differences in organ­

the 'Hawthorne experiments' and developed the

izational behaviour in regard to work values, lead­

'human relations' approach which emphasizes the

ership style and control structures (Hofstede,

human and social needs of workers (see also INDUS­

1980).

TRIAL RELATIONS) . Lewin studied the strengths of

See also ORGANIZATIONAL THEORY.

democratic as opposed to autocratic leadership (Lewin et al., 1939). Maslow (1968) identified

Reading

'self-actualization' -the need to grow and develop

Morgan, G. 1986:

as an individual - as an important motivator. All

Pugh, D. S. and Hickson, D. J. 1989:

three argue that the continuing attempt to increase

Images of Organization. Writers on Organiza­

tions, 4th edn. DEREK PUGH

control over the behaviour of members of the organization is self-defeating. Management control

interdisciplinary

Organizational

and

body of knowledge with close ties to sociology,

apathy

in

members'

performance

when

theory

An

leads to rigidity where flexibility is required, commitment and high motivation are required. In­

psychology, political science, public administra­

creasing control generates efforts devoted to coun­

tion, management and economics. It originated

tercontrol through informal relationships to defeat

mainly in the United States, France and Germany

the aims of the organization. It does not generally

following World War I, largely in response to the

lead to increased efficiency, and when it does it

need for practical and professional, as well as schol­

is only in the short term and at the cost of internal

arly, knowledge for managers and administrators in

conflict. Subordinates must be given considerable

both the public and private sector. The American

autonomy in decisions and opportunities for self-

contribution focused on problems of industrial

448

ORIENTAL DESPOTISM

organization and the growth of the administrative

cepts more compatible with these strategies applied

state after 1932, the French on industrial organiza­

to the firm and the national, supranational or global

tion as a key problem area of the social and eco­

market. In studies addressed to employment, many

nomic division of labour, following on the work of

of the assumptions about organizational careers

Emile Durkheim. In contrast, the German contri­

have been challenged as a result of the rise of

bution concerned itself with the phenomenon of

contractual rather than permanent positions, and

bureaucracy as the organizational embodiment of

privatization and contracting out as options in the

what Max Weber called 'legal-rational' authority in

public and social as well as the private sector.

both the state and the large enterprise.

See also MANAGEMENT SCIENCE.

These three strands of research, scholarship and professional advice to managers and administrators

Reading

began to come together in a relatively coherent

Burrell, G. and Morgan, G. 1979: Sociological Paradigms

form only after World War II, and achieved full recognition as a discrete field of research, teaching and training separate from management in the mid1950s. Since 1970, organizational theory has split into a number of different areas of study, including ORGANIZATIONAL BEHAVIOUR and interpretive and

and Organizational Analysis. C1egg, S. ed. 1990: Organization Theory and Class Analy­ sts. C1egg, S., Hardy, C. and Nord, W. eds 1996: Handbook of Organization Studies. Hall, R. H. 1999: Organizations: Structures, Processes and Outcomes.

radical organization theories. While organizational

Hassard, J. 1993: Sociology and Organization Theory.

behaviour is more empirical and less formal and

Morgan, G. ed. 1983: Beyond Method: Strategiesfor Social

prescriptive, interpretive and radical organization theories have focused respectively on reality con­ struction from the actor's standpoint and the or­ ganization as a locus of political struggle, labour exploitation and class domination and control.

Research. Pfeffer, J. 1997: New Directions for Organization Theory: Problems and Prospects. Scott, W. R. 1992: Organizations: Rational, Natural and Open Systems.

H. T. WILSON

Organizational theory has concerned itself since its inception with the relationship or 'fit' between

Referring to a form of pol­

the individual personality, the structure of authority

oriental despotism

and the organization of work and role of technology.

itical organization in which a centralized bureau­

It has also addressed issues bearing on the small

cracy controls water supplies and irrigation works,

group, goals, motivation, leadership, communica­

the concept was made famous by Karl Wittfogel

tion, decision making, alternative organizational

who wrote a book with this title (1957), but it

and suborganizational systems, and the 'environ­

nevertheless has a complicated history and wider

ment' of organizations. Cutting across these con­

reference.

cerns was the question of whether personality, role

The term despotism is very old, but it is gener­

or decision making constituted the best conceptual

ally considered that Montesquieu (1749) was the

basis for carrying out research and theory in the

first to use it systematically in drawing a distinction

field. More recently, journals in organizational

between

theory and behaviour have begun to treat both

former system of government comprised a number

monarchy

and despotism. While the

areas as forms of social theory and research. The

of ranked levels, the latter, thought to be character­

result has been to collapse to a far greater extent

istic of Asia, featured a chasm between the ruling

than was true in the 1950s and 1960s the boundaries

despot and the people who were all alike in being

between these areas and the study of social, eco­

'nothing'.

nomic and political structures and processes. This tendency has intensified since the late

Many other writers were interested in Asiatic societies in the eighteenth century. Adam Smith

1970s, mainly as a result of the rise of neoconserva­

(1776), for example, argued that despotism, linked

tism (US and Canada) or neoliberalism (Europe),

to agriculture rather than commerce, was a type of

accompanied by the withdrawal of public and social

society at a low level of evolutionary development,

sectors from established functions, services and

and largely in a stationary state. In the nineteenth

regulatory activity in favour of privatization and

century

related strategies. Not surprisingly, this has meant

from government and ruler to the supposedly self­

a heightened role for economic theories and con-

sufficient and largely isolated village communities

the

focus

of

attention

switched

ORIENTAL DESPOTISM

449

that constituted the individual units of oriental

seen as the most elementary form of the state, is

society.

but a short step away from the primitive commune

With Karl Marx oriental society became the

because the divine unity takes the substantial form

Asiatic system. The development of this concept

of a ruling despot seen as a representative or re­

within the tradition of Marxism is difficult to trace

incarnation of the divine. The higher unity thus

both because Marx's ideas on the evolution of social

stands in as the 'father' of the smaller communities

formations changed over time, and because his own

and appears as the sole proprietor to whom surplus

writings on this topic became available only grad­

labour is given as tribute. Objectively, in so far as

ually and in piecemeal fashion. In an early argu­

property is still held communally, the Asiatic form

(1845-6) advanced the view

is a state without classes (or at least without the

ment Marx and Engels

1985, p. 112)

that there are various stages in the social division of

corrosive effect of classes, see Bloch,

labour which correspond to specific forms of prop­

and hence stagnant. Asiatic states may break down

erty. The first stage is the primitive commune in

and re-form at the higher level but the social organ­

which all property is held communally. Out of this

ization of the village communities remains immune

comes the development of ideas of private property

from the turbulence of changes in ruling dynasties.

and the contrast between town and country (and

With the adoption in the Soviet Union of a

between free man and slave), which is linked to the

simplistic unilinear historical materialism in which

separation of industrial and commercial labour

the various forms of society were seen to succeed

from agricultural labour, and hence to the rise of

one another through the dynamic of class struggle,

the ancient city-state. The third stage of property is

the notion of a stagnant oriental despotism (Asiatic

feudal ownership. Because this does not involve

society) posed a major theoretical and political

concentration of population in cities, however, it

problem. Much of the early work of Soviet thinkers

is debatable whether feudalism succeeds the ancient

was devoted to reinterpreting this social form as

city-state or is an alternative route out of the

really a version of feudalism, and the fact that

primitive commune. The next stage is capitalism

Engels did not mention Asiatic society in the

emerging out of the economic contradictions of

Origin ofthe Family, Private Property and the State (1884)

feudalism.

made their task somewhat easier.

After ten years of further intensive research

Karl Wittfogel's

Oriental Despotism, as a theory

Marx modified this version of historical periodiza­

of 'hydraulic society', argues that the special eco­

tion. In that section of the

Grundrisse ( 1857-8, first 1953, and published in English as Pre-capitalist Economic Formations, 1964), Marx set

logical conditions of Asia make large-scale irriga­

published only in

tion by canals and waterworks the necessary basis of

out a more elaborate treatment of this issue. In this,

a centralized bureaucracy to coordinate water con­

agriculture, which also requires the interference of

the Asiatic system, not mentioned in the previous

trol.

scheme, has become one of three alternative routes

systems in which the ruling elite appropriates a

This

consolidates

into

despotic

political

out of the primitive commune, along with the an­

surplus from primary producers and possesses a

cient and the Germanic systems. Here Marx also

monopoly of military power. In such systems the

drew attention to a distinction between those social

local village communities remain atomized and cul­

formations 'which resist and those which favour

turally distant from their overlords.

historical evolution' (Hobsbawm,

1964, p. 33),

Oriental Despotism is also noteworthy for its

oriental society being a clear example of the former.

extended

By this time then it is evident that Marx did not

According to Wittfogel both Lenin and Stalin

entertain a simple unilinear theory of evolution.

polemic

against

Stalinist

Russia.

ignored and suppressed the concept of the Asiatic

In the primitive commune 'the earth provides

system, even though Marx had stressed it, because

the means and the materials of labour' and men

they were aware that Russia was itself at such a stage

communal proprietors (Marx, Pre-capitalist Economic Formations, p. 69).

the possibility that a communist state might assume

'regard themselves as its

of evolution and because they wanted to play down

In such a social form the bounty of nature consti­

the character of despotism. As far as Wittfogel was

tutes a precondition of existence, but is not itself the

concerned Stalin was just another in the long line of

product of labour; rather it appears as a natural and

oriental despots.

divine precondition conceived as a sort of unity

Though very influential, Wittfogel's work has

over and above the group. The Asiatic system,

been widely criticized. One obvious problem is

450

ORIENTALISM

that there are many south-east Asian states based

tises of Jesuit missionaries and works representative

on irrigated rice production but lacking effective

of the Western Enlightenment contributed to this

and centralized bureaucracies. Another criticism

very positional image of the Orient. But not sur­

is that the linking of a specific form of society

prisingly orientalism's heyday coincides with the

with a particular geographical area (and a type of

power of COLONIALISM at its height.

ecological setting) seems to limit the universal

In fact, one can show that the notion of the East

applicability of Marx's theory of the evolution of

as the foil of the West, and 'other', dates back to

socioeconomic formations.

classical antiquity, in Aristotle's remarks about 'ser­

With the publication of Grundrisse and other of

vile Asiatics' (in the Politics) and speculations by

Marx's later works, debate now focuses on the

Greek philosophers and orators on the Persian

issues of the conditions for the emergence of states,

Great King and why he ruled his people like slaves.

the nature of classes in precapitalist societies and

While it was clear that to the Greeks, ancient Persia,

the symbolism of state power. More recently the

Egypt, Mesopotamia and Syria represented vener­

idea that oriental society constitutes a specific and

able and respected cultures with which they saw

coherent object of study has come under intense

themselves competing, it was not uncommon for

scrutiny (Said, 1978).

the Greeks to rewrite history in such a way that in

See also STATE; MoDE OF PRODUCTION; AsiAN VALUES.

ians' they were always the victors. For instance, Plato, in the Timaeus and Critias, which recount

Reading Bailey,A. M. and Llobera,J. R. 1974-5: TheAsiatic mode of production. Critique ofAnthropology 2, 95-103; 4-5, 165-76. --

the struggles between the 'giants' and the 'barbar­

1979: Karl Wittfogel and the Asiatic mode of pro­

duction: a reappraisal. Sociological Review 27,541-59. Geertz, G. 1980: Negara: The Theatre State in Nineteenth­

the story of the legendary Atlantis, now thought to be Crete, whose civilization was destroyed by the eruption ofThera, referred to allegorically by Plato, clearly reverses the results of the battle between the armies of Egyptian Ramses Ill and the Greeks in favour of the latter. Plato, who is reputed to have journeyed to Egypt and perhaps to have spent as

Century Bali. Hindess, B. and Hirst, P. 1975: ?re-capitalist Modes of Production.

long as three years there, at the same time makes several favourable references to Egypt, as having

Krader, L. 1975: The Asiatic Mode ofProduction. Mitchell, W. 1973: The hydraulic hypothesis: a reappraisal. Current Anthropology 14, 532-4. Service, E. 1975: The Origins ofthe State and Civilization. Steward,]. 1977: Evolution and Ecology. Winzeler, R. 1976: Ecology, culture, social organization

invented 'number and calculation, geometry and astronomy, not to speak of draughts and dice, and above all writing' (Phaedrus, 27c- d; Philebus, ISh­ d), and of already showing 10,000 years of continu­ ity in religion, art and law by the time that he wrote

and state formation in Southeast Asia. Current Anthro­

(Laws, 656-7). Egypt, in fact, he claims, better

pology 17, 623-40.

preserved Greek historical records than the Greeks, LEO HOWE

due to the devastations following the eruption of Thera (Timaeus, 22-3). Herodotus, our principle

orientalism

A term that was given currency by

ancient authority on Egypt and Mesopotamia,

the work of Anouar Abdel-Malek (1963) and

maintained that Greece acquired her gods and

Edward Said (1978), 'orientalism' refers to the pe­

cultic practices from Egypt as the repository of

culiar perspective on the East of scholars of

ancient wisdom

the Orient representing the old colonial powers.

1972 edn, 146). While Herodotus's view was long

The view of the classical 'orientalists' was one

discredited by Plutarch's smear that he was 'the

from the 'centre' to the 'periphery'; a view that

father of lies', or 'a barbarian lover', who credited

(Herodotus, Histories,

2.44-5,

saw the East as 'other', the foil and the prey of the

non-Greeks with more than any Greek should,

triumphant and civilizing West. Said (1978, p. 222)

Plutarch himself, in his Isis and Osiris (Moralia, bk

has shown very well how the Orient was seen by the

5) and other works, showed himself well acquainted

orientalists - using this term technically to refer to

with, and in a certain admiration of, the highly

scholars of the Orient - as a field for the expert

developed cultures of Egypt and Persia.

whose role in society was to interpret it for compat­

In that period of classical revival, the European

riots. A long line of thinking from the travellers'

Renaissance of the fourteenth and fifteenth centur­

tales of European gentlemen to the scholarly trea-

ies, we do not find, as we might expect, a carry-over

ORIENTALISM

451

of xenophobic Greek attitudes. This is partly be­

in the West, had nurtured indigenous elites on an

cause the Italian Renaissance was more Roman than

exotic literature, from Greece and Rome and the

Greek in inspiration, not surprisingly given that

ancient Near East. Classical literature constituted

this was also a nationalist movement. So far was

the fund of examples from which models were

the East from being stigmatized as'despotic' in the

drawn, and on this basis, early modern dynamic

European Renaissance, a period which saw fascin­

factions in Western European states persuaded

ation with power in all its modes, that in fact we

their monarchs, some under pressure, to convert

have several indications that the Orient was a source

aristocratic clan councils into representative assem­

of inspiration and political models. Indeed, the

blies on the Greek and Roman models. That they

East's role to'regenerate the West' was a recurrent

succeeded in doing so was due in no small measure

concept that gained in strength with time, a dream

to the threats held out to them of the Muslims,

of the novelist Gustave Flaubert in his later years,

particularly the dreaded Turks, who at the battle

for instance. Niccolo Machiavelli was, it seems,

of Poitiers were turned back from the very heart­

representative of Renaissance Florentine humanists

land of Europe and whose traditions and institu­

in his admiration of the ancient Eastern empires

tions were deemed to be the very antithesis of

and the efforts of Alexander the Great to conquer

everything Western Europe stood for.

and then reconstitute them. Quattrocento Floren­

The case against the Orient is clearly to be seen in

tine humanism owed a good deal to Byzantine

the writings of James Harrington and Edward

scholars responsible for the reintroduction of

Gibbon, who compared the 'slothful effeminacy

Greek language and classical texts, some of them,

of the Syrians and Egyptians' with the 'fierce

in particular Gemistus Pletho, schooled in the

independence of the Germans and Caledonians',

Arabic commentaries, just as medieval humanism

appealing to Tacitus's celebrated encomium to

had owed its rich source of Greek classical texts to

Teutonic probity. Montesquieu, for his part, uses the Turk as a scare figure to warn the court of Louis

the Arabs. The second phase in the rise of'orientalism' as a

XIV against the hazards of despotism. On the rising

specific phenomenon dates precisely from the

tide of philologically based ethnocentrism that pro­

emergence of the Western nation-states from the

duced the'Aryan model' as the defining instrument

sixteenth century on, and the tradition of classical

to divide the Greeks and the barbarians, this ancient

republican theory in terms of which they legitim­

Battle of the Giants achieved new heights. Climato­

ated themselves. It is a peculiar achievement of this

logical theories, theories about the movement of

tradition of Western political theory that it suc­

peoples and the origins of civilization on the Iranian

ceeded in characterizing the great landed monarch­

steppe, combined to favour Indo-European as op­

ies of Western Europe as essentially 'democratic',

posed to Semitic cultures (Bernal,

and the polities of the East, which had most prob­

have the context for 'orientalism' as a professional

1987). Here we

ably pioneered republican social forms- the bicam­

academic disposition toward the East theorized as

eral assembly, voting by ballot and by lot, the roster

'the Asiatic mode of production' by nineteenth- and

of magistracies tenurable for a year, the liturgy and

early twentieth-century thinkers as influential as

The History of British India, ]. S. Dissertations and Discussions, Karl Marx

a judicial system based on common law justiciable

James Mill in

in the courts - as essentially 'despotic'. From

Mill, in

Thomas Hobbes, James Harrington and John

and Antonio Gramsci. The belief that oriental cities

Locke, to Jean Bodin, Jean-Jacques Rousseau and

differed from either ancient or medieval Western

Montesquieu, different though the specific content

cities, in being founded on the 'armed camp', and

of the work of these political theorists was, the net

that oriental society, exemplified by India, lacked

result was to cast in stone the boundaries between

'history'

East and West, as between despotic and represen­

in the

tative regimes respectively (see also ORIENTAL DES­

m

its

changelessness

(Karl

Marx,

Grundrisse and Capita[), combined ideas of

backwardness and

stationariness

that

favoured

polis

Western society in Social Darwinist terms, then

became the arena in which Western state formation

current, legitimating colonial projects of the nine­

was carried out. Among the permitting conditions

teenth-century Western powers.

POTISM). The struggle for the mantle of the

was the fortuitous circumstance that the church,

It is without doubt the case that orientalist

itself an institution whose wellsprings were in the

stereotypes have infected much of the 'develop­

East, and responsible for the educational function

ment' literature analysing Third World polities in

452

ORIENTALISM

relation to the First World, evident in the very

portation of Western culture and values and the

concept of 'underdevelopment', a readiness to

integration of non-Western economies into the

ascribe national character traits in the diagnosis of

world market.

systemic weaknesses, and the wholesale transporta­ tion

of

Western

institutions

as

political

and

Reading

economic panaceas (see also DEVELOPMENT AND

Abdel-Malek, A. 1963: Civilization and Social Theory.

UNDERDEVELOPMENT; ASIAN VALUES). Orientalism

Bernal, M. 1987: Black Athena: the Afro-Asiatic Roots of

is a form of racism that has in the nineteenth and twentieth centuries, as in the heyday of Roman imperialism,

had

strong

institutional

backing

in colonial and neocolonial administrative struc­

Classical Civilization. Said, E. 1978: Orientalism. Springborg, P. 1986: Politics, primordialism and oriental­ ism: Marx, Aristotle and the myth of Gemeinschaft.

American Political Science Review 80, 185-211.

tures. Thus departments like the Colonial Office,

--1992: Western Republicanism and the Oriental Prince.

which once bore the White Man's Burden, have

Turner, B. 1978: Marx and the End ofOrientalism.

been replaced by the international aid agencies,

--Orientalism and the problem of civil society. In

strongly committed to a 'civilizing mission' which includes 'development', that is to say Western edu­ cation, economic and political 'growth', the trans-

Orientalism, Islam and Islamists, ed. AsafHussain et al. Wittfogel, K. A. 1957: Oriental Despotism.

PATRICIA SPRINGBORG

p The protracted slaughter of World

succeed in changing the minds of powerful and

War I gave fresh impetus to the old doctrine that

often brutal opponents, though other factors were

pacifism

resort to war, even in response to attack, is always

undoubtedly at work, and in each case the activists

wrong. Its adherents, however, were soon to face

were able to appeal to a democratic public opinion

peculiarly acute dilemmas. Against threats, actual

with ultimate control over their oppressors. Gandhi

or potential, from brutally dictatorial regimes,

was not himself a pacifist, but his campaigns, which

capable, in some cases, of genocide, the question

made much use of fasts, consistently renounced

arises: how can a state that deprives itself of the

violence and disavowed any resort to it by professed

military weapon survive, or fulfil its obligation to its

supporters. His teaching drew much on Hindu

own people or others? And if it does not survive,

religious writings. 'The way of the spirit ...is one

how can its people preserve their values? In the

of detachment, of self-abnegation, of being un­

twentieth century war has become a moral obscen­

attached to all desires' (see Gandhi,

ity, but so, often, have the alternatives to it. Apart from those that follow the biblical injunc­

Gene Sharp

1951, p. 26). (1971) reported having identified

125 different forms of nonviolence, falling into

tion to 'take no thought for the morrow', pacifists

three main

answer this in two ways. In the first place, they

and intervention, and discerned three mechanisms

categories:

protest, noncooperation

argue that no-one is likely to attack a patently

of change: conversion, accommodation and coer­

undefended state. Secondly, they claim that if

cion. Given that the resisters are capable of explain­

such an attack were to occur, the population could

ing the reasons for their resistance, which he sees as

preserve the values of their society, and eventually

a sine qua non, their nonviolence, and the respect

induce the invader to withdraw, by organized non­

won through their willingness to suffer if necessary

violent resistance.

for their beliefs, will, he claims, make opponents

Cases can be found which support their first

readier to reconsider their policies. Alternatively,

contention. Costa Rica has long survived without

such resistance may induce accommodation in an

an army, and Austria, though certainly not pacifist,

opponent who, while not (yet) convinced of the

owed its survival and security, during the Cold

rightness of their case, is prepared to comply with

War, more to its recognized status as an unthreat­

the activists' demands because 'he does not think

ening and constructive neutral than to its capacity

the matter worth the trouble caused by the struggle'

to defend itself against the military alliances of

(p. 156). CoERCION can be applied when the resist­

either NATO in the West or the Warsaw Pact in

ance is sufficiently widespread, and protracted, as to

the East; but given the fate of Denmark in

'succeed in withholding, directly or indirectly, the

Czechoslovakia in

necessary sources of the ruler's political power'.

1940, 1968 and Grenada in 1983, it

cannot convincingly be maintained that to pose no

Thomas Schelling

military threat is enough to assure immunity.

ous writings had cold-bloodedly analysed the logic

(1971, p. 179), who in his previ­

The feasibility of pacifism thus very much

of violent coercion, conceded that 'the potential of

depends on the efficacy of non-violence. Gandhi's

nonviolence is enormous [with] implications for

'civil disobedience' campaigns against British rule

peace, war, stability, terror, confidence and domes­

in India in the interwar years, and the challenges

tic politics that are not yet easy to assess.'

mounted by the National Association for the Ad­

Nuclear pacifism, which holds that the use of

vancement of Coloured Peoples, under the leader­

nuclear weapons is always wrong, even in retali­

ship of Martin Luther King, to the segregation and

ation, and therefore calls for their renunciation,

disfranchisement of blacks in the American South,

unilaterally if necessary, offers a less drastic pro­

seemed to show that nonviolence can sometimes

spect. Bull

(1961, p. 85) called such renunciation

454

PAN-AFRICANISM

'an act of surrender', implying that states unable to

regional economic experiments as the defunct East

rely on their own nuclear threats, or those of allies

African Community (EAC) and the more recent

on their behalf, are impotent; but Vietnam, pos­

Economic Community of West African States

sessed of no such threat, still managed to defeat the

(ECOWAS).

world's most advanced nuclear power.

sub-Saharan (focusing mainly on black Africans

Nuclear pacifism now often invokes the theory of

Pan-Africanism can be primarily

south of the Sahara as when in the 1980s President

the 'just war', whereby, for military force to be

Mobutu Sese Seko of Zaire recommended an or­

legitimate, not only must the end be good (and

trans­ Saharan (seeking to unite black Africa with Arab Africa), or trans-Atlantic (solidarity between Afri­

attainable), but violence must only be used against those actually resisting such force, that is, combat­

ganization of only black African states), or

ants. Its case was boosted by the Advisory Opinion

cans and blacks of the Western hemisphere), or

given by the International Court of Justice (the

global (a sense of a shared identity among people

'World Court') in 1996, which ruled that 'a threat

of African descent everywhere). Descendants of

or use of nuclear weapons would generally be con­

Africans who are located outside Africa constitute

trary to the rules of international law applicable in

what is often called 'the African diaspora' or 'the

armed conflict, and in particular the principles and

black diaspora'.

rules of humanitarian law' (MacMillan, 1998, p. 51)

History ofpan-Africanism Reading Bondurant, J. V. ed. 1971: Conflict: Violence and NonViolence.

At the turn of the century black people were suffer­ ing political oppression, economic exploitation and

Ceadel, M. 1987: Thinking about Peace and War.

social degradation under CoLONIALISM and system­

Hinton, J. 1989: Protests and Visions.

atic racial discrimination. Apart from black-ruled

Roberts, A. ed. 1967: The Strategy of Civilian Defence.

Ethiopia, Haiti and Liberia, the lives of people of

Sharp, G. 1973: The Politics ofNon-Violent Action.

RODERICK C. OGLEY

African origin were under the control of Europeans. The 'pan-European' domination fostered the belief that the liberation of blacks hinged on their political

pan-Africanism

This may be defined as a sense

of solidarity among Africans and people of African ancestry. That awareness of shared identity has sometimes been intellectualized into a theory or translated into political action. At its most ambi­ tious, pan-Africanism seeks to create one govern­ ment for the whole of Africa, combined with strong economic and political ties with people of African descent elsewhere in the world. Pan-Africanism may take the form of emotions, ideas or action. When African-Americans burst into the Security Council at the United Nations in 1961, interrupting proceedings in protest against the murder of the former premier Patrice Lumumba in the Congo (now Zaire), that angry protest con­ stituted pan-African emotions translated into polit­ ical action. When the civil rights activist Reverend Jesse Jackson recommended in 1989 that the term 'black American' should be replaced by 'African­ American', that was a pan-African idea which was soon widely adopted as policy by many public insti­ tutions in the United States. In Africa itself pan­

unity. Moreover, 'pan' movements were a fashion from the middle of the nineteenth century to the outbreak of World War II; prominent among these were pan-Slavism, pan-Germanism, pan-Arabism, pan-Turanism, pan-Islamism and pan-Asianism (see also NATIONALISM) . In 1900 the first Pan-African Conference took place in London. It was organized by the African Association founded by Henry Sylvester Williams. The preparatory session in 1899 was attended by, among others, Booker T. Washington. The actual conference had about 60 participants from the USA, the West Indies, Britain and Africa, includ­ ing W. E. B.

Du Bois and Bishop Alexander

Waiters. The resolutions dealt with slavery, forced labour, segregation and other violations of human rights. In an appeal 'to the nations of the world' the conference declared: The problem of the twentieth century is the prob­ lem of the colour line, the question as to how far the

differences

of

race ...are

going

to

be

made ... the basis of denying to over half the

African manifestations have ranged from Nigerian

world the right of sharing to their utmost ability

students protesting the murder of black conscious­

the opportunities and privileges of modern man­

ness leader Steve Biko of South Africa to such

kind. (Geiss, 1974, p. 190)

PAN-AFRICANISM

455

After World War I, the Pan-African Congress

added tension between pan-Africanism and pan­

movement began. This was a series of meetings

Arabism.

held in 1919 (Paris), 1921 (London, Brussels and

A distinction can be made between pan-African­ ism of liberation and pan-Africanism of integration.

Paris), 1923 (London and Lisbon), 1927 (New es

Pan-Africanism of liberation is a solidarity in

Salaam). The prime mover and main organizer of

pursuit of liberty and self-determination. Pan­

York),

1945

(Manchester)

and 1974

(Dar

the conferences in the interwar years was W. E. B.

Africanism of integration is a solidarity in pursuit

Du Bois. The most important of these was the fifth

of regional, economic and political integration.

Pan-African Congress in Manchester in 1945;

Pan-Africanism of liberation is a success story: a

many of those who took part (for example, Obafemi

united African voice of anticolonialism and anti­

Awolowo, Hastings Banda, Jomo Kenyatta and

apartheid has helped to mobilize the rest of the

K wame Nkrumah) became major political figures

world. Pan-Africanism of integration is still, as we

in post-independence Africa.

have noted, a failure.

The Manchester

resolutions set the agenda for mainstream pan­

Trans-Atlantic pan-Africanism declined in the

African thinking thereafter. The major positions

second half of the twentieth century. Nevertheless,

of past Pan-African Congresses had been to pro­

W. E. B. Du Bois from the USA and George

mote the wellbeing and unity of people of African

Padmore from the Caribbean became Ghanaian

origin, to demand their self-determination, to insist

citizens after independence. Malcolm X and other

on the abolition of racial discrimination and to

black muslims were often both pan-Islamist and

condemn capitalism. The Manchester Congress

pan-African. The civil rights movement in the

also declared: 'the struggle for political power by

USA had links with the politics of decolonization

colonial and subject peoples is the first step to­

in Africa. The Rastafari movement in Jamaica iden­

wards, and the necessary prerequisite to, complete

tified with Ethiopia as the Promised Land and Haile

social,

emancipation'

Selassie as Divine King. Cultural pan-Africanism

(Legum, 1976, p. 137). This shift to anticolonialism

in the diaspora ranged from adopting African reli­

economic,

and

political

was particularly relevant for Africa and the Carib­

gious rituals to the popularity of African hair-styles,

bean, which were still under imperial rule.

from adopting African personal names to the proc­

Ghana's attainment of independence in 1957

lamation of an African substitute for Christmas (the

Kwaanza, based on a beginning). Artistic trans-Atlantic

reinforced this dramatic shift to an anticolonial

African-American festival of

struggle and a continental focus in pan-African

Swahili word for

thinking. As a result, the All-African Peoples' Or­

pan-Africanism has included the periodical festi­

ganization launched by Ghana's Kwame Nkrumah,

vals of arts and cultures which have been held in

which met first in Accra in 1958 and later had

both Africa and the diaspora. The most famous of

meetings in Tunis and Cairo, confined full partici­

these artistic events was FEST AC held in Lagos,

pation to residents of Africa. The All-African

Nigeria, in 1976. Singers, dancers, poets, drama­

Peoples' Conferences were not restricted to govern­

tists, drummers and others converged on Lagos.

ments but included liberation movements and trade

After a break of nearly 30 years, a 'call to the sixth

unionists. Their resolutions provided a further ad­

Pan-African Congress' was issued by radical dias­

vance in pan-African thinking: there should be the

pora intellectuals who had become disenchanted

'African personality' in international affairs and

with continental pan-Africanism. More than 500 delegates and observers met in Dar es Salaam in

'neocolonialism' must be fought. The

biggest

ambition

of

continental

pan­

197 4. It was the first congress to be held in Africa,

Africanism was to create an all-African suprastate.

and although it consisted largely of governmental

The creation of the Organization of African Unity

officials, it also included liberation movements and

(OAU) in 1963 was a modest compromise because,

leading African and diaspora intellectuals. It was

in part, its charter includes the following stipula­

thus the most comprehensive of all the Pan-African

tions:

affairs

Congresses. The congress was a major attempt to

of member states as well as respect for the sover­

bring pan-African thinking up to date. While the

noninterference

in

the

internal

state.

fifth Pan-African Congress in 1945 had resulted in

This intergovernmental organization has made no

narrowing the pan-African focus to the African

eignty

and

territorial

integrity

of each

significant moves towards creating a United States

continent (instead of the black world as a whole),

of Africa. Indeed, within the OAU, there is the

the sixth congress in 1974

broadened the relevant

456

PAN-AFRICANISM

constituency to encompass oppressed people every­

Africanism without joining any pan-African organ­

where. In Dar es Salaam, pan-Africanism was

ization.

trying to become a cornerstone of 'pan-humanism'. One central debate was whether class was more salient than race in the global struggle against op­ pression and exploitation.

Pan-Africanism as an ideology Pan-Africanism is less than a full ideology because it is neither a systematic explanation of political phenomena nor a specific programme for political

Pan-African movements

change. There is no theorist who has provided a set

Pan-Africanism has seldom been a mass movement;

of interrelated principles and definitions that con­

it is mainly a movement of elites. The main dias­

ceptually organize, in a systematic fashion, the con­

pora exception to this was Marcus Garvey's move­

dition of Africans and those of the diaspora. Not

ment. Garvey himself was Jamaican; his followers

even W. E. B. Du Bois and Kwame Nkrumah, for

were mainly African-Americans in their hundreds

all their writings on pan-Africanism, provide such

of thousands. The movement's goals were pan­

an ideology. There is also disagreement over what

African, but no mass membership existed outside

pan-Africanism is. Some have claimed that its con­

the USA.

stituent concepts are the following: Africa as the

Pan-Africanism in the continental sense has also

true homeland of all persons of African origin

failed to become a mass movement. The inspiration

wherever they now are; solidarity among people of

of pan-Africanism, in this sense, is not nationhood

African origin; belief in a distinct 'African person­

but continental solidarity; however, for this very

ality'; rehabilitation of Africa's past and respect for

reason, the impact of continental pan-Africanism

African culture; Africa for the Africans in terms of

has been thwarted by the cultural, economic and

sovereignty; and the hope for a united Africa. How­

political diversity among various African states

ever, based on the resolutions of the Pan-African

which manifested themselves after independence.

Congresses, it could be justifiably claimed that

For most Nigerians, Ethiopians and Zambians, to

there are only four essential components of pan­

name but a few, pan-Africanism was bound to be of

Africanism:

lower priority than 'nation-building' within each a concern with the common problems of all

country. That, however, leads to another problem:

African peoples wherever they may be;

pan-Africanism and this kind of nation-building are at odds with each other. As Nyerere put it: the truth is that as each of us develops his own state we raise more and more barriers between

2

self-determination for all African peoples;

3

pride in and of things African; and

4

insisting that the economic system governmg African peoples be socialistic.

ourselves. We entrench differences which we have inherited from the colonial period, and de­ velop new ones. Most of all, we develop a national pride which could easily be inimical to the devel­ opment of a pride in Africa. (N yerere, 1968, p. 211)

There is significantly more consensus behind 1, 2 and 3 than behind 4. Although pan-Africanism is not as yet a complete ideology, it does constitute a set of interrelated ideas and values comprehensive enough to add up to a world-view in search of a

Pan-Africanism has never been a unified move­

thinker.

ment, for in addition to the splits already men­ tioned, there have always been liberal and radical

Reading

versions,

Ajala, A. 1973: Pan-Africanism: Evolution, Progress and

representing

different

organizations.

There is also the diaspora/indigenous split. There have always been the black/Arab divide and the francophone/anglophone

split.

Except

for the

sixth Pan-African Congress in Dar es Salaam in 1974, all the other tendencies (including those

Prospects. Du Bois, W. E. B. 1965: The World and Africa: an Inquiry into the Part which Africa has Played in World History. Geiss, I. 1974: The Pan-African Movement: a History of Pan-Africanism in America, Europe and Africa, trans. A. Keep.

leading up to the formation of the OAU) have

Legum, C. 1976: Pan-Africanism: a Short Political Guide.

manifested

Mazrui, A. A. 1977: Africa's International Relations: the

these

stresses.

Nevertheless

large

numbers of people identify with the ideals of pan-

Diplomacy ofDependency and Change.

PAN-ARABISM Nkrumah, K. 1963: Africa Must Unite. Nyerere, J. 1968: Freedom and Socialism. Padmore, G. 1972: Pan-Africanism or Communism. Resolutions and Selected Speeches from the Sixth Pan-African Congress 1976. Dar es Salaam: Tanzania Publishing

House. Thompson, V. B. 1969: Africa and Unity: the Evolution of Pan-Africanism.

ALl A. MAZRUI AND A. M. SHARAKIYA

457

religion and sect, and a secular society would come into being in which no group had a built-in superiority over any other. Since it envisaged a society in which they would not be inferior in status to anyone else, this notion was particularly attract­ ive to Arab Christians, especially the Greek Ortho­ dox of Greater Syria, who regarded themselves as in some sense more authentically Arab than their Maronite and Catholic coreligionists, since the closeness of the latter's association with France as

pan-Arabism

As an ideology pan-Arabism is a

their patron and protector was regarded as com­

development of Arab NATIONALISM, which first

promising

appeared as a literary and political phenomenon in

'Arabness'.

both their

independence

and their

the Arab provinces of the Ottoman Empire towards

As World War I drew nearer, it became clear that

the end of the nineteenth century. Arab nationalism

some Arabs were prepared to seek the aid of West­

itself came into being partly as a consequence of the

ern powers, notably Great Britain, to achieve their

literary and linguistic revival movement known as

aim of independence from the Ottomans; paradox­

the nahda, which began in Greater Syria. A wave of

ically, in Egypt, which had been under British

rediscovery, editing and publishing of classical

occupation since

Arabic texts, and lexicographical activity encour­

wanted to enlist the Ottomans' help to obtain inde­

aged Arab intellectuals to reflect on their past great­

pendence from Britain. Here it is worth mentioning

ness and their present weakness under Ottoman

that at this stage the notion of an 'Arab nation' was

domination. By the beginning of the twentieth century the

1882, many nationalists had

generally confined to Greater Syria; thus an Egyp­ tian who wanted to take part in the first Arab

legitimacy of Ottoman rule over the Arab provinces

National Congress in Paris

was beginning to be challenged by Muslims and

mission to contribute to the discussions.

1913 was refused per­

Christians alike. A number of Muslim writers and

The Ottoman Empire collapsed at the end of

thinkers, increasingly conscious of the relative

World War I, but although many Arabs had fought

backwardness of the Islamic world, and more spe­

with Britain in the Arab Revolt against the Otto­

cifically the Ottoman Empire, vis-a-vis Europe,

mans assuming that they would gain some sort of

seized on the notion that the decline and decay of

political independence as a result, this goal was not

IsLAM was due to the Turks' usurpation of the

to be achieved for several decades. In addition,

caliphate. If Islam was to be revitalized, some

rather than creating a single political entity in the

thought, the caliphate should be restored to the

former Arab provinces of the Ottoman Empire as

Arabs, and, later, by extension, that the Arab

some Arabs had hoped, the peace settlement

lands should be liberated from the 'shackles of

brought into being the states which are now Iraq,

Turkish rule'. For their part a number of Christian

Syria, Lebanon, Israel/Palestine and Transjordan

intellectuals, in company with some more secular­

(now Jordan). These territories were designated

minded Muslims, believed that the ideals of liberty

mandates and assigned to the tutelage of Britain

and equality, on which they considered the pros­

and France, under the overall supervision of the

perity and progress of contemporary Europe to be

League of Nations. Thus, with the exception of

based, were largely incompatible with the style and

Saudi Arabia and northern Yemen, the whole

substance of Ottoman rule. In theory, and to a considerable extent in prac­

Arab world was now under European control: Egypt, although not a mandated territory, was

tice, the Ottoman Empire was a theocratic Islamic

ruled by Britain in a somewhat similar manner,

state, in which the majority group, the Sunni

while Libya had been an Italian colony since 1910,

Muslims, enjoyed a privileged status which the

Morocco and Tunisia French protectorates since

empire's religious ideology made it difficult to chal­

1881 and 1912, and Algeria had been annexed to France since 1848.

lenge. If language, ethnicity and coresidence, rather than religion, were to become the criteria of associ­

It was not until the interwar period, largely

ation, Arabs could associate with each other polit­

under the influence of the writings of the educa­

ically on equal terms across the boundaries of

tionalist and publicist Sati' al-Husri

(1882-1968),

458

PAN-ARABISM

that the idea of an 'Arab nation', perhaps the most

his premature death in 1970, had a deep distrust of

important tenet of pan-Arab ideology, began to take

political parties and did not himself build up any

shape. It is important to stress this, since certain

formal pan-Arab organizations, but the founders of

features of Arab nationalist thought have been im­

the Ba'th party in Syria in the 1940s saw their

planted in the minds of subsequent generations as if

organization as genuinely pan-Arab, and in the

they were self-evident, quasi-eternal truths, in such

1950s and 1960s party branches were established

a way as to obscure the recentness of their origin.

in each Arab country, or 'region of the Arab nation',

Hence pan-Arabism, postulating the a priori exist­

in party parlance. Nasser's appeal was probably less

ence of a single Arab nation, was formulated at

purely ideological, in the sense that the support he

precisely the moment when the modern Arab state

attracted stemmed from his achievement as the first

system came into being.

Arab leader to present a significant challenge to the

The basic tenets of pan-Arabism are that the

West; he was above all a populist-nationalist,

Arab world, from the Atlantic to the (Arab) Gulf,

merging himself with 'the nation', both Egyptian

forms one NATION; that this nation has been artifi­

and Arab. The most concrete political expression of

cially divided, first by the Ottomans and more

pan-Arabism was the United Arab Republic of

recently by imperialism and Zionism, and that its

Egypt and Syria, which lasted from 1958 to 1961;

regeneration can only be achieved by Arab unity. In

initially rushed into as a desperate expedient by the

al-Husri's formulation, 'the Arabs' are defined in

Syrian Ba'th who feared the effect of communist

the following somewhat totalitarian terms:

popularity in Syria on its own fortunes, it rapidly turned into a device for Egypt to exploit its smaller

Every one who speaks Arabic is an Arab. Everyone

partner economically, and as a result became pro­

who is affiliated with these people is an Arab. If he

foundly unpopular in Syria.

does not know this or if he does not cherish his Arabism, then we must study the reasons for his position. It may be a result of ignorance- then we must tell him the truth. It may be because he is unaware or deceived - then we must awaken him and reassure him. It may be a result of selfishness­ then we must work to limit his selfishness.

In spite of the Ba'thist slogan of 'One Arab nation with an eternal mission' the reality has been very different. The Ba'th Party split in 1966, and its two separate wings have been in power in Damascus since that time and in Baghdad since 1968. The 1970s and 1980s were characterized by a bitter battle for ideological legitimacy between the

Of course, the notion that the Arabs are a single

two rival factions; in an important sense, the legit­

nation is an assertion rather than the expression of

imacy of the one was defined in terms of the illegit­

a historical reality. Apart from the fact that 'the

imacy of the other. In fact, the only logical destiny

nation' as an idea does not antedate the latter

for the two states (in terms of the ideology each

part of the eighteenth century, even in the heyday

professed) would have been the merger of the one

of the medieval Arab empire, there is only a very

with the other. In both cases, political power was

limited sense in which this particular region was

seized by small well-organized political factions,

ever a single political entity. The most cursory

whose members shared elements of a common

glance

ideology but whose principal concern was to seize

at

a

historical

atlas

or

chronological

handbook shows the rise and fall of numerous ter­

power. When they had done so, both in Damascus

ritorially based dynasties in areas such as 'the

and Baghdad, they proceeded to set up mass polit­

Maghrib', 'Tunis', 'Egypt', 'Syria' and so forth. Of

ical parties to give themselves legitimacy. The

course, as all contemporary analysts of nationalism

ideology of pan-Arabism is sufficiently vague to

have indicated, committed nationalist historiog­

have enabled both these regimes to justify a wide

raphy, in this case Arab nationalist historiography,

variety of political activity in its terms - so that

must be considered as a contribution to the making

Syria's incursion into Lebanon in 1976 and Iraq's

of a myth rather than part of an objective historical

invasion oflran in 1980 could both be characterized

discourse.

as 'preserving the integrity of the Arab nation'.

Perhaps the two most visible manifestations of

On a popular level, the idea of Arab unity has had

pan-Arabism have been 'Nasserism' and Ba'thism.

considerable attraction in the Arab world, since

Jamal Abd al-Nasir (Nasser), the leader of the Free

most of the population speaks Arabic, is Muslim,

Officers, who seized power in Egypt in 1952 and

and does share a wide range of common cultural

subsequently became the country's president until

assumptions and social attitudes. In practical terms,

PARADIGM however, the weakness, lack of legitimacy and

459

Arab states to present a common or united front

the profoundly undemocratic or anti-democratic

which might bring the issue towards resolution.

nature of almost all Arab regimes, coupled with

The reason for this failure is not hard to find;

the fact that the existing individual national states

however 'artificial' the boundaries which were

are at very different stages of socioeconomic and

drawn up before and after World War I, these

political development, has meant that however im­

have now been in place for some 70

mediately desirable the idea may be, the practical

bodies of vested interests have grown up around

years, and

realization of pan-Arabism is as far away today as it

them which make the maintenance of the existence

was when al-Husri first formulated it in the 1920 s.

of a separate Lebanon, or a separate Jordan- not to

In addition, it is probably true to say that the

mention a separate Kuwait- take precedence over

pursuit, or the excuse, of pan-Arabism, has had a

the pursuit of the idea of a wider suprastate.

generally negative effect on the process of state and

Whether this phenomenon is to be deplored or

nation building in the Arab world, since it has

applauded is less important than that it should be

tended to focus attention on a distant external

acknowledged as taking place- or, more accurately,

enemy rather than on the glaring problems of pov­

as having taken place.

erty, inequality and the absence of the rule of law within the existing states. In addition, one of the most visible features of political developments in the region over the past few decades - underlined by the Gulf crisis of 1990-1- is the gradual adoption of more autono­ mous and inward-looking policies on the part of all the Arab regimes, notwithstanding loud public claims to the contrary. Events in one Arab state no longer necessarily assume the character of matters

Reading

Ajami,

F. 1981: The Arab Predicament: Arab Political

Thought and Practice since 1967.

Antonius, G. 1938 (1969): The Arab Awakening. Haim, S. 1962 (1976): Arab Nationalism: an Anthology. Hourani, A. H. 1962 (1983): Arabic Thought in the Liberal Age, 1798-1939.

--1991: A History ofthe Arab Peoples.

Tibi, B. 1981: Arab Nationalism; A Critical Enquiry. Zubaida, S. 1988: Islam, the People and the State.

of fundamental concern to the other Arab states,

PETER SLUGLETT

unless their own vital interests are thought to be at Most generally defined as a pattern,

stake, with the result that 'national' rather than

paradigm

'Arab' priorities have largely taken over the political

template or exemplar, this concept is important for

arena, indicating that the 'artificial' nation-states of

modern social thought in two contexts: (a) in the

the Arab world are gradually turning into discrete

deployment of what came to be called 'paradigm

entities - like the states of South America - and

case arguments'; (b) for its centrality in T. S.

growing apart rather than closer together. It is only

Kuhn's enormously influential

in this light that any sense can be made of the

Scientific Revolutions (1962).

The Structure of

feebleness of the 'Arab' response to the Israeli inva­

Paradigm case arguments were used by the

sion of Lebanon in 1982, the ambiguous attitudes of

Oxford school of LINGUISTIC PHILOSOPHY in mid­

the Arab states towards Palestine and the Palestin­

century and they, or close relatives of them, are

ians, and the generally rational and 'political' re­

arguably to be found in the work of the late Witt­

sponses of the various Arab states to Saddam

genstein also. The argument infers from the fact

Husain's invasion of Kuwait.

that a word is taught by reference to clear (para­

Although some Arab political writers defend the

digm) cases that examples of the thing or state (such

concept of pan-Arabism, it must be regarded

as material objects, free will) denoted by the word

largely as a spent force; the Arab League, founded

must exist. It seems open to the obvious objection

in 1944, is more a forum for the discussion of

that our language game may be grounded in mys­

matters of common concern than a mechanism for

tification or illusion, as with the use of the word

Arab integration. The heyday of pan-Arabism came

'witch' in the seventeenth century.

to an end in June 1967, when the balloon of nation­ alist rhetoric was massively punctured by Israel's

Kuhn's use of the term 'paradigm' in

ture of Scientific Revolutions

The Struc­

was subjected to an

devastating defeat of Egypt, Jordan and Syria. Pal­

exhaustive analysis by Margaret Masterman, who

estine is perhaps the quintessential symbol of the

differentiated 21 senses of the term in the first edi­

failure of pan-Arabism, in the sense of providing a

tion of the book. In his postscript to his second

constant reminder of the continuing inability of the

edition

(1970),

Kuhn himself distinguished two

460

PARTICIPANT OBSERVATION

main meanings: (a) 'the entire constellation of beliefs, values, techniques and so on shared by the

Reading Austin, J. 1961:

employed as models or examples, can replace expli­

Philosophical Papers. Reclaiming Reality, esp. eh. 3. Gellner, E. 1968: Words and Things. Kuhn, T. S. 1962 (1970): The Structure ofScientific Revo­ lutions, 2nd edn.

cit rules as a basis for the solution of the remaining

Lakatos, I. 1970: Falsification and the methodology of

members of a given community', that is, a disciplin­ ary matrix; and (b) 'one sort of element in that constellation, the concrete puzzle-solutions which,

puzzles of normal science', that is, an examplar. Examples of the latter are Isaac Newton's Principia Mathematica (1687) and John Dalton's New System of Chemical Philosophy (1808). These provide the paradigms for the work of normal science - re­

Bhaskar, R. 1989:

scientific research programmes. In

Criticism and the Growth ofKnowledge, ed. I. Lakatos and A. Musgrave. Masterman, M. 1970: The nature of a paradigm. In Criti­ cism and the Growth ofKnowledge, ed. I. Lakatos and A. Musgrave.

ROY BHASKAR

sources to be exploited, not hypotheses to be tested - in the elaboration and development of the discip­

participant observation

linary tradition. Eventually, when sufficient anom­

researcher is involved in the system of relations,

alies appear, a crisis will occur and a period of

the community or the organization which he or she

revolutionary science begin until a new paradigm

studies. The sociologist endeavours to take part in

is formed, around which the (now changed) scien­

the experiences of the actors, joins them in their

In this method, the

tific community can once more cohere. Kuhn's ac­

daily life, and occasionally becomes one of them.

count generated a vast secondary literature in which

Most anthropological studies rely on this method,

it was argued inter alia that normal science was not

since it is important that the researcher should be

nearly as monolithic as Kuhn had described it, that

accepted and recognized by those who are studied

his claims about the 'incommensurability' of para­

and who belong to a different culture. Sometimes it

digms were overstated, that revolutions were (or at

is a member of the studied group itself who be­

least could be) quite rational affairs, not quasi-reli­

comes a sociologist. In the large sphere of influence

gious conversions, and that his work suffered from a

of the school of CHICAGO SOCIOLOGY, some import­

systematic realist/superidealist equivocation.

ant sociological monographs have given a preferred

I only have space here to deal with the last two

place to participant observation. For instance, F. W.

questions. Kuhn uses in several places, in a self­

Whyte was able to describe and analyse the life of

consciously paradoxical way, the metaphor of sci­

gangs of teenagers by participating in the inhabit­

entists after a revolutionary upheaval working in

ants' life in a poor Italian suburb of an American

'different worlds'. Now it seems clear that after a

city. Moreover, he tried to derive some general

revolutionary upheaval it makes sense to talk of

principles from this method: such as favouring a

scientists working in a different cognitive or social

few regular informants, not aiming for complete

world - in the terminology of modern critical real­

assimilation, avoiding any direct intervention in

ism, in the transitive dimension - but they are still

the group's affairs. The method has been used in

describing and seeking to explain for the most part

various fields. The early studies in the sociology of

the same object or natural world - that is, in the

work at the Western Electric plant used this

intransitive dimension. It is Kuhn's failure to make

method. In the 1960s new theoretical movements,

this distinction which is the source of his paradox.

keen to understand the social interaction and the

Secondly, Kuhn formulates in a number of places

LABELLING process, brought new life to the method

criteria for judging a new paradigm 'later', includ­

of participant observation. H. S. Becker studied

ing number of problems solved, accuracy of predic­

some types of marginal behaviour by sharing the

tions, etc., but draws back from calling it 'better'.

experience of a few groups, and notably Erving

This seems doubly wrong. In the first place it

Goffman renewed the analysis and description of

ignores the possibility of historical regression. Sec­

social interaction and the social 'show' by becoming

ondly it overlooks the consideration that epistemic

a full member in the daily life of exchanges.

relativism might be coupled, especially if conjoined

The methodological status of participant obser­

with ontological realism, with judgemental ration­

vation is far from obvious. On one hand, participant

alism (as argued by critical realists). Kuhn's criteria

observation is essential to the sociologist in so far as

for historical lateness are in fact instead (partial)

the researcher has to be in contact with the subjects

criteria for rational choice.

of study and to understand their orientations and

PARTICIPATION

461

sensibilities. Any such enquiry involves the re­

size and the complexity of contemporary mass soci­

searcher in a relation with the people or society

eties, the centralization of political power, the

under scrutiny and this is also a social relationship.

growth of bureaucracy, and the concentration of

On the other hand, participant observation does not

economic power, the traditional guarantees of dem­

provide the means to control the techniques the

ocracy need to be strengthened, protected and

researcher uses, or the changes in the subject stud­

extended in order to counterbalance the tendency

ied introduced by the researcher's own presence.

for an ever-increasing number of decisions affecting

The researcher often has a higher social status than

people's lives to be made by small groups; these

that of the actors studied, and the search for a close

groups are often remote and not easily identifiable

relationship does not necessarily avert ethnocentric

or called to account, since they act in the name of

prejudices. Or the sociologist may identify with the

the state, of a local authority, or of some large

actors and be turned into their advocate and ideolo­

business corporation. (See also PoLITICAL PARTICI­

gist, more or less manipulated by the group. Par­

PATION. )

ticipant observation may appear as a necessary

In this sense, and in so far as politics is con­

phase of the study, but without being a reliable

cerned, the principle of participation is as old as

method for the whole, since it is not independent

democracy itself, but it is made vastly more difficult

of the spontaneous sociology of the subjects, and

by the scale and comprehensiveness of modern

the distortions this introduces, which it is unable to

government and by the need for clear-cut and rapid decisions - failure to produce which is no

evaluate or control. However, in spite of these methodological weak

less a matter for protest by those who demand

points, many of the most convincing works in soci­

greater participation. In the post-war period the

ology use this research method as a basis. In these

tendency has been to extend participation to fields

cases, the sociologist or anthropologist has under­

other than politics, for instance to higher education,

taken an analysis and criticism of his or her own

where it was the major demand of all student pro­

values and cultural background, and has employed

tests in the late 1960s and again in the late 1980s;

the method with talent and above all with a desire to

and, of much greater importance and scope, to

regard himself or herself, too, as the object of the

industry, business and, since the late 1970s, to local government. It is at this stage that the 'weak

research. See also ETHNOMETHODOLOGY.

meaning' of participation began to develop. The practice by which employees take a greater part in management decisions was introduced in the 1950s

Reading Becker, H. S. 1963:

Outsiders: Studies in the Sociology of

by the federal government in West Germany; it has spread in various forms to other countries in West­

Deviance. Goffman, E. 1961:

Asylums: Essays on the Social Situation of Mental Patients and Other Inmates. --1967: Interaction Ritual: Essays in Face-to-Face Be­ haviour. Lewis, 0. 1961: The Children ofSanchez: Autobiography of a Mexican Family. Roethlisberger, F. J. and Dickson, W. J. 1939 (1961): Management and the Workers: an Account of a Research Program Conducted by the Western Electric Company, Hawthorne Works, Chicago. Whyte, W. F. 1943 (1965): Street Corner Society: the Social Structure of an Italian Slum. --1951: Observational field-work methods. In Research Methods in Social Relations: With Special Reference to Prejudice, ed. M. Jahoda, pp. 496-501. FRAN<;:OIS DUBET

ern Europe (Italy's similar decision dates from the early 1970s, France's from the late 1980s) and has been adopted as an objective, still not entirely fulfilled, by the European Community to express what it calls'the democratic imperative', defined as the principle that 'those who will be substantially affected by decisions made by social and political institutions must be involved in the making of these decisions.' In the UK the very influential Bullock report on INDUSTRIAL DEMOCRACY, proposing a vari­ ant of the German system of Mitbestimmung, was rejected by the employers. Since then the trade unions have resolutely failed to agree on a common policy. Other forms of participation, notably the growth of interest in cooperatives and profit­ sharing and share-ownership schemes, have super­

participation

An ambiguous

concept in the

seded the EC initiative. Within the EC, the concept

social sciences, participation can have a strong and

of'social partners' has attempted to provide a plat­

a weak meaning. In the first, it means that given the

form for participation from the top down.

462

PATRIARCHY

More recently, a broader workers' participation

party, political

See POLITICAL PARTY

in technological change appeared as a realistic solu­ tion to the numerous conflicts that the widespread

patriarchy

adoption of 'information technologies' was creat­

men

ing. In order to prevent or reduce the importance of

Women are routinely disadvantaged in many areas

conflict, 'participative methods' of technological

of social life. The concept of patriarchy emphasizes

change have been developed, varying according to

the interconnectedness of different aspects of

Patriarchy is a social system in which

dominate,

oppress

and

exploit

women.

the different socioeconomic conditions and to the

gender inequality. Theories of patriarchy analyse

strengths of unions in Europe, the USA and Japan:

the division of interests between most men and

thus 'participative design', 'participation in techno­

most women produced by the social structuring of

logical choices' have become buzzphrases widely

gender relations. GENDER is a relationship of power

used but extremely vague in content and meaning.

and inequality, not merely of difference.

The solutions proposed to avoid the expected con­

There are a number of further terms that have

sequences of technological change can be divided

very similar meaning to patriarchy. These include

into two categories: procedural and substantive.

gender

The first are more a normative set of regulations

system. They are similar in pointing to the inter­

regime,

gender

order

and

sex-gender

based on legislation, standards and rules, mostly

connectedness of different domains of gender in­

advocated by unions and concerned with the

equality. They differ in not necessarily invoking the

methods of introducing new technologies. Substan­

notion of inequality and power as intrinsic to this

tive issues relate more to operational conditions

system of social relations.

once technological change has been implemented.

Analyses of patriarchy vary as to whether men's

The fundamental aim of participative methods is to

position as head of the household and family unit is

establish a strong consensus around technological

seen as the key to their ability to dominate, or

change, by promising a more democratic decision­

whether the institutional sites of men's power are

making process and providing information to the

conceived more broadly. The more traditional an­

unions at an early stage of the process, long before

alysis tended to focus on men as head of household,

the final decision is to be taken and while it is still

while the more recent analysis has tended to take in

possible to influence the choice; by creating joint

a broader range of sites of patriarchy. The wider

union and management bodies to discuss, negotiate

range of social relations through which men dom­

and supervise the changes, with the possibility of

inate women includes reproduction, violence, sexu­

consulting independent experts; and by stimulating

ality, work, culture and the state (Walby, 1990).

users' involvement in the design of future organiza­ tion and, in part, in the use of the technology.

Some writers focus on one area of patriarchal power, while others include a wide range. A few

Substantive issues are oriented to the protection

of these make reference to the biological aspects of

of existing status, salary and qualifications, and

reproduction, for instance, Firestone (1970), but

ensuring that the same level of employment will

this is uncommon,

be maintained; inhouse displacement is allowed

writings. A more frequent focus is the control of

especially

in

more recent

only if associated with substantial retraining pro­

women through sexuality, with reference to the

grammes.

institution of heterosexuality and to pornography

In spite of significant results, in particular a

and sexualized violence. Male violence as the basis

reduction in the number and intensity of actual,

of male control over women is the focus of some

visible social conflicts, it appears that 'participative

analyses of patriarchy. Other theories have a more

methods' reveal some new problems, more difficult

materialist emphasis, with an analysis of how men typically benefit from women's labour; both as

to solve.

unpaid housework and as poorly paid work in the labour market.

Reading Pateman, C. 1970: Participation and Democratic Theory. Poo1e, M. 1978: Workers' Participation in Industry. MARCO DIANI

Analyses of patriarchy have been sometimes been integrated with analyses of class and capital­ ism. In particular, dual-systems theory analysed the intersection of patriarchy and capitalism, and the

participation, political PATION

See POLITICAL PARTICI­

various combinations of gender and class relations (Hartmann, 1979).

PATTERN VARIABLES The concept of patriarchy is controversial. Some

463

ism is one of them. Particularistic actions are carried

critics have suggested that it leads to an under­

out for specific actors in terms of their particular

emphasis on other forms of social inequality such

situation which cannot be transferred (friendship,

as class and 'race'. Others allege that the theory

family relations). Universalistic actions can be

inevitably leads to essentialism, false universalism

defined for a more general category of persons

and ahistoricism. That is, critics have suggested that

according to objective criteria (salesman-client

the concept has difficulty dealing with the differ­

relation). A second pattern variable is diffusion

ences in the nature of gender relations between

versus specificity. Some relations are functionally

cultures, ethnic groups and historical periods. In

diffuse in that they cover a series of unspecified

response to these criticisms more nuanced analyses

dimensions (friendship, family roles). Others are

of patriarchy have been developed. These typically

functionally specific in that their content is clearly

invoke a wider range of sites of patriarchal relations

definable and delimited (bureaucratic roles).

than some of the early formulations and this are

A third pattern variable opposes ascription to

better able to deal with the complexity of different

achievement. Some roles are accessible and provide

forms of gender inequality (Bhopal,

1997).

status according to and depending on performance.

The chief usefulness of the concept is that it

Others accrue to actors and provide status according

provides a theorization of gender relations that has

to their physical and nonachievable social attributes

a focus on power and on the interconnectedness of

(class, sex, age, family, and so on). Fourth, affectiv­

different forms of gender inequality. It has proved

ity versus affective neutrality. Some roles provide

useful for the analysis of changes in gender inequal­

immediate gratification in the very performance of

ity at a macro level, as in attempts to understand the

their expected activities whereas others postpone

links between globalization and gender, such as in

gratification and become purely instrumental for

the work of Castells

an ulterior goal. Finally, there is orientation towards

gender (Mies,

(1997)

and development and

collective interests versus orientation towards pri­

1986).

vate interests. Some roles are exclusively oriented Reading

towards the collective interest (public servant);

Bhopal, K.

1997: Gender, 'Race' and Patriarchy: a Study of

South Asian Women.

Castells, M.

1997: The Information Age: Economy, Society

and Culture: Volume II: The Power ofIdentity.

Hartmann, H. 1979: Capitalism, patriarchy and job segre­ gation by sex. In Zillah Eisenstein ed. Capitalist Patri­ archy.

Mies, M.

1986: Patriarchy and Accumulation on a World

Scale: Women in the International Division ofLabour.

Walby, S.

some others entail the pursuit of private interest (entrepreneurs). Parsons

(1951,

pp.

176-7)

claims

that in traditional societies roles tend to be ascrip­ tive, diffuse, particularistic and affective. In indus­ trial societies, on the contrary, roles which are performance oriented, universalistic, affectively neutral and specific tend to predominate. The tran­ sition from traditional society to industrial society implies, in general, a progressive expansion of the

1990: Theorizing Patriarchy. SYLVIA WALBY

sphere of application of the latter type of roles and a

These are types of orientation

former. Parsons leaves out the last pattern variable,

contraction of the sphere of application of the pattern variables

to action, roles or social relations which present

probably because of some difficulties in making a

some dichotomous choices in giving meaning to a

clear-cut argument in either direction. Hoselitz

situation (Parsons and Shils,

were originally proposed by Parsons

1962, pp. 76-7). They (1951, pp.

oped societies self-orientation predominates among

58-67), who systematized, elaborated and extended

the ruling elites, whereas in advanced societies col­

the Weberian ideal-typical approach to society by

lectivity

arguing that social actions and roles can be classified

equally be argued that actors in underdeveloped

in terms of five dimensions which present polar

societies tend to be more oriented towards collective

(1965, p. 40) has made the point that in underdevel­

orientation

predominates.

But

it

can

alternatives. They can be used to compare cultures

interests than actors in individualistic industrial so­

or subsystems and groups within a society; but one of

cieties, who tend to seek their private interest.

their most important and frequent applications has been the description of the ideal-typical social struc­

Reading

ture of 'traditional' and 'modern' societies (see

Hoogvelt,

MoDERNIZATION) . Particularism versus universal-

A.

Societies.

M. M.

1976: The Sociology of Developing

464

PEACE

Parsons, T. 1967: Pattern variables revisited:

a

response

of a more lasting peace by generating new inter­

to Robert Dubin. In Sociological Theory and Modern

national loyalties in the relevant populations to

Society.

replace the divisive pull of the old national ones. JORGE LARRAIN

Finally, preventive diplomacy represents the in­ novative UN responses to crises through the dis­

peace

A strict conception of peace, as the anti­

patch of forces, missions and presences, and the

thesis of WAR, the 'beating of swords into plough­

active

shares', is more fruitful, intellectually, than one

following the dramatic precedent set in the Suez

which extends its meaning to make it synonymous

crisis of 1956.

with utopia.

intervention

of

the

Secretary-General,

Unlike world federalists such as Emery Reves

Much thinking about peace over the past century

( 1945), Claude clearly believed that peace is pos­

has taken the form of recipes for the creation or

sible without attempting to create a world state.

transformation of international institutions in re­

Strong support for this view came from a study by

sponse to the two world wars. Inis Claude (1956)

Karl Deutsch and his colleagues (1957) examining

listed six approaches to peace through international

the growth and disintegration of communities in

organization: peaceful settlement of disputes, col­

the 'North Atlantic area' since the Middle Ages.

lective security, disarmament, the 'grand debate',

They sought to identify 'security-communities'

trusteeship and functionalism. Later, in the third

characterized by the ability to ensure, for a 'long'

edition of his book, he added a seventh, preventive

time, dependable expectations that social problems

diplomacy. Peaceful settlement involves persuad­

will be resolved without resort to large-scale phys­

ing states to postpone violent responses to situ­

ical force, and

ations of high tension, so that passions may cool,

(including federation) is neither necessary nor suffi­

they

show

that amalgamation

facts may be impartially investigated and alterna­

cient for the establishment of such communities.

tive solutions considered. Collective security, more

Thus Canada and the United States have long

ambitiously, stresses the 'indivisibility of peace',

formed a security-community, as have the Scandi­

promising to deter acts of aggression, from any

navian countries (and over the latter half of the

quarter, by committing all states to resist them.

last century this latter community has extended to

Disarmament assumes that arms races threaten

almost all of western Europe); whereas it became

peace by fostering belligerence and (in a nuclear

tragically clear in the 1990s that no such commu­

age) making unintended war more likely. Claude

nity had developed among the constituent elements

was sceptical about these three approaches, which

of the Federal Republic of Yugoslavia, though

all go back to the founding of the League of Nations

they had until then been amalgamated under one

and earlier. He saw more potential in the others.

government. The crucial elements are communi­

The value of the 'grand debate', epitomized by the

cation networks, multiple points of contact and

proceedings of the United Nations General Assem­

'institutions and practices' that are both reliable

bly, lies in providing states with feedback about

and flexible.

how their policies appear to others, thus inducing adjustment

and

compromise.

Trusteeship,

Other peace theorists have addressed themselves

as

to the processes by which peace can be brought to

Claude defined it, includes all attempts, from the

highly charged international (and intercommunal)

League onwards, at the international supervision of

situations. John Burton's device of'controlled com­

colonial rule. His assessment of the remarkably

munication', well articulated by Mitchell (1981),

successful United Nations pressures for decolon­

approaches human conflict 'as an essentially sub­

ization as 'possibly the last chance for European

jective phenomenon' and therefore as dynamic and

civilization to make up for its shady past in dealing

malleable. Representatives of the parties to a spe­

with non-European peoples' now seems excessively

cific conflict are brought together privately and

not

informally encouraged each to express its own

brought peace in its wake. Functionalism, ex­

sanguine.

Certainly,

decolonization

has

case and listen to the other side doing the same,

pounded by David Mitrany (1946), holds that if

and eventually to formulate suggestions, not for

experts of a variety of nationalities, free from for­

'compromise' but for 'resolution'. This emphasis

eign office interference, are allowed to collaborate in

on 'integrative' bargaining fosters a creative ap­

solving international economic, social and other

proach to peacemaking, but to deny any role, in

problems, they will, in time, lay the foundations

that process, to 'distributive' bargaining would be

PEACE MOVEMENT an unnecessarily stringent limitation on conflict resolution.

465

Yet while it is possible to identify a common interest in preventing war in general, or particular

See also INTERNATIONAL RELATIONS; PACIFISM.

wars, the term 'peace movement' covers a wide spectrum of opinions, tendencies, theories, even

Reading

subjects. Broadly speaking, one can distinguish

Claude, I. L. 1956 (1964): Swords into Plowshares, 3rd

two strands of peace movement thinking. One

edn.

strand has been concerned with government policy,

Curie, A. 1971: Making Peace. Deut sch, K. W. et al. 1957: Political Community and the North Atlantic Area. Hinsley, F. H. 1963: Power and the Pursuit ofPeace. Mitchell, C. R. 1981: Peacemaking and the Consultant's

with putting forward and campaigning for a variety of proposals, schemes or rules to be carried out or followed by governments in order to develop peace­ ful mechanisms for regulating relations between states. This approach dates back to the international

Role. Mitrany, D. 1946: A Working Peace System.

RODERICK C. OGLEY

peace projects of the late eighteenth and early nine­ teenth centuries put forward by thinkers like Im­ manuel Kant, Abbe St Pierre, Emeric Cruce or

peace movement

Something that can be iden­

Jeremy Bentham, to name but a few, which envis­

tified as a peace movement has been in existence in

aged the extension of civil society and the rule of

Europe for at least two centuries, if not longer. Yet,

law to the international arena. The establishment of

unlike other movements, the Labour movement

the League of Nations after World War I and the

for example, or liberalism, the peace movement

United Nations after World War II owes much to

has no collective memory (see also CoLLECTIVE

these proposals.

ACTION). It has always been based on the energies

During the twentieth century, this strand of

of volunteers and, with the honourable exception

peace thinking has increasingly focused on dis­

of the Quakers, had had no permanent institutions.

armament. The (almost) infinite expansion of de­

Each new outburst of peace protest has had to

structive capabilities, as a result of the application

discover for itself its ideas, methods and slogans.

of science and technology to military purposes, has

There is very little in the way of a continuous peace

focused the attention of those who oppose war on

tradition.

arms races and the threatening nature of destructive

The emergence of a peace movement coincided

potential. The growth of peace research after World

with the rise of capitalism and the construction of a

War II has been largely devoted to the study of

European states system. Just as economics and pol­

armaments and methods of limiting them.

itics became separate spheres of activity, so during

The second strand of peace movement thinking

this period the concept of peace became clearly

has been much more concerned with what one

distinguishable from the concept of war. War

might describe as peace culture, the notion that,

became a discrete social activity in two respects.

however ingenious or ambitious,

First, it became an external activity directed against

peace

other states. This was a period when private armies

human beings, as individuals and social animals,

international

projects cannot be implemented

unless

were eliminated, violence was increasingly removed

become more peace-minded. From this perspec­

from domestic, that is internal, social relations, and

tive, the construction of peace, either within

armed forces were professionalized and monopol­

nations or at an international level, is not so much

ized by states. Secondly, war became a temporary

the consequence of the establishment of some kind

activity, an exception, an abnormal state of affairs.

of governmental or intergovernmental authority

With the increase in all kinds of relations and treat­

responsible for ensuring peace and security; rather

ies, accepted regulations, congresses and so on

it has more to do with individual values and social

among European states - what became known as

relationships.

the 'public law of Europe' - wars became less fre­

This strand of peace thinking includes the trad­

quent, alternating with long periods of PEACE. It

ition of absolute PACIFISM, that is, the individual

was out of this experience of peace, both domestic­

commitment to nonviolence, to be found among the

ally and over long periods, that a body of activity,

early Christians, the Quakers whose movement was

arguments and campaigns which could be called the

founded during the English Civil War, conscien­

peace movement came together to work for what

tious objectors, organizations like War Resisters

Kant called 'perpetual peace'.

International, and has been expressed by writers

466

PEACE MOVEMENT

such as Leo Tolstoy and Mahatma Gandhi. It also

and peace became even more stark. Overtly, West­

includes a wide range of theories or beliefs that

ern society appeared less militarized, there was less

focus on the social causes of war and militarism. In the early nineteenth century, the peace move­

emphasis on patriotism, discipline or military edu­ cation. Missile bases were hidden away in the coun­

ment was often synonymous with the free trade

tryside. War became remote and abstract- partly

movement. There was a widely held proposition

because war in Europe was unthinkable, and partly

that the elimination of the vestiges of feudalism,

because war in the Third World, which was con­

the warrior classes, would also eliminate war.

crete and ever present, became a kind of spectacle,

Travel, trade and democracy would remove the

to be observed on television, difficult to distinguish

causes of international misunderstanding. How­

from fictional presentation. Western peace activists

ever, the rise of nationalism and militarism in the

were protesting about an external reality, not obvi­

late nineteenth century called into question these

ously of immediate relevance to everyday life. This

assumptions. Socialist anti-militarists, writers like

is not to say that there was no interest in the devel­

Rosa Luxemburg or Karl Liebknecht, attributed

opment of a peace culture, but it was under the

wars and arms races to capitalist rivalries and to

rubric of antinuclearism. Particularly important

the drive for markets and sources of raw materials.

was the role played by women who established a

The victory of the working classes was expected to

long-term camp outside the missile base at Green­

secure peace. 'Do you know what the proletariat is?'

ham Common in pioneering new forms of protest.

asked the French socialist, Jean Jaures in 1912.

In contrast, the movements that emerged in

'Masses of men who collectively love peace and

Eastern Europe, like Swords into Ploughshares in East Germany, Freedom and Peace in Poland, the

abhor war.' The emergence of the women's peace movement

Dialogue group in Hungary and the Independent

in the twentieth century introduced another elem­

Peace Association in Czechoslovakia, were much

ent to this strand of peace movement thinking: the

more concerned with immediate domestic issues-

notion that the causes of war are rooted in the

militarism in their society (military-patriotic edu­

gender division of modern society and, in particu­

cation, conscription, war toys), nonviolence, and

lar, can be linked to domestic violence, that is,

the link between peace and democracy. For them,

within the family.

concern about nuclear war seemed like an abstract peace movement which

luxury; they were less afraid of dying than of living

emerged in Western Europe, and to a lesser extent

under totalitarianism, which they considered to be

The so-called new

North America, Japan and Australasia, during the

inseparable from war and militarism. They criti­

1980s was probably unprecedented in scale and in

cized the Western peace movements for an exces­

the transnational nature of the movement. (Al­

sive concern with symptoms, such as armaments,

though it is worth noting that the peace movement

rather than causes. In this sense, the East European

has always been international; regular European

movements could be said to have rediscovered some

congresses were held in the middle of the nine­

of the nineteenth-century traditions of the peace

teenth century.) Some five million people protested

movement.

against the introduction of a new generation of

In the late 1980s, the dialogue between parts of

nuclear weapons in Europe in the autumn of 1981

the peace movements in East and West led to some

and again in 1983. A peace movement developed in

common approaches. On the one hand parts of the

Eastern Europe as well and was to play an import­

Western peace movement put increasing emphasis

ant part in the peaceful revolutions of 1989 which

on 'detente from below', on dialogue between citi­

toppled communist regimes and marked the end of

zen's movements in East and West and the need to

the Cold War.

support democracy movements as one way of

However, the peace movement in the West was

ending the Cold War and initiating a disarmament

very different from the peace movement in the East.

process. On the other hand, Eastern peace move­

The former was primarily a disarmament move­

ments and parts of the Eastern democracy move­

ment, an antinuclear movement. It belonged to

ments, particularly Charter 77 in Czechoslovakia,

the first strand of peace movement thinking and

became interested in alternative approaches to

was primarily concerned with policies at an inter­

European security, the concept of 'common secur­

national level. It can perhaps be said that, during

ity' and the proposals for strengthening the Con­

the post-war period, the separation between war

ference on Security and Cooperation in Europe,

population.

(See

also

PEASANTRY

467

DEVELOPMENT

AND

better known as the Helsinki process. This was

the

because European peace projects of this kind po­

UNDERDEVELOPMENT.) Problems of development

tentially offered a framework in which efforts to

planning, perceptions of growing social crises, and

change society and struggle for democracy could

famine, brought the issue of peasantry into focus.

be protected from a military crackdown.

From the 1960s a rapid development of peasant

In the aftermath of the Cold War, peace energies

studies took place all around the globe, posing the

have been exhausted. Yet despite the end of East­

issue of the characteristics and the analytical de­

West confrontation and the beginnings of a dis­

limitation of this social group. This analytical effort

armament process, perpetual peace has not broken

has had broader significance where such topics as

out even in Europe. The rise of nationalism, popu­

'informal' economies, ecological history, oral cul­

lism and fundamentalism, the 1991 war in the Gulf,

ture and civil society are concerned.

and the conflicts in Yugoslavia heralded a turbulent

As a first approximation we can describe peasants

era. Can we expect a fusion of peace ideas as a result

as small agricultural producers who, with the help

of the opening up of Eastern Europe which could

of simple equipment and the labour of their fam­

provide a conceptual basis for future protest? Or

ilies, produce mostly for their own consumption,

will the ideas of the 1980s be forgotten once again?

direct or indirect, and for the fulfilment of obliga­

Reading

more developed general type would include four

Brock, P. 1968: Pacifism in the United States.

interdependent facets:

tions to holders of political and economic power. A

Carter, A. 1992: Peace Movements: International Protest and World Politics since 1945. Gallie, W. B. 1978: Philosophers of War and Peace. Hinton, J. 1989: Protests and Visions: Peace Politics in Twentieth Century Britain.

The peasant family farm as the basic multidimensional unit of social organization

The family mostly pro­

vides the labour on the farm. The farm mostly provides for the consumption needs of the family

Ka1dor, M. 1999: New and Old Wars.

MARYKALDOR

and the payments of its dues. Such units are not autarkic; peasants are universally involved in daily

peasantry

The attitude towards peasants in the

preindustrial world combined hostility and silence. The term 'peasant' denoted 'a countryman' (from Latin pais, countryside), but it carried a powerful negative connotation; acting as a synonym of boor­ ishness it was often used as a word of abuse. In sixteenth-century English the verb 'to peasant' meant to subjugate, while in other European lan­ guages the tacit message of the term was similar (Russian smerd from the verb 'to stink', Polish cham assuming for all peasants the inferior racial origins

exchange of goods and in labour markets. Their economic action is, however, closely interwoven with extramarket social relations. Family division of labour and the consumption needs of the family give rise to particular strategies of survival and use of resources. The family farm operates as the major unit of peasant property, production, consumption, welfare, social reproduction, identity, prestige, so­ ciability and welfare. In it, the individual tends to submit to a formalized family role-behaviour and patriarchal authority.

ascribed in the Bible to the 'sons of Ham', etc.). The Declinatio Rustico of medieval Europe defined 'six

Land husbandry as the main means of livelihood

declensions of the word peasant' as 'villain, rustic,

ant

farming

includes

a

specific,

Peas­

traditionally

beggar, robber, brigand and looter'. But, as a rule,

defined combination of tasks on a relatively low

chronicles simply did not speak of them. Later, in

level of specialization. What would elsewhere be

the modern world of industrialization and science,

considered different occupations are combined in

peasants came to be treated as an anachronism in all

peasant productive activities. Related to this is in­

the basic senses of that term and thereby an irrele­

formal and family-based vocational training. The

vance. With the major exception of Eastern Europe

impact of nature is particularly important for the

peasants were largely absent from scholarly dis­

livelihood of small production units with limited

course.

resources, defining its rhythms: seasonal cycles

All this changed dramatically with decoloniza­

deeply influence the life of the family, family events

tion in the 1950s and awareness of the 'developing

are reflected in the dynamics of the farm. Of the

societies' in which peasants formed a major part of

forces/factors of production,

land and family

468

PEASANTRY

labour are central- a 'licence' to enter the occupa­

The next step in unfolding the concept would be

tion and a major way in which the local status of the

to consider its analytical 'margins', that is, to look at

families is defined.

social groups which share with the 'hard-core' peas­

Specific cultural patterns linked to the way oflife ofa small rural community! neighbourhood The charac­

Analytical marginality does not imply here numer­

teristic context is a small and localized community

such groups share rural environments with the

ants most but not all of their main characteristics. ical insignificance or particular 'instability'. Also,

within which most of the peasant needs of social

'hard-core' peasants and may be supplementing

living and social reproduction can be met. Particu­

them or be supplemented by them within a histor­

larities of residence, social network and conscious­

ical process. Many of them are colloquially referred

ness are linked and interdependent. Peasantries'

to as peasants.

cultural features, in the sense of socially determined

The most significant of these groups (ordered by

norms and cognitions, show some characteristic

the type of characteristic they do not share with

tendencies, such as the pre-eminence of traditional

'fully fledged' peasants) are:

and conformist attitudes (such as the justification of action in terms of past experience and the views

Agricultural wage labourers (and

of the community), particular norms of inheritance,

worker-peasants who adopt a 'man in town,

of solidarity, of exclusion, etc. (See also TRADITION AND TRADITIONALISM. ) Peasant culture both reflects

also

the

rest of the family on the land' division of labour ). 2

Family

farmers

who

use

capital-intensive

and reinforces the characteristics and life experi­

equipment, transforming thereby the nature of

ence of a small village community, with its lack of

the agriculture they engage in. We shall return to this category presently.

anonymity and its face-to-face relations being re­ lated to strong normative controls and the common

3

The village-less peasants - like, for example,

experience of growing up in a similar physical and

some of the squatters at the Latin American

social environment affecting the attitudes to 'out­

agricultural frontiers, and 'gauchos'.

siders'.

4

The 'uncaptured' peasants, peasant commu­ nities penetrated and controlled only to a

The 'underdog' position- the domination ofpeasantry by outsiders Peasants as a rule have been kept at

limited degree by the 'national' networks of

arm's length from the social sources of power.

often an armed and independent 'peasantry of

Their political subjugation has been interlinked

the frontiers').

state, market and acculturation (in the past,

with cultural subordination and economic exploit­ ation through tax, rent, corvee, interest and terms

Like every social entity, peasantry exists only as a

of trade unfavourable to the peasants. Subordin­

process. The typology suggested can be used as a

ation has also entailed repeated attempts by the

yardstick in historical analysis, for instance to

peasants at self-defence through the extensive use

'measure' the extent of peasantization or depeasan­

of the 'weapons of the weak', such as economic

tization. One should beware, however, of forcing

sabotage, avoidance, boycott, etc., and, in some

multidirectional changes into schemes which pre­

conditions, of massive revolts which turned peas­

suppose a necessary one-track development. Con­

ants into a major revolutionary force of our century.

siderable differences among peasants, ecological as

The four 'facets' suggested must be treated as a

well as historical, are reflected in diverse regional

Gestalt, the elements of which reinforce each other.

peasantries.

When any of the major characteristics is removed

In so far as social dynamics are concerned one

from the set, the nature of each of its further com­

must keep in mind cyclical rhythms which do not

ponents changes. Different schools of thought con­

lead to changes of social structure but rather re­

their

inforce its stability. As to the structural changes,

diversity of vision through the accentuation of one

these can be ordered into five analytical categories

cerning peasantry

have

often

expressed

of the suggested characteristics - treating it as the

which, in social actuality, may be parallel or inter­

cutting edge of definition. In this author's view it is

related. These have been:

the family farm which is the most significant char­ acteristic of peasantry as a social and economic

Socioeconomic differentiation, such as polar­

entity.

ization of rural wealth followed by mutation of

PERMANENT REVOLUTION

2

3

469

some peasants into capitalist farmers or wage

cooperative movements and contemporary non­

workers.

governmental organizations.

Pauperization, when the increase of rural popu­

Finally, the many definitions of peasantry which

lation in relation to land, without alternative

view it as representing an aspect of the past in the

sources of income, leads to an aggregate eco­

present are valid but should be treated gingerly.

nomic decline for the mass of peasants.

Even in our 'dynamic' times we live in a present

'Farmerization', when the family farm proceeds

which is rooted in the past, and that is where our

as the major unit of agricultural production

future is shaped. It is therefore worth remembering

while its character changes. Such 'peasant­

that- as in the past, so in the present- peasants and

into-farmer' development is linked to massive

peasants' offspring are the majority of humankind

investment which ties the family farmer into a

and will remain so well into the twenty-first cen­

capitalist economy via credit, supplies and sales,

tury.

often organized by agrobusiness. It also relates to specialization and'narrowing' of the occupa­

Reading

tional profile of farmers, making them more

Chayanov A. V. 1987:

holders' produce elsewhere is often only one of

The Theory ofPeasant Economy. The Theory ofPeasant Cooperatives. Galeski, B. 1972: Basic Concepts ofRural Sociology. Harriss,J. ed. 1982: Rural Development. Kautsky, K. 1899 (1987): The Agrarian Q}testion. Ladurie, E. Le Roy 1980: Peasants. In The Cambridge Modern History, vol. 13. Rosener, W.1993 (1994): The Peasantry ofEurope. Scott, J. 1986: The Weapons ofthe Weak. Sen, A. 1981: Poverty and Famines. Shanin, T. 1990: Defining Peasants. --ed. 1987: Peasants and Peasant Societies, 2nd edn.

degree.)

Sorokin, P. A., Zimerman, E. F. and Golpin, C.J. eds

akin to the urban populations. 4

Collectivization/ statization,

when

--1991:

the

state

takes over responsibility for agriculture, struc­ turing it into large production units under gov­ ernmental control. (One should not overstate here the exceptionality of this form of rural organization. The difference between collectiv­ ization in one country and the monopoly of state-controlled boards of trade over the small­

5

Peasantization by an egalitarian land reform, and at times a repeasantization as peasants'

1965:

Systematic Source Book in Rural Sociology. Peasants.

Wol f, E. R. 1966:

TEODOR SHANIN

children return to the farm because of state inducement, political pressure or, alternatively, penal institution

See PUNISHMENT

ivized' land in the former USSR etc. would also

performing arts

See CINEMA; DANCE; Music;

belong here.

THEATRE

because of new opportunities to do so profita­ bly. The privatization and redivision of'collect­

Peasants form part of broader societies and of their

permanent revolution

histories. The rapid extension of those ties during

stand for a running together, into one continuous

the last decades has made this issue central to any

process, of two types of revolutionary transform­

The phrase has come to

effort at understanding peasantry. It has often been

ation. Of obscure origin, it was introduced into

referred to as one of'insertion' or of'subsumption'

Marxist thought by Karl Marx himself. But the

of peasants. However, peasant particularity does

full-blown theory of permanent revolution is asso­

not reside simply in what they 'are' as against the

ciated with the name of Lean Trotsky who, from

transforming pressures of 'change' or 'society',

1905 until his death in 1940, developed, defended

'capitalism' or 'development plans'. It is also ex­

and systematized the idea of such a double revolu­

pressed in the ways peasants respond to those

tionary transformation, for countries at an early

forces. These characteristic responses are reflected

stage of capitalist development.

in the particularity of methods of analysis expressed

The term itself is not altogether apt to the mean­

in contemporary peasant studies. Also, the particu­

ing it has acquired, seeming to suggest, rather,

lar peasant experience and peasant agenda clearly

an outlook of never-ending upheaval or radical

linked into such diverse political and social move­

change. Except when caricatured by opponents,

ments as Russia's narodnichestvo (a movement 'to

however, it has not been put forward in this sense.

the people'), the guerrilla strategies of MAOISM,

Marx's discussion of Germany's political prospects

470

PERMANENT REVOLUTION

in the mid-nineteenth century indicates the princi­

development in different countries, taken together

pal themes. A merely democratic or 'bourgeois­

with capitalism's tendency to cross national bound­

democratic' REVOLUTION - one, that is, directed

aries, carrying with it its products, its methods, its

against political autocracy and precapitalist eco­

technology and communications, had the effect in

nomic relations - was, he thought, problematic in

less economically developed regions, he argued, of

that country. For the chief beneficiary of such a

producing a distinctive historical 'combination': of

partial revolution, the bourgeoisie, lacked the polit­

archaic, precapitalist social and political structures

ical will to carry it through, being afraid of the class

on the one hand, with a relatively advanced, albeit

beneath it, the proletariat. The latter, as the only

small, sector of capitalist industry, on the other. So

truly radical class, could and must take the initia­

it was in Russia, where capitalism had been fostered

tive: fighting, though, not just for the democratic

by the state itself and hastened by the foreign in­

revolution that was necessary for a still-backward

vestment

Germany to free itself from the legacy of the

methods of production had been projected sud­

it

encouraged.

The

most

modern

Middle Ages, but for a more complete emancipa­

denly into an economically backward milieu, rather

tion, involving the abolition of private property and

than developing organically with the more gradual

of classes. It was the telescoping of these two revo­

evolution of an indigenous entrepreneurial class.

lutionary stages-bourgeois-democratic and social­

The Russian bourgeoisie and Russian liberalism,

ist - into one more or less unbroken process, that

consequently, were weak, and fearful of popular

constituted the 'permanence' of the revolution.

revolution; whilst the working class was highly

Marx anticipated, also, that the political efforts of

concentrated, politically militant and self-confi­

the German workers would be assisted by a victory

dent. Though small, this class would have, Trotsky

of the proletariat in France.

held, to lead the peasants behind it against Tsarism,

Despite the presence of these themes in Marx's work, it was a different view, also to be found there,

the peasantry being too heterogeneous and geo­ graphically dispersed to take the lead itself.

that came to define Marxist 'orthodoxy' and, there­

It was from this hypothesis of proletarian polit­

with, the shared expectation of Russian Marxists in

ical leadership in Russia that Trotsky derived the

the early years of the twentieth century. This was

then heterodox projection that the first anticapital­

that, before existing economic relations could be

ist

replaced by more advanced ones, the appropriate

advanced capitalist world. For, should the repre­

material forces and conditions must already have

sentatives of the working class come to power

matured. Socialism must be based on a high level of

through revolution, they would not be able to

revolution

might

well

occur

outside

the

capitalist progress. The two main currents within

limit themselves to pursuing the objectives of a

the Russian socialist movement accordingly, al­

bourgeois-democratic programme. The dynamics

though they disagreed about the proletariat's role

of the class struggle would oppose major bourgeois

in a future Russian revolution - the Bolsheviks

forces even to this 'minimum' programme, compel­

seeing it as a leading, the Mensheviks as a merely

ling the working class to move against the very

supporting, role-were united in thinking that that

bases of capitalist wealth and power, if the revolu­

revolution could only be bourgeois-democratic in

tion was not to fail in its most elementary object­

content: its aims, in a backward, largely peasant

ives. There could be no strict division, therefore,

country, had to be political democracy and a period

between bourgeois-democratic and socialist stages.

of capitalist economic and social development, as a

The content of the two revolutions would be

separate stage prior to any socialist revolution.

merged.

Into this relative harmony one voice projected a

If Russia, however, could begin the transition to

solo, discordant note. What had been for Marx only

socialism, it could not on its own complete it. Here

an occasional line of thought was now given an

Trotsky sustained the orthodox Marxist thesis that

independent foundation by the young Trotsky,

socialism requires both an international framework

the resulting theory of permanent revolution serv­

and a high level of development of the productive

ing him as a guideline for the rest of his life. First

forces. Unless the revolution in Russia was soon

formulated after the defeated Russian revolution of

followed- as he confidently expected it would be­

1905, its point of departure was what Trotsky was

by revolutions in other key European countries,

later to call the 'law of combined and uneven devel­

conjointly producing an international project of

opment'. The unequal degree and pace of capitalist

socialist transition, the new workers' state in Russia

PERSONALITY would be doomed in short order. This was the second limb of the theory of permanent revolution: insistence on the urgency of socialist victories else­ where. Less prominent, before 1917, than the argu­ ment about the running together of revolutionary stages, it was to become in the 1920s and 1930s a main theme in opposition to Stalin's advocacy of 'socialism in one country'.

471

Liiwy, M. 1981: The Politics of Combined and Uneven Development.

Marx, K. 1843 (1975-): Contribution to the Critique of Hegel's Philosophy of Law: Introduction. InK. Marx and F. Engels, Collected Works, vol. 3, pp. 175-87. Marx, K. and Engels, F. 1850 (1975-): Address of the Ce ntral Authority to the League, March 1850. In Col­ lected Works, vol. 10, pp. 277-87.

Trotsky, L. 1906, 1930 (1962): The Permanent Revolution

Despite some parallels between his own views on

and Results and Prospects.

Russia and those of other thinkers (Rosa Luxem­

--1922(1972): 1905.

burg, for example), on the crucial matter of the

--1932(1977): The History ofthe Russian Revolution. NORMAN GERAS

anticapitalist dynamic of the coming Russian revo­ lution, Trotsky stood alone amongst 1\farxists for

'There is very little difference be­

over a decade. Rejecting his theory right up to 1917,

personality

Lenin, and the Bolshevik Party behind him, then

tween one man and another,' said William James

adopted a perspective in all essentials identical with

early in this century, 'but what little there is, is very

Trotsky's, as the programme of their October revo­

important.' That very important matter is person­

lution. This has frequently been denied by apolo­

ality. It is composed of biological and psychological

gists of Stalinism, and in the tradition of orthodox

attributes and processes, each of them when taken

CoMMUNISM more generally; but the denial is not

in isolation shared either with all or with some other

intellectually credible.

human beings, but unique to the individual in their

The perspective of permanent revolution was in

configuration. Theorists of personality are there­

one respect remarkably prescient, anticipating the

fore confronted with a wide choice of approaches:

broad lines of what was actually to happen in

they can concentrate on the structure of the con­

Russia, in face of a strong and dismissive orthodoxy

figuration or select out of the vast possible number

that the anticipation was absurd. In that perspec­

of attributes and processes those which they regard

tive, at the same time - as in classical Marxism

as significant for the understanding of individual

generically - the facility and speed with which

differences. That they have fully availed themselves

socialist revolution might extend from one national

of that freedom of choice was documented by

arena

to

another

was

clearly

overestimated.

Trotsky, on the other hand, underestimated the

Gordon Allport (1937), who identified almost 50 different conceptions of personality then in use.

capacity of a post-revolutionary regime in Russia

There is, however, one approach which has dom­

to survive in isolation; foreseeing initially its immi­

inated thinking about personality throughout the

nent fall, where later he would come to speak

century: Sigmund Freud's (1923, for example).

rather, in connection with Stalin's rule, of the regi­

Not that it has been universally accepted; on the

me's prolonged degeneration. But if the absence of

contrary, an argument could be made that its lasting

socialist revolutions in the advanced capitalist

influence is due as much to its detractors (such as

world leaves, in one way, a general question mark

Eysenck, 1947, 1982) as to its proponents. It has

(as,

penetrated the humanities and, often in vulgarized

indeed, over a central classical Marxian expect­

form, the entire culture. In any case, there is hardly

ation), events in the Former Soviet Union and

a systematic approach to thinking about personality

over the theory of permanent revolution

Eastern Europe since the start of the 1990s may,

that does not refer, positively or negatively, to

in another way, belatedly confirm it, thereby

Freud's global conception. The essence of his ap­

leading to a full restoration of capitalism there.

proach lies in his threefold structural view of per­

See also TROTSKYISM.

sonality, which is a comprehensive classification of continuously interacting psychological processes:

Reading Deutscher, I. 1954: The Prophet Armed. Trotsky: 18791921. Geras, N. 1976: The Legacy ofRosa Luxemburg. Knei-Paz, B. 1978: The Social and Political Thought of Leon Trotsky.

ego processes, that is transactions with the real world, including perception, learning, memory, thinking and acting as well as unconscious defence mechanisms;

id processes, including

biological

needs, pleasure seeking and repressed experiences, all unconscious; and superego processes, that is the

472

PERSONALITY

application of internalized moral standards to one­

inside and outside academia, based on two major

self. This view of personality structure is reminis­

arguments: objections to determinism by early

cent of Aristotle's classification of the basic goals in

childhood and unconscious processes on the one

human actions as profit, pleasure and morality. In

hand; and objections to the 'unscientific' methods

their dynamic interaction the three types of pro­

of psychoanalysis on the other.

cesses can pull in different directions and thus

The first of these gave rise to humanistic psych­

account for the experience of inner conflict as well

ology, for a time regarded as the third force in psychology between PSYCHOANALYSIS and BEHA V­

as for personality disorders. Freud's basic ideas about the structure of per­

IOURISM. Under the influence of Jean-Paul Sartre's

sonality were elaborated and modified partly by

existentialism and Martin Heidegger's phenomen­

himself, but largely by his followers, including his

ology the idea of the unconscious was rejected in

daughter Anna who identified additional defence

favour of regarding free will, agency, being-in-the­

mechanisms, by Heinz Hartmann who postulated

world and becoming as central aspects of personal­

the autonomy of ego processes, and by Erik Erikson

ity.

who put ego development into its social context and

Rogers and Abraham Maslow in the United States,

described its stages throughout the life cycle. Alfred Adler and Car! Jung, early followers but later critics of Freud, developed their own views on

Ludwig Binswanger in Switzerland,

Car!

and Ronald Laing in Great Britain were the leading exponents of this conception; whether it will sur­ vive their deaths is an open question.

personality. Adler, father of the term 'inferiority­

To object to psychodynamic conceptions be­

complex', understood personality as the early ac­

cause they are 'unscientific' presupposes adherence

quired habitual manner of trying to overcome the

to a particular view of science that excludes system­

infant's inevitable sense of inferiority, an experi­

atic thought unless it leads to hypotheses which can

ence that tends to recur with new social encounters

be experimentally tested. While there is, of course,

and external demands. In contrast to Freud's pes­

no doubt that experimentation presents a stringent

simism he regarded the drive for superiority, the

test of ideas (in practice some of Freud's ideas have

will to power, as the root of all improvements in

been tested in hundreds of experiments), basic ap­

human affairs.

proaches are notoriously difficult, if not impossible,

Jung deviated somewhat less than Adler from the

to test experimentally.

new vocabulary for psychological processes, tinged

Henry Murray (1959) and Gordon Allport (1961) made significant contributions both to basic

with mystical ideas, disguises the similarities. He

assumptions about personality structure and to

added to Freud's model the notion of a collective

methods. Both men concentrated on normal people

Freudian basic concept, though his imaginative

ancestors,

in their natural habitat, with their natural concerns;

shared by all and containing the archetypes of

both regarded motivation as the centre around

thought and emotion. He also introduced the

which personality is organized. Murray, acknow­

unconscious

transmitted

from

our

terms 'extraversion' and 'introversion' into person­

ledging influences from Freud and Jung, rejected

ality psychology which later on began to play a

Freud's two basic motives -life and death drives­

major role in a very different approach.

as too limited. He proposed some 20 needs with

Many other modifications of the psychodynamic

origins in the brain which interact with 'presses',

model have been and still are being proposed. Not­

that is, properties of the social environment which

withstanding differences and often antagonism be­

enhance or hinder the satisfaction of needs. Allport

tween them, their proposers share some common

was much more critical of the Freudian model. He

features and assumptions: they deal with the whole

regarded personality as motivated by relatively en­

person, not with isolated aspects; they assume more

during traits and rational intentions whose com­

depth to personality than meets the naked eye; they

bined organization he termed the 'proprium', by

develop their ideas over prolonged contact with

which he meant a psychophysical system that tends

individuals; most of them emphasize the social

toward functional autonomy of motives (independ­

component in the constitution of personality; they

ent from childhood motivation).

are practising therapists and function largely out­ side academic institutions.

Both personality theorists constructed ingenious methods for collecting empirical evidence. Mur­

Intellectual opposition to the psychodynamic

ray's contribution in that area was above all the

model arose inside and outside psychology and

Thematic Apperception Test (TAT), Allport's

PHENOMENOLOGY

473

the advocacy and practice of idiographic methods,

psychodynamic models with their assumption of

though he was also inventive in designing nomo­

unconscious mental events and the other models,

thetic methods.

though there is controversy also within each side.

The influence of these two personality theorists

Efforts to bridge the major gap were made period­

on their students was profound, but their ideas on

ically throughout the century; they failed. The

1985)

the structure of personality were not further

most recent effort in that direction (Westen,

developed. Instead a large number of personality

is a demonstration of the compatibility of rigorous

inventories and scales were constructed and stand­

empirical research results with psychodynamic

ardized. There now exist instruments for many

ideas by one who is qualified in both camps.

personality attributes, such as extraversion/intro­

Whether it will fare better than its forerunners

version, anxiety, depressiveness, machiavellism,

remains to be seen.

anomie, moral judgement, values, prejudice, and more. They are widely used for comparisons be­

Reading

tween groups, less often for comparisons over time

Hall, C. et al. 1985: Introduction to Theories ofPersonality.

periods, though they could help to clarify ideas

Westen, D. 1985: Self and Society. MARIE JAHODA

about the enduring or flexible nature of such dis­ positions. Those who postulate a large hereditary compon­

In philosophy this is (a) the

phenomenology

ent in personality are, of course, satisfied with a

pure description of the 'phenomena' of human

once-and-for-all measure; their emphasis on the

experience as they present themselves in direct

biological determination of personality type has taken differing routes. William Sheldon

(1942)

saw personality as determined by body structure; Hans Eysenck

(1982)by the nervous system.

Following a tradition going back to Hippocrates,

awareness, disregarding the history, particularity, causation and social context of such experiences; and (b) the twentieth-century European philosoph­ ical

movement,

associated

Edmund Husserl

in

particular

with

(1859-1938), advocating this

Sheldon regarded temperament as the essence of

method of investigation in various forms. Secondly,

personality, postulated its dependence on a per­

in sociology - and inspired in particular by the

son's somatotype and found indeed very high cor­

writings in social phenomenology of Alfred Schutz

relations between these two variables. For Eysenck

(1899-1959)- it is the study of the ways in which

the essence of personality is determined by as yet

people directly experience EVERYDAY LIFE and

not well understood brain processes whose result

imbue their activities with meaning. Thirdly, in

can, however, be measured along four continuous

the

dimensions which are independent from each

influenced by the philosopher Maurice Merleau­

psychology

of perception, it is

a

school

(1908-1961), asserting that the body and

other. They are: extraversion/introversion, neur­

Ponty

oticism, psychoticism, and intelligence. Eysenck's

behaviour are immediate, prelinguistic bearers of

1985) (see PsYCH­

scales for three of these dimensions are now widely

meaning in experience (Shapiro,

used in research even by those who do not share his

OLOGY). This entry focuses on phenomenology in

overall approach.

philosophy and sociology.

The leading textbook on personality theories

Phenomenology is an abstract, rigorous and spe­

(Hall et al.,

1985)presents many other contributors,

cialized branch of philosophy, with various schools

including

several

foremost

and national traditions. However, it is not incorrect

among them B. F. Skinner. It is, however, debatable

to say that in opposition to scientific REALISM, all

learning

theorists,

whether he and other behaviourists have made a

phenomenologists have given priority to describing

contribution to thinking about personality, however

lived experience

important they may be in other contexts; they cer­

life-world

(Erlebnis) in the everyday human (Lebenswelt). Those in the movement

tainly do not claim so. To assume an internal organ­

influenced by EXISTENTIALISM (such as Jean-Paul

ization that accounts for the interpretation of the

Sartre or Maurice Merleau-Ponty) stressed more

external world, as personality theorists must, seems

the experience of situated, concrete human subjects

to contradict Skinner's entire way of thinking.

living together, while those in the tradition of Car­

At the end of the twentieth century there exists,

tesian rationalism (such as Husserl) started from

then, no generally accepted approach to under­

the experience of the individual Ego and tried to

standing personality. The major split is between

discover the ultimate foundations of knowledge.

474

PHENOMENOLOGY

Phenomenological enquiries in general are not

irrationalism. In this respect phenomenology was

WELTANSCHAUUNG,

intended to produce factual statements, but rather

also a humanistic

nonempirical

which Husserl made explicit in his last work

or

'transcendental'

philosophical

reflections on knowing and perceiving and on human activities such as science and culture. Hus­ serl aimed to establish nothing less than pure

TRUTH,

independent of time, place, culture or indi­

the nature of

The Crisis of European Sciences and Transcendental Phe­ nomenology (1937). The social phenomenology of Alfred Schutz

leaves aside the project for a presuppositionless

vidual psychology. He was not interested in the

philosophy and sidesteps the resultant Husserlian

perception of particular, concrete objects but in

problem of how the 'transcendental Ego' (which he

noema.

was forced to posit to avoid subjective idealism) is

'the perceived as such', which he called the

In order to arrive at such abstract essences of objects,

constituted

Husserl advocated a procedure he called the 'tran­

Schutz assumes at the outset that people encounter

in

the

individual

'empirical

Ego'.

epoche, whereby matters of

each other in an already constituted, meaningful,

were held in abeyance. By a shift of

intersubjective life-world, which is the 'paramount

attitude, belief in the actual world of human exist­

reality' for human beings, and advocates the study

ence in any society, community or historical period

of the ways in which people experience this every­

was suspended, or 'bracketed'. By placing individ­

day life-world. The characteristic commonsense

ual concrete social or natural objects in brackets in

posture people take in this sphere Schutz calls the

scendental reduction' or

ONTOLOGY

this way, it was possible, he believed, to vary many

'natural attitude'. The existence of others is taken

examples of things to discover the essential features

for granted in everyday life since we assume a

that any given thing must possess in order to be

'reciprocity of perspectives'. The concept of 'sim­

recognized as an example of that thing. In phenom­

ultaneity' describes the idea that our experience of

enology this method is known as the eidetic approach

the Other occurs in the same present as the Other

(Husserl, Ideas,

experiences us. People orientate themselves using

1931). intentionality

is important in

'typifications', such as business competitor, Ameri­

Husserl and in phenomenology in general and de­

can, jovial type, through which meaningful inter­

rives from Husserl's teacher Franz Brentano. The

action is effected (Schutz,

The doctrine of

1932).

most fundamental characteristic of consciousness is

Schutz shared Husserl's humanistic belief, which

of some­

thing. Regardless of the existential status of the

he had set out in the Crisis, in the primacy of the Lebenswelt as the ultimate reference point and basis

object concerned, consciousness is 'directed'. Indi­

in meaning for all experience as well as for the

viduals single out entities in their experience for

scientific theories that humans construct. Highly

held to be that it is always consciousness

ETHNOMETHODOLOGY

attention and thus constitute them as objects. But

influential on

one cannot infer from the fact that a conscious act is

logical methodology was Schutz's insistence, in

and on socio­

directed towards something that that thing exists.

pursuance of that principle, that to avoid REIFICA­

For Husserl, every act is 'directed' because even if it

TION, the 'second-order' constructs created in social

has no obvious object, it will be directed towards a

science should be based on the 'first-order' ones

noema. During the artificial procedure of the

already in use in the everyday life-world. Social

epoche, 'intentional' acts such as hoping, expecting

science as a 'context of meaning' was possible and

or fearing become important for establishing the

humanly legitimate only if it effected a two-way

Cartesian

translation between itself and the 'stock-of-know­

essence of perception as such (Husserl,

Meditations, 1931). Through following this reasoning and using the method of the epoche, Husserl hoped to show that

ledge-at-hand' available and in use in the meaning contexts of the

Lebenswelt.

(A version of this idea

appears as the 'double hermeneutic' in the influen­

it was possible to reach a realm of purified con­

tial writings on sociological theory by Anthony

sciousness, or 'transcendental subjectivity', held

Giddens

to be a self-contained realm of experience outside

one should observe typical meaningful acts and

time and space. The method would produce non­

events and coordinate them with

empirical, apodictic truths, a priori, which would

models of typical actors or 'homunculi'. In social

(1976)

-see

HERMENEUTICS)

Schutz said constructed

be universally valid and free from presuppositions.

science it was thus possible to construct, as all

These would provide a solid bulwark against scep­

sciences do, analytical conceptual systems (in this

tical doubt, historicism, relativism and political

case of social action) of maximum anonymity, but

PHENOMENOLOGY

alter egos

based in real experience and, by the two-way dia­

social world with the

logue, retaining links with the uniqueness of ordin­

around me as the centre, into associates

ary individuals. Controversy continues within and surrounding phenomenology. Two recurring focuses of debate are the following. I

Problems arising from the transcendental

475

in it is arranged,

( Umwelt), (Mitwelt), predecessors ( Vorwelt), successors (Folgewelt), whereby I and my

contemporaries and

different attitudes to others institute these mani­ fold relationships. All this is done in various of intimacy 1940, p. 181)

degrees

and

anonymity. ( Schutz,

status of phenomenological reflections. In the sociological versions there is an ambiguous rela­ tionship between the transcendental categories and the real world depicted by empirical social science. This relation is always the Achilles heel of any transcendentally informed enquiry, phe­ nomenology

included

(Kilminster,

1989)

(see

NEO-KANTIANISM) . Strictly speaking, Schutz was

outlining only the preconditions for humanistic social science enquiry, not attempting an empirical description of any society, or providing concepts for direct use in social research. As Thomas Luck­ mann (1983, pp. viii-ix) put it, social phenomen­ ology is 'protosociology' which

'uncovers

the

universal and invariant structures of human exist­ ence at all times and places'. But such a claim to universality, based as it was solely on philosophical reasoning, was always challengeable. From where does the abstract catalogue of basic structures of the life-world derive? What empirical evidence, if any, could change them? Are values and prejudices about human nature being smuggled in? Moreover, the clarificatory, a priori nature of the enterprise that the phenomenologists had garnered for themselves meant that -as they acknowledged­ they were not competent to make any systematic, concrete statements about the urgent questions of social power and domination in specific soci­ eties. Such a social scientific task was outside their sphere. Their main claim to fame thus became the humanistic critique of objectivism and PosiTIVISM where they existed in mainstream social science. Once this corrective had been taken on board by sociologists, phenomenology gradually lost its appeal. 2

The 'egological' focus of phenomenology has

had important repercussions for both the social and philosophical variants. This individualistic cast is obvious in Husserl, but also clear in Schutz's view of society as consisting of concentric circles around himself:

Such a nominalistic starting point for social science has been the subject of considerable criticisms in sociology from Karl Marx and Emile Durkheim onwards, but recently notably in the theoretical and empirical work of Norbert Elias, where it has been seen as an unacceptable form of

monadology

(Elias, 1978 and 1991 ). The same egoism has meant that philosophical versions, particularly that of Husserl, have always been haunted by the ghost of

solipsism. His solution

-the universal self-experience of the 'transcenden­ tal Ego' -was assailed by existential phenomenolo­ gists (Sartre, 1936-7; Merleau-Ponty, 1945). They tried to circumvent this danger by shifting the emphasis towards ontology. They created concepts such as the 'being-in-the-world' of humankind to try to describe the pretheoretical togethernes

; of

people in societies. The antisubjectivist and anti­ humanist movement of STRUCTURALISM in Euro­ pean social thought in the 1950s and 1960s was also partly a reaction to the more individualistic forms of phenomenology. The individual subject, or empirical Ego, in phe­ nomenology always had an analytic status, though implicitly it was assumed to be a grown-up individ­ ual. Reference to the development of this individual was made formally, for example in Husserl's dis­ tinction between the 'active' and the 'passive' gen­ esis of the Ego

(Cartesian Meditations, 1931, sect.

38). In his early work Schutz explicitly described the individual actor assumed in his analyses as the 'wide-awake adult'. This static assumption is cor­ rected in his posthumous The Structures ofthe Lift­ world (Schutz and Luckmann, 1974) which contributed to developing what has become known as 'genetic phenomenology'. In this work the fact that adults used to be children, who learned from a pre-existing culture via socialization, was acknow­ ledged. This viewpoint can be found in a sophisti­ cated form in Berger and Luckmann's influential

out as 'You', and in reference to You, who refer

work of metatheory The Social Construction of Reality (1961). However, consonant with the tran­

back to me, third parties stand out as 'They'. My

scendental character of phenomenological analysis

In reference to Us whose centre I am, others stand

476

PHILOSOPHY

in general, genesis is inevitably handled here, too,

Christianity. Although vanet1es of 'personalist'

only in a formal, abstract way, as part of a universal

idealism, promoted by the American G. H. Howi­

framework of subjective orientation for the social

son and by Cambridge philosophers]. E. McTag­

sciences, with the world of real, empirical genesis

gart and James Ward, rejected 'absolutism' as 'oriental', all these idealist philosophers shared in

placed in brackets. Sociologists have drawn attention to the fact that

rejecting empiricist commitments to nominalism,

phenomenology is a pre-eminent product of the

atomism and 'external relations' - the idea that

ego-centredness of traditional European philoso­

'things' retain their identities irrespective of the

phy from Descartes to Kant and Husserl. This

relations in which they stand.

tendency has been cogently explained by the devel­

From at least Parmenides, philosophers have

opment of complex, internally pacified Western

struggled with the double-barrelled problem of

nation-states. It can be seen as one expression of

the relation between the one and the many and of

the self-experience of the highly self-controlled

thought and reality. Bradley

modern individual characteristic of such societies

teristically attempted a solution which began with

1939).

(1846-1924)

charac­

The dominant emerging direction of

'immediate experience' and argued that all judge­

contemporary enquiries in the sociology of indi­

ments, including those of science, are 'riddled

(Elias,

viduality is away from transcendental towards em­

with contradictions'. For Bradley, thought can be

pirical investigations simultaneously on the two

true only when the intellect is fully satisfied -and

psychogenesis

it cannot be fully satisfied as long as thought con­

fronts of what Norbert Elias called and

sociogenesis

(Burkitt,

1991).

(1957)

tains contradictions. As John Passmore

writes: 'Nowhere short of the Absolute ... can

Reading

this self-consistency be found.' For idealists, the

Elliston, F. and McCormick, P. eds 1977:

Husserl:

Expositions and Appraisals. Hammond, M., Howarth, J. and Keat, R. 1991:

Under­ standing Phenomenology. Landgrebe, L. 1966: Major Problems in Contemporary European Philosophy, from Dilthey to Heidegger. Luckmann, T. ed. 1978: Phenomenology and Sociology. Natanson, M. ed. 1970: Phenomenology and Social Reality: Essays in Memory of Alfred Schutz. Pivcevic, E. 1970: Husserl and Phenomenology. Spiegelberg, H. 1982: The Phenomenological Movement, 2 vols, 3rd rev. and enlarged edn. Thomason, B. C. 1982: Making Sense ofReification: Alfred

Schutz and Constructivist Theory. RICHARD KILMINSTER

world in its infinite complexity was, ultimately, a unity. Idealism all but disappeared with World War I. Indeed, all the more successful twentieth-century developments, including Marxism, had opposed it. In America, PRAGMATISM, and a string of 'realisms' -the 'new' realisms of, for example, E. B. Halt and R. B. Perry (Halt,

In the nineteenth century it was im­

possible for fin

de siecle

philosophical thought to

and the 'critical' realisms

1920)­

were direct responses to idealism. The same was true in Britain with the dominating figures of Ber­ trand Russell and G. E. Moore. In Germany and Austria, Husserl's PHENOMENOLOGY, Heidegger's philosophy of existence and Vienna PosiTIVISM, also

philosophy

1912)

of A. 0. Lovejoy and R. W. Sellers (Drake,

enormously

successful

movements,

were

efforts to overcome the late nineteenth-century im­ passe between idealists and realists.

avoid the consequences of the development of

In response to materialist attacks on 'scientific

modern science. The responses of Nietzsche, neo­

socialism', Engels had belatedly tried to provide a

Kantians, evolutionary naturalists, Marxists, prag­

philosophy of science for Marxism. Following him,

matists and idealists, each different, met with un­

Lenin's

equal success. Least successful were idealists,

became the source of what became, with Stalin,

whose efforts to comprehend the world as consti­

DIALECTICAL MATERIALISM, the 'official' philosophy

tuted by a system of ideas were no longer persua­

of Marxism. So-called 'Western Marxism', of

sive.

which more subsequently, would be a recent re­

In Germany, Hegelianism had already been

Materialism and Empirio-Criticism (1908)

sponse to this.

routed. Not so in the USA and Britain. In the

Pragmatism was not one thing. The writings of

USA, Josiah Royce, and in Britain, T. H. Green,

Charles S. Peirce, William James, George Herbert

F. H. Bradley and Bernard Bosanquet were provid­

Mead and John Dewey are perhaps as different as

ing powerful metaphysical backgrounds to liberal

they are similar. All are properly pragmatists in

PHILOSOPHY

477

accepting Kant's cntJque of metaphysics, but in

precisely the problem of establishing the conditions

rejecting his transcendental move.

in which consequences can be identified and values

Peirce (1839-1914) came closest to traditional

conjointly established.

'realism'. Not only was there an independently

Overcoming a host of dualisms, mind and body,

existing external world which was lawful, but it

experience and nature, and importantly, fact and

was intelligible. Peirce (1877) responded to Carte­

value, was crucial to Dewey's project. On his view,

sian anxiety by arguing that the problem was to find

these dualisms, and with them the 'chief divisions'

the preferred mode of fixing belief in the commu­

of modern philosophy, 'have grown up around the

nity. This was, of course, the 'scientific method',

epistemological problem of the general relation of

preferred because, as public and fallible, it alone

subject and object' (1917). Enquiry was the central idea of his theory of knowledge, and his approach,

was self-correcting. Peirce's famous 'pragmatic maxim' (1878) that

in many ways comparable to Marx's, was to begin

our conception of the practical effects of an idea

with concrete practice, to raise questions as to 'the

gives the whole meaning to it, was misappropriated

genuineness, under present conditions of science

by later verificationist theories of meaning. His

and social life, of the problems [of philosophy]' and

work on semiotic and logic remain topical especially

then to articulate the 'problems of men' in terms

since they provide a radical alternative to the dom­

which are amenable to inquiry. Dewey is currently

inant views of Frege/Russell.

undergoing a renaissance, both as a premature post­

The pragmatism of James (1842-1910) was

modern thinker in the mode of Richard Rorty

and

meant to reap benefits from both the 'tender' and

as a thinker whose philosophy remains viable for

'tough-minded', to include not merely 'facts' and

modernist reconstruction.

To do this,

While Dewey evaded many of philosophy's trad­

James demystified both. Science and religion spring

itional problems, G. E. Moore (1873-1958) insisted

from 'the sentiment of rationality' (1878) and both

that these resulted from unclarity. His essay, 'The

'principles', but science

and religion.

aim at 'ideal and inward relations' which can 'in no

refutation of idealism' (1903a) exhibits this and sets

intelligible sense whatever be reproductions of the

the tone for the (later) conception of philosophy as

order of outer experience'. James's definition of

linguistic analysis. For Moore, the concept of an

truth (1908) outraged the epistemologists since it

existing thing required that it be externally related

seemed to allow that a

to some other thing. Idealism, committed to in­

sufficient condition for truth

was that a belief be useful. Similarly, his 'radical

ternal relations, could not coherently be stated.

empiricism' has found favour with more recent,

Moore (1903b) used the same tactic against 'natur­

widely opposing, views. While a wonderful prose

alistic ethics', arguing that views which try to define

writer, James had little interest either in narrowly

good in terms of some 'natural property', such as

conceived 'philosophical' problems or in meeting

utility, commit a 'fallacy'. Even if we grant, he

the standards of recent technical philosophy. His

insisted, that something is useful, we can still ask,

main point was to insist that the world is plural,

'but is it good?'

relational and 'in the making'. Accordingly, beliefs

Russell ( 1872-1970), a giant of modern logic, was

have value as truth claims only in so far as they

not content to seek solutions to problems in logical

respond to specific needs, wants, aims and interests.

theory and mathematics. Rather, by employing

Dewey's 'instrumentalism' was a naturalism

techniques generated in his effort to construct

which involved de-essentializing Aristotle and ig­

mathematics from logic

noring traditional epistemology in favour of a frank

argue that 'every philosophical problem, when it

('logicism'), he could

avowal of the method of science. But if Dewey

is subjected to the necessary analysis and purifica­

(1859-1952) was comfortably abstract about what

tion, is found to be not really philosophical at all, or

this meant, he was not 'scientistic'. On the contrary,

else, to be, in the sense in which we are using the

he sought to 'humanize' science and to bring its

word, logical' (1914a).

methods into everyday affairs, including a demo­

He owed his early Platonist metaphysics to

cratic politics. Since democracy was 'the idea of

Moore. But given Moore's dubious notion that we

community itself ' and community requires that

perceive 'sense data' which were, presumably, the

'face

suifaces

to

face

relationships

have

consequences

of things, Russell was forced to conclude

which generate a community of interests, a sharing

that ordinary objects were

of values' (1927), the problem of democracy was

data. With the principle that 'whenever possible,

inferences

from sense

478

PHILOSOPHY

logical constructions are to be substituted for in­

(1971) would be the first significant mainstream

ferred entities' (1914b), he was able to argue that

philosophical tract in normative ethics and political

ordinary objects, like numbers, could become 'lo­

philosophy in perhaps two generations.

gical constructions'. But while defending 'logical

The story of recent positivism is a hoary one

atomism', he acknowledged that 'general facts'

indeed, not merely in regard to the disappoint­

could not be analysed as 'molecular facts' (Russell,

ments of the programme, but, today, even in get­

1918). For example, all swans are white did not

ting clear as to what it was. For example, W. V. 0.

and that swan is

Quine, himself deeply implicated in the movement

white, etc. By 1948, his optimism had waned.

and one of its sharpest critics, held that Rudolf

'reduce to' this swan is white

With all the ingenuity in the world, empiricism

Carnap's 1928

could not be sustained. Not only did science require

was a rigorous, but failed, effort to carry out Rus­

The Logical Structure of the World

'the inductive principle' which he could find no way

sell's 1914 programme to account for the external

to ground, but it needed 'the postulate of quasi­

world as a 'logical construct of sense data'. Carnap

permanence' - 'things'.

later argued that it had a more general aim, namely

As science industrialized, a host of nineteenth­

to show the possibility of translating scientific state­

century physicists became philosophers of science

ments into an ontologically neutral 'constructional

(see PHILOSOPHY OF SCIENCE) . They shared in

system' in which phenomenalist language was not

rejecting metaphysics and, as part of this, they

privileged. On this view, Carnap was already com­

insisted that science did not aim at explaining why

mitted to the idea of pragmatically justified linguis­

things happen as they do. Explanation, if possible at

tic frameworks and of truth defined relative to

all, meant deduction, subsumption under law.

these. This was to become a theme of later analytic

There were, however, some important differences

philosophy, for example, as in the work of Donald

between them.

Davidson.

G. R. Kirchhoff (1874), Ernst Mach (1886) and

Phenomenalist 'reduction' was a main theme of

Karl Pearson (1892) offered a phenomenalist and

A.]. Ayer's influential

descriptivist version of science. Henri Poincare

(1936) whose formulation of the famous 'verifiabil­

Language, Truth and Logic

(1902) and Pierre Duhem (1906) urged a more

ity principle' introduced it to countless readers. In

'conventionalist' position, holding that laws and

its terms, the meaning of a proposition is given by

theories were definitions in disguise. Finally Hein­

its method of verification.

rich Hertz (1894), student of the more realistically

The principle instantly ran into problems. Thus,

inclined Herman Helmholtz, provided a neo-Kant­

if it was not a tautology or a verifiable empirical

ian response in which theories were 'representa­

generalization, what was its status? By 1936, at

tions' of the world in the form of mathematical

least, verifiability had become 'confirmability' and

models

(Bilder).

there were no longer any hopes for phenomenalist

Weltan­

reduction (Carnap, 1936). Assuming a naive real­

schauung for 'logical positivism', perhaps the cen­

ism, the problem became the status of theoretical

tury's most influential movement. Russell and

terms. They were endowed with partial meaning by

Principia Mathematica (1910-11), and Ludwig Wittgenstein's Tractatus Logico­ Philosophicus (1922) were, however, the immediate

means of 'reduction sentences', for example, 'If The relation to 'operational definition' and to 'be­

resources. Wittgenstein (1889-1951) seems to have

haviourism' is clear. But without much notice by

These philosophers

established

the

Whitehead's

challenged, then if someone is anxious, he fidgets.'

followed Hertz in arguing that language needed a

social scientists whose affection for these ideas was

comprehensive 'model'. He turned, accordingly, to

not easily disturbed, it quickly became clear to

the work of G. Frege and Russell. But Wittgen­

Carnap

that

'reduction

sentences'

would

not

not to

suffice. By 1956, he had shifted to 'correspondence

show that non-scientific discourse was cognitively

rules', considerably loosening the hold on the 'em­

meaningless. On his view, it is precisely what we

pirical' (Carnap, 1956).

stein's effort seems to have been designed

must be silent about which constitutes all that really

There was also the continuing problem of a 'logic

matters in life! Either way, philosophy had backed

of confirmation', the skeleton in the closet of logical

itself into a corner. Relieved of the responsibility to

empiricism. Carnap and C. G. Hempel recognized

say what ought to be, philosophers turned to

that what was needed was an inductive logic which,

'metaethics'. John Rawls's A

Theory of Justice

like

Principia, would allow us to discriminate

PHILOSOPHY

479

between 'valid' and 'invalid' predictions. Others

antimetaphysical sort which had presumably mo­

were less sanguine, including Karl Popper (1934).

tivated Wittgenstein's later work.

He bit the Humean bullet and insisted on 'falsifi­

Two of the best known 'ordinary language' ana­

ability', based on the deductive rule of modus to!lens.

lysts were Oxford philosophers, Gilbert Ryle

'Bold conjectures' are the stuff of science, conjec­

(1900-1976 ) and]. L. Austin (1911-1960). Ryle

tures which are then tested by trying to falsify

(1949) analysed 'mental concepts' and concluded

them. Nonfalsifiability, accordingly, would define

that 'mind' was not a 'ghost in the machine'. Ryle,

nonscience. But, as already noted by Duhem, it was

who initiated 'philosophy of mind', was, however,

hardly clear, given the holistic character of theories,

close to Carnap (and B. F. Skinner!), in holding that

whether falsification was ever possible.

mental concepts were best analysed dispositionally,

By the 1950s, criticism from within had eaten

as hypotheticals which make reference to behav­

away at all the central pillars of positivism. Good­

iour. Austin joined in the attack on phenomenalism

man (1947) showed that no extensional analysis

(1962) and identified (1962) a critical difference

could deal satisfactorily with the intimately related

between 'performatives', for example, 'I now pro­

problems of induction, confirmation and the analy­

nounce you man and wife,' and 'constatives', such

sis of scientific law; Quine (1951) showed both that

as 'Today is Monday.' Only the latter had truth­

verifiability and the analytic/synthetic distinction

conditions. Austin's 'speech-act' analysis pushed

could not be sustained; Hempel (1958) acknow­

analytic philosophy towards a rethinking of the

ledged that if theoretical terms were understood as

relevance of the social.

positivists had understood them, they could not

But we need here to go back to an entirely differ­

play the role they were presumed to play. Hanson

ent response to the maturing of science. Edmund

(1958) argued that the distinction between terms in

Husserl (1859-1938), like Frege, Russell, Peirce

the observation language and the theoretical lan­

and Dewey, thought of logic as a theory of science,

guage could not be made. One could go on, but it

but for him it had to be considered 'transcenden­

was perhaps T. S. Kuhn's Structure of Scientific

tally'. Logic should provide an a priori elucidation

Revolutions (1962) which brought the issues to a

of the conditions of possibility of science (Husserl,

head. The main upshot was that if Kuhn was even

1900). To this end, he developed a 'presupposition­

approximately correct, actual science in no sense

less' PHENOMENOLOGY. The idea was to begin with

conformed to the 'reconstruction' being promoted

'the total, unanalysed cognitive situation' as experi­

by empiricist philosophy of science.

enced, and then through rigorous description 'to

Putting aside earlier marginalized writers, for

account for the sameness of meanings and their

example Cassirer (1923), Whitehead (1925) and

reference to an objectivity, whether real or fictive

Bachelard (1934), two alternatives to the 'standard

in character'. In this way, questions of the existence

view' emerged, the 'methodological anarchism' of

of ordinary objects, as of space and time are

Paul Feyerabend (1971) and the 'realism' of Rom

'bracketed', so that the method is ostensibly neutral

Harre (1970) and others. For Feyerabend, Kuhn

between realism and idealism. Objectivity, then, 'is

was insufficiently radical; for Harre, once the 'myth

not constituted in the "primary" contents (i.e.,

of deductivism' was expunged, one could make

sensed contents), but rather in the characters of

sense of scientific practice in ways unnoticed by

meaningful apprehension and in the laws which

previous philosophies.

belong to the essence of these characters.' But

Logical empiricism was one strain in the pre­

Husserl went on to argue that objects 'can only be

dominating 'analytic' posture of Anglo-American

"in" the system of knowledge'. This, of course, is

philosophy. The other, with Moore in the back­

idealism.

ground and the later Wittgenstein in the fore­

The philosophies of 'existence' of Martin Hei­

(see

degger (1889-1976) and Jean-Paul Sartre (1905-

LINGUISTIC PHILOSOPHY). Getting a handle on the

1980) (see EXISTENTIALISM ) owe much to phenom­

ground, was

'ordinary

language analysis'

Investigations

enology, but not only to phenomenology. Kierke­

(1953) is not easy. But the slogan 'the meaning

gaard (1813-1855) and Nietzsche (1844-1900),

is the use' quickly came to typify analyses which,

each

even to old-guard Wittgensteinians, seemed to

threatening to swallow up humanity. Heidegger's

Wittgenstein of the Philosophical

responding

to

Hegel,

saw

reason

as

be exercises which lacked philosophical conse­

central theme became 'man's estrangement from

quence, even consequences of the 'therapeutic',

Being' (1927). He sought, then, to describe,

480

PHILOSOPHY OF HISTORY

without preconceptions, what human existence is.

without agents. On his view, Marx had made an

Attempting to undercut Cartesian subjectivity,

'epistemological break', rejecting his former 'hu­

Dasein is the 'field' of human existence, the name

manism' and 'historicism'. But Althusser shared

for persons in relation to others and their envir­

with Sartre in rejecting 'diamat' and in seeking to

onment. For Heidegger truth does not concern

redefine a philosophy for MARXISM.

following Greek etymology,

The response to structuralism, 'poststructural­

a-lethia, or unhiddenness, regards 'understand­

ism', is characterized by ontological antirealism

ing', a primordial condition of existence. This

and Nietzschean anxiety over the will to power.

is a theme of 'hermeneutical' approaches, for

Although Foucault (1966) rejected Sartre's idea

example, that of Hans-Georg Gadamer (1960) (see

that 'totalization' could answer Nietzschean criti­

HERMENEUTICS).

cism of objective knowledge, he would seem to

propositions, but,

While Hitler was attracting Heidegger, he was

admit a

kind

of immanent critique, exposing

also driving countless notable philosophers to

through 'genealogies' alternative understandings

England and America, among them members

of present practices. While it is unlikely that Der­

Herbert Marcuse,

rida (1967) would approve, epigones of 'decon­

Theodor Adorno and Max Horkheimer attempted

structionism' have tended to reduce philosophy to

of the FRANKFURT SCHOOL.

a revision of the Hegel/Marx Enlightenment pro­

rhetorical genres, obliterating, en route, the very

ject of finding reason in history. If the working class

idea of truth. But 'postmodernism' (see MoDERN­

did not provide a privileged perspective, then

ISM AND POSTMODERNISM) is perhaps too diffuse a

reason was 'without its condition of possibility'.

phenomenon to characterize briefly.

Ji.irgen Habermas remains a powerful voice

m

Philosophy, then, is in a far different condition than it was as the twentieth century began. It is

this effort. Indeed, the 'decisive philosophical event' in

not so much that the idealism/realism debate has

post-war France was the rediscovery of Hegel's

disappeared;

DIALECTIC. This owed much to Alexander Kojeve

As important, perhaps, the incapacity of anti­

rather,

its

terms

have

changed.

and Jean Hyppolite. Between them they taught a

metaphysical empiricisms to make sense of science,

host of French intellectuals, including Raymond

still less of our world, has forced recent philosophy

Aron, Maurice Merleau-Ponty, Jacques Lacan,

to reject both easy solutions and its 'foundationalist'

Michel Foucault, Gilles Deleuze, Louis Althusser

aspirations. The upshot remains unclear.

and Jacques Derrida. As Simone de Beauvoir reported, speaking for both Sartre and herself, 'we had discovered the reality and weight of history'. In Sartre's first novel, revealing itself

(1938).

'nausea is existence

Being and Nothingness

(1943) developed a radical existentialism which focused on freedom, but which foundered on 'the reef of solipsism'. By 1947, Sartre had confronted Marxism and Stalinism (Sartre, 1947). The result, the Critique of Dialectical Reason, completed in 1960, was an assimilation which drew criticism from both 'structuralists', including Claude Levi­ Strauss (1962), and close colleagues, Albert Camus (1951) and Maurice Merleau-Ponty (1955), who gave us the term WESTERN MARXISM. Like Herbert Marcuse, Henri Lefebvre, and G. Della Volpe, Sartre emphasized the recently 'dis­ covered' writings of the young Marx. For the 'structuralists' this reintroduced metaphysics, the

Reading Ayer, A. J. ed. 1959:

Logical Positivism. (1962): Irrational Man: a Study in Exist­ ential Philosophy. Callinicos, A. 1990: Against Postmodernism. Caton, C. E. ed. 1963: Philosophy and Ordinary Lan­ guage. Farber, M. 1943 (1967): Foundation ofPhenomenology. Flower, E. and Murphey, M. G. 1987: a History ofPhilosophy in America, vol. 2. Janik, A. and Toulmin, S. 1973: Wittgenstein's Vienna. Passmore, J. 1957: A Hundred Years ofPhilosophy. Poster, M. 1975: Existential Marxism in Postwar France: From Sartre to Althusser. Suppe, F. ed. 1974: The Structure ofScientific Theories. Tiles, J. E. 1988: Dewey. Tiles, M. 1991: Mathematics and the Image ofReason. Urmson, J. 0. 1956: Philosophical Analysis: Its Development Between the Two World Wars. Barrett, W. 1958

PETER T. MANICAS

bete noire of twentieth-century philosophy. Levi­ Strauss thus defended 'Kantianism without a sub­ ject', and Louis Althusser (1965), although com­

philosophy of history

mitted to a strong form of realism, defended history

TORY; TELEOLOGY

See HISTORICISM; HIS­

PHILOSOPHY OF SCIENCE philosophy of science

481

This branch of enquiry

taken up by N. R. Campbell in the twenties,

encompasses questions about science in general

arguing for the necessity of models in science. Al­

(such as, are at least some theoretical entities

together outside the mainstream were the biologic­

real?), about particular groups of sciences (such as,

ally inspired cosmologies produced by

can social objects be studied in the same way as

Bergson, S. Alexander and A. N. Whitehead at

H. L.

natural ones? -the problem of NATURALISM) , and

about the same time; and the dialectical materialism

about individual sciences (such as, what are the

that was being systematically codified and dissem­

implications of relativity theory for our concepts

inated in the USSR under Stalin.

of space and time?). It arose as a discipline separate

The positivist vision of science pivoted on a

from the more general theory of knowledge in the

monistic theory of scientific development and a

mid-nineteenth century - at about the time that

deductivist

distinct sciences bearing names such as 'physics',

former came under attack from three main sources.

'chemistry' and 'biology' were becoming 'profes­

First, from Popper and (ex-)Popperians such as I.

theory

of

scientific

structure.

The

sionalized'. The leading figures of its first gener­

Lakatos and P. Feyerabend. They argued that it

ation were Auguste Comte, the inventor of the label

was falsifiability, not verifiability, that was the hall­

'positivism' (as well as 'sociology'), the ultra­

mark of science and that it was precisely in revolu­

empiricist]. S. Mill (who thought that even math­

tionary breakthroughs such as those associated with

ematical propositions were empirical) and the Kant­

Galileo or Einstein that its epistemological sign­

ian historian of science, William Whewell. Much of

ificance lay. Second, from Kuhn and other histor­

the subsequent history of the philosophy of science

ians (such as A. Koyre) and sociologists (such as L.

can be seen as a continuation of the controversy

Fleck) of science. They drew scrupulous attention

between Mill and Comte, on the one hand, and

to the real social processes involved in the repro­

Whewell, on the other, with the former hegemonic

duction and transformation of scientific knowledge

until c.1970. The dominant view of science has been

-in what has come to be called the transitive or

squarely based on Humean empiricism, epitomized

epistemological or historical-sociological dimen­

in the claim of E. Mach (1894, p. 192) that natural

sion of the philosophy of science. Finally, from

laws were nothing but 'the mimetic reproduction of

Wittgensteinians, such as N. R. Hanson, S. E.

facts in thought, the object of which is to replace and

T oulmin and W. Sellars, who latched on to the

save the trouble of new experience'. Thus the late

non-atomistic,

nineteenth century saw such spectacular triumphs

character of 'facts' in science.

theory-dependent

and

mutable

for the empiricist camp as Benjamin Brodie's con­

One problem which arose in the early days of the

struction of a chemistry without atoms, which were

debate about scientific change concerned the possi­

widely held to be, in Alexander Bain's words,

bility, and indeed according to people like Kuhn

merely 'representative fictions'.

and Feyerabend the actuality, of meaning variance

The logical PosiTIVISM of the Vienna circle of the

as well as inconsistency in scientific change. Kuhn

1920s and 1930s married the epistemological em­

and Feyerabend suggested it might come to pass

piricism and reductionism of Mach, Pearson and

that no meaning was shared in common between a

Duhem with the logical innovations of Frege, Rus­

theory and its successor. This seemed to render

sell and Wittgenstein to form the backbone of the

problematic the idea of a rational choice between

dominant view of science in mid-century. Its

such 'incommensurable' theories, and even encour­

principle members were M. Schlick, R. Carnap,

aged (superidealist) scepticism about the existence

0. Neurath, F. Waismann and H. Reichenbach.

of a theory-independent world. However, if the

C. G. Hempel, E. Nagel and A.]. Ayer were intel­

relation between the theories is one of conflict rather

lectually close to it. Ludwig Wittgenstein and Karl

than merely difference, this presupposes that they

Popper were on its periphery. Formalism and lin­

are alternative accounts of the same world; and if one

guisticism were characteristic of the circle. It shared

theory can explain more significant phenomena in

the latter bias with the conventionalism that had

terms of its descriptions than the other can in terms

grown up in France under the influence of H.

of its, then there is a rational criterion for theory

Poincare and E. Le Roy in the first decade of the

choice, and a fortiori a possible sense to the idea of

century and which was to be radically historicized

scientific development over time.

by G. Bachelard and G. Canguilhem from the

The deductivist theory of scientific structure

1930s on. Against the grain, Whewell's legacy was

initially came under fire from Michael Scriven,

482

PHILOSOPHY OF SOCIAL SCIENCE

Mary Hesse and Rom Harre for the lack of suffi­

empiricism', which would once more restrict the

ciency of Humean criteria for causality and law,

ascription of reality to observables and in N. Cart­

Hempelian criteria for explanation and Nagelian

wright's actualism, on which the laws of physics, in

criteria for the reduction of one science to another

so far as they are not empirically true, literally lie.

more basic one.Their critique was then generalized

At the same time critical realists started to explore

by Roy Bhaskar to incorporate the lack of necessity

the question -in what was called the 'metacritical

for them also. Bhaskar argued that positivism could

dimension' -of the conditions of the possibility of

sustain neither the necessity nor the universality -

both positivism and REALISM alike (for example, the

and in particular the transfactuality (in open and

empirical identification permitted by twentieth­

closed systems alike)-of laws; and for an ontology

century technology of the novel entities and strata

- in what he characterized as the intransitive di­

denoted by terms like 'atoms', 'electrons', 'radio

mension of the philosophy of science-that did not

stars', 'genes'). In this way they linked up with the

identify the domains of the real, the actual and the

'strong programme in the sociology of knowledge'

empirical. It is of some significance that the attack

associated with Barry Barnes, David Bloor and the

against deductivism was both initiated and carried

Edinburgh school, giving attention to the metacri­

through by philosophers with a strong interest in

tical, metatheoretical and conceptual problems

the human sciences where what one writer has

posed by particular sciences.

called the 'law-explanation orthodoxy' (Outhwaite, 1987b) was never even remotely plausible (Dona­

Reading

gan, 1966).

Bhaskar, R. 1975

The linchpin of deductivism was the Popper­ Hempel theory of explanation, according to which explanation proceeded by deductive subsumption under universal laws (interpreted as empirical re­

(1978): A Realist Theory of Science, 2nd

edn. Cha1mers, A. 1982:

What is this Thing called 'Science'?, 2nd

edn. Feyerabend, P. 1975: Against Method. Hacking, I. 1983:

required for a genuine explanation is, as Whewell

Representing and Intervening. Causal Powers. Kuhn, T. S. 1962 (1970): The Structure of Scientific Revo­ lutions, 2nd edn. Nagel, E. 1961: The Structure of Science. Popper, K. R. 1959: Conjectures and Refutations.

and Campbell had insisted, the introduction of new

ROY BHASKAR

gularities). It was pointed out, however, that de­ ductive subsumption typically does not explain but merely generalizes the problem (for instance, from 'why does this x cp?' to 'why do all x's cp?'). What is

Harre, R. and Madden, E. 1975:

concepts not already contained in the explanan­ The social sci­

dum, models, picturing plausible generative mech­

philosophy of social science

anisms, and the like. But the new - critical or

ences have always existed in closer relation to

transcendental - realists broke with Campbell's

their metatheories or philosophies than the natural

Kantianism by allowing that, under some condi­

sciences - that is to say, to invoke G. Bachelard's

tions, these concepts or models could denote new

useful distinction, the diurnal philosophy of the

and deeper levels of reality; and science was seen as

scientists here has been more steeped in the noctur­

proceeding by a continuing and reiterated process

nal philosophy produced by their philosophers.

of movement from manifest phenomena, through

Moreover each social science and each school

creative modelling and experimentation, to the

within it has had ontological, epistemological,

identification of their generative causes, which

methodological and conceptual problems peculiar

now became the new phenomena to be explained

to it. But a grand contrast can be drawn between

...Moreover it was argued that the laws which

a naturalist positivism, strong in economics, psych­

science identified under experimentally

closed

ology and sociology in the moulds of Emile

conditions continued to hold (but transfactually,

Durkheim and Talcott Parsons and prominent

not as empirical regularities) extra-experimentally,

in the Anglophone countries, and an antinaturalist

thus providing a rationale for practical and applied

hermeneutics, strong in the more humanistically

explanatory, diagnostic, exploratory etc. work.

oriented social sciences and sociology in the vein of

In the 1980s further arguments for scientific

Max Weber and prominent in the Germanic world.

realism were adduced by I. Hacking, A. Chalmers

This contrast cuts across the Marxist/non-Marxist

and others. But there was also a partial resurgence

divide. Thus traditional dialectical materialsm of

of positivism in B. van Fraassen's 'constructive

the sort of Friedrich Engels, G. Della Volpe and

PHILOSOPHY OF SOCIAL SCIENCE

483

Louis Althusser may be ranged on one side, Gyiirgy

meaning of its subject matter- either by immersion

Lukacs, Jean-Paul Sartre

in it as in the Wittgenstein-inspired account of P.

and

the FRANKFURT

SCHOOL on the other. Only relatively recently has

Winch or by the dialogical fusion of horizons or

a third alternative, a critical or qualified naturalism,

meaning frames as in the Heideggerian account of

based on a nonpositivist realist account of science

H.-G. Gadamer. To this it can be objected that the

come to the fore. This article will be mainly con­

conceptuality of social life can be recognized with­

cerned with some of the issues that have arisen in

out assuming:

the philosophy of the social sciences in the twenti­ eth century.

that such conceptualizations exhaust the sub­ ject matter of social science (consider the social states of famine, war or imprisonment or the

Explanation and prediction

psychological ones of anger, courage or isol­

The canonical positivist model of ExPLANATION holds that to explain an event etc. is to deduce it from a set of universal laws plus initial conditions.

ation);

2

Unfortunately examples of explanations conform­

they may mask, repress, mystify, rationalize,

ing to this model are completely absent in the social

obscure or otherwise occlude the nature of the

sciences. This provides the strongest negative argu­ ment for hermeneutics. The deductivist model posits a symmetry between explanation and PREDIC­ TION but social science, operating as it must in open systems, has a notoriously bad predictive record. And strangely enough it was one of the leading exponents of the deductive-nomological model of explanation, Karl Popper, who was most virulent in his attack on what he called historicism, that is, the making of unconditional historical prophecies. Clearly the falsity of this does not imply that the social sciences cannot make conditional predictions, subject to a ceteris paribus clause. But the absence of closed systems means that decisive test situations

that such conceptualizations are incorrigible (rather we know since Marx and Freud that

activities in which they are implicated); or

3

that recognition of the conceptuality of social being rules out its scientific comprehension (at least once the restrictive empiricist ontology of

esse est percipi is abandoned). The hermeneutical paradigm is, however, consist­ ent with a realist metatheory of science. Moreover critical realists typically insist that Verstehen must be the starting point for social enquiry.

Reasons and causes The hermeneutical position is often buttressed by

are in principle impossible, so the social sciences

the argument that the human sciences are con­

must

cerned with the reasons for agents' behaviour and

rely

on

exclusively

explanatory

criteria

for confirmation and falsification. As for explan­

that such reasons cannot be analysed as causes. For,

ation, the new critical realists posit a distinction

first, reasons are not logically independent of the

between theoretical and applied explanations. The

behaviour they explain. Moreover, second, they

former proceeds by description of significant fea­

operate at a different language level (F. Waismann)

tures, retroduction to possible causes, elimination of

or belong to a different language-game (Wittgen­

alternatives and identification of the generative

stein) from causes. But natural events can likewise

mechanism or causal structure at work (which now

be redescribed in terms of their causes (for instance,

becomes the new explanandum to be explained)

toast as burnt). Furthermore unless reasons were

(DREI); the latter by resolution of a complex

causally efficacious in producing one rather than

event (etc.) into its components, theoretical rede­

another sequence of bodily movements, sounds or

scription of these components, retrodiction to pos­

marks, it is difficult to see how there can be grounds

sible antecedents and elimination of alternative

for preferring one reason explanation to another,

causes

(RRRE).

and indeed eventually the whole practice of giving reason-explanations must come to appear as with­

Understanding The strongest positive argument for hermeneutics is that since social phenomena are uniquely mean­

out rationale (see also MATERIALISM).

Structure and agency

ingful or rule governed, social science must be

Both positivism

precisely concerned with the elucidation of the

coupled with each of individualism and collectivism

and hermeneutics have been

484

PLURALISM

or holism; and positivists at least have accentuated

an obvious paradigm here. This conception of

either human agency or social structure. But the

social science as explanatory, and thence emancipa­

new realists suggest a relational paradigm for, in

tory, critique links up with Ji.irgen Habermas's

particular, sociology; and a resolution of the anti­

early work on the 'emancipatory cognitive interest';

nomy of structure and agency in the 'theory of

and with his more recent project for a necessarily (cf.

structuration' (Anthony Giddens) or the 'trans­

Outhwaite,

formational model of social activity' (Roy Bhaskar).

communicative competence.

1987) realist reconstructive science of

According to this, social structure is both the ever­ present condition and the continually reproduced outcome of intentional human agency. Thus people do not marry to reproduce the nuclear family or work to sustain the capitalist economy. Yet it is the unintended consequence (and inexorable result) of, as it is also a necessary condition for, their activity. Related to this is the controversy about ideal types. For critical realists the ground for abstraction lies in the real stratification (and ontological depth) of nature and society. They are not subjective clas­ sifications of an undifferentiated empirical reality, but attempts to grasp (for example in real defini­ tions of forms of social life already understood in a prescientific way) precisely the generative mech­ anisms and causal structures which account in all their complex and multiple determinations for the concrete phenomena of human history. Closely

Naturalism The new realists posit a series of ontological, epi­ stemological, relational and critical differences be­ tween

the

social

and

natural

sciences

(see

NATURALISM). The normal backcloth for this con­ trast has been (standard conceptions of) physics and chemistry. But more recently a number of writers have urged different disciplines for comparison for instance, biology (Ted Benton), drama (Rom Harre and P. F. Secord, following up on the work of Erving Goffman and Harold Garfinkel). Reading Benton, T. 1977: Philosophical Foundations of the Three Sociologies. Bhaskar, R. 1979 (1989): The Possibility ofNaturalism, 2nd edn.

connected with this is a reassessment of Marx as,

Giddens, A. 1984: The Constitution ofSociety.

at least in Capital, a scientific realist - contrary to

Habermas, J. 1968 (1971): Knowledge and Human Inter­

pre-existing Marxist and non-Marxist interpret­ ations. In its wake, too, is a reassessment of other founding figures in the social sciences (such as Durkheim and Weber) as combining aspects of a realist and some or other nonrealist method and ontology.

ests. Harre, R. 1979: Social Being. Keat, R. and Urry, J. 1975 (1981): Social Theory as Science. Manicas, P. 1987: A History and Philosophy of the Social Science. Outhwaite, W. 1987: New Philosophies ofSocial Science. Sayer, D. 1979 (1983): Marx's Method.

Facts and values

ROY BHASKAR

Positivism upholds an unbridgeable gulf between fact and value statements. But the value impreg­

planning, economic

See

planning, social

SociAL PLANNING

EcoNOMIC PLANNING

nation of social-scientific factual discourse seems a patent fact. It is clearly bound up with the value­

See

impregnated character of the social reality the social sciences are seeking to describe and explain. (Marx

pluralism

and Engels were just wrong not to see this.) Less

different bodies of ideas in the social sciences. One

The same word denotes three quite

obviously, it has been suggested by Bhaskar that

of them may be dealt with quite briefly: pluralism in

social scinece has value implications. In so far as we

this first sense refers to an institutional pattern in a

can explain this necessity for systematically false

non-Western preindustrial society under colonial

consciousness (distorted communication and so on)

or postcolonial rule. Plural society is a concept

about social phenomena then we can move ceteris

proposed by ]. S. Furnivall

paribus to negative valuations on the objects which

developed by L. Kuper and M. G. Smith

make that consciousness necessary and to positive

In such a society self-regulating and enclosed social

(1948) and further (1969).

valuations on action rationally designed to trans­

groups live side by side, but each has a distinct

form them. Marx's 'critique of political economy' is

communal existence. Such groups are externally

PLURALISM linked by the state and the market. Such a pattern of

485

relatively open political competition and of the

pluralism does not imply equality of influence or

institutional and normative conditions that sustain

importance between the groups; rather relations of

it. Power and influence will only be dispersed under

hierarchy or domination are typical. Such commu­

definite social and political conditions: political par­

nalistic relations are an obstacle to the development

ticipation must be at least potentially inclusive of all

of the modern nation-state or the modern inte­

adult citizens who enjoy the same formal rights; the

grated economy.

formation of competing interest groups and parties independent of state control must not be systemat­

American pluralism The second sense of pluralism is by far the more

ically monopolized by one minority group. In add­ ition, the majority of competing groups seeking to control or to influence decision-making must sub­

influential and is much better known, so much so

scribe to the norms of a democratic political cul­

that references to 'the pluralist approach' or 'plur­

ture, that is they must accept the circulation of

alism' almost invariably mean the American plural­

office, the right of other groups to exist and limits

ist theory of political democracy. This theory

on the methods of political competition (see INTER­

claims to develop the insights of a number of pre­

EST GROUP). Modern Western industrial societies

modern sources in political thought. Often cited is

and some Third World countries like India tend

The Federalist Papers of 1787-8, but the most im­

to meet these conditions to a sufficient degree that

portant precursor is Alexis de Tocqueville who

they can be classified as instances of satisfactorily

argued in Democracy in America (1835-40 ) that a

functioning 'polyarchy'. No state is ever likely to

democratic polity is sustained by a society in which

meet in full all the ideal-typical conditions of a fully

the conditions of plural political influence are se­

functioning democracy. Democracy exists under

cured and perpetuated. That is, democracy, in the

modern conditions in the form of 'polyarchy', that

sense of widespread and relatively evenly shared

is the plural and successive influence of interest

opportunities to influence public opinion and gov­

groups. Modern democracies are formed of com­

ernmental decision-making, depends less on formal

peting constellations of such groups, not the formal

constitutional mechanisms like representative elec­

rule of the representatives of a majority of individ­

tions than on the existence of a plurality of second­

ual citizens' opinions. Pluralism is the rule of mi­

ary associations in CIVIL SOCIETY separate from and

norities. At a minimum each of these minorities has

uncontrolled by the state. Such social dispersal of

some influence on some of the issues which concern

opinion and influence, such competing organized

it. So long as this is true, and groups deem the

bodies of citizens, prevent majoritarian democracy

contest for influence sufficiently open that it is

from becoming tyrannical or the state from exclu­

worth competing, and no group seeks or attains a

sively controlling the lives and loyalties of its citi­

monopoly of influence, then the system is pluralist.

zens. Tocqueville's ideas are in direct opposition to

Pluralism neither requires an absolute equality of

those of Jean-JacquesRousseau, who argued that all

influence for all groups, nor does it assume politics

organizations that intervened between the state and

is without conflict; it tries to argue that inequality

the individual citizen perverted majoritarian dem­

and conflict have to be confined below definite

ocracy and ensured the rule of self-interested fac­

thresholds if the system is to be polyarchical. It is,

tions. That the French revolution and the Terror

therefore, perfectly possible for a pluralist system to

had intervened is clearly of some consequence.

fail

Tocqueville saw that if political society is composed

whence it becomes an oligarchical system, or on

either on the dimension of inclusiveness,

of competing minorities, none able to prevail on each

the dimension of competition, whence it becomes

and every issue, it will be relatively secure against

an 'inclusive hegemony', that is, power is monopol­

tyranny.

ized by a specific minority group.

These insights have been developed more for­

Dahl is the most explicit pluralist, in the sense

mally by American political scientists particularly

of constructing a theoretical model of the condi­

since the 1940s. Notable pluralist theorists were

tions a polity must meet to guarantee a minimum of

Talcott Parsons (1969) and David Truman (1951).

democratic competition for influence and office. It

The most rigorous formulation is that ofR. A. Dahl

is the function of his model to show the degree to

in A Preface to Democratic Theory (1956). In Dahl's

which concrete societies approximate to its condi­

hands pluralism becomes a theory of stable and

tions for polyarchy. Pluralism, and Dahl's work in

486

PLURALISM

particular, has been subject to much hostile criti­

lites, pluralism was able to show that Western dem­

cism from radicals such as C. Wright Mills (1956)

ocracies exhibited incomparably greater political

and Marxists such as R. Miliband (1969). They

influence and open political competition. Yet this

argue that pluralism is a systematic apologia for

encouraged and created an open target for hostile

Western capitalist societies, that the pluralists

critics all too aware of the limits of democratic

wrongly claim that power and influence are widely

functioning in the West.

distributed, and are at fault in claiming that there is

It must be added that pluralism is rigorous only

no systematic inequality in access to political com­

as a specific theory of political competition and not

petition. Mills and Miliband argue that power is in

as a general approach to political science. It does

fact monopolized and that a minority is able to

have major explanatory limitations, the chief of

control all major decisions affecting its interests.

which is that it tends to treat the state and govern­

Bachrach and Baratz (1962) argue that the domin­

mental agencies as if they are no more than a

ant group is sufficiently powerful that it can define

medium through which successfully influential

the political agenda, such that issues of importance

groups are able to give effect to their aims. The

to other groups simply never become formal

state is thus an intermediary network through

matters of political decision. In fact, pace the critics, all pluralists need to

which competing groups strive to influence policy and decision-making, the state reflecting in its

argue is that a polyarchy exists if less successful

actions the objectives of the dominant organized

groups still deem it worthwhile to compete and

interest on any particular issue. This could rather

that over time the system shows a tendency to

flippantly be called the telephone exchange theory

become more inclusive and more openly competi­

of the state. It is extremely difficult to accommodate

tive. Dahl argues that on both counts Western

within pluralist theory the propositions that the

societies show themselves minimally pluralist. He

state is an extremely exclusive institution and that

cites the rise to influence of labour parties and

groups and agencies within it have distinct interests

movements in Europe - having previously been

and objectives of their own. However, the theory of

excluded, they have both competed for and attained

a ruling elite or the Marxist theory of a ruling class

office and influence- and in the United States he

are by no means effective substitutes, since they are

cites the inclusion of blacks within the political

generalizing theories which in turn systematically

system and the destruction of the Jim Crow system

underplay the role of political competition and

in the South. By and large radical and Marxist

plural political influence. They in turn make the

critics have lacked the methodological sophistica­

state both too impermeable and homogeneous, and

tion necessary to construct a serious empirical test

too subservient to the dominant minority social

of the pluralist model, while Dahl in particular had

group: the military-industrial complex or the cap­

produced powerful criticisms of both Mills's power

italist class. While pluralism correctly challenges

elite model (Dahl, 1958) and Marxist approaches to

the zero-sum conception of power as a fixed quan­

democracy (1948). The conventional wisdom of the

tity, it tends to ignore the institutional rigidities of

1960s radicals was that pluralism was obsolete

government that prevent influence from being infi­

ideology; on the contrary, pluralism has survived

nitely extendable.

into the 1980s and worn better than the ideas of the critics. The radical and Marxist criticism of pluralism is

An important area of pluralist empirical research has been the analysis of community power. Plural­ ists and neoelitists have argued pro and contra the

understandable in the context of the Cold War.

proposition that power in American regions and

Pluralism was often used uncritically as an apologia

cities is widely diffused, the classic pluralist state­

for and an endorsement of Western democracies.

ment being Dahl (1961) and the classic statement of

The ideological exploitation of a theory can clearly

the monopolization of power being Floyd Hunter

compromise its explanatory value. Rigorously spe­

(1953). For overviews of this debate see Nelson W.

cified, pluralist theory enables us to see how far

Polsby (1963) and Arnold M. Rose (1967).

many Western democracies are from a fully func­ tioning polyarchy. It has to be said that, with the exception of the later work of Dahl (1982; 1985), it

English political pluralism

has seldom been used in this manner. When used in

The third sense of pluralism is that of English

comparisons with the Soviet Union and its sate!-

political pluralism. This current in political theory

PLURALISM

487

was very influential in Britain and internationally in

every person, agency and circumstance within a

the first quarter of this century, and then suffered a

definite territory. Sovereignty is a defective concept

rapid and radical eclipse. Pluralism in this sense is

because no such body can actually possess such a

less a doctrine of political competition, like the

plenitude of power and because in claiming to do so

American, than a critique of state structure and

it tended to strike at the plural sources of power,

the basis of the authority of the state. The English

influence and administration in a society. Laski

pluralists challenged the theory of unlimited state

(1921) summed this opposition up well when he

sovereignty and the conception of a unitary central­

argued that in modern societies all power and or­

ized state embodying such sovereign power in a

ganization are necessarily and de facto federative.

hierarchy of exclusively controlled authority. The

The state should thus concede autonomy and self­

English pluralists gave a central role to voluntarily

government to those agencies and associations most

formed associations of citizens in civil society, but

appropriate to performing a particular task - he

their main thrust in this respect was normative: to

claimed that as 'the railways are as real as Lanca­

argue, that is, that the sovereign state restricted and

shire' they should be left to conduct those affairs

inhibited the growth and freedom of such associ­

peculiar to them no less than the county was left to

ations, that the state was an obstacle to the existence

manage its local affairs. Cole and Laski argued

of plural self-governing associations and therefore

strongly for the participation of workers in the

should itself be 'pluralized' to correspond more

government of their industries and for those indus­

closely with the needs of free associations in a free

tries to build up federatively the patterns of code­

American pluralism, on the contrary,

termination and collaboration one with another

argues that the diffusion of power is a fact and it

they found necessary and appropriate. Cole expli­

society.

citly linked the pluralization of state authority with

pays little attention to state structure. The main English pluralist thinkers were the legal historian F. W. Maitland, his collaborator

the Guild Socialist government of industry in Guild Socialism Re-stated (1920).

the Anglican clergyman John Neville Figgis and

The pluralists believed in dispersing state power

the socialist intellectuals G. D. H. Cole and Harold

into distinct and functionally autonomous domains

].

directly

of authority. Because of this they were strongly

influenced by the German legal theorist Otto von

opposed to the representative democratic legitim­

Laski.

Maitland

and

Figgis were

Gierke and his theory of associations (1900). They

ation of the centralized state, the claim that only

challenged the 'fiction' theory of corporate person­

such a body could represent the will of the people,

ality and the concessionist conception of the legal

other bodies being partial and self-interested. Cole,

right of associations. Such conceptions stemmed

in particular, strongly challenged this view, arguing

from the view that the sole legitimate organizations

that the representation of the actual wills of a di­

in society are the state, representing the will of the

verse mass of citizens was impossible. The plural­

people, and individuals as bearers of rights. The

ists denied that society could give rise to a general

grant of corporate personality is dependent on the

will, claiming in contrast that the interests of citi­

state and the body so formed is limited in its power

zens were both specific and diverse. Although all

by its articles of association. Figgis in his major

the pluralists believed that centralized state power

work Churches in the Modern State (1913) argued

should be dispersed and that associations should

powerfully that such a view must inhibit both the

enjoy the greatest measure of freedom consistent

free development of individuals and the internal

with the liberty of others, they did not agree about

democracy of associations. He argued that individ­

the nature of the remaining public power in such a

uals can only pursue and enjoy certain of their most

system. Cole, in particular, strongly favoured re­

important freedoms in association with others, and

placing the system of representative democracy

that the concessionist view inhibited the autonomy

with a system of functional democracy based on

of self-governing associations like churches and

the industrial guilds. Laski favoured a combination

trade unions.

of a representative territorial system with func­

The notion of state sovereignty was challenged

tional self-government.

by all the pluralists. By 'sovereignty' they meant

Pluralism waned after the mid-1920s. The 1929

that a particular political body, typically a legisla­

crash finished it off completely, as radicals advo­

ture, claimed for itself a plenitude of power and a

cated more rather than less central state action to

right to exercise control over and to make rules for

revitalize the economy - Cole and Laski among

488

POLITICAL CULTURE

them. It is now returning to intellectual promin­

ary, defensive, inward-looking cultures, resistant to

ence as excessive centralization loses support and

criticism and reform. Typically police are armed,

the devolution of power seems more attractive in

uniformed and male.

Western countries. For an excellent account of

Not surprisingly, theories about the police are closely related to wider political ideologies (see

English pluralism see Nicholls (1975).

IDEOLOGY).

Three

approaches

can

be

distin­

guished: (a) a conservative view focuses on the

Reading Dahl, R. A. 1956

(1966): A Preface to Democratic Theory. Q 1997: From Statism to Pluralism. ed. 1989: The Pluralist Theory of the State: Selected Writings of G. D. H. Cole, J. N. Figgis and H. J. Laski. Hunter, F. 1953: Community Power Structure. Kuper, L. and Smith, M. G. eds 1969: Pluralism in Africa. Nicholls, D. 1975: The Pluralist State. Polsby, N. W. 1980: Community Power and Political Theory, 2nd edn. Rose, A. M. 1967: The Power Structure. Hirst, P.

--

PAUL QUENTIN HIRST

police as crime fighters, emphasizing and (impli­ citly) supporting the integrative role they play in promoting social harmony; (b) a radical view (such as Marxism) regards the police as a repressive state agency, necessarily operating in the interests of the ruling class in controlling working-class resistance against exploitation, that is, the police are seen as the enemy, to be abolished; (c) a policy-oriented approach (emerging more recently) accepts the need for policing and examines various styles and methods of policing in a more empirical way, util­ izing criteria like efficiency, effectiveness and public

police

Whether referring to the function of

acceptability (Morgan and Smith, 1989).

maintaining social control in society (policing) or

Prevailing masculinist values in policing empha­

to the agency set up to carry out this function (the

sizing toughness, aggression, machismo, drinking,

police), we are dealing with a complex, contentious

not losing face, and so on, have been challenged by

and highly charged issue. While we are all policed

feminists, who point out that the concerns of

in some way (society requires some minimum of

women both in the police and in being policed are

organization and conformity to persist), the ques­

shamefully neglected. However, with more women

tion of who is policed, by whom, in what way(s) and

joining the police it remains an open question

with what justification(s) gets to the heart of debates

whether 'the image of the traditional cop is about

about social and political processes (see SociETY;

to change fundamentally' (Chessyne, 1989, p. 20),

PoWER; STATE). Policing can be: formal or informal;

or whether women will simply become integrated

public or private; open or secret; locally or centrally

into the macho 'cop culture' that has become in­

controlled; reactive or proactive; peaceful or vio­

grained throughout the world.

lent; community based or paramilitary; by consent

See also CRIME AND DEVIANCE.

or in the teeth of opposition and resistance. Trad­ itionally policing has been legitimated (see LEGIT ­

Reading

IMACY) by the need to control crime and apprehend

Benyon, J. and Bourne, C. eds 1986:

the lawbreaker. However, much police work is not related to crime and the police also have a central role in maintaining public order and controlling political dissent.

The Police: Powers, Procedures and Proprieties. Dunhill, C. ed. 1989: The Boys in Blue: Women's Challenge to the Police. Hanmer, ]., Radford, J. and Stanko, E. A. eds 1989:

specific

Women, Policing and Male Violence: International Per­ spectives. Morgan, R. and Smith, D. J. eds 1989: Coming to Terms with Policing. Reiner, R. 1985: The Politics of the Police. Roach, J. and Thomaneck, J. eds 1985: Police and Public Order in Europe.

officials are appointed to maintain order leading to

CHARLES R. M. WILSON

There are variations both historically and across cultures in terms of police structures, powers and performance. In preindustrial societies crime con­ trol tends to be carried out by the whole community without an organized police force. With increasing differentiation

(see

INDUSTRIALIZATION)

the proliferation of specialist forces. As with any group wielding considerable power, there is the

policy, social

See SociAL POLICY

ever-present danger of corruption, violence and The concept dates from the

racism and this forms a major focus for debates

political culture

about policing. Policing tends to generate reaction-

1950s when it became an analytical tool of political

POLITICAL CULTURE

489

science. Gabriel Almond, one of the pioneers of the

notice, and by the 1960s attempts were made to

new approach, defined political culture as 'a par­

discover mass attitudes through rigorous survey

ticular pattern of orientations to political action', a

methods (Almond and Verba, 1963). But it is by

'set of meanings and purposes' within which every

no means obvious that popular VALUES and beliefs

political system is embedded (1956, p. 396). Polit­

can be elicited by techniques of data gathering and

ical culture therefore refers to the beliefs, values

analysis. As critics have shown, it is notoriously

and expressive symbols (the 'flag', the monarchy,

difficult to frame unambiguous questions to put to

and so on) that comprise the emotional and attitu­

respondents, and such questions may in any case be

dinal context of political activity. The analysis of

too clear-cut to capture the ambivalent and shifting

political systems in terms of their cultural attributes

attitudes of ordinary people (Femia, 1979). At any

has distant antecedents. As far back as the eight­

rate, 'hard' data do not obviate the need for intu­

eenth century, Montesquieu thought it appropriate

ition and interpretation on the part of the analyst.

to relate the constitutional principles of a nation to

For example, how widespread must an attitude be

its 'morals or customs'. The revival and systematic

before it can be included in a country's political

development of this approach during the past 30 or

culture? If, say, 51 per cent of the adult population

40 years must be understood against the back­

are classed as 'deferential', does this mean that the

ground of the 'behaviourial revolution', which

political culture is a deferential one? Small wonder

rejected the formal legal-institutional study of pol­

that the literature abounds in vague and even banal

itics and instead stressed empirically observable

observations (such as 'The British political culture

behaviour (see BEHAVIOURISM). For this reason,

is a mixture of tradition and modernity').

most analysts are careful to draw a conceptual dis­

Even if we could determine a particular political

tinction between political culture and political be­

culture with mathematical precision, it would not

haviour, since the former is meant to explain - at

follow that the cultural orientations so determined

least partially - the latter. In particular, political

would have any causal efficacy. Some critics argue

scientists have been concerned to explore the links

that what passes for political culture is largely the

between stable democracy and certain types of pol­

creation of the political system it is supposed to

itical culture. The concept is seen as a powerful

explain. If, to take one example, Italians are alien­

explanatory variable in accounting for the failure

ated from their political institutions, this disaffec­

of Western-style democracy to take root in the less

tion must to some degree result from the inadequate

developed countries of the Third World, where

performance of those institutions. The way a system

cultural fragmentation and traditional habits of pas­

performs, moreover, will be influenced by its own

sivity supposedly undermine constitutional pat­

characteristic features. In Italy political immobilism

terns (Almond, 1956, pp. 400-3). It has also been

can be seen as an effect of proportional representa­

argued that a cultural approach can help to explain

tion, which - given the nature of the country's social

the diversity of communist systems, as revolution­

cleavages - ensures unstable coalition government

aries must inevitably adapt their Marxist model to

(Sartori, 1969).

suit the specific politico-ethical heritage of the country in question (Tucker, 1973).

Orthodox Marxists have also questioned the val­ idity of cultural explanations. In their perspective

Whether political culture actually succeeds in

ideas and beliefs are merely derivative from the

explaining anything is open to doubt. In the first

social and economic structure. Political behaviour

place, it is difficult to determine the precise com­

is therefore ultimately explicable in terms of class

ponents of a nation's political culture. Early studies

conflict or other material pressures. Under the

were impressionistic and seemed to infer subjective

influence of Antonio Gramsci, however, some pre­

orientations from the practical behaviour that the

sent-day Marxists have conceded the explanatory

orientations were meant to have caused. Thus, in

potency of cultural phenomena. It is no longer

Almond's first treatment of the subject, the 'log­

considered 'bourgeois' to account for the persist­

rolling' antics of American politicians were taken to

ence of liberal democracy by reference to widely

demonstrate that America possessed 'a rational­

shared perceptions and norms. Yet no Marxist

calculating, bargaining, and experimental political

would assume that this CoNSENSUS emerged fully

culture', while - at the same time - these antics

formed from the national soil; he or she would

were explained by the 'culture' (1956, p. 398). The

attempt to trace the dominant cultural outlook

circularity of this reasoning did not escape critical

back to its socioeconomic roots.

490

POLITICAL ECONOMY

This brings us to the central defect of political

precious metals through trade surpluses, reflecting

culture analysis as normally practised. Its practi­

the predominant merchant capitalism of the time.

tioners appear to forget that culture is the product

This doctrine was superseded in the following cen­

of many and various influences, and that its use as

tury by that of the physiocrats, who located the

an explanatory variable should never be other than

source of all wealth in agriculture (reflecting the

as an intervening factor. The actual relationship

slow growth of agricultural capitalism). Later still,

between the normative order and political or social

the origins of wealth were sought (by Adam Smith

or economic structures is likely to be one of mutual

in the 1770s) in the extension of the division of

reinforcement over time, and this interaction makes

labour, reflecting the increase in rural manufactur­

it hard to decide which, if any, factor is most im­

ing activity in the 'putting-out' system and its in­

portant. Political culture must form part of an ex­

cipient replacement by the first factories. In the

planation of the performance of political systems,

early nineteenth century, with the industrial revo­

but eventually we must examine how cultural

lution well under way, Ricardo, and rather later

orientations came to be formed. Still, man is a

Marx, built on Smith's insights with the recogni­

symbolic animal living a mental life. His actions

tion that the origins of wealth lay more generally in

will reflect the way he interprets his environment,

production.In particular, their focus was on how an

and this interpretation will be shaped by his 'cogni­

economic surplus (surplus, that is, to the reproduc­

tive map' (Almond, 1956, p. 402), his beliefs and

tion of a subsistence stationary state) is produced,

attitudes. With this truism in mind, we may con­

and how it is distributed; what the relation of such

clude that the concept of political culture can, at

production and distribution is to economic growth

least potentially, increase our understanding of pol­

and class conflict (between landlords and capitalists

itical life.

for Ricardo, and between capitalists and workers for

Reading Kavanagh, D. 1972: Political Culture.

profits, wages and employment.

Marx); and what the implications are for prices,

Nord1inger, E. 1967: The Working-Class Tories: Authority, Deference, and Stable Democracy.

Pye, L. and Verba, S. eds 1965: Political Culture and Political Development.

Rosenbaum, W. A. 1975: Political Culture. White, S. 1979: Political Culture and Soviet Politics. JOSEPH

V.

FEMIA

Marx further distinguished 'classical' political economy, which 'investigated the real internal framework of bourgeois relations of production' and which he regarded as thereby scientific, from the activities of 'vulgar' economists who 'flounder around within the apparent framework of those relations ...systematizing in a pedantic way, and proclaiming for everlasting truths, the banal and

This designation has ac­

complacent notions held by the bourgeois agents

quired a variety of meanings, not all of which are

of production about their own world, which is to

political economy

consistent with one another. Historically, the term

them the best possible one' (1867

'economics' referred to the management of the

n34). For Marx, the break occurred in 1830: the

household budget. When the household was that

conquest of political power in France and England

of the monarch, such economic concerns were pol­

by the bourgeoisie and its class conflict with a

itical. Hence 'political economy' originated as the

rapidly increasing proletariat marked the end of

(1976), p. 174,

study of the problems concerning the monarch's

any possibility of further development of scientific

revenues (from taxes and loans) and expenditures

political economy; thereafter all that was possible

(on the court, civilian administration, and army and

was either apologetics for the status quo (vulgar

navy) in an era when nation-states were beginning

political economy) or scientific critique (his own

to consolidate and debasement of the currency was

work).

common. In

particular,

the

sixteenth-century

More conventional successors to Ricardo in­

European inflation associated with the influx of

creasingly regarded Ricardo's foundation of his

silver from the New World prompted investiga­

theory upon a labour theory of value as unsatisfac­

tions of the determinants of balance between rev­

tory, and, by the end of the nineteenth century, his

enues and expenditures, and their association with

theory of rent had been successfully generalized to

the nation's trade, production and, more generally,

other 'factors of production' such that, in competi­

wealth. The seventeenth-century mercantilists lo­

tive equilibrium, each factor receives the monetary

cated the origins of wealth in the acquisition of

equivalent of its marginal contribution to output.

POLITICAL ECONOMY Several consequences immediately followed. First,

491

in general be subordinated to extra-political rules

issues of growth and aggregate economic activity

(see PUBLIC CHOICE, and Buchanan 1991). In con­

were displaced by a focus on resource allocation.

trast, the Chicago school argued that electoral com­

Second, class conflict was displaced by the focus on

petition

maximizing individuals with given initial endow­

(Wittman 1989). Both schools unsurprisingly took

will

itself

induce

efficient

decisions

ments and given technologies of production (both

US forms of direct democracy as exemplars, and a

matters of history) and given preferences (a matter

substantial body of formal analysis was produced.

of psychology). Third, the very notion of an eco­

But the neoclassical presumptions which underlay

nomic surplus disappeared. And fourth, the term

the analyses were precisely what was questioned by

'political economy' was displaced by the term 'eco­

the third way in which the term political economy

nomics'. (See VALUE.)

was used, as in 'radical' political economy.

The term political economy did not however

While a Marxist tradition in the twentieth cen­

thereby disappear. First, it occurs as a descriptor

tury was maintained by economists such as Baran

in the history of economic thought, although in two

and Sweezy in the US and by Dobb and Meek in

rather different senses. The non-neoclassical trad­

the UK, it was the conjunction of the civil rights

ition uses 'classical' political economy to refer to all

movement in the US with large-scale US military

theory prior to the marginalist revolution of the

involvement in Vietnam which led to a revival of

1870s, in contrast to the neoclassical tradition,

the concerns of the classical political economy of

which uses 'classical' economics to refer to that

Ricardo and Marx. Hymer and Roosevelt (in Lind­

pre-Keynesian theory which presumed full em­

beck, 1977) describe the consequences of the use of

ployment and the efficient allocation of resources

'reason, technical knowledge, legal manoeuvring,

by markets. Secondly, the term occurs in the con­

and electoral reform politics' by student activists

temporary theory of public economics within the

in the 1960s and early 1970s:

neoclassical tradition, a growing body of work, largely originating in the USA in the 1970s. Much

They discovered personally the violence backed

economic theory during the 1950s and 1960s was

up by law and government that was used against

concerned with specifying the conditions under

blacks; in underdeveloped countries they saw

which state intervention in otherwise free markets

ruling elites cooperating with international busi­

might improve the efficiency of the allocation of

ness

resources, whether in macroeconomics (KEYNES­ IANISM) or in microeconomics (welfare economics). But state intervention is not impersonal, and gov­ ernments are not motiveless, passive recipients of

to

obstruct

the

most

obviously

needed

reforms; they saw that their university adminis­ trators would resist mild demands with incredible tenacity; they saw how social welfare programs and prisons terrorized and degraded the very people they were supposed to uplift; and, in polit­

the views of society that they then implement. Once

ics young people found that even if they could

governments and state bureaucracies are theorized

rouse a large groundswell against the War and

as agents with goals and constraints of their own,

force a President to give up, it did not stop the

then the interactions between government, produ­

War. From this experience, they began to wonder

cers and consumers via democratic political pro­

if there is not something fundamentally at fault in

cesses require analysis. Within this neoclassical

the system itself. (p. 121)

tradition, two schools had emerged by the end of the twentieth century. The Virginia school, which

This questioning led to the construction of an al­

largely initiated the tradition, argued that demo­

ternative world-view to that of the prevailing eco­

cratic decisions were inherently inefficient because

nomic orthodoxy. This alternative rejected the

information was costly to acquire. While electors

latter's focus on efficient patterns of resource allo­

can respond to choice of policy as it affects their own

cation produced by the optimizing activities of ra­

individual interests, they have rather more imper­

tional individuals in favour of many of the concerns

fect information concerning matters that they do

of that tradition which had culminated in the work

not see as directly affecting them. There is then a

of Marx. In particular, economists of the NEW LEFT

bias towards high expenditure low tax regimes,

(as they came to be called) did not deny the focus

which can only be corrected by constitutional con­

on competition and voluntary exchange in mark­

straints on what governments can be permitted to

ets so central to economic orthodoxy; but they

do. Thus efficiency requires that political processes

argued that such a focus was too one-dimensional

POLITICAL ECONOMY

492

to represent the reality of capitalism in anything

twentieth-century corporation; one strand of analy­

other than a misleading manner. What was required

sis draws on the American institutionalist school

in addition was, first, a recognition of the relation­

from Veblen to Galbraith; another relates the evo­

ships of power, coercion and hierarchy character­

lution of the multinational corporation to Marxist

istic of both workplace and marketplace in capitalist

theories of imperialism.

society; and second, a recognition that capita­

This rediscovery of some of those theoretical

list societies are not in static or even dynamic equi­

concerns of the past, which are no longer a part of

librium, but are constantly changing, such changes

economic

being produced by their systemic existence.

covered how the work of many influential econo­

orthodoxy,

has

simultaneously

dis­

The focus on power is particularly important.

mists can be read and interpreted in a light different

Explanation of the inequalities of capitalist society

from how those works have been appropriated by

in terms of the optimizing behaviour of individuals

economic orthodoxy. One prominent example is

is, for radical political economists, particularly

that of the work of Keynes: while the orthodox

otiose, since it constructs at best misleading, and

interpretation sees Keynesian economics in terms

more typically quite mythical, representations of

of equilibrium states, Joan Robinson and her asso­

capitalist reality. Radical political economy instead

ciates have always insisted that this to distort the

focuses on aggregates of individuals, on how power

disequilibrium processes with which Keynes was

relations distribute resources between such aggre­

concerned. Thus Nell for example argues that the

gates, and on how these distributions of resources

economic orthodoxy 'misrepresents the nature of

maintain relations of domination and subordin­

circulation and distribution'

ation. This type of analysis of distributive relations

accurate understanding of these requires a return

(1980, p.xi); a more

has been widely used in analyses of poverty in

to Keynes's theory of effective demand and its

class-stratified societies, in analyses of gender and

extension to link pricing and investment decisions

patriarchal relations between men and women, in

(see

analyses of racial conflict within the richer capitalist

Sraffa's interpretation of Ricardo's economics, and

countries, and in a wide variety of analyses of

the rediscovery of Marxian economics as something

the

other than a minor variant in the Ricardian trad­

situation facing

underdeveloped

countries

PosT-KEYNESIANISM). Other examples include

both in terms of their domestic environment

ition. The concerns of radical political economy are

and in terms of their insertion into a world

thus heterogeneous; united by hostility to the pre­

market dominated by the richer capitalist coun­

vailing economic orthodoxy, they remain eclectic,

tries.

partly complementary to, and partly competitive

It is not only with respect to power relations

with, each other.

between aggregates in distribution that radical pol­

These three uses of the term political economy,

itical economy distinguishes itself from economic

in the history of economic thought (in both neoclas­

orthodoxy. Marx himself thought that the relations

sical and non-neoclassical variants), in the current

of domination and subordination in the process of

neoclassical theory of public economics, and as an

production itself were particularly important to the

umbrella term covering a range of radical, non­

analysis of capitalism. But there was little develop­

neoclassical views, means that its meaning varies

ment after Marx's own writings in this area, and for

considerably according to both context and author;

two-thirds of the twentieth century these Marxian

it should be therefore be approached warily and

concerns were rather neglected. However, they

understood accordingly.

were revived, and indeed reached a much broader constituency, with the publication in

1974 of Braverman's work on the capitalist LABOUR PROCESS which attempted to apply Marx's analysis to the modern workplace and its twentieth-century evo­ lution. A large number of empirical studies have drawn their inspiration from Braverman's work and sought to understand the evolution of a wide variety of workplace situations. In this, there is some con­ nection with the concerns of REGULATION theory. A related if distinct focus has been an analysis of the

Reading Bowles, S. and Edwards, R 1985: Understanding Capital­

ism. Competition, Command and Change in the US Econ­ omy. Buchanan, J. M. 1991: Consitutional Economics. Edwards, R. C., Reich, M. and Weisskopf, T. E. 1978:

The Capitalist System, 2nd edn. Lindbeck, A 1977: The Political Economy ofthe New Left.

An Outsider's View, 2nd edn. Nell, E. J. ed. 1980: Growth, Profits and Property. Essays in

the Revival ofPolitical Economy.

POLITICAL PARTY

493

Stiglitz, J 1998: The private uses of public interests:

dicalists, Guild Socialists, anarchists and pluralists

incentives and institutions. Journal ofEconomic Perspec­

all, however, denied the premise that societies are

tives 12, 3-22.

simple hierarchies of leaders and masses, seeing

Wittman, D 1989: Why democracies produce efficient results. Journal ofPolitical Economy 97 .6, 1395-1424. SIMON MOHUN

political participation

This means the number

and intensity of individuals and groups involved in decision-making. From the time of the ancient Greeks it was thought ideally to consist of free citizens debating publicly and voting on decisions of government. The simplest theory has always been that good government depends on high levels of participation. But that is difficult to achieve outside small units, so participation is found both in indirect modes - the distinction between repre­ sentative rather than direct DEMOCRACY - and in minimal modes, such as simply voting in occasional elections. Most decisions of governments are taken independently of the wishes of their citizens. To try to bridge this huge gap between the power of the state and the authenticity of the individual, Jean­ Jacques Rousseau famously propounded his doc­ trine of the General Will: that a person can only be truly a citizen (with all the rights and duties entailed) when he or she wills the general, not the particular good. Although this doctrine is demo­

them rather as a plurality of groups constituting participative and overlapping communities. Some thinkers (especially those in the American federalist tradition) argue that participation must be limited by institutional checks and balances, that legal rules and a constitutional framework alone create a just CIVIL SOCIETY. Others (especially those in the French revolutionary tradition) argue that civil society is nothing other than an unham­ pered evolution of popular participation. The necessity for a skilled and literate working class

in

modern

industrial

societies

forces

governing classes to tolerate, even encourage, high levels of participation, whether controlled by a single party mass movement, or open, voluntary and habitual. Some still argue, however, that high levels of political apathy denote social stability; but this is doubtful, and statistics meant to prove this usually measure participation only in formal polit­ ical parties, rather than in the whole range of social groups in which rates of participation are higher. See also PARTICIPATION; SELF-MANAGEMENT. Reading Keane, J. 1988: Democracy and Civil Society.

cratic in the sense that any human being, however

Kornhauser, W. 1960: The Politics ofMass Society.

ignorant, can express the general will, yet it makes

Michels, R. 1911 (1962): Political Parties.

virtue not numbers the test.

Pateman, C. 1970: Participation and Democratic Theory.

Liberal theorists in the nineteenth century made education the test of fitness for participation; in the

Schumpeter, J. A. 1942 (1987): Capitalism, Socialism and

Democracy. BERNARD CRICK

twentieth century democratic power has simply demanded compulsory primary and secondary edu­

To fulfil their aims of achieving

cation. While increasing popular participation was

political party

seen as the strength of representative government,

power or of preventing others from coming to

some worried that such mass participation was in­

power, political parties typically build large appar­

creasingly vulnerable to manipulation by elites (see

atuses with ramifications throughout the country;

ELITE THEORY). Old autocracy had followed the

they adopt programmes which they propose to or

adage or theory of government, 'let sleeping dogs

press on the population; and they recruit future

lie', only needing passive obedience; but modern

generations of politicians.

political leaders, of both left and right, demanded positive enthusiasm, 'mobilizing the masses' to

Political

parties

are

essentially

nineteenth­

century innovations. They did exist spasmodically

create unprecedented power for social transform­

previously, but in certain types of polities, such as

ation. So theories of participation have taken both

Republican Rome, Italian Renaissance cities, or

totalitarian and democratic forms. Roberto Michels ( l9l l ) posited an 'iron law of

Stuart and Hanoverian England. Their spread in nineteenth-century Western Europe and North

oligarchy': above every democratic base there stood

America coincided with the emergence of political

a bureaucratic hierarchy. Others argued that this is

systems based on popular sovereignty where a link

not necessarily undemocratic so long as these elites

was needed between the rulers and the ruled.

are competitive, circulate or are penetrable. Syn-

Where politics takes place exclusively within a

494

POLITICAL PARTY

closed elite which is not responsible to the rest of

the rulers across the country. The purpose was

the population, parties do not exist; where, on the

essentially to mobilize the population and control

contrary, some form of representation exists, even

it, although these efforts needed typically to be

if it is limited or very constrained, parties emerge.

combined with the popularity of a 'charismatic'

They develop fully, however, when three condi­

leader (see CHARISMA) . However, even in these

tions are fulfilled - and these tend to be present

cases, the success of the single party was often

almost everywhere in the contemporary world. The

shortlived and rarely truly durable: the fall of com­

first condition is the existence of social cleavages

munist regimes in Eastern Europe and the Soviet

(ethnic, religious or class-based, for instance) -

Union after several decades of apparently unshake­

otherwise parties tend to be personal coteries;

able power showed the intrinsic weakness of the

second, the government has to be based on popular

single-party system.

support, even if this is more in words than in deeds;

Competitive party systems appear more stable

and, third, there has to be a belief that victory will

overall, at least in Western Europe and North

be achieved only if the mass of the population or at

America. They have spread to other parts of the

least a substantial proportion of it has to be organ­

world, with varying degrees of success, Latin

ized - small conspiracies are then not felt to be

America in particular having known periods of

adequate.

competitive politics followed by periods of military

These three conditions were not fulfilled in most

rule. Indeed, even in Western Europe, competitive

parts of Western Europe in the early part of the

party systems have been subjected to major criti­

nineteenth century. Parties tended therefore to be

cisms and to reappraisals. The stability of the mass

dominated by small cliques or by members of the

party is in question, with the decline of party 'iden­

old social elite; they were 'cadre' parties. Under the

tification' and the growth of the 'independence' of

pressure of the extension of the suffrage, party

the electorate. Party programmes have lost much of

organizations

acquired

their clarity as they take increasingly into account

members and appointed substantial numbers of

demands made by groups putting forward new

began to expand;

they

officials, increasingly drawn from the ranks of the

'postmodern' issues, in particular with respect to

ordinary middle class and even from the working

the environment.

class; they became 'mass' parties, of which the best

These developments have led to the role of

examples were the labour or social democratic

parties being put in question. Their programmatic

parties set up at the end of the nineteenth century.

function appears to be shrinking; they are some­

These were ostensibly democratic in that their pol­

times by-passed by direct appeals to the people by

icies were officially decided by congresses repre­

way of referendums; the personalization of leaders,

senting

leaders

pushed by the mass media and by television in

wielded substantial power and were often accused

particular, means that intermediate party elites

of exercising bureaucratic control. In order to fight

and party structures in general are becoming re­

effectively their new opponents, parties of the right

dundant. While this is taking place in the West, the

and centre gradually adopted many of the organiza­

collapse of many single-party systems and in par­

tional characteristics of their competitors. The age

ticular of most communist single-party systems

the

membership;

in practice,

of the mass party seemed to have arrived with the

constitutes a major blow to the prestige of parties

twentieth century.

as mobilizing organizations.

At the same time, however, another type of pol­

Yet there are no real substitutes for parties in the

itical party, with a rather different purpose, began

contemporary world, whether in industrial or in

to take root, first in Eastern and Central Europe,

developing countries. Some relationship between

and after 1945 in many newly independent states of

people and government has to exist, even if the

the Third World. This type of party was set up to

links are becoming less tight; there has also to be a

buttress governments wanting to impose their au­

place where programmes and policies are formally

thoritarian or even totalitarian rule, whether of the

adopted and publicized and where the demands of

right (fascism and Nazism being the clearest cases)

groups can be presented and discussed; and there

or of the Left (communism, but also various forms

has to be a channel through which future politicians

of Third World 'populism'). In those regimes, the

can be recruited. For all these reasons, parties will

single party was the instrument of the dictatorship,

continue to play a major part in the political life

as it provided a means of spreading the message of

of our societies, even if the enthusiasm which

POLITICAL SCIENCE

495

characterized their earliest development gives way

tegically used, whether to consolidate or resist

to lukewarm support and even continuous criticism.

power, or to express limited opposition to an existing social order. Moreover their interpretation

Reading

is often a matter for contest, even struggle. Nor

Castles, F. C. ed. 1982: The Impact ofParties.

should one suppose that political ritual is 'merely

Duverger, M. 1955: Political Parties. Janda, K. 1980: Political Parties: a Cross-National Survey. Michels, R. 191 1 (1949): Political Parties. Randall, V. ed. 1988: Political Parties in the Third World. Sartori, G. 1976: Parties and Party Systems. Wo1inetz, S. ed. 1988: Parties and Party Systems in Liberal

ritual', an illusion essentially irrelevant to the 'real' business of politics. Both dictators and revolution­ aries have clearly believed its effects to be very powerful: even the rationalist leaders of the French revolution thought it important to establish elabor­ ate rituals of Reason, and thereby obliterate the

Democracies.

J. BLONDEL

symbolism of the Catholic past (see L. Hunt's chapter in Alexander,

1988).

As formal or standardized activ­

Political rituals may be distinct solemn or festive

ity typically performed at certain specific times and

occasions, like coronations or parades. They may be

places, ritual differs from mere habit and custom in

apparently nonritual activities, such as elections,

political ritual

being symbolic and often dramatic, expressing and

which are then interpreted as political rituals. Or

communicating ideas but also often powerful feel­

one may see aspects of political ritual in ordinary

ings. It does this through symbolic scenes, acts and

political activities, as when, say, a ritual aspect is

words that bring diverse ideas together. Often a

seen in the budgetary process.

single symbol can stand for many ideas, and the interpretation of ritual symbolism is often ambigu­

Reading

ous. Political rituals typically occur before the

Edelman, M. 1971 : Politics as Symbolic Action.

public; what they express and communicate typic­

Kertzer, K. I. 1988: Ritual, Politics and Power.

ally concerns, or helps to shape, central interests of

Moore, S. F. and Myerhoff, B. G. eds 1977: Secul ar Ritual.

those who participate in them and those who ob­

STEVEN LUKES

serve them. In this way, they can help to determine This discipline is concerned

what is politically significant in a community, rep­

political science

resenting its past and future, and the social relations

with the study of political phenomena. Such phe­

within it. (See also POLITICAL CULTURE.)

nomena are often regarded as characterizing exclu­

The effects of political ritual are hard to estimate

sively the national government together with local

but are probably both cognitive and emotional,

and regional authorities, and this is indeed where

conveying both a certain stereotypical picture of

politics is the most visible, but in reality the activity

the social and political world and of the identities

of politics is general. It occurs in all organizations,

of those who inhabit it, and strong sentiments asso­

be they businesses, trade unions, churches or social

ciated with these, often inducing or reinforcing

organizations. Politics can thus variously be de­

strong loyalties and sometimes hostilities. (See

scribed as being concerned with power, as dealing

also IDENTITY.) The result may be either socially

with conflict resolution, or as providing decision­

cohesive or divisive. Political rituals may be inte­

making mechanisms. In truth, politics embraces all

grative, a means of legitimation, inculcating and

these things, as it is the mechanism by which col­

consolidating a civil religion, as, say, coronations

lective action can be undertaken in any community

are supposed to do, or Memorial Day commemor­

as soon as there is no unanimity and as long as the

1959), or

community remains in existence. While the general

they may be conflictual, as when, say, the Protestant

character of political activity is now widely recog­

ating the American war dead (see Warner,

Apprentice Boys march in Catholic areas in North­

nized, this activity is still mainly analysed in rela­

ern Ireland or Chinese students erect a Statue of

tion to public bodies, in part for historical reasons,

Liberty in Tienanmen Square, or they may serve to

in part because politics within these bodies affects

mark out, and thus reinforce, social divisions within

directly all those who live in a given area, and in part

a plural society, as in ethnic parades or May Day

because public bodies, and the state in particular,

parades in capitalist societies.

are formally entitled to control the structure of the

To say that political rituals are expressive is not to deny that they may be instrumentally or stra-

other organizations existing within their geograph­ ical boundaries.

496

POLITICAL SCIENCE

The word 'science' applied to the study of polit­

well as perhaps in Scandinavia and in some coun­

ics is regarded by some as controversial, at any rate

tries of the British Commonwealth can political

if it is given a truly rigorous meaning. This contro­

science be regarded as having become truly estab­

versial character stems from profound differences

lished.

among scholars both about the nature of political

This lack of disciplinary autonomy affected the

phenomena and about the capacity of observers to

growth of political science; it also had an effect on

These

the nature and vitality of political theory, especially

differences are also reflected in the sharp distinction

on the nonnormative aspects of this theory. As in all

often made by the political scientists themselves

disciplines, political science needs to develop a

between political science as such and a branch of

theory if it is to understand the phenomena which

POLITICAL THEORY which is close to political phil­

it observes. Admittedly, it has already been pointed

osophy and is normative: while political science is

out that some believe a truly scientific theory of

the study of political phenomena, normative polit­

politics to be impossible given the nature of

ical theory is concerned with the characteristics of

human behaviour, both individually and in groups.

political values.

The grounds for such a standpoint range from the

analyse

these

phenomena

'objectively'.

Despite a very old ancestry, political science as it

view that human actions are basically unpredictable

is now known developed only recently; partly as a

to the notion that political situations are too com­

consequence, the profession of political scientist is

plex for any scientific analysis to be able to discover,

still rather small, especially outside the United

let alone measure, all the variables involved in the

States. Admittedly, the study of politics can be

process; it is also claimed that observers' biases are

traced back to the Greeks, Plato and Aristotle

inevitable and that what passes for 'observations' is

being the originators of the discipline; the contrast

often only a reflection of these biases.

between these two authors' approaches does indeed

While these views are undeniably partly correct,

illustrate the point that the divide between an em­

there is also a need to understand politics better,

phasis on the observation of phenomena and an

and especially to discover broad regularities, even if

emphasis on the analysis of values has existed

these do not turn out to constitute truly scientific

from the start. Yet the development of political

'laws'. To take only a few examples: there has been

science throughout the Middle Ages, the Renais­

much interest in examining the relationship be­

sance, and the modern period was at best very

tween electoral systems and party systems, or the

patchy. There have been a number of brilliant

socioeconomic conditions under which liberal dem­

writers, primarily Machiavelli, Bodin, Hobbes,

ocracy is likely to emerge and be stable, or which

Locke, Montesquieu, Rousseau and Tocqueville,

system, parliamentary or presidential, is likely to

whose interest in political life as it occurs was

result in more effective government. Regularities

large, in part because they wanted to improve on a

which may be discovered in this way need to be

status quo which they felt to be highly unsatisfac­

based on and guided by a theory which can account

tory; but, while these authors exercised great influ­

for these broad trends.

ence, they did not develop an academic branch of

A movement in this direction did indeed begin to

learning which could be regarded as a science, even

take place in the 19 50s. In a first phase, the goal was

in embryo.

overambitious: it was felt possible to discover truly

Political science did not therefore emerge as

general explanatory models. These models were

a discipline before the second half of the nineteenth

primarily drawn from philosophy of history or

century; yet even then and for several decades

from sociology (see PoLITICAL SOCIOLOGY), as was

subsequently the growth of the discipline remained

the case with the two most successful among them,

slow. Constitutional law, political philosophy, and

MARXISM and FUNCTIONALISM. There was subse­

political history were variously involved in this

quently a shift of emphasis towards approaches

growth,

more akin to those prevailing in economics, such

with

philosophy

and

history

playing

a larger part in Britain, while philosophy, and

as rational choice (see RATIONAL CHOICE THEORY).

even more law, played a major part on the continent

By and large, efforts made at such a level of gener­

of Europe. Indeed, by the end of the twentieth

ality have provided frameworks of analysis rather

century, political science had still not acquired

than true explanations of the characteristics of pol­

fully

itical life; they none the less have constituted a spur

independent

status

in

many

parts

of

the world; in reality, only in the United States as

by helping to structure research.

POLITICAL SCIENCE

497

Meanwhile, the debate about the feasibility of

Such a state of affairs naturally affects the meth­

a science of politics continued despite and in a

odology of political science: political scientists must

sense because of these general models - for, deep

use a wide range of tools and techniques if they are

down, the origin of this debate can be found in the

to come to grips with reality. There is no single and

by

common methodology. Those who are concerned

the idiosyncratic context in which political phe­

with the study of leadership must collect evidence

part

played

by

historical

'accidents'

and

nomena often take place. Two camps or at least

in the manner of historians, that is to say mainly

two tendencies unavoidably divide political scien­

from documents, although interviews also play a

tists; those who feel that 'accidents' and idiosyncra­

large and increasing part. Case studies of important

sies play a truly major part in political life have

events, for instance of major decisions in home or

tended to shy away from broad generalizations

international affairs, need also to be based on docu­

and maintained that the study of politics should

ments and interviews, even if efforts are often made

provide lessons rather than aim at giving scientific

to undertake analyses within a structured frame­

explanations. One of the reasons why such a debate is likely to

work. On the other hand, where regularly repeated happenings are examined, as in the case of the

continue and not even abate is that political life, and

analysis of the careers of politicians, or where the

in particular political life at the level of the national

behaviour of large numbers of individuals is exam­

decision-makers, is shaped markedly by the PoLIT­

ined, as in election studies, quantitative techniques

ICAL CULTURE of countries and in many cases even of

are not only more appropriate but have to be used if

regions; political and social traditions are the mech­

general trends are to be discovered and associations

anisms through which historical specificities come

between variables identified. As a matter of fact,

to play a part. Yet another reason which also mili­

studies of decision-making processes have been

tates in favour of stressing the role of 'accidents' is

increasingly based also on formal mathematical

the prominent part which some great political

models, especially those which developed (rela­

leaders seem to play in shaping the destiny of

tively) recently, such as GAME THEORY. Finally,

their country. Of course, not all is accident in the

straightforward arguments borrowed from

context of LEADERSHIP. One can discover regular­

and philosophy prevail in those aspects of political

law

ities, for instance, in the background or in the career

science primarily concerned with constitutional

development of those who are at the top, be they

and administrative arrangements as well as in nor­

government ministers, party leaders or senior civil

mative and much of analytical political theory.

servants. But the way in which these men and

Political science has thus great diversity; it is not

women are likely to behave will depend on more

a truly united branch of learning. As we have seen,

than these characteristics, and on more than the

it never was. This does not necessarily constitute a

political environment: personality also plays a part

handicap. Nor does this characteristic single out

and personality is first and foremost an individual

political science: other branches of learning do not

feature. Some tend to play down the role of leaders

appear to be appreciably more united. As a result of

-there is indeed a great debate on the matter-but

these divisions, one currently finds not only the old

most political scientists naturally find it hard, and at

distinction between the study of values and empir­

the limit impossible, to deny that leaders 'make a

ical investigations, but five aspects of empirical

difference'. For, if they do so, they have at the same

studies which have become increasingly separate

time to deny any influence to one of the most visible

fields of enquiry: the study of government stricto

elements in political life and thus to reduce mark­

sensu, of public administration, of international re­

edly the role of political factors. Full-scale general­

lations, and, more recently, of political behaviour

izations can thus lead to pitfalls: they are likely to

and of public policy analysis.

leave unexplained a large part of the concrete real­

The study of government is the oldest branch of

ity. They have therefore to be combined with the

the empirical study of politics. In its modern form,

recognition of the importance of the particular con­

it has been often closely associated with (in some

text and of particular actors. This is perhaps the

countries it proceeded from) constitutional law, in

most difficult and the most challenging problem

particular on the continent of Europe. It is con­

facing political scientists: more than other social

cerned with the examination of the institutions and

scientists, they need to combine the general and

procedures characterizing political systems across

the particular.

the world: the institutions and procedures which

498

POLITICAL SCIENCE

are being studied may either be constitutionally set

the growth of international non-governmental or­

up (as legislatures or executives) or emerge de focto

ganizations, international and national affairs have

(political parties, for instance). The study of gov­

tended to be linked. Meanwhile, at a more theoret­

ernment is also concerned, indeed increasingly so,

ical level, international relations scholars have

with the examination of behavioural patterns and

looked for general models to structure their ana­

especially with the way in which and the extent to

lyses. This, too, has brought the field closer to what

which institutions and procedures affect behaviour.

can be regarded as mainstream political science.

From a geographical standpoint, many studies of

Although these general models have not succeeded

government are concentrating on one institution or

so far in providing more than broad guidance, they

on one country: the remarks made earlier about the

have tended to suggest frameworks of analysis, as in

idiosyncratic character of each political system

other aspects of political science. Consequently, as

apply here and are often strongly put forward by

in other branches of political science, too, the

specialists of particular areas. Yet there are also

debate between the role of structural factors and

(and increasingly) cross-national studies, either in­

the role of the specific context of given events has

volving the governments of one region (such as

remained lively.

Europe), covering governments in different regions

The last two important subfields of empirical

(industrialized and developing), or attempting to be

political analysis have developed more recently, at

truly general. This branch of the discipline, known

least as fully fledged branches of the discipline. The

as comparative government, is thus a central element

study of political behaviour is in many ways the by­

of the study of politics.

product of the eruption of mass politics in modern

Public administration analyses the structure and

societies, in particular in the West. There has nat­

characteristics of public bodies and the conditions

urally been increasing interest in understanding the

of employment of those who run these bodies.

bases on which the people make their political

From being essentially descriptive (in Britain and

choices, above all in the context of elections. This

America) or concerned with legal arrangements (on

type of enquiry has to use different approaches and

the European continent), it has become primarily

different

devoted to the analysis of the types of relationships

adopted in the study of government or of public

methods

from

those

conventionally

which emerge within and between public agencies

administration.

as well as between these agencies and the public.

markedly helped the development of analyses of

Sociology and psychology have

Public administration thus endeavours to discover

political behaviour in providing conceptualization

the broad conditions under which public decisions

and techniques, while economics has more recently

are taken; it attempts to determine which of these

also played a significant part in the assessment of

conditions are the most efficient and the most effec­

electoral choices. Meanwhile, political behaviour

tive in achieving particular goals. With the expan­

studies have expanded to the analysis of elites, in

sion of the public sector, the increasing variety of

particular with respect to party members, to legis­

public agencies, as well as the tendency towards a

lators, and to public servants. The goal is to dis­

reduction in the distinction between public and

cover the motivations of those who belong to these

private organizations, the specificity of public ad­

groups and to see how these motivations are trans­

ministration has diminished, it has come closer to

lated into behaviour.

(and may even be regarded by some as part of) the

The study of public policy analysis is the newest

study of organizations, which is a lively branch of

subfield of political science. It proceeds from public administration but it differs from it in a way which

SociOLOGY. INTERNATIONAL

RELATIONS studies

have

also

is not altogether dissimilar from the way in which

changed markedly in their character, moving from

political behaviour studies have proceeded and also

being a not altogether distinct branch of history to

differed from the study of government. Public

becoming a section of political science. This is in

policy analysis is concerned with the manner

part out of the recognition that they are markedly

in which the behaviour of political actors can

concerned with politics among nations and in part

affect decisions, while public administration is pri­

because the distinction between internal state

marily concerned with structures and the effect of

matters and interstate relations has become less

these structures. This branch of study emerged

sharp; as a result of the increased number and

because scholars wished to understand better how

variety of types of associations among states, and

decisions were concretely taken and especially how

POLITICAL SOCIOLOGY

499

This discipline has been pri­

far they were (and indeed could be) taken 'ration­

political sociology

ally'. Thus the origin of public policy analysis can

marily concerned with the study of parties, electoral

be found in the description of specific cases; it has

systems and voting behaviour, social movements,

moved rapidly towards a more systematic second

political leadership and elites, bureaucracy, nation­

stage, however, in which it has been markedly

alism and the formation of nation-states, types of

helped by the development of a number of math­

political system, and political change. Many studies

ematical tools, especially drawn from economics.

of parties have concentrated on their class basis, and

These tools have made it possible to follow the

in particular on the opposition between bourgeois

ramifications of decisions and to classify types of

and working-class parties, but in another direction

outcomes. Given the complexity of public decisions

the division within all types of party between the

at the national and even at the subnational level, the

leaders and the mass of party members has been

study of public policy-making is regarded by many

emphasized and was formulated in a classic study

as of major importance for decision-makers as it

(Michels, 1911) as the 'iron law of oligarchy'. Polit­

helps them to analyse better the problems with

ical leadership was also a salient issue in the work of

which they are confronted.

Mosca (1896), Pareto (1915-19), and Max Weber

While political science was thus enjoying a major

(1918, 1920), writing from the perspective of ELITE

expansion in the course of the last decades of the

THEORY. Connected with such questions is the

twentieth century, its influence naturally increased

growth of BUREAUCRACY in modern societies which

appreciably. It still experiences major difficulties in

Weber saw, in the context of conditions in Imperial

predicting outcomes, whether the outcome of elec­

Germany, as producing a bureaucratic domination

tions or of major decisional problems, but other

of politics as well as a general rationalization of

social sciences also experience difficulties in making

social life. The role of bureaucracy in socialist soci­

accurate predictions. Meanwhile, the need to

eties has also been a major concern, though very

engage in a systematic study of political trends

differently evaluated by Weber and by Schumpeter

and thus to make sense of political events is increas­

(1942).

ingly recognized both by the public at large and by

Social class differences have been given promin­

the decision-makers themselves, be they politicians

ence in analyses of voting behaviour, while electoral

or career public servants. Perhaps naturally, the

systems themselves have come to be more closely

latter have often been reluctant to give major im­

studied in recent work, especially with regard to

portance to the analysis of the structures in which

proportional representation, which is often seen as

they operate, as well as to the study of their own

expressing more adequately the diversity of polit­

behaviour within these organizations; yet these sen­

ical opinion in modern democracies.

timents are gradually overcome as patterns of pol­

In recent decades there has been a growing inter­

itical life are being identified more precisely at

est in social movements (Scott, 1990), inspired

many levels. In this way, political science fulfils an

partly by the rise of radical movements in the

essential function, which is that of helping citizens

1960s, though nationalist and neofascist move­

to acquire a better understanding of political phe­

ments have now also become more prominent

nomena and thus to have greater influence in their

again. Such movements are seen as alternative major forms of political action alongside previously

community and in the society at large.

dominant class movements. The various move­

Reading Almond, G. A. and Powell, G. B. 1976: Comparative Politics.

ments may, however, overlap to some extent, and they may also- and frequently do- give rise to new parties.

Barry, B. 1965: Political Argument. Blonde!, J. 1981: The Discipline ofPolitics. Dahl, R. A. 1963: Modern Political Analysis. Downs, A. 1957: An Economic Theory ofDemocracy. Easton, D. 1953: The Political System. Harrop, M. and Miller, W. L. 1987: Elections and Voters. lnglehart, R. 1977: The Silent Revolution. Morgenthau, H. J. 1968: Politics among Nations. Simon, H. 1947 (1957): Administrative Behaviour.

ernization (Gellner, 1983). The issues thus raised

J. BLONDEL

retain all their importance in the late twentieth

NATIONALISM and the creation of nation-states have been intensively studied by social scientists of different persuasions, who have emphasized their connection with the rise of the bourgeoisie (Bauer, 1907) and the subsequent emergence of imperialism, with the struggles for democracy (Kahn, 1967), or with industrialization and mod­

500

POLITICAL THEORY

century when movements for national independ­

It is an intellectual activity with a long pedigree,

ence within existing states have again become wide­

dating back at least as far as ancient Greece, and embodied in a series of classic works from Plato's

spread. Political sociologists have also given much atten­

Republic to John Stuart Mill's Considerations on

tion to the differences between political systems,

Representative Government. It has not on the whole

and in the second half of the twentieth century this

flourished in the twentieth century, and we may

interest has been largely concentrated on the con­

begin by asking why this is so. Two tendencies have

trast between democ ratic and totalitarian regimes

conspired to discredit political theory, one being

1965), and on the new political systems that

social determinism and the other positivism. Both

emerged in postcolonial developing countries. The

tendencies, however, have weakened as the century

latter studies have been closely related to theories of

has progressed, and the last twenty or so years have

(Aron,

political change and conflict, which also encompass

witnessed a revitalization of the subject, in the USA

such large issues as the origins and development of

especially but also to a lesser extent in the European

modern capitalism (which may be conceived in

democracies.

Marxist, Weberian or Schumpeterian terms) or,

Social determinism, whose roots lay deep in

still more widely, of the modern world system.

nineteenth-century thought, undermined political

Political conflict involves the clash of opinions,

theory in an obvious way. If the shape of social and

doctrines and ideologies, and much research has

political institutions was governed by factors out­

been concerned with the ways in which political

side of human control, intellectual speculation

opinions are formed, and the role of intellectuals

about the best form of society or government was

and the mass media in this process.

plainly a pointless activity. Various forms of social

In the post-war period the scope of political

determinism were adumbrated, each pointing to a

sociology has been greatly extended, so that it now

different factor as the basis of the laws which

covers virtually the same territory as PoLITICAL SCIENCE. The remaining differences seem to derive

governed the evolution of human society: techno­ logical change, the ownership of the means of pro­

mainly from traditional preoccupations, on one side

duction, forces within the human psyche, genetic

with the formal 'machinery of government', on the

evolution, and others. In each case the implication

other side with the social context of all political

was that society's course of development was pre­

thought and action, but these differences, too,

ordained, so that rational thought could only record

have been much attenuated, particularly in so far

(and in some cases predict) this course, while being

as political science itself has become more socio­

powerless to intervene to change its direction. Such theories, however, are rarely now advanced

logical.

in the strong forms that once prevailed. This can be

Reading

seen in the case of the most influential of all the

Avineri, S.

1968:

The Social and Political Thought ofKarl

Marx.

1970: Sociologists, Economists and Democracy. T. 1979: Political Sociology. Brym, R. J. 1980: Intellectuals and Politics. Mommsen, W. J. 1974: The Age of Bureaucracy: Perspec­

Barry, B.

Bottomore,

tives on the Political Sociology ofMax Weber. Outhwaite, W. and Martell,

L., eds 1998:

The Sociology of

W. G. 1969:

Social Science and Political

Theory. Scott, A.

MARXISM. The twentieth

century has seen a steady retreat by Marxists away from the thesis that a society's economic structure exercised a controlling influence on all its other components, especially its political system and its ideology. The most influential thinker here has been the Italian Marxist Antonio Gramsci, who recognized that the culture and politics of any

Politics. Runciman,

determinist philosophies,

1990:

given society developed in ways that were not dir­ ectly governed by economic factors. Similar ideas

Ideology and the New Social Movements.

political theory

TOM BOTTOMORE

were expounded by the members of the FRANKFURT SCHOOL in Germany and by the French structural­ ists headed by Althusser (see STRUCTURALISM). If

This may briefly be defined as

political and other institutions enjoyed such a meas­

systematic reflection on the nature and purposes of

ure of relative autonomy, then questions could

government, characteristically involving both an

again be asked about which institutions were 'pro­

understanding of existing political institutions and

gressive', measured in terms of human needs and

a view about how (if at all) they should be changed.

interests, at any historical moment. (It made sense,

POLITICAL THEORY

501

for instance, to mount a defence of liberal democ­

ioural revolution', the application of quantitative

racy against fascism). Thus Marxists found them­

methods to political phenomena such as voting

selves grappling with traditional questions of

behaviour with the aim of creating a science of

political theory, although it must be added that

politics on positivist lines. The combined effect of

Marxism itself lacks the resources to offer any

these two developments was to cast in doubt the

very illuminating answers to such questions.

continued viability of political theory as an intellec­

Other versions of determinism- such as Freud­

tual enterprise, a concern epitomized in the title of

ian theory, which at one point threatened to reduce

an essay by Isaiah Berlin, 'Does political theory still

all political behaviour to the play of non-rational

exist?' (1964).

instincts - have waned in similar fashion. Yet the

For reasons that were partly intellectual and

attempt to discover general laws of social develop­

partly political, the hold of positivism steadily

ment, and in particular to explain political phenom­

weakened during the 1960s, paving the way for a

ena in terms of more rudimentary factors, has left

major revival of political theory at the end of that

its mark on political thought, most notably in a

decade. In the Anglo-Saxon world, the most im­

strong tendency to connect political questions in

portant single event was the publication of John

the narrow sense to wider social issues. The line of

Rawls's A

demarcation between social and political theory has

commentators as the most significant work of polit­

Theory ofJustice

(1971), hailed by some

been eroded: questions about the form and function

ical thought since John Stuart Mill. At about the

of the state are normally now treated together with

same time, Ji.irgen Habermas (1968) mounted a

questions about the economy, class and ethnic div­

frontal attack on the positivist model of knowledge

isions, and so forth. The assumption is that it no

and paved the way (in Germany especially) for the

longer makes sense to speculate about the ideal

renaissance of critical theory.

form of government in isolation from the social,

Like social determinism, however, positivism

psychological and cultural environment in which

left a legacy to political theory, here in the form of

that government has to function.

persistent uncertainty about criteria of validity:

The second force threatening to derail political

how, ultimately, could the claims of a political

theory by destroying its intellectual credentials was

theory be tested? Subsequent theorists can broadly

PosiTIVISM. By positivism, I mean the view that the

be divided into foundationalists, who maintain that

only genuine forms of knowledge are empirical

it is possible to find objective and universal grounds

knowledge and formal knowledge; the knowledge

for accepting or rejecting a theory, and convention­

embodied in the empirical sciences, derived ultim­

alists, who argue that a theory can only be tested

ately by induction from observational data, and the

against the beliefs and attitudes prevalent in a par­

knowledge embodied in logic and mathematics,

ticular culture and can claim no deeper grounding

derived by deductive reasoning. This had the im­

than that. Among foundationalists, there is again a

mediate implication that all prescriptive and value

broad division between neo-Aristotelians, who at­

judgements, including the judgements about differ­

tempt to move from general observations about

ent forms of society and government offered by

human nature to claims about the human good,

political theory, were subjective in character; in

and from there to specifications of the institutional

the most extreme version, they were seen simply

structure best suited to promote that good, and

as expressions of personal feeling on the part of the

neo-Kantians, who begin with minimal claims

person making them. Positivism had a powerful

about rationality, and go on to argue that only

influence on philosophy and social science in the

certain institutions and practices could command

middle years of the century, and it led to two

the support of every rational person in a situation of

parallel developments: philosophers turned their

free choice.

attention away from problems in ethics and political

Both Habermas and Rawls are neo-Kantians.

theory to concentrate on logic, epistemology, phil­

They try to derive valid political principles by

osophy of science and (later) philosophy of lan­

appeal to an artificially constructed setting in

guage, while social scientists attempted to develop

which reason alone would operate.

a purely empirical science of social behaviour, freed

claims that legitimate norms are those that would

Habermas

of all evaluative elements. This latter development

emerge consensually from an 'ideal speech situ­

was especially marked in political science, where

ation' from which coercion and domination are

the post-war years witnessed the so-called 'behav-

absent and in which participants have to persuade

502

POLITICAL THEORY

one another by the force of argument alone. Rawls

may have to conclude that some form of conven­

resorts to an 'original position' in which people are

tionalism is the only viable option for political

imagined to be ignorant of their personal character­

theory in the late twentieth century.

istics, tastes, positions in society, and so forth; valid

Turning our attention from questions of method

principles of justice are those which would be

to questions of substance, the main feature of twen­

chosen by rational individuals placed in such a

tieth-century political thought has been the pre­

position. The question both must face is whether

dominance of LIBERALISM in its various guises. Of

any determinate results can be derived from such

the major nineteenth-century ideologies, neither

thought experiments. It is significant here that both

conservatism nor socialism nor anarchism has gen­

Habermas and Rawls have recently retreated from

erated any major new theoretical statement in our

their original bold claims. Both now concede that

period, and the one unquestionably novel ideology

their ideal choosers must be conceived as bearers of

- fascism - was inherently hostile to theoretical

certain culturally specific traits if substantive polit­

reflection. (I shall later refer briefly to feminism.)

ical conclusions are to emerge from the 'ideal

Thus the main lines of debate have been internal to

speech situation' or the 'original position'. This amounts to a narrowing of the gap between

liberalism, broadly conceived: we may roughly dis­ tinguish right, centre and left strands.

the foundationalists and the conventionalists. The

Central to right-wing or conservative liberalism

conventionalists argue that political theory can only

have been sceptical arguments which recommend

proceed by drawing out and making explicit the

limiting the power of governments on the grounds

beliefs and ideals of a particular culture; there is

of their incompetence. In the 1930s and 1940s this

no external vantage point from which these beliefs

frequently took the form of scepticism about demo­

and ideals can be assessed. Recent theorists in this

cratic institutions: evidence from mass psychology

category include Alasdair Maclntyre (1981, 1988)

was cited to show that ordinary people were incap­

and Michael Walzer (1983). Maclntyre has tried to

able of arriving at rational political decisions, hence

diagnose the condition of modern liberal societies-

the scope of democratic decision-making must be

where dispute about principles of distributive just­

severely limited (see MASS SOCIETY) . The most

ice, for instance, is apparently interminable - by

influential

contrasting them with older societies with well­

Schumpeter (1942), which argued that the people's

text

in

this

category

was Joseph

established practices and traditions where justice

role should be confined to choosing between com­

and other values had stable criteria of application.

peting elites, the successful team then being re­

Walzer argues that modern societies do embody a

sponsible for all policy decisions in the ensumg

relatively coherent conception of justice, but one

period.

that is radically pluralistic. They comprise a

An alternative approach argued that govern­

number of separate 'spheres' within which different

ments of whatever stripe necessarily lacked the

kinds of goods are distributed according to different

cognitive capacity to reshape society in radically

criteria (welfare on the basis of need, office on the

new ways. This took the form of an attack on

basis of equality of opportunity, and so forth). Both

rationalism, understood as the view that social pro­

the meaning of the goods and their distributive

cesses could be understood scientifically and trans­

criteria are socially constituted, and criticism of a

formed through an act of political will. Prominent

society's distributive practices must take place from

here in the post-war period have been Karl Popper

within this set of understandings. For those who aspire to the grand tradition of

(1945, 1957), who attacked the idea of historical laws and 'utopian social engineering'; F. A. Hayek

political theory, these attempts to erect a structure

(1944, 1960), who argued against central planning

of political argument on what is recognized as a

and in favour of the free market on the grounds that

basis of convention may be dismissed as nothing

the knowledge needed to make economic decisions

better than parochialism- succumbing to the illu­

was always dispersed and local; and Michael Oake­

sions of the epoch, as Marx would have said. Never­

shott (1962), who argued that political knowledge

theless,

was a type of practical knowledge embodied in

given that the twentieth century has

produced no work of political thought that un­

tradition and incapable of being cast in scientific

equivocally stands in that tradition, and given the

form.

way in which would-be foundationalists have been

Finally here mention should be made of at­

forced to back down from their bolder claims, we

tempts to model politics in economic terms as the

POLITICAL THEORY

503

unintended outcome of actors pursuing their own

suitably defined contractual setting (the 'original

private interests, financial or otherwise. This is the

position') would choose the difference principle,

domain of PUBLIC CHOICE theory whose major ex­

which permits social and economic inequalities

ponent has been the American political economist

only to the extent that they act to the benefit of

J ames Buchanan. The upshot of the public choice

the least advantaged members of society. This then

approach is that government cannot be seen as the

licences progressive taxation, welfare provision,

disinterested representative of the collective will;

economic management and similar measures: the

hence it is pointless to set it tasks such as promoting

state's job is to see that its least fortunate members

social justice. All the strands of conservative liber­

have the best life it is possible to provide for them.

alism converge on the following three propositions:

In

that the economic role of government should be

SociAL DEMOCRACY as it has come to be understood

practice,

centre

liberalism

converges

with

strictly confined, with most tasks being left to the

in the post-war period.

procedures

Left liberalism is a more recent and less de­

cannot be expected to produce a genuine popular

veloped tradition. Its central claim is that freedom

will; and that in this light the powers of government

must be distributed equally to everyone, and the

market

economy;

that

democratic

should be limited by a formal constitution which

emphasis this places on the egalitarian component

disables it from taking on tasks it is inherently

of liberalism drives it in practice to quite radical conclusions. For instance, left liberals are likely to

unsuited to perform. Centrist liberalism sees its task as identifying the

argue that capitalist ownership of the means of

set of social and political institutions that best pro­

production constitutes an effective barrier to the

motes personal FREEDOM; it envisages a more posi­

freedom of all those who are not owners, and this

tive role for government than liberalism of the

calls for a remedy that is stronger than the standard

right, especially in the form of market regulation

liberal prescription of economic protection for em­

and

ployees; for instance it may lead to advocacy of a

welfare provision.

Again

different

routes

may lead to a broadly similar conclusion. One

form of MARKET SOCIALISM in which all enterprises

begins with a definition of freedom that expands

are owned and managed by those who work in

on the classical definition: freedom is not merely the

them. More radically still, the liberal assumption

absence of external constraints on action, but

that each person is entitled to enjoy the fruits of his

the positive capacity to achieve valued ends.

or her talents may be challenged. The argument

There is a lineage here which runs from the idea

here is that our genetic and other natural endow­

of positive freedom used by early twentieth-century

ments are features for which we can claim no credit,

liberals such as L. T. Hobhouse

and for which, therefore, we deserve to receive no

(1911) through

to recent arguments about the conditions for

rewards. Egalitarian liberals are thus led to look for

personal autonomy, such as those of Joseph Raz

institutions which may serve to nullify the effects of

(1986) and Stanley Benn (1988). What all these

natural advantages, while still allowing individuals

theorists claim is that, although it is essential for

to bear the consequences of their choices. Broadly

each individual to have a wide sphere of discretion

this points to some scheme for distributing society's

in personal and economic life, the state is respon­

resources equally, with compensation for those who

sible for guaranteeing the preconditions for effec­

fare badly in the genetic lottery.

other things

A different (though not incompatible) develop­

providing education, cultural opportunities and

ment of the left liberal position lays stress on polit­

tive choice.

This means

among

ical freedom, and the requirement that this should

economic security. A second line of argument revives the idea of a

be made available equally to everyone. This points

social contract. It asks what individuals would want

towards a form of participatory democracy where

their government to do in advance of knowing how

existing institutions are restructured in such a way

precisely they would be affected by its workings.

that every member of society has the opportunity to

The contract approach has been used to defend

contribute to the making of public decisions, for

both right and left liberalism, but its major expo­

instance though a system of primary assemblies in

(1971), whose conclu­

each locality. Underlying this is the claim earlier

sions are centrist. Rawls argues that, alongside the

made by Jean-Jacques Rousseau and John Stuart

familiar liberal principles of equal liberty and

Mill that political participation is an essential pre­

equality of opportunity for all, people placed in a

requisite of individual self-determination. Recent

nent has been John Rawls

504

POPULATION

theorists are notable mainly for their ingenuity in

tion

suggesting ways in which this claim can be made

(see also DEMOGRAPHY) fall into three general

and

demographic

relevant to the circumstances of an advanced indus­

subcategories,

trial society.

MIGRATION.

focused

influences on

births,

on

society

deaths

and

The hegemony of liberalism in its various guises should not surprise us, given that twentieth­ century political thought has taken shape in soci­

Social influences on population

eties that are mobile and pluralistic, and in which

Social forces shaping death rates constitute the

personal freedom has acquired supreme status as a

oldest dimension of social thought on population

value. It is also in this context that we should view

determinants, dating back to John Graunt's work

the rise of feminist thought in the period since

(1662) over three centuries ago. In the twentieth

1970. Although FEMINISM is conventionally divided

century this theoretical heritage was extended and

into liberal, radical and socialist versions, its central

applied to a widening array of specific mortality

insight is that the exclusion of women from the

differentials and trends. The theory of the epide­

freedoms, rights and opportunities enjoyed by

miologic transition (Omran, 1971) illustrates such

men is the last great anomaly of liberal society;

integration of mortality into a social theoretical

the competing versions are best seen as offering

perspective. The search also continues for clearer

different accounts of the conditions under which

understanding of the social roots of mortality

women's claim for equal treatment between the

differentials between sexes, races, occupational

sexes can be made good. Feminism has so far gen­

groups, religious denominations, urban and rural

erated a number of pioneering works (see Millett,

residents, geographic regions within nations, and

1970; Mitchell, 1974; Pateman, 1988), some of

different nations of the world.

a markedly speculative nature. We are now entering

The twentieth century fundamentally changed

a period of consolidation, but it is too soon to

the place of human migration in social thought, not

say whether it is likely to yield major works of

so much from new theoretical insights or debates,

political theory that will win a place in the classic

but from changes in that demographic phenom­

tradition.

enon itself. The beginning of the twentieth century roughly separates the eras of free and controlled

Reading

migration. Closed borders controlled by prolifer­

Barry, B. 1965: Political Ar gument.

ating nation-states reduce the volume of migration

Barry, N. 1981: An Introduction to Modern Political

and change its character to a trickle of two ex­ tremes: refugees and skilled manpower. This shift

Theory. Dunn, J. 1979: Western Political Theory in the Face of the Future. Gamble, A. 1981: An Introduction to Modern Social and Political Thought.

reinforces the distinctive twentieth-century direc­ tion of social thought concerning population, em­ phasizing societal control over migratory flows of people.

Goodwin, B. 1987: Using Political Ideas. Kymlicka, W. 1990: Contemporary Political Philosophy. Miller, D. and Siedentop, L. eds 1983: The Nature of Political Theory.

A socially grounded understanding of reproduc­ tion is undoubtedly the greatest change and contri­ bution to population theories of the twentieth

Parekh, B. 1982: Contemporary Political Thinkers.

century. For Thomas Malthus (1798), as for Johann

Plant, R. 1991: Modern Political Thought.

Si.issmilch (1761-2) before him and for Karl Marx

Runciman, W. G. 1969: Social Science and Political Theory.

(1867) after him, human fertility was a fact of nature. The consequences of a continual flood of

Skinner, Q ed. 1985: The Return of Grand Theory in the Human Sciences.

DAVID MILLER

babies might be lauded or lamented, but the stream itself flowed from an unquestioned well-spring somewhere beyond the realm of social interactions. Kingsley Davis and Judith Blake (1956) provided

Transformation of the question of

the most succinct twentieth-century revision of this

human numbers from an exogenous to an endogen­

shortcoming in social thought. Now high birth rates

population

ous element in systems of social thought charac­

as well as low birth rates must be explained as social

terizes most new insights related to population

outcomes, as products of different constellations of

in this century. Both social influences on popula-

social forces.

POPULATION Demographic influences on society

�onsequences

of low death rates (particularly mfant death rates) figure prominently in twenti­ eth-century social thought. Philippe Aries (1960) thus assigned a crucial role to mortality decline in cha�ging the institution of the family. Mortality declme together with unchanged fertility yields rapid population growth and younger age structure. Both of these outcomes take a prominent place in theories of modernization, social change and the stability of societies. Migration and migrants figure in twentieth­ century social thought in two quite different inter­ pretations. Robert Park (1928) viewed the marginal social position of migrants as a source of potential innovations, change and progress in societies. Other scholars carry on this basically positive view of migrants as catalysts of societal transformation. On the other hand, Oscar Handlin (1951) and others present a picture of migrants and migration as a source of social disorganization deviance ' ' . . anomie, cnme and mental illness. Both traditions stress the marginal role of migrants, but draw different conclusions about the impact of this mar­ ginality on society as a whole and on the migrants themselves. For much of the world, population growth due to continued high birth rates and declining mor­ tality rates poses a serious social problem. Social theories generally stress the positive results expected from lower birth rates: lower consump­ tion by young dependants, fewer dependants per productive adult, less restriction on the activities of women and slower population growth. Beyond this dominant perspective, however, another the­ oretical debate of long standing concerns the soci­ etal consequences of demographic ageing due to low birth rates. Some scholars fear a possible lack of flexibility (whether in terms of ideas, the mo­ bility of labour or other terms) in ageing societies (see also AGE), and view low birth rates and population ageing as social problems in need of remedies.

505

�he other view holds, with Malthus, that popula­ tiOn growth forms an obstacle to progress, bringing difficulties that 'must necessarily be severely felt by a large portion of mankind'. Both approaches treat population (its size, dispersion or concentration age structure and so on) not as an end in itself bu� as a parameter to be manipulated with a view to­ wards other goals. To some extent, these two views of population also reflect the classic distinction of the French philosopher Auguste Comte between social statics and social dynamics. The view that progress is best served by restrict­ ing population gained popularity around the world during the twentieth century. This restrictive element in social thought chiefly refers to the d�namic aspects of population, maintaining that high rates of population growth create many prob­ lems. The other view stresses the advantages of a large population, such as greater division of labour larger economic markets, or even more potential military manpower. This static view of population is usually not concerned with the processes leading to large aggregations of people, but population growth has also been advanced by some twentieth­ century theorists as a motor of social change (Boserup, 1965; Clark, 1968). The balance between these two orientations to population depends on one's position in society and on the structure of that society. Absolute rulers and ruling elites, insulated from their subject popu­ lations, most often stress positive aspects of large population size and ignore the social costs of rapid population growth. To the extent that such insu­ lated elites are replaced by more open, pluralistic or democratic social structures, social thought . shifts towards greater attention to the costs of population growth and less support for maximizing n�mbers of people. Such a shifting balance pro­ vides a key to understanding much of the changing rhetoric concerning population in the twentieth century. Reading Aries, P. 1960 (1962): Centuries of Child hood: a Social

Population as threat or asset? In all its manifestations, population continues to figure in social thought in two contrasting inter­ pretations. One view holds, with Jean Bodin, that 'there is no wealth nor strength but in men', and advocates population growth as a means to various ends falling under the general heading of progress.

History ofFamily Life. Boserup, E. 1965: The Conditions ofAgricultural Growth. Davis, K. and Blake, J. 1956: Social structure and fertility: an analytic framework. Economic Development and Cul­

tural Change 4, 211-35. Handlin, 0. 1951: The Uprooted. Malthus, T. 1798 (1970): An Essay on the Principle of

Population.

506

POPULISM

Omran, A. 1971: The epidemiologic transition: a theory of the epidemiology of population change.

Milbank Me­

morial Fund {htarterly 49, 509-38. Park, R. 1928: Human migration and the marginal man.

American Journal ofSociology 33, 881-93. Si.issmilch, J. 1761-2: Die giittliche Ordnung in den Veriin­ derungen des menschlichen Geschlechts aus der Geburt, dem Tode, und der Fortpflanzung desselben Erwiesen,

Marxist formula for developed countries, which emphasized the role of the urban proletariat. The Peruvian branch of what was expected to be a Latin American International was founded in

1930, and

soon acquired an important following among trade unionists and Indian communities, though its back­ bone was formed by the impoverished provincial middle classes. After attempts at violent overthrow

2nd edn.

ELWOOD CARLSON

of the authoritarian - often militaristic - native regimes, 'Aprismo' became more moderate after

populism

Political movements with high cap­

acity to obtain popular support, but without the traits typical ofEuropean socialism, have been called populist, especially in Latin America during the twentieth century. What they have in common is:

World War II, and in 1985 obtained the presidency. Other parties with traits similar to Aprismo are Acci6n

Democnitica

of

Venezuela,

Liberaci6n

Nacional of Costa Rica, the Revolucionario Domin­ icano of the Dominican Republic, and, somewhat more distantly, the Movimiento N acionalista Revo­ lucionario of Bolivia.

the presence of a socially mobilized mass with

2 3

In Brazil, in 1930, a civil-military movement took

little or no autonomous class organization;

Getulio Vargas to power, where he remained for 15

a leadership predominantly drawn from upper­

years. He had been a pragmatic governor of one of

or middle-class sectors; and

the states of the previous highly federal regime, and

a charismatic type of connection

between

leaders and followers.

remained a pragmatist. He obtained the support of an important group of young officers known as the tenentes,

intent on reform, with a motley of ideo­

Demographic alterations due to rapid urban expan­

logical convictions ranging from liberalism to na­

sion, running ahead of industrial growth, and the

tionalism and local versions of fascism, which was

effects of the 'revolution of rising expectations',

perceived as a developmental regime suited for

impinging on the mentality of elites, make this

countries in the process of change from a predomin­

type of political expression highly likely in coun­

antly rural to an urban and industrial society. Vargas

tries at the stage of development usually found in

ruled the country with an iron hand, enacting in

Latin America. In Asia and Africa populism as a

1937 a constitution inspired by Mussolini's CoR­

form of free competitive political organization is

PORATISM. During the later years of World War II

less widespread than in Latin America, though

Brazil experienced an important advance in its in­

some traits are to be found in a NATIONAL POPULAR

dustrialization, and Vargas took the opportunity to

REGIME.

appeal to the mass of new entrants into the urban

The Mexican revolution, beginning in 1910, was

labour force, initiating the populist phase of his rule.

an early example of a rebellion with an extended

This led to a military-conservative reaction against

mass following and multiple class support, accom­

him, in

panied by an eclectic ideology including elements of

power in free elections. Under Vargas trade unions

1945, but after five years he returned to

liberalism, nationalism and socialism. The Peru­

obtained favourable legislation and state support, at

vian Aprista Party, founded by Victor Raul Haya

the cost, though, of administrative control, and of

de la Torre in exile in

1924, was partly inspired by

being subjected to a corrupt leadership. In more

the Mexican experience and is usually reckoned as

recent years, after the long military interlude

one of the main examples of populism. In oppos­

(1964-85), the heirs of Vargas's followers are still

ition to Lenin, Haya argued that in typically Third

strong, divided into two parties, a moderate one

World countries imperialism is the first and not the

(Partido do Movimento Democnitico Brasileiro),

last stage of capitalism, and hence a peculiar strat­

and a more radically populist one (Partido Demo­

egy has to be used in order to harness its economic

critico Trabalhista), led by Leonel Brizola.

potentialities, while preventing its attempts at pol­

In Argentina populism is expressed in Peronism,

itical domination. An explicit alliance was proposed

a political movement launched by the then Colonel

between the middle classes, the peasantry and the

Juan D. Per6n, while Secretary of Labour in

manual workers, in contradistinction, again, to the

the

1943-6 nationalist military regime. He was

POSITIVISM

507

successful in forging an alliance between the mili­

same period, the notion of positivism boasts a con­

tary, some sectors of the industrialists, and the

tentious and ironic trajectory. Originating as a posi­

popular classes, among them large numbers of new

tive self-designation in the writings of Auguste

migrants from the rural interior who had arrived in

Comte, offered as a 'philosophy to end all philoso­

the large cities, though also obtaining the allegiance

phies' by the VIENNA CIRCLE, and equated with

of some old trade union leaders. Peronism cornbined

science

ideological elements from the Catholic intelligentsia

ISM and BEHAVIOURISM in post-war America, it has

tout court by the advocates of FUNCTIONAL­

and the nationalist right, including some with

become a term of polemical indictment, if not

clearly fascist sympathies, together with more prag­

abuse, in contemporary social science - few soci­

matic or traditional socialist ones, and some middle

ologists today would claim or welcome the label.

of the road politicians from the Radical Party. The

And, like ideology, it has assumed a multiplicity of

movement passed through a period of radicalization

meanings so that there are nearly as many defini­

and violence during the 1970s, generating from its

tions of positivism as there are critics of it; Half­

bosom a guerrilla formation, the Montoneros, who

penny (1982), for instance, distinguishes no fewer

were finally expelled from the organization by 1974.

than 12 subspecies. The dispersion and inversion of

In 1989, after several years of internal change and

the semantic charge of the word is indicative of the

democratization, Peronism recovered from the

changes that have transformed the PHILOSOPHY OF

impact caused by the death of its leader, and gained

SCIENCE since the 1960s and challenged the long

the presidency, with a programme of moderate

hegemony of positivism in social enquiry by raising

reform and respect for civil liberties.

anew the question of the 'dualism of the natural and

In Chile the working-class movement has proved

cultural sciences' (Habermas, 1967).

to be rather immune to populism. From its early

In its broadest philosophical sense, positivism

days it was organized in Marxist parties, based on

refers to the theory of knowledge proposed by

grass roots activity with little or no bureaucracy.

Francis Bacon, John Locke and Isaac Newton

The left in Chile is thus clearly associationist rather

which asserts the primacy of observation and the

than mobilizational, but in other Latin American

pursuit of causal explanation by way of inductive

countries socialism, especially of the Leninist per­

generalization (Kolakowski, 1966). In the social

suasion, can also take populist forms, as under Fidel

sciences, it has become associated with three related

Castro in Cuba.

principles: the ontological tenet of

In some countries of the area populism has been

phenomenalism

according to which knowledge can be founded

losing some of its grip on the working class,

on experience alone (verging on the fetishization

allowing a Marxist left to grow on its flank. On

of

the other hand, with the acculturation into urban

perception); the methodological tenet of the

and industrial ways of life, social-democratic pat­

of the scientific method

terns of organization and ideology tend to develop

procedures of natural science are directly applicable

within populist parties.

to the social world with the goal of establishing

Reading

neu­ trality which refuses to grant normative statements

'facts'

as

immediately

available

to

sense­

unity

which proclaims that the

invariant laws or Jawlike generalizations about social phenomena; and the axiological tenet of

Di Tella, T. S.1989: Latin American Politics: a Theoretical Approach.

Germani, G. 1978: Authoritarianism, Fascism, and Na­ tional Populism.

lonescu, G. and G., Ernest eds 1969: Populism: Its Mean­ ing and National Characteristics.

Laclau, E. 1977: Politics and Ideology in Marxist Theory; Capitalism, Fascism and Populism.

Murmis, M. and Portantiero, J. C. 1971: Estudios sobre los

the status of knowledge and maintains a rigid sep­ aration between facts and values. Three broad successive traditions of positivism may be schematically distinguished, the French, the German and the American. The French lineage originates with Auguste Comte and his mentor Saint-Simon (who was in turn indebted to Condor­ cet) and is best exemplified by the sociology of

origenes del peronismo.

Weffort, F. 1978: 0 populismo na politica brasileira. TORCUATO S.

DJ

Emile Durkheim. Comte's ambition was to found TELLA

a naturalistic science of society capable of explain­ ing the past of humankind and to predict its future

Much like the concept of ideology,

by applying to it the same methods of enquiry as

which first came into wide currency around the

had proved so successful in the study of nature,

positivism

508

POSITIVISM

namely observation, experimentation and compari­

social life is amenable to causal explanation or solely

son. In his Course of Positive Philosophy (Comte,

to interpretive understanding as in the philosophy

1830-42), he argued that the human spirit had

of VERSTEHEN. The group of analytical philoso­

evolved through three necessary stages. In the

phers, mathematicians and scientists (among them

'theological or fictitious' stage, phenomena are ex­

Moritz Schlick, Ernst Mach, Rudolf Carnap, Carl

plained by the intervention of supernatural entities,

Hempel and Otto Neurath) that came to be known

and in the 'metaphysical or abstract' stage by refer­

as the Vienna circle in the years 1923-36 sided with

ence to abstractions. In the 'scientific or positive'

explanation and the unity of science. Their aim was

stage, the search for the ultimate causes of facts is

to effect a synthesis of Humean empiricism, Com­

abandoned in favour of establishing their 'laws',

tean positivism, and logical analysis that would

that is, the 'invariable relations of succession and

forever rid philosophy of the vacuous speculations

resemblance' which connect them. Comte coined

of metaphysics by firmly grounding all knowledge

the term 'sociology' to designate the science which

in experience (Ayer, 1959). According to this logical

would synthesize all positive knowledge, unlock the

positivism, scientific knowledge rests on a bedrock of

mysteries of the statics and dynamics of society, and

facts formulated by way of 'protocol sentences' (Mach) that provide an unadulterated because im­

guide the formation of the positive polity. Durkheim abandoned the substance of Comte's

mediate recording of sensory experience, or elabor­

philosophy but retained its method, insisting on the

ated via 'correspondence rules' (Carnap), forming a

logical continuity between the social and natural

bridge between theoretical language and the lan­

sciences and on the application of the principle of

guage of observation. Aside from the analytic prop­

natural causality to society. 'Our main goal', he

ositions of logic, the only meaningful statements are

wrote in The Rules of Sociological Method (Durk­

those that can be subjected to the 'verification

heim, 1895), his revolutionary manifesto for scien­

principle', that is, tested by observation. In frontal

tific sociological explanation, 'is to extend scientific

opposition to the idea of Geisteswissenschafien prem­

rationalism to human conduct ...What has been

ised on a schism between the sciences of nature and

called our positivism is but a consequence of this

culture, the Vienna circle asserted that scientific

rationalism.' To establish the definitive independ­

explanation in sociology or history follows the

ence of sociology from all philosophy and thus its

same

autonomy as a distinctive scientific field, Durkheim

model as the natural sciences (Hempel, 1965) in

put forth a conception of society as an objective

which an explanandum is deduced from a combin­

reality sui generis whose constituents, structure

ation of initial conditions and universal law and

and functioning

explanation synonymous with prediction.

obey regularities that impose

'covering-law' or 'deductive-nomological'

themselves on individuals as 'ineluctable neces­

In the United States, a kindred understanding

sities' independent of their volition and conscious­

of social science evolved into what Bryant (1985)

ness. He also proposed a set of methodological

calls instrumental positivism, an incrementalist, nat­

principles encapsulated by the famous injunction

uralistic tradition of social research committed to

to 'treat social facts as things': reject common pre­

attaining standards of rigour comparable to those

conceptions in favour of objective definitions, ex­

of physics or biology. Based on a nominalist

plain a social fact only by another social fact,

and voluntaristic conception of society as a mere

and

aggregate of individuals, this tradition reigned un­

normal from pathological social states, etc. These

challenged from the 1930s to the 1960s by encom­

principles were forcefully illustrated in Suicide, ar­

passing a variety of theoretical orientations and it

guably the exemplar of French positivism, in which

continues to permeate American sociology. It is

Durkheim (1897) shunned the analysis of the

distinctive for its preoccupation with issues of

meaning of suicide in favour of uncovering its social

method and measurement, including the refine­

distinguish

efficient

cause

from

function

types and causes via a statistical analysis of its group

ment of statistical techniques, its emphasis on oper­

correlates and variations.

ationalization and verification (Zetterberg, 1954),

The German-Austrian tradition of positivism

and the priority it accords to quasi-experimental

finds its roots in the METHODENSTREIT ('conflict

designs, quantitative surveys and team research. It

over method') which had embroiled neoclassical

is 'instrumental' in that the instruments of enquiry

and historical economists and neo-Kantian philoso­

largely determine the questions asked, the defini­

phers from the 1880s over the question of whether

tion of concepts (through the construction of

POSITIVISM

509

empirical indicators) and thus the knowledge pro­

The feminist critiques of positivism which pro­

duced, with testability, replicability and technical

liferated in the 1980s join in this attack but for a

feasibility superseding theory as guides of scientific

different reason. Arguing that science is a gendered

practice and evaluation.

institution which reflects the truncated and oppres­

Instrumental positivism was first articulated by

sive point of view of males, they have evolved from

George Lundberg, who adapted from physics P. W.

a reformist outlook seeking to achieve gender parity

Bridgman's doctrine of 'operationalism' (which

in the scientific field to a revolutionary stance aimed

holds that the meaning of a variable is defined by

at overhauling the very foundations of science so as

the operations necessary to measure them), and by

to uproot its constitutive 'androcentrism' (Harding,

William F. Ogburn (1930), who equated scientific

1984). These critiques span a gamut from feminist

sociology with the quantitative verification and

empiricism (for which sexism can be corrected by

accumulation of 'little bits and pieces of new know­

more rigorous enforcement of the standard meth­

ledge' - he proudly predicted that all sociologists

odological dictates of scientific enquiry) to stand­

would one day be statisticians. But it fell to

point epistemology (which holds that women's

Viennese scholar-in-exile Paul Lazarsfeld to insti­

subjugation puts them in a privileged position to

tutionalize positivism in the American university.

produce true knowledge) to postmodern feminism,

Lazarsfeld not only introduced into sociology a

which questions the very notions of universality

number of methodological innovations (multivari­

and reason that undergird science. For Sandra

ate analysis, snowball sampling and latent structure

Harding,

analysis, among others) and techniques borrowed

value-neutrality, and objectivity are tools of social

the

accepted

tenets

of

impartiality,

from market research such as panel studies; he

control that serve men in their project to make

invented the organizational vehicle that would

science a male preserve. Genuine objectivity, she

carry forth the professionalization, bureaucratiza­

argues, arises not from embracing the 'patriarchal'

tion and commercialization of positivist social re­

idea of the unity of the scientific method but out of a

search in America and its satellite countries: the

commitment to the 'participatory values' of anti­

'bureau of applied research' (Pollak, 1979). The rise and dominance of positivism have met with criticism and opposition of two kinds, antipo­

racism, anticlassism, and antisexism. Therefore not science but moral and political discussion provides a paradigm for rational enquiry.

sitivist and post-positivist. Antipositivist dissenters

Rather than dismissing it outright, exponents of

have long argued that the natural and the human

post-positivism have sought to reform the received

sciences are ontologically and logically discrepant

understanding of science. The attacks of W. V. 0.

and that the very idea of an explanatory science of

Quine, Karl Popper, Thomas Kuhn, Paul Feyera­

society is untenable (Winch, 1958). Proponents of

bend and Imre Lakatos have converged to under­

HERMENEUTICS and 'interpretive' sociology - re­

mine

cently joined by advocates of postmodernism and

philosophy of natural science ( Chalmers, 1982) by

the

very

foundations

of

the

positivist

DECONSTRUCTION, as well as certain strands of

demonstrating that scientific theories are neither

FEMINISM - maintain that causal accounts of social

built inductively nor tested individually on the

behaviour cannot be constructed because human

sole basis of phenomenal evidence, for there is no

practices, institutions and beliefs are inherently

such thing as theory-neutral observation. Nor is

meaningful, nay constituted by the understandings

their adjudication

that participants have of them (Taylor, 1977). The

grounds in so far as rival theories are always 'under­

task of 'human studies' therefore cannot be to spe­

determined' by data and generally partake of 'para­

cify invariant laws of human behaviour but to make

digms'

that behaviour intelligible by interpreting it in rela­

criteria of evaluation are incommensurable (Gid­

tion to subjective intentions. For Gadamer (1960),

dens, 1978). The REALISM of Bhaskar (1975) also

furthermore, all such interpretations involve a pro­

repudiates phenomenalism and verificationism by

or

effected strictly on rational

broad scientific frameworks whose

jection of cultural prejudices grounded in a network

differentiating three levels of reality (the real, the

or 'horizon' of expectations and assumptions con­

actual, and the empirical) and by asserting the ex­

stitutive of a cultural tradition. It follows that the

istence of hidden structures and mechanisms which

goal of interpretive sociology cannot be to duplicate

may operate independently of our knowledge of

or confirm previous research but to revise prejudice

them but whose causal powers and liabilities are

by illuminating new dimensions of a phenomenon.

nonetheless empirically investigable. The 'applied

510

POSTINDUSTRIAL SOCIETY

rationalism' of Pierre Bourdieu - resulting from

Harding, S. and Hintikka, M. eds 1983: Discovering Real­

the importation into sociology of the historicist

ity: Feminist Perspectives on Epistemology, Methodology,

epistemology of A. Koyre, G. Bachelard, and G. Canguilhem- similarly overturns the epistemo­ logical scaffoldings of positivism by positing that scientific facts are 'conquered, constructed, and constated' (Bourdieu et al., 1973) through rupture with lay and scholarly common sense, systematic application of relational concepts, and methodical

and Philosophy ofScience. Keat, R. and Urry, J. 1978: Social Theory as Science. Outhwaite, W. 1987: New Philosophies of Social Science: Realism, Hermeneutics, and Critical Theory. Philips, D. C. 1987: Philosophy, Science, and Social In­ quiry. Simon, W. M. 1963: European Positivism in the Nineteenth Century.

confrontation of the model built with the evidence

LOIC J. D. WACQUANT

generated by different methodologies. The critical theory of the FRANKFURT SCHOOL combines elem­ ents of both the antipositivist and post-positivist critiques in rejecting SciENTISM (the idea that only science produces knowledge), the conflation of ex­ planation with prediction by means of universal laws, and the dichotomizing of facts and values, while at the same time combatting the idealism of hermeneutics and refusing to forsake claims to scientific TRUTH. Thus Habermas (1968) argues that, lest it becomes complicit with the technical rationality that undergirds positivism and turns into another ideological instrument of domination, social science cannot keep to an analysis of external causal relations. Because the social universe is a 'pre-interpreted' world, it must also explicate in­ ternal relations of meaning and purpose and there­ fore

reconstruct

the

concept

of

objectivity

bequeathed by the natural sciences in a way that recovers the critical dimension of science as a tool for emancipation. Eclipse is not death: positivism may have been discredited as a philosophy of science, but it still actively informs and arguably even dominates the design and implementation of empirical social re­ search. And it promises to survive if not thrive both as a foil and as a surreptitious

�orking episte�

mology so long as Max Weber's project of bringing interpretation and explanation 'under one roof ' is not fully realized in the day-to-day practice of social scientists.

See LEGAL POSITIVISM

postindustrial society

The term postindustrial

society seems to have originated with Arthur Penty, a British Guild Socialist and follower of William Morris, at the turn of the century. Penty looked forward to a 'postindustrial state' based on the small craft workshop and decentralized units of govern­ ment. The concept was not taken up significantly until the late 1960s, when it was given an entirely new twist. In its present meaning the term was coined, almost simultaneously, in the writings of Daniel Bell and Alain Touraine, to describe the new social structures and social movements marking the evolution of industrial societies in the latter part of the twentieth century. In more recent years, many of the more common uses of the term postindustrial have also included, or have been defined alongside, a concept of contemporary society as a postmodern society, for instance by Jean-Fran<;ois Lyotard (see MODERNITY;

MODERNISM AND POSTMODERNISM).

Economically, the postindustrial society is marked by the change from a goods-producing to a service economy; occupationally, by the pre-eminence of the professional and the technical class; and in decision-making by the widespread diffusion of 'intellectual technology'. Bell, particularly in The Coming ofPost-Industrial

Society (1974), defined the 'axial principles' of post­ industrial society as the centrality of theoretical knowledge as the source of innovation and of policy

Reading Adorno, T. W. et al. 1969

(1976): The Positivist Dispute in

German Sociology. Alexander, ]. C. 1982: Theoretical Logic in Sociology, vol. I: Positivism, Presuppositions, and Current Contro­ versies. Ape!, K.-0. 1979

positivism, legal

(1984): Understanding and Explanation:

a Transcendental-Pragmatic Perspective.

formation for the society. He argued that this type of society differs as much from classical INDUSTRIAL SOCIETY as the latter did from preindustrial, agrar­

ian society. It is mainly concerned with the produc­ tion of services rather than goods, the majority of its workforce is in white collar rather than manual occupations, and many of these workers are profes­

Fuller, S. 1988: Social Epistemology.

sional, managerial or technical employees. The old

Giddens, A. ed. 1974: Positivism and Sociology.

WoRKING CLASS is disappearing, and with it many of

POSTINDUSTRIAL SOCIETY

511

the characteristics and conflicts of industrial soci­

changes in the nature of work and the structure of

ety. New alignments, based on status and consump­

organizations.

tion, are supplanting those based on work and production. Postindustrial society, both Bell and

Touraine

(1971)

and Bell are in complete agree­

ment over the central importance of the universities,

Touraine argue, is also a highly educated society,

of research and the role of the 'knowledge class' for

and the key idea of a knowledge society is central to

the overall productive and managerial apparatus of

all various theoretical versions. If industrial society

the new society. But they differ about its foreseeable

ran on material and practical knowledge, postin­

results. Whereas Bell sees the promise of greater

dustrial society depends much more on immaterial

social integration and political and institutional har­

and theoretical knowledge, as it is developed in

mony, Touraine-more alarmed by its manipulative

universities, research centres and new types of

potential and clearly sensitized by the ideas of May

workplaces. It not only looks to theoretical know­

1968

ledge for many of its characteristic industries, such

Europe - foresees a deepening conflict between

and the generalization of social movements in

as the computer, chemical and aerospace industries,

those (teachers and students) who uphold the hu­

but also puts an increasing part of its national

manistic values of liberal education, and a different

resources into developing such knowledge, by sup­

breed of their peers who man the technocratic ap­

port for higher education, research and develop­

paratuses, dedicated to the goal of economic growth.

ment activities. This shift in emphasis is reflected in

In this sense, the concept of postindustrial society

the growth in importance of a 'knowledge class',

has been widely used by other social thinkers who

composed of scientists and professionals, and of

emphasize different features, for instance, the

'knowledge institutions'.

search for a world beyond materialism by young

It is evident that the discussion of postindustrial

people, or the displacement, as a result of TECHNO­

society has represented in the last 20 years a major

LOGICAL CHANGE, of the working class from the role

and radical renewal in the social thought about

assigned to it by Marxists as the historic agent of

large-scale change in modern societies; Kumar

change in modern society.

(1976,

441)

and others have claimed that 'at

Although industrial and postindustrial society

the very least, post-industrial theorizing marks a

are not simply linked by the fundamental changes

welcome renewal of one of the central tenets of the

in the nature of WoRK, technology and social

p.

formative period of sociology, that the study of

classes, five problematic areas can be indicated

being and becoming are indissolubly linked'. The

which constitute the central challenge for all the

coming of the postindustrial society has in effect

social actors involved; scientists and producers,

brought about a very particular 'terminology war',

ergonomic experts and users are all faced with

which

least,

the 'architecture of complexity' of fundamen­

reflects

some

confusions

or,

at

the different insights to be gained from approaching

tal changes and unprecedented novelties that go

the subject of postindustrial society from the vant­

beyond the

age point of the new classes and new conflicts

methods of industrial society. These have been at

which appear or develop alongside it. Three main definitions

workers

can

be

distinguished.

White collar

conventional theoretical tools

and

the core of all theoretical debates about postindus­ trial, and more recently, postmodern society.

are those whose work is now performed

under conditions and circumstances which are close to factory conditions and follow highly struc­

(1) Symbols without decision

Office workers are those who, as

Information technology and ARTIFICIAL INTELLI­

automation and artificial intelligence increase in

GENCE make it increasingly possible to formalize

tured work patterns.

commercial and administrative settings, need a

knowledge, and favour the integration of a pro­

greater amount of knowledge to operate and inter­

gramme which can command a machine or a series

act with such equipment; in that sense the term

of machines. As a result, the more activities are

does not encompass, by far, only the people

planned in advance and contained in information

working under office conditions. Information/ knowledge workers, as a term, supersedes the rigidity

processes, the less need there is for a decision

of census and statistical classifications, but in prac­

formalization or in its execution. (See also INFOR­

tical use is charged with an optimistic overtone that

MATION TECHNOLOGY AND THEORY.) Moreover, the

often

use of information machines entails an increase in

prevents

a better

understanding

of

the

system at every single level of work, whether in its

512

POSTINDUSTRIAL SOCIETY

new symbols, which are not only difficult to learn but also call for a special effort to be correctly attributed to what they conventionally designate. The problem lies in the fact that for the moment we possess only new symbols but not a new language; this could come about only if, in the designing of information machines, we take into consideration new behavioural patterns and new collective cul­ tures. Postindustrial work then, despite its techno­ logical possibilities, becomes a binary type activity, with stimuli reactions and information rules to apply, which are already contained in the informa­ tion program. At all levels of power, responsibility, and integration of the work system, managers, tech­ nicians and employees find themselves occupied with the control of work in which decision-making is less and less in evidence. (2) Abstraction and solitude Information technology makes most operations and gestures in work abstract and 'immaterial'. Thus, symbols, figures and languages of a 'varied nature' become the essential mediating factor between workers, work, previous knowledge and the com­ munity of work. Thus, besides distinctions in category, and differences in salary, company status, or career, the centre of gravity is shifting towards a series of functions which call for intense mental activity, the actual cognitive mediation of work and of its social and organizational context. More­ over, the stereotyped image of an intelligent, cre­ ative and rewarding activity on the one hand, and of a repetitive and intellectually boring job on the other, is now giving way to a vision which is the hybrid product of the information revolution: des­ pite job status and cultural differences, there now exists a series of tasks which are marked by the same standards, which use the same symbolic mediation, and which create the same sense of loss of identity in dealing with the intelligent processes of the ma­ chine. (3) The involuntary and paradoxical recomposition of work It is not only that the machine and work procedures require a certain amount of mental commitment, which may vary with the complexity of the ma­ chines and the operator's knowledge and experi­ ence, but in postindustrial society a new component is added: the 'organizational load', that is, the com­ ponent dealing with the effects of the variables that

define the organization of social relations and work in the workplace. At the centre of an ever-increas­ ing number of activities in postindustrial society we find the processing, checking and sometimes the analysis of the symbolic data and mediating infor­ mation produced by information-based systems. The borderline between jobs and their respective cultures becomes blurred, giving place to a much larger group of activities in which work is per­ formed in similar conditions, with processes of the same kind, content and intelligibility, and above all in similar organizational contexts. This 'recompo­ sition of work' carries with it, however, at least one major consequence: the conditions of work and of the weight of the organization- once its 'mechan­ ical' and material side disappears- vanishes from view, while the abstraction inherent in the new conditions of work changes the individual's psy­ chological sense of the work itself. With new infor­ mation technologies, work may indeed recompose, but the meaning of each activity becomes murkier and more inaccessible both for individuals and for the organization. (4) Cognitive pressure and accelerating tempos Contrary to widespread belief, this process of sym­ bolic abstraction and mediation of work is not an 'unexpected consequence' but an intrinsic element in information technology. The alteration of the experience, contents and finality of a job takes place independently of the way in which the post­ industrial type of work is conceived, planned and introduced. The most dramatic example, perhaps, is the rapidity of access to information and the speed of its processing, which make possible a con­ siderable increase in the number of operations and lead to an intensification of work tempos. (5) Modifications in the social life ofworkplaces Postindustrial society has introduced profound changes in the social life of the workplace as it affects the identity of individuals and groups. One of the fundamental bases of the ideology of work, therefore, might become nothing but an empty myth: the community, the work group, which was central and absolutely necessary for the efficient running of industrial society, is being detached from the technological base on which every work­ place rests. The form of collective organization inherited from industrial society, which was based on the need to gather management, machines and

POST-KEYNESIANISM workers in the same space, has now been basically compromised by the possibility of automation. What will happen in the workplace, then, if for

513

Rose, M. A. 1991: The Post-modern and the Post-industrial: a Critical Analysis.

Touraine, A. 1968 (1971): The Post-industrial Society. MARCO DIANI

example the employees no longer need or have no chance to intermingle at the workplace, or if they no

Encompassing a variety of

longer have any control of the deeper significance of

post-Keynesianism

both individual and collective work? In such a con­

attempts to construct an alternative to orthodox

text the new problems have shifted from the posi­

microeconomics

tive or negative myths of automation and focused

Keynesianism is not a unified school of thought,

and

macroeconomics,

post­

on how to plan and manage an organization and

but an amalgam of elements drawn from different

work which have become abstract for all three of the

traditions in economic theory, with its proponents

most important levels: the individual-cognitive,

often differing over which elements to emphasize. Common to all proponents are a rejection of

social and managerial. If one of the main characteristics of the new

equilibrium analysis in favour of considerations of

technologies which characterize postindustrial so­

unbalanced growth, and hence an interventionist

ciety is their pervasiveness and their adaptability,

rather than a laissez-faire policy stance; and a

then 'office' work becomes the dominant structural

rejection of microeconomic explanations of price

form of work. Rapid technological change from

determination in terms of supply and demand.

human- or machine-mediated work to computer­

Consequently, the orthodox theory of the (func­

mediated work leads to changes in how workers

tional) distribution of income (determined by

adapt to their particular work environment. Con­

supply and demand schedules created by decisions

comitant with these technological shifts are societal

of optimizing individuals and therefore generally

and cultural transformations, reflecting changes

involving marginal productivity considerations) is

from a society based on manufacturing and produ­

rejected. In its place is proposed a macroeconomic

cing material goods to a society based on a service

theory of income distribution related to the growth

economy.

of aggregate demand and national product: aphor­

Under these new conditions, the study of post­

istically, workers spend what they get and capital­

industrial society becomes a more complex and

ists get what they (the capitalists) spend. Similarly,

multidisciplinary operation than in the recent

because an understanding of the labour market in

research,

terms of microeconomic supply and demand analy­

with contributions stemming from many different

sis is rejected, the level of unemployment is ex­

disciplines,

computer

plained not in terms of labour pricing itself out of

science, industrial psychology and sociology, ergo­

the market, but is rather related to the macroeco­

past,

resulting from including

interdisciplinary engineering,

management

nomic volume of output. Its incidence is then ex­

science, economics, system science, social and

plained in terms of a labour force which is

nomics,

technology

assessment,

economic history, political science, and probably

segmented by an industrial structure comprising

others. The task is to manage the architecture of

an oligopolistic and therefore protected core, and

complexity which is the most important and vul­

a competitive and therefore exposed periphery.

nerable element of a society dominated by com­

Within such a structure, prices are determined by

puter-mediated work.

oligopolistic mark-ups over costs, the size of the

Reading

sufficient profits to finance future investment in a

mark-up being related to the necessity of obtaining Bell, D. 1974: The Coming of Post-Industrial Society: a Venture in Social Forecasting.

Diani, M. 1992: The Immaterial Society: Design, Culture and Technology in the Postmodern World.

Kumar, K. 1976: Industrialism and post-industrialism: reflections on a putative transition. Sociological Review 24. 3, August, 439-78. --1978: Prophecy and Progress: the Sociology of Indus­ trial and Post-industrial Society.

Lyotard, J.-F. 1979: The Postmodern Condition: a Report on Knowledge.

world of inherent uncertainty. Finally, the ortho­ doxy is criticized for what is seen as its barter approach to the economic system; post-Keynesians consider it essential to integrate money into the theory of the workings of the economy from the outset. At the macro level, the money supply is seen as endogenous, passively adjusting to whatever level is necessary to sustain current levels of output. Inflation is not then interpreted as the result of an excessive expansion of the money supply, but is

514

POVERTY

rather seen as the outcome of struggle between

of the organizing concepts for statements about 'the

contending classes over the division of national

social condition' -whether applied to rich or poor societies, and in the late twentieth century the

product into wages and profits. Much of post-Keynesianism traces its ancestry

consistency of meaning across all societies has

back to ]. M. Keynes, but emphasizing Keynes's

become a critical scientific issue. Books about pov­

approach to uncertainty and instability as the

erty in the Third World during this time have been

starting point of his analysis. Subsequent Keynes­

more critical, and theoretically more radical, than

ian economics (see KEYNESIANISM) has tended to

those about poverty in the First World. Divergen­

disregard this starting point, thereby, according to

cies of meaning have produced, or reflected, diver­

post-Keynesians, misinterpreting the import of

gencies in the methodologies of measurement,

Keynes's analysis. This emphasis on an uncertain

modes of explanation and strategies of amelior­

future is then allied to an analysis of investment and

ation.

profitability taken largely from the work of M.

The concept has attracted intellectual and polit­

Kalecki: current investment determines the rate of

ical interest for many centuries (see Himmelfarb,

growth which in turn determines the level of

1984;

profits, while future investment is determined by

groups grudgingly came to feel obliged to define

the profits firms anticipate through an appropriate

the needs of the poor in relation to the income of the

pricing mark-up over their costs. Superimposed

poor. Thus in Britain and much of Europe those in

Woolf,

1987),

as governments and ruling

upon this is a sociological account of class conflict

charge of small areas like parishes developed forms

taken from the Marxian tradition, but interpreted

of indoor and outdoor relief for the poor long before

as a conflict over wages and profits as a struggle over

the Industrial Revolution, but economies newly

the distribution of what is surplus to the require­

based on manufacturing industry and an incentive

ments of exactly reproducing the economy in a

wage system posed new problems of regulating the

stationary state.

amounts to be received by the poor outside as well

Post-Keynesianism is thus not a single rigorous

as inside Poor Law institutions. The costs of main­

approach but a collection of themes which propon­

taining institutions and their inmates had given

ents see as emphasizing the sterility and irrelevance

concern to ruling groups and in the formulation of

1834

of orthodox economics and the contrasting realism

a new scheme to manage the poor from

and relevance of post-Keynesian alternatives. But

Britain, for example, the principle of 'less eligibil­

in

the very eclecticism of these latter is also a weak­

ity' played a crucial part in the thinking both of

ness. It is questionable whether the various post­

politicians and of those undertaking scientific en­

Keynesian themes, taken from a variety of theoret­

quiries

ical traditions, can be united quite so easily except

(Report... of the Poor Laws, 1834, p. 228). minimum needs

There was pressure to define the

by divorcing them from those theoretical traditions

of institutional inmates and of the able-bodied poor

within which they are embedded and from which

outside institutions, and the early work of nutri­

they derive their meaning and significance.

tionists in Germany, the United States and Britain was addressed to such questions. (For Germany,

Reading Eichner, A. S. ed. 1979: A

Guide to Post-Keynesian Eco­

nomtcs. Harcourt, G. C. 1982: Post-Keynesianism: quite wrong and/ or nothing new?

omy,

Thames Papers in Political Econ­

Summer.

Selected Essays on the Dynamics of the Capitalist Economy. Minsky, H. 1975: John Maynard Keynes. K a1ecki, M. 197 1:

SIMON MOHUN

see for instance Leibfried,

See

MODERNISM

AND

POST­

MODERNISM; MODERNITY

Leibfried and

During the twentieth century three alternative conceptions of poverty have evolved as a basis for international and comparative work. They depend principally on the ideas of subsistence,

relative deprivation.

basic needs and

In Britain the 'subsistence'

standard came to fruition in two stages, first in conjunction with surveys carried out by entrepre­ neurs like Rowntree

postmodernism

1982;

Tennstedt, 1985; for the USA, Aronson, 1984.)

(1901

and

1918)

and then in

the war years 1939-45 by means of a report on social security drawn up by Beveridge

(1942). As a result

of work prompted by the nutritionists, families The use of the concept has grown rather

were now defined to be in poverty when their

than lessened with the passage of the years. It is one

incomes were not 'sufficient to obtain the minimum

poverty

POVERTY

515

necessaries for the maintenance of merely physical

by local communities as a whole and not only indi­

efficiency' (Rowntree, 1901, p. 86). A family was

vidual and family needs for physical survival and

treated as being in poverty if its income minus rent

efficiency. However, proponents of the concept

fell short of the poverty line. Although allowance

have had great difficulty in producing acceptable

was made in the income for clothing, fuel and some

criteria for the choice and definition of items in­

other items, this allowance was very small and food

cluded. One of the attractions of the 'subsistence'

accounted for much the greatest share of subsist­

concept for some thinkers has been its limited scope

ence.

and therefore limited implications for sociostruc­

The formulation by Rowntree, A. L. Bowley and

tural reform, and its easier reconciliation with the

others during the 1890s and the early decades of the

strong emphasis given to individualism within lib­

twentieth century had a powerful influence on both

eral pluralism. One of the intellectual attractions of

scientific practice and international and national

the 'basic needs' concept, on the other hand, has

policies, examples being the statistical measures

been its emphasis on establishing at least some of

adopted to describe social conditions, within indi­

the preconditions for community survival and

vidual countries, and later by international agencies

prosperity in all countries.

such as the World Bank. Beveridge's particular

For such reasons some social scientists have been

interpretation of 'subsistence' was carried over

turning to a third, more comprehensive and rigor­

after 1945 as a means of justifying the low rates of

ous social formulation of the meaning of poverty -

national assistance and national insurance that were

that of RELATIVE DEPRIVATION (Townsend, 1979,

then adopted. The idea of subsistence was also

1985 and 1992; Chow, 1982; Bokor, 1984; Mack

freely exported to member states of the former

and Lansley, 1984; Ferge and Miller, 1987; Desai

British Empire (Pillay, 1973; Maasdorp and Hum­

and Shah, 1988; Luttgens and Perelman, 1988;

phreys, 1975). In the United States 'subsistence'

Lister, 1991). Societies are passing through such

remains the linchpin of the government's measures

rapid change that any standard devised at some

of poverty (US Department of Health, Education

historical date in the past is difficult to justify in

and Welfare, 1976). The use of 'subsistence' to

new conditions. People are subject to new laws and

define poverty has been heavily criticized (Rein,

obligations and consume different goods and ser­

1970; Townsend, 1979), principally on the grounds

vices. Therefore incomes cannot be adjusted by an

that human needs are interpreted as being predom­

index of prices. Poverty may best be understood as

inantly physical needs- that is, for food, shelter and

applying not just to those who are victims of a

clothing- rather than as social needs.

maldistribution of resources but, more exactly, to

A second formulation - of 'basic needs' - was

those whose resources do not allow them to fulfil

taken up in the 1970s, although strictly the idea had

the elaborate social demands and customs which are

a longer history (Drewnowski and Scott, 1966).

placed upon citizens of that society in the first place.

Basic needs were said to include two elements:

This is a criterion which lends itself to scientific observation, measurement and analysis.

Firstly, they include certain minimum require­

The driving motivation for putting forward pov­

ments of a family for private consumption: ad­

erty as 'relative deprivation' could be said to be

equate food, shelter and clothing, as well as certain

household

furniture

and

scientific and international. There are respects in

equipment.

which the 'subsistence' concept minimizes the

Second, they include essential services provided

range and depth of human need just as the 'basic

by and for the community at large, such as safe

needs' concept is restricted primarily to the phys­

drinking water, sanitation, public transport and

ical facilities of the communities of the Third

health, education and cultural facilities. (Inter­ national Labour Office, 1976, pp. 24-5; and see

World. People are relatively deprived if they cannot

also ibid., 1977).

obtain, at all or sufficiently, the conditions of life ­ that is, the diets, amenities, standards and services­

This concept has played a prominent part

m

a

which allow them to play the roles, participate in

succession of national plans (Ghai et al., 1977;

the relationships and follow the customary behav­

Ghai and Lisk, 1979) and in international reports

iour which is expected of them by virtue of their

(UNESCO, 1978; Brandt, 1980). The term is quite

membership of society. People may be deprived in

clearly an enlargement of the subsistence concept.

any or all of the major spheres of life - at work,

Emphasis is placed on minimum facilities required

where the means largely determining position in

516

POWER

other spheres are earned; at home, in neighbour­

First, who or what possesses it? Most have seen

hood and family; in travel; in a range of social and

power as a capacity of agents, individual or collect­

individual activities outside work and home or

ive, though some have seen it as an impersonal

neighbourhood in performing a variety of roles in

property: the capacity of social systems to achieve

fulfilment of social obligations.

collectively binding goals (Talcott Parsons) or to

As with any formulation, there are problems in

reduce complexity (Niklas Luhmann) or of social

defining poverty operationally. Under the 'relative

mechanisms to 'discipline' individuals, shaping

deprivation' approach a threshold of income is con­

their discourse, their desires, indeed their very

ceived, according to size and type of family, below

'subjectivity' (Michel Foucault). But there is no

which withdrawal or exclusion from active mem­

need to speak of such impersonal structures as

bership of society becomes disproportionately ac­

'having power': all such 'structuralist' views are

centuated. Whether that threshold exists depends

reformulable as stating various conditions which

on the scientific evidence which can be marshalled

facilitate or reduce the power of agents, as individ­

on its behalf (for an introduction to the controversy

uals or collectively, to act (see AcTION AND AGENCY) .

see Townsend,

Second, which outcomes count as the effects of

Desai,

1979, eh. 6; Desai and Shah, 1988; 1986; Sen, 1983 and 1985; and Townsend,

power? Many agree with Bertrand Russell and Max

1985).

Detailed and comprehensive scientific ob­

Weber, who insisted that the outcomes be intended.

servation is necessary to demonstrate both the

For Russell, power is 'the production of intended

extent and severity of non-participation among

effects'

those with low incomes and meagre other re­

ity that an actor in a social relationship will be in a

sources, because people lead different roles during

position to carry out his will, regardless of the basis

(1938,

p.

25);

for Weber, it is 'the probabil­

their lives and may have complex patterns of asso­

on which this probability rests'

ciation.

intention

We are at a relatively early stage of the recogni­

sufficient?

(1921-2).

But is

What if, like the Stoics, I want

only what I can get, or like a conformist only what

needs of individuals and the full

others want, or like a sycophant only what (I think)

social effects of low income remain to be systemat­

others want me to want? Am I powerful, as opposed

ically described and scientifically investigated, but

to you, if the effects I can intentionally produce are

tion of the

social

this is not an unfamiliar stage in the evolution of

produced because you have threatened or induced

scientific definition and theory.

me, or because I anticipate that you will do so, or ifl

See also NEEDS; WELFARE STATE; SOCIAL STATIS­

can only produce them at enormous cost (say by

TICS.

sacrificing my life, or what gives it value) or ifl can

Reading

intentions actual or hypothetical? Is power not

produce nothing but trivial effects? And are the Atkinson, A. 1989: Poverty and Social Security.

also the capacity to achieve what I might, but do

George, V. 1988: Wealth, Poverty and Starvation.

not actually, want? And is intention necessary? Must

Sen, A. 1981: Poverty and Famines: an Essay in Entitlement

all power's effects be intended? Can power not be

and Deprivation.

exercised in routine or unconsidered ways, as when

Townsend, Peter 1979: Poverty in the United Kingdom.

-- 1992:

The International Analysis ofPoverty.

PETER TOWNSEND

by making investment decisions I deprive unknown people of work, or provide them with it? Perhaps, rather, the outcomes of power are to be identified as affecting the interests of the powerful and those their

At its most general, power is the capacity

power affects. That the former are advanced only at

to produce, or contribute to, outcomes- to make a

the expense of the latter is an unduly restrictive

power

difference to the world. In social life, we may say,

assumption found in much of the existing literature

power is the capacity to do this through social

on power, even though this is clearly only one

relationships: it is the capacity to produce, or con­

possibility.

tribute to, outcomes by significantly affecting an­

Third, what distinguishes power relationships?

other or others. These broad general definitions

In what ways can the powerful significantly affect

offer a general framework for characterizing some

others to produce, or contribute to, outcomes?

of the major differences in how power has been

Some, again like Weber, have focused on relations

viewed in twentieth-century debates. Focusing on

of domination- on power over another or others, the

social power, we may ask various questions.

securing of compliance by means that may range

PRAGMATISM from VIOLENCE and force through manipulation to AUTHORITY

and

rational

persuasion

(though

whether this last is a form of power is controversial and depends on whether you think that, in persuad­ ing me, my mind is changed by you or the reasons you offer me). Others, like Hannah Arendt, see

517

Reading Arendt, H. 1970: On Violence. C1egg, S. 1989: Frameworks ofPower. Dah1, R. A. 1961: Who Governs? Democracy and Power in an American City. Lukes, S. 1974: Power, A Radical View.

power relations as essentially cooperative, defining

Morriss, P. 1987: Power: A Philosophical Analysis.

power as 'the human ability to act in concert',

Weber, M. 1921-2 (1978): Economy and Society, trans. and

contrasting with violence and force and 'the com­

ed. G. Roth and C. Wittich, esp. eh. 10.

STEVEN LUKES

mand-obedience relationship': power, in this view, 'belongs to a group and remains in existence only so

This is the name usually given to

long as the group holds together' (1970, pp. 44, 40).

pragmatism

Others attempt to combine both aspects in a more

the classical philosophical movement in the USA. It

comprehensive view, stressing both the need of the

emerged in the last decades of the nineteenth cen­

powerful to enlist cooperation and form coalitions

tury and achieved a certain hegemony in the coun­

and their need to avert or overcome opposition.

try's intellectual life during, and immediately after,

Fourth, how is the capacity in question to be

the so-called Progressive Era (1896-1914). From

conceived? Does 'power' identify what an agent

the 1930s, and even more after 1945, it was largely

can do under various conditions, or only under

displaced by other currents of thought in philoso­

the conditions that actually obtain? On the first

phy,

view, you are powerful if you can produce the

discourse.

the

social

sciences

and

public

political

American pragmatism also attracted

appropriate outcomes in a wide range of possible

considerable attention in Europe, especially around

circumstances; on the second, only if present cir­

1910, though exposition and critical discussion of

cumstances enable you to do so (for example, a

pragmatism displayed widespread misunderstand­

particular configuration of voting preferences en­

ings and the tendency to depreciate it by reducing it

ables you to decide the outcome). The first view

to an expression of alleged American national char­

identifies an ability which can be deployed across a

acteristics.

range of contexts, the second what can be done in a

The everyday sense of the term 'pragmatic' cer­

specific time and place. A further view (common

tainly contributed to these misunderstandings, con­

among sociologists of stratification) would include

noting as it does a kind of 'muddling through'

as part of power access to, or the capacity to com­

which is oriented to immediate requirements, dis­

mand, desired outcomes (such as resources or priv­

regards theoretical or moral principles and treats

ileges) whatever the agent does. On this view,

the given features of the situation simply as part of a

power can be seen as the ability to secure advantage

calculation. The term pragmatism has the same

without effort. But others think this is best thought

Greek roots as PRAXIS, practical etc. The founder

of as luck rather than power. Fifth, how is power to be identified, even meas­

of pragmatism, Charles Sanders Peirce (18391914), coined the term as a result of his reflections

ured? Robert Dahl and his followers have looked at

on Kant's use of the terms 'pragmatic' and 'prac­

who prevails in decision-making where there are

tical'. Peirce's lectures and writings around 187 8 are

conflicting interests; Peter Bachrach and Morton

now regarded as the original documents of pragma­

Baratz have recommended a further focus on

tism. These first became known only to narrow

agenda setting (1970); and Steven Lukes has fur­

circles of intellectuals in Cambridge, Massachu­

ther suggested that power can involve the shaping

setts, and did not achieve wider notice until some

of beliefs and desires, which, in turn, may not be

20 years later, when William James (1842-1910)

deliberate (1974). Some have focused on the pos­

delivered his lectures on 'Pragmatism'. Peirce

session of resources as a 'power index', others on

came to distance himself fromJames's pragmatism

the ability to make a difference, as a 'pivot', in

and to call his own philosophy 'pragmaticism'.

voting decisions, others on the measurement of

Along with Peirce and James, the inner core of

the opportunity costs of attempting to secure com­

pragmatism is usually taken to includeJohn Dewey

pliance as against the costs of that attempt failing.

(1859-1952) and George Herbert Mead (1863-

Plainly, how we answer this last question depends

1931). The differences between all these think­

on how we answer all the others.

ers were so evident, not least to the 'pragmatists'

518

PRAGMATISM

themselves, that their subsumption into a single school or movement has constantly been ques­ tioned. The most widely accepted view, however, has been that despite the differences there is enough of a core of shared views to justify speaking of 'pragmatism' as a distinct philosophical orientation. What are the basic themes of pragmatism? Peir­ ce's approach starts from his critique ofDescartes's methodological principle of radical doubt and the resultant programme of making the thinking ego's certainty of itself into the firm foundation of a new philosophy. The pragmatist questions the meaningfulness of Cartesian doubt, not in order to defend unquestionable authorities against the emancipatory claim of the thinking ego, but arguing for a more substantial doubt, that is, the grounding of cognition in real problem situations. In pragma­ tism, the guiding idea of the doubting ego is re­ placed by the idea of a cooperative search for TRUTH in order to overcome real problems of action (see AcTION AND AGENCY) . Real doubt occurs in action, conceived as a cyclical succession of phases. Thus every perception of the world and every action in it are anchored in an unreflective belief in self-evident conditions and successful habits. But these habitual ways of acting constantly come up against the re­ sistance of the world, which is seen to be the source of the destruction of unreflective expectations. The resultant phase of real doubt leads to a reconstruction of the interrupted context. Percep­ tion must grasp new or different aspects of reality; action must attach itself to other elements of the world or reorganize its own structure. This recon­ struction is a creative accomplishment by the actor. If he or she succeeds, via a change in perception, in acting differently and thus getting going again, then something new has come into the world: a new way of acting which can be institutionalized and itself become an unreflectively followed routine. Thus pragmatists see all human action in the opposition between unreflective habits of action and creative accomplishments. This means also that creativity is seen here as characterizing achievements in situ­ ations which demand a solution, rather than the unconstrained creation of something new without a constitutive background in unreflective habits. From this basic model of pragmatism, in which action and cognition are combined in a particular way, we can derive the other central claims of pragmatism. In the metaphysics of pragmatism, reality is not deterministic: rather, it enables and demands creative action. In the epistemology of

pragmatism, knowledge is not the reproduction of reality but an instrument for dealing with it suc­ cessfully. The semantics of pragmatism locates the meaning of concepts in the practical consequences for action resulting from their use or their differ­ ence from other concepts. Thus in pragmatism's theory of truth, the truth of sentences can only be determined by way of a process of agreement on the success of action based on them, and not on, say, their correspondence with an uninterpreted reality. The misunderstanding of pragmatism as princi­ pally a movement aiming at the destruction of the ideal of true knowledge resulted primarily from the isolation of individual sentences, such as William James's statements about truth, from the whole complex of pragmatist thought. The leading representatives of pragmatism con­ tributed to different fields of enquiry. Peirce was primarily interested in developing a general theory of scientific knowledge and a broadly conceived theory of signs or S EMIOTICS. His multifaceted work, which is hard to summarize, includes import­ ant thoughts on the intersubjective use of signs and on the creative production of hypotheses ('abduc­ tion'). This theory of signs, particularly in its em­ phasis on the 'discourse' of scientists in an experimental community, has been of decisive im­ portance for the 'discourse ethics' developed by Karl-Otto Apel and Ji.irgen Habermas (see Dis­ COURSE; ETHICS) and for Habermas's 'theory of communicative action'. WilliamJames worked mainly in psychology, in which he saw the prospect of a way out of the dilemma between a religiously based belief in the free will of the moral agent and the scientific image of the world as a universe governed by causal pro­ cesses. The solution, forJames, lay in the function­ ality for the survival of the human organism in its environment which he saw in the human capacity to pay deliberate attention to perceptual impressions and to choose between alternative courses of action. A 'functionalist' psychology (see FUNCTIONALISM) could proceed by understanding all mental achieve­ ments in terms of their function for the organism's active mastery of its environment. John Dewey, whose thought at first developed independently of the first pragmatists, abandoned his earlier neo-Hegelian approach and increasingly tried to link up with the epistemological and psychological aspects of pragmatism as developed by Peirce and James. His aim was to construct a philosophy which extended the core ideas of

PRAXIS

519

pragmatism into all the traditional domains of phil­

Meaning (2), in Marx and in the writings of a

osophy (metaphysics, logic, ethics, aesthetics), and

number of philosophers within WESTERN MARXISM

in particular the field of social and political philoso­

is: (a) a type of creative practical activity peculiar to

phy. He gave more explicit emphasis than the

human beings whereby they construct their world,

others to a radical version of democracy as the

an idea basic to Marx's model of HUMAN NATURE;

normative core of pragmatism.

(b) an epistemological category describing the prac­

George Herbert Mead, a friend of Dewey, did

tical, object-constituting activity of human subjects

most to develop James's strategy of the translation

as they confront Nature, that Marx called 'prac­

of pragmatist themes into the programme of a bio­

tical, human sense activity' (Marx, 1845, p.83); and

logically based empirical social science. His decisive

(c) as 'revolutionary' praxis (Marx, ibid.), the puta­

contribution to social theory consists in his theory

tive point of fundamental social transition whereby

of the specific features of human communication

in practice the proletariat's objective social circum­

and hence the attempt to thematize the constitution

stances and their complete understanding of them

of personality structures in the dynamics of inter­

are said to coincide.

personal relationships. Mead attacked the assump­

Although the three separate Marxist senses have

tion of a presocial substantial self and replaced it by

come to be established in modern social thought,

a theory of the genesis of the self in which even the

the concept generally remains imprecise, obscure

interaction of a person with himself or herself is

and elastic in its application. This is partly because

conceptualized as the result of social structures.

it has been associated with the slogans of the N EW

Mead also pursued this line of thought in the dir­

LEFT in recent times and partly because its origins

ection of problems of cognitive development, such

lie in the obscurities of the philosophy of action

as the constitution of permanent objects in experi­

elaborated by Young Hegelian writers of the

ence and the constitution of structures of time (see

1840s such as Arnold Ruge, August von Ciesz­

TIME AND SPACE).

kowski, Moses Hess and Marx himself (Stepele­

Certain of Mead's concepts and models formed

vich, 1983). Furthermore, Marx's early writings

the basis of the school of SYMBOLIC INTERACTIONISM

on this subject were largely unpublished drafts

in sociology. The work of other leading sociologists

and a number of important passages on the topic

(Robert Park, C. Wright Mills, Philip Selznick and

are open to interpretation.

Ji.irgen Habermas) is also inconceivable without the

Sometimes the phrase 'the unity of theory and

inspiration which they drew from pragmatism. In

practice' is said to be the meaning of the concept of

recent years there has been an unmistakable renais­

praxis, and it does seem to capture loosely the

sance of pragmatism in philosophy; in social theory

speculative meaning 2(c). In fact, the phrase is

it includes a re-evaluation of the pragmatist under­

employed in orthodox MARXISM and refers to on­

standing of the 'situated creativity' of human action

going sequences of organized, theory-informed

as an alternative to the models of rational or norma­

political activity, including the application of the

tively oriented action.

principles of Marxism-Leninism in the former Soviet Union. The idea of praxis, on the other

Reading

hand, particularly in sense 2(a), was prominent in

Dickstein, M. ed. 1998: The Revival ofPragmatism.

the socialist countries of Eastern Europe, as part of

Joas, H. 1992 (1996): The Creativity ofAction.

the ideological armoury of dissidents' criticisms of

--1993: Pragmatism and Social Theory.

the regimes (Markovic, 1974).

Mead, G. H. 1934: Mind, Selfand Society.

The usage (2a) relates to the image of human

Thayer, H. S. 1981: Meaning and Action: a Critical History

ofPragmatism, 2nd edn. HANS JOAS

beings or model of human nature found in Marx: 'free, conscious activity is man's species character' and 'In creating an objective world by his practical activity ...man proves himself a conscious species

Definition (1 ), in Aristotle, is acts per­

being' (Marx, 1844, p. 71). Praxis, in this sense, is

formed as an end in themselves, for their own

bound up with ALIENATION, as a general historical

praxis

sake; distinguished from poiesis, meaning product­

process in which human beings, in their creation of

ive activity in pursuit of ends; and from theoria or

human history and society, have become succes­

contemplation. These are the three basic activities

sively estranged from Nature and from the object­

or walks of life of human beings (Lobkowicz, 1967).

ive products of their labouring praxis.

520

PRAXIS

The category of praxis (2b) as object-constitut­

society. Hence, social laws could be falsified by

ing human action in Marx's early writings (notably

mass action or cumulative cultural and political

1844, 1845 and 1845-6) can be read with hindsight

changes.

as making a contribution to epistemology (see

There is some evidence that the Left Hegelian

THEORY OF KNOWLEDGE); in particular to the super­

idea of 'realizing philosophy in practice' was

session of idealism and materialism and to a socio­

an important motif in the formation of Marx's

logical approach (Kilminster, 1982). Marx saw that

ideas. Hegelian radicals compared social reality

traditional materialism was implicitly individualis­

as it is with what it ideally ought to be, but Marx

tic and implied a passive view of human beings,

thought this was ineffectual verbal radicalism

whereas the idealism of Hegel stressed the active,

which changed nothing, and enjoined instead 'prac­

historical, cultural dimension of human knowing

tical-critical activity', that is, the project of bringing

but restricted this activity to the realm of con­

reality up to what it ought to be in practice:

sciousness. Marx's social version of materialism achieved a new synthesis. Humans are part of

Communism is for us not a state of affairs which is

nature and the objectivity of their social world is a

to be established, an ideal to which reality will

result of their practical, collective sense-activity in

have to adjust itself. We call communism the real

appropriating nonhuman nature through product­

movement which abolishes the present state of

ive labour over many generations. By working on

things (Marx and Engels, 1845-6, p. 48).

nature to satisfy our needs we come to know it, but only in a 'humanized' form. Nature thus has a

Communism would effectively be a society

socially imprinted character and an autonomous

which no longer required ethics because there

role in human affairs at the same time (Kolakowski,

would no longer be, in the reality of people's lives,

1971).

any significant discrepancy between how they lived

The social scientific theory of knowledge Marx

and how they thought they could ideally live. In

developed out of these abstract reflections was the

Marx's materialistic version of Hegel's philosophy

BASE AND SUPERSTRUCTURE model of social con­

of history, there was no need to develop a separate

sciousness. Despite his early ambitions, this model

ethical justification for socialism or communism.

is flawed by a dualistic ONTOLOGY and suffers also

The scientific economic theory describing the his­

from an overemphasis on economic relations, and

torical stages of human development and the moral

Marx also projected into CoMMUNISM not only the

desirability of the end state of communism were

overcoming of the major epistemological anti­

essentially the same thing. It was only bourgeois

nomies but also solutions in practice to all other

rights and morality that were ideological (Lukes,

theoretical problems (Marx, 1844, pp. 95, 102,

1985).

114). Nevertheless, this was a pioneering effort.

Later, Marx's theory lent itself to buttressing the

By shifting the problem of knowledge on to the

power of bureaucratic elites in the former Soviet

ground of structured, practical social activity, and

Union and in Eastern Europe, who stifled dissent

away from the individualism of the traditional sub­

by claiming that not only were their policies based

ject-object epistemology, Marx contributed to the

on a correct Marxist scientific analysis of society

growing realization of the social nature of the know­

and history, but were by definition also morally

ledge process (see SOCIOLOGY OF KNOWLEDGE).

right. In opposition to these claims Marx's model

Revolutionary praxis (2c) constitutes the most speculative dimension, involving not only know­

of man-as-praxis was emphasized as embodying the 'authentic' Marxist vision of human life.

ledge, but also ETHICS. Marx's theory survived in

The demise of the idea of the historical inevit­

its uncorrected and more mythological form in the

ability of socialism, together with the experience of

extravagant millenarian flourishes of later Marxists

TOTALITARIANISM in the twentieth century, had

such as Gyiirgy Lukacs, Karl Korsch and Antonio

important consequences. The grounding of moral

Gramsci in the 1920s (Kilminster, 1979). For them,

questions could no longer be put off by subsuming

in various versions, proletarian class consciousness

their future solution in a necessary historical move­

potentially overturns the objectivity of society

ment or, prior to that, in the scientific, political and

itself. They also (wrongly) identified all social sci­

moral infallibility of the Party. These realizations

ence with PosiTIVISM, seen as articulating the dom­

formed the starting point for the neo-Marxist pro­

inant social experience in an alienated, capitalist

ject of critical theory (Habermas, 1974), and after

PREJUDICE the collapse of communism in Eastern Europe in

521

from the fact that 'futurologists' no longer pretend

1989 and the break-up of the Soviet Union, the

that they can predict social change accurately, and

issue of the good society is very much back on the

develop instead alternative plausible 'scripts' of the

agenda.

future stages of social systems. This more modest

Reading

notably to the decline of positivism in the social

Habermas, J. 1971 (1976): Theory and Practice.

sciences and to the progression of the idea that

attitude towards the possibility of prediction is due

Kilminster, R. 1979: Praxis and Method: a Sociological

Dialogue with Luktics, Gramsci and the Early Frankfurt School.

--1982: Theory and practice in Marx and Marxism. In Marx and Marxisms, ed. G. H. R. Parkinson. Kolakowski, L. 1971: Karl Marx and the classical defini­ tion of truth. In Marxism and Beyond. Lobkowicz, N. 1967: Theory and Practice: History of a

social facts are the products of individual actions, behaviours and/ or beliefs. While some interaction systems are as predictable as physical systems, others are not. Thus 'cooperative games' are accur­ ately predictable, while interaction structures of the 'repeated prisoner's dilemma' or of the 'chicken' type are highly unpredictable (Boudon, 1986; Eau­ don and Bourricaud, 1989). On the other hand,

Concept from Aristotle to Marx. Lukes, S. 1985: Marxism and Morality.

social change research has led to the view that

Markovic, M. 1974: From A.f!luence to Praxis: Philosophy

contingent factors cannot be ignored. Moreover,

and Social Criticism. Rotenstreich, N. 1965: Basic Problems of Marx's Phil­

osophy. Stepelevich, L. S. ed. 1983: The Young Hegelians: An

Anthology.

RICHARD KILMINSTER

many prophecies appear as self-destroying by essence: if the prediction is made that some social catastrophe is coming, something will probably be done to prevent it, so that it will possibly not occur. On the whole, the old tendency to define science by its predictive capacity is now perceived

prediction

As the determination of the future

states of a physical or social system, prediction is an important epistemological issue because the abil­ ity to produce accurate and reliable predictions is often considered as the ultimate criterion by which science should be distinguished from other types of intellectual activity. That predictions can be made and are often successfully made in the social sciences is beyond doubt: thus, short-term or middle-term predictions of employment, birth or death rates or educational

as naive: the objective of science is primarily to gain knowledge and understanding of the world and only secondarily to predict its future states. It is import­ ant to know, say, that a given interaction structure is unpredictable or that the course of a given process can be affected by contingencies, even though this knowledge makes prediction Impos­ sible. See also CAUSALITY; MEASUREMENT. Reading Boudon, R. 1986: Theories of Social Change.

opportunities are often reliable (see also S ociAL

Ferkiss, V. 1977: Futurology.

STATISTICS). On the whole, the social sciences have

Giddens, A. 1990: The Consequences of Modernity.

successfully developed an actuarial dimension. The

RAYMOND BOUDON

crucial distinction between prediction and proph­ ecy is not always clearly made by the social sciences,

prehistory

See ARCHAEOLOGY AND PREHISTORY

however. At the beginning of this century, W. Defined here as a rigid negative pre­

Sombart predicted that a powerful socialist move­

prejudice

ment would develop in the United States. In the

judgement of an individual or a group, the concept

middle 1980s, many sociologists and political scien­

is derived from the Latin prejudicium, referring to a

tists predicted a long life to the communist regimes

preceding judgement or decision, a precedent, or

in the East European countries. As is well shown by

damage. The basic connotations include bias, par­

Anthony Giddens (1990), the predictions of Karl

tiality, predisposition, preconception. In modern

Marx and Max Weber on modern societies must be

usage the term carries many variant meanings.

seriously relativized. In the recent past, social scientists have become

Common to most of these, however, are the notions of an unfavourable previous judgement made in

increasingly aware of the difficulties confronting

advance of full consideration, and rigidly held

prediction in the social sciences. This can be seen

even in the face of evidence which contradicts it.

522

PREJUDICE ethnic group typically show similar attitudes to

Because of its broad scope and complex connota­

other 'outgroups'.

tions in ordinary language, the term always should be interpreted in the specific context in which it is used (see Williams,

5

Individuals vary greatly in the intensity and

6

Prejudices both encourage and are generated by

1964, pp. 28-9). In modern

social science the typical usage refers to categorical

kind of their prejudices. actual discriminatory behaviours and public

prejudgements that have cognitive components

policies.

(beliefs, stereotypes), affective components (dislik­ ing, aversion), and evaluative or conative aspects (such as dispositions toward public policies) (see Blalock,

1967, p. 7; Klineberg, 1968, p. 4 3 9 ).

Definitions of prejudice are necessarily range­

7

Prejudices and behaviour need not be congru­ ent: specific situations can greatly affect actual conduct, even in spite of generalized attitudes (see also Pettigrew,

1976, p. 525).

definitions which focus on certain characteristics, selected from a wider range of other characteristics. For example, some authorities specify that preju­ dices are not only unfavourable and categorical but also inflexible, rigid and based on inadequate know­ ledge or false judgement. Thus Allport

(1976, pp.

515-16) holds that prejudices are overgeneralized and erroneous attitudes - misconceptions that are not reversible by new knowledge. On the other hand, Klineberg

(1968, p. 440) argues that revers­

ibility by new knowledge is not an appropriate criterion of prejudice. Accordingly, it seems best to regard reversibility as a correlate for empirical study rather than as part of a formal definition of the concept. Numerous research findings show that the atti­ tudes usually labelled as prejudices in ordinary speech may be specific to one group or generalized to many; they may be primarily cognitive, or affec­ tive, or evaluative; they may concern only personal social interactions or be directed towards broad public policies; and they may be important or per­ ipheral to the individual actor. Confronted with these variations, social science research generally has focused on unfavourable orientations directed towards racial and ethnic groups or categories, leaving other correlated characteristics to be inves­ tigated for particular purposes (Williams,

1964, pp.

22-77; Klineberg, 1968, p. 4 3 9 ). The accumulated

Ethnocentrism A concept closely related to prejudice is ethnocen­ trism. In its less intense forms ethnocentrism may mean no more than a positive attitude towards one's own group and its ways. Generally, however, the term also connotes some feelings of group superior­ ity in comparison with outgroups. In either case, ethnocentrism varies greatly in both intensity and in specificity (Levine and Campbell,

1972). Never­

theless there is a marked empirical tendency for ethnocentrism to become generalized - at the ex­ treme, one's own group is superior to all others in all important ways (see Williams,

1964, pp. 22-8).

In general, historical and comparative studies indi­ cate that the more prevalent and intense in a society are the beliefs in the superiority of the ingroup, the greater will be the likelihood of blaming outsiders for any undesired conditions or events. As ethno­ centrism becomes more unconditional, emotionally intense and rigid, the greater is the likelihood of conflict with outgroups; such conflicts, in turn, reinforce and accentuate ethnocentrism. In this way, diffuse ethnocentrism often turns into strong prejudice.

The objects of ethnocentrism and prejudice Ethnic and racial categories are social constructions

research evidence has established a large number of

(see also ETHNICITY; RACISM). They develop recip­

empirical generalizations concerning prejudice in

rocally with social differentiation and interaction

this sense. Among the more important findings are

among

these:

rendered distinctive by kinship, geographic com­

people who

presumably were initially

munity and modes of subsistence. Interactions Such negative prejudices, although widespread,

among persons linked by networks of kinship and

are not universal.

marriage and living in close proximity inevitably

2

Prejudice is not a monopoly of any one society

produce distinctive cultural characteristics. When

or culture.

such ingroups come into contact with others who

3

Prejudice is not inborn but must be learned.

differ from them in salient ways, the basis is laid for

4

Prejudices towards different groups tend to go

ethnic relations. As long-distance trade, military

together: persons who manifest prejudice to one

conquests and migrations and other population

PRIVACY movements develop, the range of potentially salient

523

of authorities and peers create pressures and in­

sociocultural differences widens, and when the

ducements to conformity. In these ways, a cultural

populations that come into contact differ both in

'tradition' of prejudice can acquire great strength

culture and in obvious physical characteristics,

and persistence.

there is the possibility that ethnic relationships will be defined as 'racial'. Thus modern race rela­

Reading

tions, so-called, are an outgrowth of the worldwide

Blalock, H. M. Jr 1982:

expansion of trade and political interactions after

Ehrlich, H. J. 1973:

the fifteenth- and sixteenth-century 'voyages of discovery' (Williams,

1977).

Sources ofprejudice When distinctive ethnic and racial groups have come into contact, economic

CoMPETITION

en­

Race and Ethnic Relations. The Social Psychology ofPrejudice. Francis, E. K. 1976: lnterethnic Relations: an Essay in Sociological Theory. Rex, J. 1983: Race Relations in Sociological Theory. van den Berghe, P. L. 1981: The Ethnic Phenomenon. Williams, R. M. 1977: Mutual Accommodation: Ethnic Conflict and Cooperation. ROBIN M. WILLIAMS, JR.

hances prejudice. Similarly, group boundaries and negative attitudes are accentuated by struggles for

pressure group

See INTEREST GROUP

political power or social prestige and deference. One way of understanding this concept

Threats to vested interests in such scarce values,

privacy

then, are potent stimuli for group conflict. Much

is as an alchemical laboratory housing those minute

research has revealed psychological processes (frus­

creative processes punctuating

tration, displacement, rationalization, among them)

which contribute to the 'recreation' of the self and

EVERYDAY LIFE IDENTITY without

and personality structures (such as authoritarian­

to the maintenance of a sense of

ism) that are important in the development and

which personal resilience and resistance would be

maintenance of prejudice in individuals (LeVine

impossible.

This phenomenon

emerges clearly

1953).

from a survey carried out on young people. In

But aside from psychological sources, what social

analysing so called 'inner emigration', the survey

conditions affect the extent and intensity of cat­

highlighted how individuals search out 'niches' in

and Campbell,

1972;

Simpson and Yinger,

time allowing daily periods of withdrawal from the

egorical prejudices? Negative prejudice and discrimination are mutu­

outside world (Duvignaud,

1975,

p.

233).

One

ally reinforcing. Whatever the causes, increases in

could extend this analysis by showing how, even if

hostility, negative stereotyping and attitudes of

its manifestations are not predictable in detail, such

social distance typically lead to increased discrimin­

private niches are a constant of all social structures.

smucke dei heim ('decor­

ation, including exclusion and enforced segregation.

Underlying the tradition of

In the reciprocal sequence, increased discrimination

ate your home') in Nordic countries, workers'

leads to more pervasive and more intense prejudice.

gardens or the predilection for kitsch, all of which

The experience in the United States has been that

have been extensively studied, not to mention the

reduced discrimination against black persons (pri­

taste for converted barns and rural cottages, the

marily through legal and political action) was often

same quest can be sensed, namely for the womblike

followed by reduced prejudice. In short, discrimin­

refuge of the 'nocturnal realm'

ation generates and reinforces prejudice; prejudice

other words of a privacy which persists despite, or

creates a base for and rationalization of discrimin­

in defiance of, any kind of progressive mythology.

ation (see also

(See also

IDEOLOGY).

Once formed, a particular ethnic prejudice as a

(G.

Durand), in

MODERNISM AND POSTMODERNISM.)

This regenerating retreat from the world, it must

complex cluster of beliefs, values and sentiments

be remembered, is linked to what might be called the

may become widespread and normative in a popu­

'return to the forests' (Ernst Ji.inger) which has a

lation through ordinary processes of and

conformity.

Through

SociALIZATION

indoctrination

and

distinguished

pedigree

stretching from 'Robin

Hood' to the many clandestine resistance groups of

example children learn prejudices as part of the

modern history right up to present-day urban guer­

total cultural repertoire absorbed in family and

rillas. Such extreme forms of social behaviour throw

other ingroups. When such prejudices become nor­

into relief the truth about many more ordinary ones.

mative, the interlocking expectations and demands

They exhibit a mechanism whereby individuals who

524

PROBLEMATIC

have withdrawn into a private shell of inertia are able

content of such lyricism that counts, but its sign­

to rally and achieve a collective identity so as to

ifier. What is being said is not so important, as long

confront the multifarious encroachments of exter­

as it is something which can give structure to the

nal reality. It is within the weft of everyday life,

community, a form of structuration to which the

immune from the sphere of politics with all its

'discreet', womb-like niche of the local neighbour­

slogans and power games, that social sovereignty is

hood or the village is particularly conducive.

located. It might even be argued that it derives all its

It can thus be seen that recourse to privacy is

strength from the fact that it remains hidden, that it

extremely common, and represents the renewal of

is an occult force which has nothing to do with the

bonds with the community which can be traced throughout human history and without which

appearance of power. One example of privacy could be seen in the

none of the specific crystallizations of social life

'culture of the poor' so perceptively described by

(such as civilizations, customs, institutions, govern­

Richard Hoggart ( 19 57). The vast corpus of witti­

ments) could take place. But while those crystal­

cisms, maxims, sayings and slang, satirical theatre

lizations have given rise to a historiography capable

or popular literature, has quite rightly been pre­

of articulating them, the privacy which underpins

sented by many observers as a social space preserv­

them has no other guarantee of survival than its

ing an effective tradition of resistance (see also

own persistence. It is the strength of the abyss, the

MASS CULTURE). It should be added that such resist­

kingdom of the shadows, the via negativa, the dark

ance works precisely because its gestures of defiance

night of the soul, the black hole of astrophysics.

cannot be carried out in any meaningful sense

Whatever the name given to it by different centur­

except on a symbolic level, where they act as factors

ies and mythologies, this constantly repressed sub­

of socialization. They are the passwords through

stratum

which mutual recognition takes place. Recognition

demanding and clear-minded thinkers with new

of oneself via recognition by the group. It is, in fact,

metamorphoses which are just as powerful as ever

an ancient anthropological reality; ethnologists

before. Today we seem to be witnessing another

have documented what the 'shalako' of the Zuni

forceful resurrection of the 'private', a fact which

Indians, the 'condomble' (Bahia), the 'Kula' (Mela­

cannot leave the sociologist indifferent.

nesia) to mention only a few examples, represent in

of

social

life

continues

to

confront

See also CiVIL SOCIETY; PUBLIC SPHERE.

their respective social structurations. a

There is, in Gaston Bachelard's use of the word,

Reading

'poetics'

Durand, G. 1969: Les Structures anthropologiques de l'ima-

of

privacy

officially recognized,

which,

although

never

sanctioned or canonized,

ginaire.

remains a valuable generator of socialization. Such

Duvignaud,J. 1975: La Plani!te desjeunes.

a 'poetics' is made up of all those humdrum social

Hoggart, R. 1957: The Uses of Literacy.

activities, trips to see someone, pub conversations,

Luk:ics, G. 1910 (1974): The Soul and the Forms.

do-it-yourself, cooking, walks, shopping exped­

Maffeso1i, M. 1976: Logique de la domination. MICHEL MAFFESOLI

itions to buy clothes and so forth, through which individuals recognize themselves as belonging to a particular social group. This recognition or sense of

problem, social

See SociAL PROBLEM

identity, far from being homogeneous and stable, is in constant flux, but nevertheless constitutes, across

problematic

the plurality of its expression, a dense weft, as

figuration of theoretical concepts presupposed in a

The concept refers to the con­

varied in texture and colouring as all the threads

text or discourse. The problematic defines the

which make up, in their multiple weavings, the

'field' of questions which can be posed and the

resistant cloth of familiar everyday reality. In The

forms answers must take. It also excludes the posing

Soul and the Forms (1910) Lukacs, in the attempt to

of certain questions, renders some problems un­

take stock of this volatile and yet intense commu­

thinkable and some objects 'invisible'. The concept

nity, talks about an 'internal sociality' which mani­

emerged in the late 1940s in the work of the French

fests itself in the lyricism of human relations.

historian

and

philosopher

of

science,

Gaston

The lyricism found in pop-songs, escapist fiction

Bachelard. In Bachelard's work, the concept was

and magazine stories written for teenage girls is

used to oppose the view of scientific concepts and

very illuminating in this respect. It is not the

their real-world referents. Scientific concepts were

PROFESSIONS

525

held to acquire their specific meaning from their

nineteenth century, been gaining in impetus in as­

place within a structured theoretical whole, ad­

sociation with the increasing complexity of the DIV­

vances in science taking the form of fundamental

ISION OF LABOUR. The literature is, however, acutely

reorganizations of theoretical problematics.

divided over the issue of professional power. There

The concept obtained a wide currency in the

are those, such as Daniel Bell (1974), who have

social and political debates of the 1960s and 1970s

identified professionals with the newly powerful

by way of its utilization by the French Marxist

knowledge-holders of postindustrial society, while

philosopher Louis Althusser, who made use of the

others (Haug, 1973) have pointed to the declining

affinities between the concept of problematic and

status and power of professionals in an increasingly

the currently fashionable structuralist approaches

bureaucratic and sceptical age.

in linguistics and psychoanalysis (see STRUCTURAL­

Two questions have characteristically governed

ISM). In Althusser's work the primary use of the

social thought about the modern professions. First,

concept is to achieve a periodization of Marx's

to what extent have professional occupations been a

writings in terms of underlying transformations in

unique product of the division of labour? Weber

their problematics. Central to this periodization is a

(1921-2), for example, saw professionalization as a

contrast between the 'humanist' problematics of

process crucial to the emergence of modern society,

Marx's early writings and the 'scientific' problem­

with the rise of occupations characterized by 'ra­

atic of historical materialism which was constituted

tional' criteria of recruitment and performance.

from 1845 onwards. Verbal correspondences be­

This question has also informed the 'trait' approach

tween early and late texts can be reconciled with

to the analysis of the professions. The second sem­

this thesis of an 'epistemological break' on condi­

inal question posed the problem: do the professions

tion that a 'symptomatic reading' is employed: the

perform a special role or function in modern soci­

empirical 'surface' of a text does not immediately

ety? The general implications of this question were

display its problematic. Theoretical work (on the

explored by Emile Durkheim (1950), who argued

model of a psychoanalytic investigation) has to be

that in industrializing societies, increasingly frag­

done to expose the often contradictory underlying

mented by a 'forced' division of labour, the 'occu­

theoretical determinants of the texts. Althusser and

pational corporation' or profession was the only

his associates also employed the concept of prob­

social institution capable of generating a new

lematic as a way of representing the logical struc­

moral order, mediating between the bureaucratic

ture of Marx's own critique of classical political

regulation of the modern state and the anomic

economy in

Capital.

individual. Once again, however, this question has often been reduced to a search for some essential

Reading

quality shared by all professionals, such as their

Althusser, L. 1965

(1969):

For Marx, esp. the glossary

entry. TED BENTON

collective altruism or service orientation (Parsons, 1951). This perspective suggests that the relatively high levels of status and power enjoyed by profes­ sionals are explained by their authority or compe­

professions

There is no single, generally acc­

tence and that this knowledgeability renders the

epted definition of a profession. Indeed, a consider­

client vulnerable and exploitable. Likewise, the

able literature exists - often referred to as the 'trait'

collective altruism of a profession is observable in

or 'attributional' perspective - which consists of a

the fact that the client is protected, the community

largely fruitless attempt to identify the elements

is serviced and practitioner privileges are ultimately

common to all such occupations (Greenwood,

justified by colleague-imposed ethical codes of con­

1957; Millerson, 1964). Despite the difficulties in­

duct.

volved in reaching agreement about what a profes­

This 'altruistic' or 'functional' view of the pro­

sion is, it is generally recognized that the twentieth

fessions (see FUNCTIONALISM) is rooted in Dur­

century has been marked by a great increase in the

kheim's work on the division of labour (1893) and

number of occupations claiming professional status,

Carr-Saunders and Wilson's

seeking legal monopolies of title and practice and

lished in 1933, the same year as Durkheim's

The Professions, pub­ The

attempting to create systems of colleague control

Division of Labour in Society appeared in English.

over entry and training. It is also agreed that this

Durkheim sought to encourage the development of

process of professionalization has, since the early

professional associations in all areas of fragmented,

526

PROFESSIONS

specialized work, so replacing kinship as the main

While 'monopoly' theorists generally agree with

Carr-Saunders and

'functionalists' that a successful strategy of profes­

Wilson regarded the English professions as equally

sionalism is associated with an occupational claim

pivotal to the wellbeing of democratic society, iden­

to special skills and knowledge, requiring extensive

tifying in their ethical codes and forms of collegial­

training, they have tended to disagree about the

source of social solidarity.

as against bureaucratic- authority the best defence

direction of the causal link. That is, while 'func­

against those 'crude forces which threaten steady

tionalists' argue that esoteric knowledge and scarce

and peaceful evolution of society', namely the state

skills are the primary conditions for securing pro­

and the 'exploiters' of public opinion.

fessional privilege, 'monopoly' theorists reverse the

These 'functionalist' themes were further de­

claim, arguing that occupational power to control

veloped in the period after World War II by Ameri­

the market - often backed by the state - has led to

can sociologists who stressed the positive functions

public acceptance of the knowledge base and the

carried out by associations of professional col­

legitimation of jurisdictional skills (Abbott, 1988).

leagues in ensuring that those systems of knowledge

The implications of such a perspective has led to a

which exerted a 'powerful control over nature and

focus on the self-interest inherent in the strategy of

society' (Barber, 1963, p. 672) were mobilized in

professionalization as well as the potential for an

the community and individual interest. It was also

exploitative relationship between professional and

argued that because only professionals fully under­

client.

stood the implications of their own practice it was

Given such fundamental disagreements, the ab­

also natural that they should be given a dominant

sence of a shared definition of a profession is unsur­

role in controlling their application, and rewarded

prising. The most successful attempt to overcome

highly in material and status terms for so doing.

the seeming contradictions exists in the work of

Since the mid-1960s, however, there has been a

Eliot Freidson, who in his analysis of the American

loss of faith in professional altruism, an increasing

medical profession argues that it is possible for a

focus on monopolistic professional power as an

profession to be autonomous even while submitting

exploitative force, and scepticism about the bene­

to the 'protective custody' of the state (1970, p. 24),

ficial effects of professionalism as a strategy for

as modern states whatever their ideological leanings

collective, occupational advancement or mobility.

uniformly leave in the hands of professionals con­

This 'radical' perspective has concentrated on the

trol over the technical aspect of their work (see also

dysfunctional effects of professionalism, both as a

TECHNOCRACY) .

mechanism of market domination and as the prod­

in medicine does not undermine the autonomy of

uct of a collusive state/profession relationship gen­

professional judgement.

Consequently, state intervention

erating structures of social control (Gilb, 1966;

However, while most analysis accept that medi­

Navarro, 1976). An influential source of this alter­

cine and law are 'classical', autonomous professions

native tradition is the classical liberalism of Adam

in Freidson's sense, there is little unanimity beyond

Smith, with its hostility towards all clubs, corpor­

that point. Difficulties are experienced in equating

ations, cliques, cabals and cartels threatening the

'true' autonomous professionalism with the com­

free operation of the market; a tradition expressed

mercial ethos of the pharmacist, the bureaucratic

in the writings of economists such as Milton Fried­

work locations of accountants, the subjection of

man (1962) as well as the policies of the 1980s

the architect to the patronage of the client, or the

associated with Thatcherism in the UK and Rea­

public! official role of the civil servant. Conse­

ganism in the USA.

quently, a range of concepts have developed to

Scepticism has also characterized more recent

cope with the problem of the 'semi-', the 'mar­

sociological thought, particularly with the emer­

ginal-', the 'bureaucratic-', the 'sub-' and the

gence of what has been called 'dominance' or

'pseudo-professions'. Such terms have been ap­

'monopoly' theory. This literature identifies pro­

plied to most of the hybrid occupations staking a

fessionalism as both a collectivist strategy for mon­

claim to professional status in the course of the

opolistic control over occupational jurisdictions

twentieth century. The 'monopoly' theorists have

(Larson, 1977) and a system of exclusionary prac­

responded by claiming that the identification of an

tices, significant in the formation of the division of

occupation as professional has less to do with

labour rather than a product of it- part of the wider

the reality of a division of labour in which a col­

process of class formation (Parkin, 1979).

league association effectively controls its own work

PROGRESS

527

practices than with the collective strategy of profes­

formulator was Sir Francis Bacon, who in the New

sionalism as a means of occupational advancement

Atlantis (published 1627) called for a great enter­

(Johnson, 1984).

prise, with workshops, laboratories and so on,

Reading

corrected knowledge of nature, ending the stagna­

Abbott, A. 1988:

tion of many centuries. Then wretched humanity,

which would give mankind greatly expanded and

The System ofProfession: an Essay on the Division ofExpert Labor. Bell, D. 1974: The Coming of Post-industrial Society: a Venture ofSocial Forecasting. Carr-Saunders, A. M. and Wilson, P.A. 1933 (1964): The Professions. Durkheim, E. 1950 (1957): Professional Ethics and Civic Morals. Freidson, E. 1970: Profession of Medicine: a Study in the Sociology ofApplied Knowledge. Greenwood, E. 1957: Attributes of a profession. Social Work 3, 44-55. Haug, M. R. 1973: Deprofessionalization: an alternative

like a long-denied heir, would come into its own: 'power and empire of mankind in general over the universe'. The key to everything is concentrated on a coherently planned and directed operation. A significant

corollary

is that

these

undertakers

would, unlike their humble predecessors in earlier times, become in effect cultural heroes. Bacon emphatically did not regard this great undertaking as part of any pattern of history, moving upwards, either in the past or for the future. He postulated cycles, ups and downs, for nations

Sociological Review Mono­ graph 20, 195-211. Johnson, T. 1972: Professions and Power. Larson, M. S. 1977: The Rise of Professionalism: a Socio­ logical Analysis. Parsons, T. 1949 (19Sl): The professions and social struc­ ture. In The Social System, eh. 10.

as well as individuals; but, unlike the medieval

TERRY JOHNSON

gation of nature is not what we would call pure

Strides forward have occurred thro­

Ages, with an aristocratic attitude towards their

hypothesis for the future.

notion of fortune, his theory assumed that the cycles could be controlled by conscious effort. There could be no guarantee that the reversal he envisaged would last forever; only constant alert­ ness can prevent slipping back. Again, his investi­ science. Indeed, natural philosophers of the Middle

progress

ughout the human experience. Even in the Middle

study and bound by the paralysing authority of

Ages, long thought to have been almost stagnant,

Aristotle, had been too 'pure', existing isolated

major advances in technology were made. There

from the practical concerns of society. The test of

were, for example, the great achievements in archi­

scientific endeavour is pragmatic: 'what in oper­

tecture and engineering required to build the

ation is most useful, that knowledge is most true.'

Gothic cathedrals. Francis Bacon cited three before

This vision of the possiblities of human advance­

his time: the inventions of the compass, of gun­

ment, mediated through Thomas Hobbes, became

powder, and of the printing press. But they oc­

the inspiration of the Royal Society (founded in

curred as it were unconsciously. None was thought

1660). It was dominant in the Enlightenment,

of as 'progress' -simply as ingenious contrivances

which indeed it did much to create. The idea of

of persons, mostly anonymous, to meet immediate

progress represents one of the greatest changes in

needs. Philosophy, reasoning about the laws of

human consciousness of all time; yet it would have

nature, had no part, and their creators were artisans

been inconceivable in any place at any time before

or mechanics.

seventeenth-century Britain. And its dominance in

Lacking was the idea of progress; namely, the idea that purposive, concentrated effort, often of

'developed' nations is the most important differ­ ence between them and others.

an organized group, guided by increasing know­

The immense benefits which this idea has indir­

ledge of nature, could achieve defined goals of im­

ectly caused are so evident that the problems which

proving 'man's estate' in objectively measurable

it has also brought tend to be obscured; yet they are

ways -and that such effort is of great moral, and

among the most important of the late twentieth

indeed spiritual value. This idea, along with the

century. 'Progress' has become the ideal that drives

institutions of representative government based

out all others, such as spirituality and personal

on universal suffrage, has been the most enduringly

cultivation. The fact that it must be determined by

influential force in the modern world.

objective, inescapably quasi-quantitative standards

Progress, as idea and ideal, emerged suddenly in

is especially significant. It has produced a cult of

the seventeenth century, in England, and its classic

change (see also SOCIAL CHANGE; TECHNOLOGICAL

528

PROGRESS

CHANGE), a major source of alienation between

great battles of Revelation, are the engines of this

Western nations and others for whom preservation

universal progress. (See also HISTORICISM.)

of a heritage, of a divinely revealed way of life,

Finally, the idea of progress proper should not be

is the primary purpose. The invocation of the

confused, either, with progress through EvoLU­

magic word is self-justifying: thus political parties

TION. Thus Erasmus Darwin, in Zoonomia

have pre-empted the word 'progressive', its pres­

1794-6, outlined a determined evolutionary move­

in

ence in their names automatically guaranteeing

ment upwards along the Great Chain of Being.

their worthiness and rightness. Its dominance has

Although his grandson Charles effectively under­

brought about a neglect, even rejection of the past.

mined this vision of optimism, by the theory of

Such an attitude has extended even to fields where

natural selection, the idea of progressive evolution

change and objective standards of 'advancement'

has endured, culminating in the philosophy ofTeil­

are not primary criteria-such as progress in poetry,

hard de Chardin, who sees the universe moving to

progress in religion.

an Omega Point, the merging of individual and

This Enlightenment idea of progress should be

Christ consciousness. Yet, different as these con­

clearly distinguished from another concept of pro­

ceptions of 'progress' are, they have in common the

gress, with which it is usually confused- the notion

atmosphere of optimism that emerged in the seven­

of inevitable progress through history, or even in

teenth century, with the faith in the supreme value

the cosmos, to a terminal utopia. The schoolmaster

of change.

Deasey, in James Joyce's novel Ulysses, proclaims

The two ideas of progress defined above have

that 'all human history moves towards one great

dominated the history of the twentieth century.

goal, the manifestation of God'. This idea, also, is

The limited, Baconian one has in effect been

'modern'; it would have been inconceivable at any

employed innumerable times, producing immense

time before recent times. Its root is not in the

advances in areas from medicine to warfare. It may

Baconian idea of progress as possibility only, but

be a major reason for the great technological success

in apocalyptic patterns of history. The Book of

of Western European and North American nations

Revelation, supposed to predict the future on

as contrasted with others which have only recently

divine authority, has been the single most influen­

encountered this idea.

tial book of the Bible throughout most of Christian­

The faith in historical teleological progress has,

ity. It was long thought to predict a steady increase

in contrast, had a determining and generally nega­

of evil, and general decline until divine intervention

tive influence on the history of the century. It is at

with judgement, after which history would cease

the heart of the great ideologies- Manifest Destiny,

and the earth would be transformed. This linear

national communisms, Nazism - all of which are

model of world history replaced the classical one of

founded on some notion of predetermined move­

an unending succession of cycles and pointless

ment towards a UTOPIA, however much the concep­

changes. The apocalyptic linear pattern was re­

tions

placed, after the Reformation, by another linear

narratives, dominating and determining all aspects

model, this time in the opposite direction: that

of society and culture, are in essence variants of the

of

that utopia

may

vary. These

meta­

God is judging and guiding historical events in a

original apocalyptic pattern, as, for example, the

progressive elimination of evils, until the end, a

Nazi Reich, 'to last a thousand years', is a version

millennia! age of peace, prosperity and justice.

of the millennia! age. These ideologies envisage a

The Reformation and the American civil war were

fixed pattern of actions, destined inevitably to suc­

interpreted by many Protestants as two great

ceed, but susceptible of being hindered and delayed

exam pies of God's action in history.

by 'evil' persons or groups, as the Jews in Germany,

Schemes of historical interpretation which are

the 'bourgeois' and religions in communist coun­

nonreligious, or even opposed to religion - as

tries, etc. Such individuals and groups must be

Comteanism, Hegelianism and Marxism - owe

eliminated, for they are preventing the achievement

two essential elements to this change of historical

of the glorious culmination of history, with its

interpretation. First, history is seen as linear,

infinite advantages for all. The profound disillu­

moving upwards. Second, apocalyptic theories see

sionment of postmodernism with the 'grand narra­

the great events as foreordained, making it the duty

tive' is in considerable part a rejection of tyrannical

of the individual to play his appointed part in the

schemes of 'progress' (see MODERNISM AND POST­

great drama. Conflicts of various kinds, like the

MODERNISM).

PROPAGANDA

529

The influence of historical teleological progress

shady associations. Although Britain did for a while

in a democratic country is demonstrated by the fact

have a Department for Propaganda in Enemy

that it has been incorporated into US constitutional

Countries, it soon became policy to grant the

law. The US Supreme Court spoke of 'evolving

enemy exclusive use of the term. Against their

standards of decency that mark the progress of a

'propaganda' we would spread 'information and

McMillan in 1992).

truth'. Today propaganda is still largely thought

Thus it seems to be assumed that moral progress

of as a device for undermining the credibility of

maturing society' (Hudson

v.

accompanies the ageing of a society, each stage

opponents. Their arguments, discredited by the

representing a refinement of sensibility over the

propaganda label, don't merit reasoned rebuttal.

previous ones - an assumption which is open to

They can simply be dismissed as, by definition,

question, as the history of Germany in this century

dishonest and invalid. When we are ourselves

would indicate.

charged with being propagandists, most of us go

The collapse

of the

ideology

of inevitable

progress has left an enormous vacuum which it

on the defensive, trying to refute the allegation. A further difficulty arises from a continuing

will be perhaps the principal task of the twenty­

idealistic

first century to fill.

which combines a freedom to persuade with a fear

image

of

liberal

democratic

politics

of being persuaded. Despite evidence from the conduct of all election campaigns, in all the liberal

Reading

democracies, for at least the past hundred years,

Bury,]. B. 1923: The Idea ofProgress. Seventeenth

innocents still dream of a perfect political world in

Century English Literature and Ideas of Patterns in His­

which choices are made by the rational evaluation of

tory.

objective, unpressured information.

Giuberg, A.

1986:

The Map

of Time:

]ones, R. F. 1961 (1982): Ancients and Moderns: A Study in

Most popular definitions focus on the attempt to

the Rise of the Scientific Movement in Seventeenth Cen­

distinguish the 'truth' which we uphold from

tury England. Kumar, K. 1987: Utopia and Anti-Utopia in Modern Times. Nisbet, R. 1980: History of the Idea ofProgress. Rossi, P. 1968: Francis Bacon: From Magic to Science, trans. S. Rabinovich. Tuveson, E. L. 1949 (1964): Millennium and Utopia: A Study in the Background ofthe Idea ofProgress. --

1968: Redeemer Nation: The Idea ofAmerica's Mil­

lenial Role.

the 'falsehoods' or propaganda of the other side. It is invariably a futile exercise, for truth and false­ hood are not the objective dichotomies many be­ lieve them to be. For the most part, assertions of fact offered in all good faith are assertions of opin­ ions or beliefs about facts, which others, with equally good faith, might dispute. Further, 'the facts' are rarely the same as 'the truth'. Much depends on the knowledge of speaker and audience.

Webster, C. 1975: The Great Instauration.

An incorrect statement made by someone sincerely

ERNEST TUVESON

believing it to be true is not a lie. An objectively true

This may be defined as the deliber­

someone who believed it to be false, may well be.

statement, made with the intention to deceive, by propaganda

ate attempt by the few to influence the attitudes

There is a further difficulty in that one may adhere

and behaviour of the many by the manipulation of

strictly to the facts and still be a liar. In proffering

symbolic communication. In English, to a greater

only some of the facts, in ignoring uncomfortable

degree than in other European languages, the word

counterfacts, in exaggerating or downplaying the

'propaganda' has a pejorative connotation that

significance of facts, or in asserting as unique attri­

makes its objective analysis extremely difficult.

butes of one side facts that are common to both,

Its origins, in the seventeenth-century organiza­

one may totally distort or deceive while not saying

tion of the Roman Catholic church responsible for

anything that is actually untrue. Two elements

missionary activities in the New World and for

seem to be necessary for a lie: the statement must

defending the faith in the old, were largely neutral.

be believed to be false in the light of currently

But in Protestant England the promotion of Cath­

available knowledge, and it must be made with the

olicism had a sinister taint. Thus when progaganda

intention to deceive. These conditions make it ex­

began to attract attention during World War I, both

tremely difficult to determine whether or not a

as a large-scale, institutionalized activity and as an

speaker is a liar. The same kind of objections can

object of academic study, it was easy to focus on its

be made to attempts to describe propaganda in

530

PROPERTY

terms of irrational, or controversial, or dysfunc­

symbols. All these elements together are contained

tional statements.

in the definition at the head of this article.

A serious consequence of the attempt to identify

See also OPINION.

propaganda by some element of its content- a lie, a deceitful device, or an exaggeration- is the assump­ tion that propaganda may be rendered ineffective by exposing its tricks. But propaganda involves much more than the message content. It is a per­ suasive communication set in a particular context. Propaganda effect stems from the interaction of a communication and an audience, through a specific medium, in a particular cultural and ideological environment, at a particular time and place. There are, it seems, five key elements common to all propaganda, whatever its ideological bent or the cause advocated, whatever the tactics or levels of

Reading Altheide, D. L. and Johnson, J. M. 1980:

Bureaucratic

Propaganda.

Chandler, R. W. 1981:

War of Ideas: The US Propaganda

Campaign in Vietnam.

Choukas, M. 1965: Propaganda Comes of Age. Ellul, J. 1965: Propaganda: The Formation

of Men's

Attitudes

Jowett, G. S. and O'Donnell, V. 1986:

Propaganda and

Persuasion.

Qualter, T. H. 1962:

Propaganda and Psychological War­

fare. --

1985: Opinion Control in the Democracies. TERENCE

honesty, duplicity or irrationality engaged, and

H.

QUALTER

whatever the nobility or baseness of its goals. It is, As a social institution, regulated by law

first, something consciously or deliberately done to

property

achieve certain objectives. All propagandists are

and/ or custom, property has assumed very diverse

trying to influence an audience. None has a monop­

forms in different types of society. According to

oly on any particular technique or virtue. Any act of

Hobhouse

promotion can be propaganda, and will be propa­

in terms of the control of man over things', a control

ganda to the extent that it is part of a deliberate

which is recognized by society, more or less per­

campaign to influence behaviour. Second, propa­

manent, and exclusive; and it may be private (indi­

(1913, p. 6) property 'is to be conceived

ganda attempts to affect behaviour through the

vidual or collective) or common (public). In all

modification of attitudes rather than through direct

societies there is some personal private property,

force, intimidation or bribery. It seeks the apparent

and as Lowie

willing compliance of its audience. And it assumes

using comparative material from tribal and from

that while each individual may have a unique set of

later state-organized societies, personal property

(1950, eh. 6) observed in a study

attitudes, those of a common national, cultural,

among the former may include such things as

social or economic background will share sufficient

names, dances, songs, myths, ceremonial regalia,

common attitudes to respond meaningfully to

gifts, weapons and household implements. On the

group-oriented stimuli. Third, it is behaviour that

other hand, the principal economic resources (and

is the major concern. Attitudes and opinions are

especially land) are communally owned in many

important only because they are assumed to be the

tribal societies, but with the development of agri­

root of action. It is what people do, not what they

culture, and still more in modern times with the

think, that finally matters. Fourth, propaganda is of

growth of industry and the emergence of capital­

political and sociological interest because it is es­

ism, private ownership comes to predominate.

sentially an elitist phenomenon. It is the attempt by

The

distinction

between

personal

property

the few who have access to the media as dissemin­

(which in the advanced industrial societies of the

ators to influence the many who have access only as

late twentieth century may be considerable for a

an audience. Finally, the propagandist's link to the

large part of the population) and private ownership

audience is through symbols: objects which can be

of means of production by a small minority of

perceived by the senses and which convey meanings

people has been central in the doctrines of socialist

beyond their own physical existence; meanings that

parties and in political controversy since the nine­

are attributed to them by their users. Symbols

teenth century, and it has profoundly influenced

include all forms of language, all graphic represen­

social thought and policy. Earlier property systems,

tations, music, displays and exhibitions, art, and

Hobhouse

generally anything that can be perceived. The con­

with property for use, and even where private

(1913) argued, were largely concerned

scious employment of symbols to lead to some

ownership was highly developed there remained

intended effect can be called the manipulation of

a significant degree of community control and

PROTESTANT ETHIC THESIS responsibility; whereas property for power and the unlimited acquisition of individual wealth reached a peak in nineteenth-century capitalist Europe and North America. During the twentieth and twenty­ first centuries, however, fresh restraints and limita­ tions have been imposed on private property, in vanous ways. One way is through the development of demo­ cratic citizenship and the expansion of social rights which provide the whole population with a basic minimum of control over resources for personal consumption. Another is the redistribution of re­ sources through progressive taxation and the trans­ fer of some major means of production from private to public ownership (see SociALIZATION OF THE ECONOMY) . Accompanying these changes there has been a generally increasing involvement of the state (at local and regional as well as national levels) in the regulation of the economy to achieve various policy objectives, among them that of limiting economic inequality. Modern industrial economies and the political movements to which they gave rise trans­ formed the context in which the idea of property was debated, and as one historian (Schlatter, 1951, p. 273) suggested: Property rights can no longer be defined as a relation between the individual and the material object which he has created; they must be defined as social rights which determine the relations of the various groups of owners and non-owners to the system of production, and prescribe what each group's share of the social product shall be.

Nevertheless, in spite of redistributive measures and the growth of welfare services, great inequality in the distribution of property in industrial societies has persisted, and in some respects has increased. There has been a massive concentration of product­ ive capital in large corporations, and much of this capital is owned or controlled by a small number of wealthy individuals and families; landownership remains very unequal in some countries (and notably so in Britain); and the ownership of prop­ erty still determines large differences in standards of living (see EQUALITY AND INEQUALITY) . Thus in modern social thought the controversies about property have involved above all a confrontation between CAPITALISM and SociALISM as alternative forms of economic and social organization, and the confrontation became more intense when socialist societies were established, first in Russia, then after

531

1945 in other East European countries, in China and elsewhere. But these societies developed sub­ sequently in ways- involving political dictatorship and repression, authoritarian (and often inefficient) planning, and the formation of new privileged and dominant groups - which aroused widespread popular opposition, leading ultimately, in Eastern Europe, to their collapse; and as a consequence more individualistic conceptions of property rights, emphasizing market freedom and private initiative, have been vigorously reasserted since the 1980s. At the beginning of the twenty-first century, therefore, the terms in which property rights are analysed and debated had altered significantly. According to some thinkers, public ownership has been shown to be a failure, not only economically but also socially, in so far as it engenders new (and sometimes more onerous) structures of power; but others argue that in democratic political systems some degree of public ownership, and public in­ vestment in basic infrastructural services, have had manifestly beneficial results, and that a techno­ logically advanced society in fact depends heavily on a high level of provision of such services, par­ ticularly in the field of education. The issues posed in much recent discussion of property thus concern the nature of a desirable and effective balance be­ tween public and private ownership in some form of 'mixed economy'; the tolerable degree of in­ equalities of wealth and power in a democratic society; and particularly over the past decade, the need for greater public regulation of the use of productive property in order to safeguard the nat­ ural environment. Reading Dickenson, D. 1997: Property, Women and Politics. Hegedi.is, A. 1976: Socialism and Bureaucracy, eh. 6. Hobhouse, L. T. 1913: The historical evolution of property, in fact and in idea. In Property: Its Duties and Rights, ed. C. Gore (Bishop of Oxford). Ryan, A. 1984: The Political Theory ofProperty. Schlatter, R. 1951: Private Property: the History of an Idea. Scott, J. 1982: The Upper Classes: Property and Privilege i n Britain.

TOM BOTTOMORE Protestant ethic thesis Max Weber's thesis on the relationship between Puritanism and the 'spirit of capitalism', first published in 1904, engendered a discussion among scholars that continues today.

532

PROTESTANT ETHIC THESIS

Yet a great deal of the controversy has concerned

money), cultivate credit-worthiness, be punctual in

the correct understanding of the thesis and, in

repayment of loans and frugal in consumption. The

particular, whether Weber intended to claim that

reward of endeavour became 'the irrational sense of

CAPITALISM was the effect of Puritanism (or more

having done [one's] job well' (p. 71).

specifically Calvinism). This debate should be

The thesis offers an explanation of why capital­

understood in terms of abiding contemporary

ism

concern with questions of historical method and

Europe, even though preconditions (such as wage

developed

specifically

in

north-western

the genesis of MODERNITY.

labour, markets, technology, or separation between

The thesis is derived from three writings:

home and production) had existed elsewhere. Yet it

Weber's essays in The Protestant Ethic and the Spirit

also makes a statement about modernity, rationality

ofCapitalism (1904-5); his essay on Protestant sects

and history. Capitalism is 'rational' as a system of

in America (1906); and his replies in 1910 to Karl

accounting and planning, but its central value -

Fischer and Felix Rachfahl (in Winckelmann,

accumulation as an end in itself-is as non-rational

1968).

as any other goal. Thus, 'If this essay makes any

His

book develops three observations.

First, that in the sixteenth and seventeenth centur­

contribution at all, may it be to bring out the com­

ies most economically developed countries were

plexity of the only superficially simple concept of

Protestant, and within them the most economically

the rational' (Weber, 1904-5

advanced bourgeoisies were associated with the

ther, Weber argued that the transposition of the

Reformation. Secondly, the new spirit of capitalism

idea of a 'calling' from a religious to a secular

differed from money-making or greed in general

realm was wholly unanticipated by Puritan theology.

(1974), p. 194). Fur­

(which are ubiquitous) in that the capitalist spirit

History follows a logic of unintended conse­

was defined by an ethically regulated conduct of life

quences, governed by accidental affinities and

and the pursuit of accumulation as an end in itself.

could not therefore follow the kind of laws of de­

(See also ETHICS. ) Thirdly, there was an affinity

velopment proposed by historical materialism.

between the theology of Puritanism, especially its

Issues such as the genesis of capitalism and the

concept of a 'calling', and the secular spirit of cap­

nature of historical explanation also preoccupied

italism (as advanced by writers such as the Ameri­

Weber's contemporaries Werner Sombart, Karl

can moralist Benjamin Franklin).

Fischer, Felix Rachfahl and Ernst Troeltsch, and

The essence of Weber's argument is that a theo­

the publication of the Protestant Ethic prompted a

logical movement grounded in the Reformation had

debate that continues today. Weber was often

the unintended consequence of contributing to the

(mis)understood as having argued that capitalism

worldly and materialistic ethos of capitalism. The

(as opposed to the capitalist ethos) was the effect of

link between the two is reconstructed through the

Puritanism. Thus R. H. Tawney, in Religion and the

Calvinist doctrine of predestination. If God had

Rise of Capitalism, which in some ways echoed

determined the pattern of Creation for eternity,

Rachfahl's critique of 1909, argued that capitalism

then the saved (the elect) and the damned were

in fifteenth-century Venice and Florence predated

also predetermined. This must have created for

Puritanism, that political theorists such as Machia­

Calvinists

loneliness,

velli gave an impetus to the capitalist spirit, and that

since salvation could not be achieved, for example,

Calvinism itself was anticapitalist. Protestantism,

through the sacraments or 'good works'. Weber

Tawney concluded, was the ideological ground on

an

unprecedented

inner

claims that 'The question - am I one of the elect?

which capitalism asserted itself. In The Quintessence

-must sooner or later have arisen for every believer

of Capitalism (1913), Sombart argued that Catholi­

and have forced all other interests into the back­

cism had not prevented profitable activity, and that

ground' (Weber, 1904-5

the impetus for capitalism had derived from mar­

(1974), p. 110). Calvinists

sought proof of election through success in worldly

ginalized groups such as Jews, and from merchant

activity, for to be profitable in life was to have been

adventurers. Such arguments about chronology

chosen as one of 'God's stewards'. Yet Calvinists

and causal influence were not confined to the early

proscribed the relaxed enjoyment of life, and this

twentieth-century debate, but arise today, as Pelli­

prevented profits from being spent on conspicuous

cani (1988) and MacKinnon (1994) indicate.

consumption. Thus commerce came to be regulated

Weber's response to critics such as Rachfahl,

by motivational dispositions that had never before

Sombart or Fischer, in which he was supported

existed. Be prudent, diligent, never idle (for time is

by Troeltsch, was to restate that he had claimed

PSYCHIATRY AND MENTAL ILLNESS no more than an 'elective affinity' between Puritan­ ism and the spirit of capitalism. Certainly there were merchant adventurers unaffected by Puritan theology. Yet it was the spirit of accumulation as part of an ascetic lifestyle that differentiated capit­ alist activity in the sixteenth and seventeenth cen­ turies from money-making in general. It was this spirit that embodied the congruence between Ref­ ormation theology and the economic motivations of capitalism (Weber,

1910).

Moreover, Weber had

already anticipated accusations of 'idealism' when he observed, 'of course it is not my aim to substitute for a one-sided materialistic an equally one-sided spiritualistic causal interpretation of culture and history. Each

1904-5 (1974),

is

equally

possible ...'

(Weber,

p. 183).

Yet this disclaimer hints at the kind of ambigu­ ities in the thesis that have fuelled eight decades of debate. Did Weber really only mean to suggest an

533

Green, R. W. ed. 1959: Protestantism and Capitalism: the

Weber Thesis and its Critics. Hennis, W. 1988: Max Weber: Essays in Reconstruction, trans. K. Tribe. MacKinnon, M. H. 1994: The longevity of the thesis, a critique of the critics. In Lehmann H and Roth G. eds

Weber's Protestant Ethic Thesis. Marshall, G. 1982: In Search ofthe Spirit of Capitalism: An

Essay on Max Weber's Protestant Ethic Thesis. Mommsen, W. 1977: Max Weber as critic of Marxism.

Canadian Journal of Sociology 2, 373-98. Pellicani, L. 1988: Weber and the myth of Calvinism.

Telos 75, 57-85. Poggi, G. 1983: Calvinism and the Capitalist Spirit. Ray, L. J. 1987: The Protestant ethic debate. In Classic

Disputes in Sociology, ed. R. J. Anderson, J. A. Hughes and W. W. Sharrock. Schluchter, W. 1981: The Rise of Western Rationalism:

Max Weber's Developmental History. Sprinzak, E. 1972: Weber's thesis as an historical explan­ ation. History and Theory 11, 294-320.

elective affinity between Puritanism and the capit­

L. J. RAY

alist ethos? If so, then the claim is suggestive (prompting C. P. Hill and Robert Merton to exam­ ine links between Puritanism and natural science for example) but not strong. Further, what does it mean for historical writing if each account is equally possible? Karl Liiwith, a Marxist sympathetic to Weber's project, interpreted him to mean that 'both

are

equally

impossible'

(Liiwith,

1932,

p. 103); hence historical accounts must be 'many­ sided' (p. 104). Yet the Protestant ethic thesis also implies a renunciation of history as a structured narrative, such as historical materialism expounds, in favour of multiple connections amid the chaos of unintended consequences. Puritan values found affinity with a materialistic system that in its de­ veloped form would have horrified Reformation theologians. One can detect here an idea of history and modernity as tragic phenomena, in the sense also suggested by Weber's colleague Georg Sim­ mel. Modern culture is 'tragic' when the forces that destroy it are necessary consequences of properties essential to the phenomenon itself. Yet this is not explicitly stated in Weber's work. It merely indi­ cates the kind of broader inference that the thesis admits, which has occupied scholars throughout the twentieth century. Reading Eldridge, J. E. T. ed. 1972: Max Weber. Fischoff, E. 1944: The Protestant ethic and the spirit of

psychiatry and mental illness

Psychiatry - a

way of both defining and treating mental illness has seen important changes since World War II in both its practice and its intellectual roots. This has included a greatly diminished role for psychoana­ lytic thought (see PSYCHOANALYSIS), particularly marked in the USA where it had been a dominant influence. With this there has been an increased concern with the biological origins of the wide range of disorders that make up psychiatric prac­ tice. During the last

20

years the complex task of

their classification has returned, together with a biological perspective, to the centre of psychiatric attention as seen in the highly influential third,

1980,

edition of the American Psychiatric Associa­

tion's Diagnostic and Statistical Manual of Mental Disorders (DSM-Ill). The coming together of nos­ ology (classification of diseases) and biology has undoubtedly been partly prompted by the success of pharmacological treatments and the hope that they would prove to be specific for certain diag­ noses. DSM-III largely reflects clinical experience rather than research findings, and it is possible to find described in it well-recognized conditions such as severe mental illnesses (psychoses) like schizo­ phrenia and manic depressive psychosis, the less severe neuroses and emotional disorders, psycho­ somatic disorders, organic states of dementia,

capitalism: the history of a controversy. Social Research

mental

11, 61-77.

such as the addictions. But, at every point there

retardation

and

behavioural

anomalies

534

PSYCHIATRY AND MENTAL ILLNESS

are complexities. Neurotic states, for instance, can

medicine, has made clear that mental hospital pa­

in practice be severely handicapping over a long

tients form only a small minority of those who

period while schizophrenia may represent a passing

might be classed as suffering from a clinically rele­

episode of 'madness' with a complete remission.

vant psychiatric disorder - particularly of depres­

There is also a worrying essentialist thrust to the

sion or anxiety. This diagnostic variety and the fact

thinking of DSM-III. For example, its definition of

that individual psychiatrists may have experience of

schizophrenia requires continuous signs of disturb­

only a selected sample of potential patients has

ance for at least six months, but this rules out the

enabled quite disparate ideas about aetiology to

possibility of establishing possible environmental

flourish- although most can be formulated in bio­

factors leading to a brief episode. It furthermore

logical or psychodynamic terms. A social perspec­

assumes something has actually been established

tive on these matters has never been central in

about the nature of the disease entity involved.

psychiatry, but developments since World War II

This is certainly not so, although a fair amount is

have made it more difficult to ignore. Early efforts

known about the somewhat disparate group of con­

largely consisted of the speculations of psycho­

ditions currently classified as schizophrenic.

dynamically orientated workers, which, although

But leaving aside such technical issues of defini­

sometimes influential, largely lacked an empir­

tion, psychotic disorders for the most part involve

ical base. The notion of the 'schizophrenogenic

peculiarly unpleasant forms of suffering and, in so

mother', for example (considered by some in the

far as they can be seen as an exaggeration of ordin­

1940s and 1950s to be central in the aetiology of

ary emotional affective responses to experience,

schizophrenia), failed to survive systematic testing.

represent an important route to the understanding

Fortunately there have been somewhat sounder

of society at large - something, of course, recog­

developments.

nized by Emile Durkheim in his classic study, Sui­

One had its origins in the obvious shortcomings

cide, published at the end of the nineteenth century.

of the large mental hospital. The growing popula­

However, this remains disputed ground, not least

tion in mental hospitals following the decline in

because evidence for psychosocial influences inevit­

death rates from intercurrent infections in mid­

ably tends to move psychiatry somewhat away from

century had brought about overcrowding, particu­

its traditional medical role. It is of significance that

larly involving long-stay schizophrenic patients,

psychiatrists first qualify in medicine and spend a

and the terrible revelations of the European con­

good deal of their subsequent training involved in

centration camps perhaps had some impact on

the care and treatment of severe conditions within a

opinion. By the 1950s a few medical superintend­

mental hospital setting. Although the aetiology of

ents in the UK had initiated a policy of early dis­

core conditions such as schizophrenia and manic

charge and begun to develop ideas of how the

depression remains elusive, their peculiar severity

hospital could be a genuinely therapeutic commu­

encourages a biological perspective. That similar

nity. With the introduction of the major tranquiliz­

symptoms can be produced by drugs, tumours,

ing drugs in the mid-1950s these changes spread to

epilepsy and metabolic and hormonal changes

other mental hospitals. (The movement got under

only whets medical appetites for more of the often

way much later in the USA.) In this climate the

exciting developments in neuroscience and physical

anti-psychiatry movement led by figures such as

treatment. The term 'medical model' in this con­

R. D. Laing had an important impact on general

text is more often used by social scientists than

and academic opinion. However, its excessive

medical practitioners since the clustering together

claims and almost total lack of concern for evidence

of symptoms and signs into syndromes which can

has meant that it has had a limited impact on

then be correlated with hypothesized biological

psychiatry itself. Nonetheless, with hindsight, it is

disorder is so intrinsic to clinical practice as to be

possible to see that one message was important -

rarely explicated.

that those with even the most severe mental illness

However, those seen by psychiatrists have been

are still human beings and responding to this hu­

changing and many more are now seen in out­

manity can importantly influence the course of

patient clinics - most of whom would never have

their disorder. Indeed it is a remarkable experience

contacted a psychiatrist even 40 years ago. This,

to see a previously severely handicapped patient

and the recognition that there are even more poten­

acting with confidence and some insight, despite

tial patients in general practice and general hospital

continuing 'voices' and delusions, within a setting

PSYCHIATRY AND MENTAL ILLNESS devoted to encouraging independence, pride and

535

London, approaching one-fifth of working-class

concern

women with children at home appear to suffer

during this period of many in the social sciences

from a clinically relevant psychiatric disorder

vocational

activities.

Nonetheless

the

with doubting the relevance of diagnostic labels and

within the space of one year and the majority of

arguing for their likely baleful effect ran totally

these have a significant depressive component (see

contrary to the increasing concern in psychiatry to

DEPRESSION) .

improve and systematize its diagnostic usage. Sadly

While some dispute particular aspects of such

one effect has been a growing distance between

claims, there is already fairly broad agreement

mainstream social science and psychiatry.

within psychiatry about the importance of the social

Another post-war development was an interest

world and about the need for a genuinely bio­

in recording the rates of psychiatric disorder in

psychosocial perspective. Someone depressed for

general population samples. Early surveys indi­

social reasons can still respond to pharmacological

cated surprisingly high rates, particularly among

therapy and there is no reason in such circum­

working-class populations. Despite a good deal of

stances why chances of onset (and a deteriorating

scepticism within psychiatry, interest persisted.

course) should not also be influenced by underlying

New clinical-type interviews (instead of question­

biological factors. The impetus for a biopsycho­

naires) were introduced which could be used in the

social perspective has been underlined by the

general population together with more sophisti­

views of John Bowlby about the importance of

cated measures to investigate the role of social

the attachment system in the genesis of affective

factors. For the latter there has been concern to

disorders and how the system, although greatly

deal with the meaning of experience, something

influenced by early experience, has essentially an

ignored by traditional epidemiology, and with this

evolutionary and biological basis. It becomes clear

has come a greater sensitivity to the measurement

that both biological and social systems serve to

of stress.

create meaning and they often do so in tandem.

Studies within mental hospitals concentrated on

Added to this coming together of disparate per­

the question of the impact of the organization on

spectives, there is a dawning realization that it is

the course of the illness, and those studies outside

possible to acquire what is apparently the same

(particularly on the role of the family) considered

disorder in quite different ways.

factors influencing both onset and course. Two

Such developments, of course, have implications

things have emerged. First, that what are almost

for clinical practice. If the current claims for the

certainly essentially biological conditions such as

role of psychosocial influences turn out to be

schizophrenia are importantly influenced in their

broadly correct, the population-based methods of

course by the external environment and particu­

intervention will be quite beyond psychiatry on its

larly by the quality of core interpersonal ties. (The

own to provide. It has also become clear that the

matter of original onset remains more obscure.)

much debated policy of'community care' has been

The importance of

factors

largely a matter of talk. Except for a handful of

in terms of course has been confirmed by cross­

impressive local initiatives, procedures to cope

considering social

cultural studies where the long-term outcome of

with the running down of mental hospitals have

schizophrenia appears to be more favourable in

been ad hoc and unplanned - the result of pressure

developing countries. Given the somewhat mixed

for liberal reform, changing treatment regimes

effectiveness

(including

and ill-coordinated higher level policy decisions.

of physical

treatments

long-term iatrogenic effects), the significance of

This has had serious consequences for those with

these findings has been increasingly recognized

long-term handicaps. We still lack services based on

and also the need to harness such knowledge to

reasonably well-founded principles focusing on

everyday clinical practice. A second conclusion to

the vulnerabilities of particular classes of patient,

emerge is that affective disorders (which make up

and services that are capable of remaining in touch

the great majority of psychiatric conditions) are

with individuals, if necessary, for long periods

common in the general population, and social

of time. We are even further away from any effec­

factors, including adverse experiences in childhood

tive means of helping the large numbers suffering

and adolescence, probably play an important role in

in the general population, especially those with

onset and course. There is also often a link with low

chronic conditions, few of whom see psychiatrists

social class: for example, in inner-city areas of

and probably only half of whom are recognized

536

PSYCHOANALYSIS As one of the most significant

as psychiatrically disturbed by a medical practi­

psychoanalysis

tioner.

intellectual movements of the twentieth century, it

Psychiatry undoubtedly requires social science;

is arguable that psychoanalysis is second only to

fortunately such collaboration is bound to be useful

Marxism in the range of its impact on the thought

to social science itself. It is difficult to pursue aetio­

and language of the Western world. The elabor­

logical research in this area without quickly facing

ation and formulation of the ideas of this movement

fundamental theoretical issues - say about the

was largely the work of one man, Sigmund Freud Although Freudianism, unlike Marx­

nature of social support or the relevance of trad­

(1856-1939).

itional concepts such as integration or alienation. It

ism, never became the official faith of any state, it is

is doubtful whether the current extreme emphasis

conceivable that its influence may outlast that of

on the biological basis of psychiatry will continue,

Marxism.

particularly since so much has stemmed from a

The intellectual ancestors of Freud, who fore­

particular political climate in the USA. Biological

shadowed his general ideas, were Arthur Schopen­

processes of possible relevance are turning out to be

hauer

(1788-1860) and Friedrich Nietzsche (1844-

of extraordinary complexity and major returns are

1900).

Whether Freud actually studied them and

more likely in the longer than the shorter term. The

was

results of current social research, although modest

whether, as he himself suggested, he deliberately

in terms of what needs to be known, are sufficiently

kept clear of them (which would not preclude in­

directly

influenced

by

their

writing,

or

secure to form a foundation for expansion, and

direct influence through the intellectual 'climate')

there is also some sign that the narrow focus and

is

parochialism of the relevant social science discip­

that the underlying reality of the world, the thing­

lines might be lessening. There is an increased

in-itself about whose nature his predecessor Kant

awareness that each needs to do more than develop

taught us to be agnostic, was a dark blind Will,

not

well

established.

Schopenhauer

taught

enticing and stimulating ideas for consumption by

inaccessible to reason, and never given any real

its own students. Ideas need to be tested in the

satisfaction. The Will sometimes turned in upon

setting of actual psychiatric practice. So far, when

itself, but there was no salvation to be had in either

this has been done, it has proved difficult to sustain

indulging or opposing it. The only escape lay in

the one-sided ideas that have been so popular in

passive, aesthetic contemplation, accompanied by

individual disciplines (such as the emphasis in soci­

compassion. Schopenhauer's pessimism blended

ology on the key role of labelling in producing

elements drawn from biology, from Indian philoso­

disorder). However, it must be recognized that

phy, Kantian theory of knowledge and Western

there is considerable inertia, if not opposition, to

aestheticism.

the kind of integrative trends that have been out­

Nietzsche accepted Schopenhauer's overall pic­

lined, and it might well be that too much weight has

ture but inverted the valuation: if the Will was

been given to the likely impact on psychiatric

everything, why not endorse it rather than damn

thought and practice of reasonably well-established

it? Nietzsche related the theme of the Will turning

empirical generalizations. The attraction of a drug

in on itself to a more historical account of the

prescription for a busy clinician will remain consid­

emergence of moralities of meekness, which he

erable. But, at the same time, psychiatry has

saw both in early Christianity and what he held

throughout its history been the most open of med­

to be its modern secular continuation, humanitar­

ical specialities to social ideas, and as yet there is no

ian-socialist

reason for outright pessimism about the develop­

Nietzsche tradition offered, above all, a sensitivity

ment of an effective social perspective within

to

psychiatry.

rational nature of human beings, and the super­

the

ficiality

ideals.

The

conflict-ridden, and

inadequacy

entire

Schopenhauer­

instinct-dominated, of

facile,

ir­

optimistic

visions of them, promising contentment on the

Reading Bebbington, P. and McGuffin, P. 1988: Schizophrenia:

basis of reason, brotherhood or prosperity. The Freudian or psychoanalytical picture of

The Major Issues.

Gelder, M., Gath, D. and Mayou, R. 1986: Oxford Text­

human beings undermined any more facile opti­ mism and perpetuated this sombre recognition of

book ofPsychiatry.

Newton, J. 1988: Preventing Mental Illness. GEORGE W. BROWN

harsh realities; but it also endowed them with a new twist, which won them an incomparably wider

PSYCHOANALYSIS

537

were

his own patients, in turn, eventually to attain simi­

merely writers and philosophers: but Sigmund

lar illumination. Unquestionably presupposed in

audience.

Schopenhauer

and

Nietzsche

Freud was a doctor and teacher of medicine, and

psychoanalysis, though never formally stated and

moreover one espousing a rather materialistic or

defended, is that there is a very distinctive theory of

positivistic or scientific vision of the world. More­

knowledge: the attainment of truth is basically un­

over, he did not present his ideas in the abstract, but

problematic (at any rate in psychic spheres) pro­

in the context of a definite therapeutic technique,

vided there is no interference by the wiles of the

aimed at curing specific neurotic disorders. Freud

Unconscious. The removal of these obstacles leads

did not merely say that human beings were prey to

to the recognition of truth, and truth liberates the

violent, powerful and unconscious drives, operat­

psyche from unnecessary suffering. Hence the

ing in hidden and devious ways: he traced the

secret is to obviate these inwardly imposed errors,

alleged mechanisms of those operations, and the

and the rest is then plain sailing.

technique of exploration was at the same time also presented as the technique of the cure.

This eccentric theory of knowledge can also be presented as a new version of the Socratic ap­

Freud discovered a new technique claiming to

proach, but one adapted no longer to a rationalist,

penetrate the defences of the realm of the UNCON­

but to an irrational and variously more plausible

within which our psychic destiny is forged,

vision of man. The Socratic method of question and

and offering access to its secrets, thereby securing

answer was based on the assumption that truth is

therapeutic results: the patient 'free associates',

not to be sought by an external enquiry, but to be

ideally without any constraints whatever, in the

elicited from within: the questions and answers, so

SCIOUS,

presence of the analyst-therapist, who after a time

to speak, brought out, by logical midwifery, the

tentatively proposes interpretations to the patient.

concepts which had been ever present. The Freud­

When these interpretations, or some of them, are

ian variant of the midwifery elicits the truth not by

eventually agreed and accepted, a cure ensues. The

precise questioning, but by unrestrained free asso­

process is intensive and long: an hour five times

ciation, a cognitive antinomianism, more suited to

every week, stretching over five years, is considered

an Unconscious which is passionate and undiscip­

fairly normal. It should be added that during the

lined. The marks of the truth eventually elicited are

early years of the movement, analyses-initiations

emotional recognition and therapeutic success,

were often much shorter; that no terminal date

rather than logical cogency.

can be given in advance of the event; and both in

Whatever the therapeutic or investigative effec­

theory and in practice, it is often found that psy­

tiveness of this method

choanalysis has no termination.

matter), there can be no doubt of the truth of one

Freud did not merely invent a new investigative

(a highly contentious

particular psychoanalytic doctrine, namely that of

and therapeutic technique (which is what psycho­

'transference'.

analysis mainly means); he also created what was in

scribed is claimed to engender a powerful emotional

The

therapeutic

technique

de­

fact a major new organization around it. This is in

bond between the two partners involved in it. This

fact the guild, or guilds, of qualified, recognized

appears, in a very large proportion of cases, to be

psychoanalysts, practitioners. The most interesting

the case. The 'transference' so produced would

and significant feature of this guild is the manner of

then also appear to be the social bond of the organ­

initiation it imposes. Although conventional peda­

ization produced by Freud. Transference, how­

gogic methods are present in the training of an

ever, is claimed (plausibly) to be both positive and

analyst- seminars, lectures, reading- unquestion­

negative, either in succession or even simultan­

ably the central and crucial place is taken by the

eously.

'training analysis', the analysis undergone by the

movement is marked not only by powerful cohe­

Correspondingly,

the

psychoanalytical

trainee with a senior analyst. The assumption and

sion, but also by equally characteristic fission, ac­

doctrine is that what makes an analyst is not ab­

companied by mutual denunciations. The fact that

stract, cold information acquired, but the trans­

the theory makes truth hinge, not on external and

formation of his own psyche, attained by his own

public criteria, but on the possession of a pure and

successful analysis. Having penetrated his own Un­

enlightened psyche, so to speak, means that the

conscious, and no longer prey to the illusions it had

mutual criticisms then tend to be framed more in

imposed, the properly trained analyst is now

terms of the inner defects and imperfections of the

capable of avoiding self-induced error and helping

opponents, than in appeals to logic or evidence.

538

PSYCHOANALYSIS

The fissions which have occurred in the movement

Specific

have been of two kinds: either leading to the per­

found within psychoanalysis are difficult to assess,

theories

manent hiving-off of the dissident sect (secession of

on account of the over-endowment of the system

CarlJung and Alfred Adler), or to milder sectarian­

with evasive practices, when confronted by appar­

The

more

specific

doctrines

ism which is contained within a broader church (for

ent falsification. The loose and even detachable

instance, the existence of an orthodox Freudian,

operationalization of its concepts, the ready avail­

Kleinian and 'Middle' group within the British

ability of ad hoc evasions, makes these theories

psychoanalytical guild, continuing to work within

survive apparent refutations with great ease.

the same organization on the basis of an under­ standing that no one of the three segments will

Therapeutic success

dominate). The various national guilds (at least

out do not support the idea that the technique is

Researches actually carried

one country, the USA, has more than one) are

therapeutically effective, or even that it is preferable

loosely linked in an international association. One

to 'no treatment'. Though the initial impact of

of the practical issues which divides the movement

psychoanalysis was related to its clinical involve­

concerns the question whether analysts must be

ment and plausible therapeutic promise, claims in

medically qualified, or whether 'lay analysts' are

this sphere are now muted and carefully hedged.

permitted. Apart from reasonably tight and well-organized psychoanalytical guilds, striving (not always suc­

Theory of knowledge, and method

These are not

merely at variance with standards customary in

cessfully) to retain a monopoly of the appellation

other spheres of scientific enquiry, but are exceed­

'psychoanalyst', there is also an enormous, volatile,

ingly odd, and barely defensible when subjected to

fluid, ill-defined and as yet largely uncharted world

impartial investigation.

of psychotherapists and 'counsellors', organized in various large or small groupings and sometimes

Ontology

freelance, and blending the doctrine in various

beings, stressing both the importance of instinctual

The

underlying

picture

of

human

ways and proportions with other systems of ideas

drives and the extreme complexity, deviousness

(existentialism, phenomenology, conventional reli­

and disingenuousness of their conscious expres­

gion, and so on). The central ideas and techniques

sion, would seem to be far more convincing than

of most of these do, however, remain indebted to

their rival available models, such as 'associationist'

the Freudian inspiration, even if they modify it in

psychology. Whether this model is also a good basis

various ways. There can be no doubt but that these

for a more genuinely explanatory psychology is not

movements have taken over a very major part of

clear.

what might be called pastoral care, in a mobile and agnostic industrial society. The influence of the

Pastoral usefulness

ideas is even more pervasive in literature, ordinary

petlt!ve society, in which personal relations are

language, the humanities and social sciences. It is

extremely important, not provided or ready-made,

fair to say that Freudian terminology has become

or prescribed by a stable social structure, and where

In a mobile, atomized, com­

the language in which people discuss their psyches

they are the objects of great anxiety, the psychoana­

and personal relationships.

lytical technique of encouraging people to speak

There is no simple way of assessing the claims of

freely to a professional attentive listener, in the

psychoanalytic doctrine and therapeutic practice.

expectation that the interaction will bring illumin­

Its persuasiveness is not the same in all spheres,

ation and an inwardly sanctioned direction of pur­

and it is perhaps best to discuss various aspects

pose, seems more attractive, or at any rate, to have

separately:

wider appeal, than any available alternative. See also PSYCHOLOGY.

Idiom

Psychoanalysis has not merely conquered

our language, but, one might add, rightly so. The simultaneous recognition of the importance of in­ stinctual drives, and of the complexity and devious­ ness of the semantic forms in which they appear in

Reading Gellner, E. 1985: The Ps ychoanalytic Movement. Jones, E. 1963: The Life and Work of Sigmund Freud, abridged edn, ed. L. Trilling and S. Marcus.

consciousness, does seem to do justice to the truth

Maclntyre, A. C. 1958: The Unconscious.

of the matter.

Magee, B. 1983: The Philosophy ofSchopenhauer.

PSYCHOLOGY Malcolm, J. 1982: Psychoanalysis: the Impossible Professwn.

539

ously had only been the object of philosophical speculation. Despite the agreement that empirical

Rycroft, C. 1966: Psychoanalysis Observed.

science should replace philosophizing, there was

Sulloway, F. J. 1980: Freud, Biologist ofthe Mind. ERNEST GELLNER

little agreement about what the new science should be like. At this time, academic psychology was characterized by deep divisions between competing

psychological depression

See DEPRESSION

schools, such as associationism, behaviourism, eu­ genics/psychometrics and psychoanalysis. Each of

The term is used to describe an

these schools claimed to have discovered the basic

academic discipline as well as a professional activ­

principles for building a scientific and unified sci­

psychology

ity. Academic psychologists are engaged in the sys­

ence of psychology, but they disagreed profoundly

tematic study of behaviour and/or mental life.

about these principles. In short, they possessed

They have used a variety of different theories

different philosophies of psychology.

and methodologies to this end. Although the ma­ jority of academic psychologists have sought to make their discipline a scientific one, there have been fundamental disagreements about the nature of psychological enquiry. Professional psycholo­ gists have been involved in a number of different activities, such as the diagnosis and treatment of mental or behavioural problems and the selection of individuals for industrial and educational pur­ poses. Professional psychologists typically have studied academic psychology; they normally pos­ sess further professional qualifications, enabling them to practise, for example, as clinical or educa­ tional psychologists. The majority of academic psychologists have not trained to practise profes­ sionally. Psychology, both as an academic discipline and as a professional activity, has firmly established itself during the twentieth century. Nowadays, most universities in the Western world offer spe­ cialist degree courses, yet at the turn of the century there was little formal teaching of psychology. The number of people calling themselves 'psycholo­

Associationism

Dominant in Germany at the turn of the century, associationism concentrated on analysing the con­ tents of mental life. Using laboratory techniques, associationist psychologists were concerned to in­ vestigate the images and mental states experienced under differential experimental conditions. They were particularly concerned to discover the elem­ ents of experience, and especially to break down perceptual experience into its basic components. The

theoretical

assumptions

of

associationists

were to be strongly questioned by gestalt psycholo­ gists. Although the gestaltists agreed with the im­ portance of studying experience, especially by means of laboratory experiments, they stressed the need to consider the whole pattern of perception rather than decompose experiences into their indi­ vidual elements (see GESTALT PSYCHOLOGY) . Behaviourism

In reaction to associationism, behaviourists denied

gists' has greatly increased. For example, the

the validity of studying experience. They sug­

American Psychological Society, founded in

gested

1892,

that

scientific psychologists

should

be

has grown from a small 'learned society' to an

concerned only with outwardly observable behav­

organization currently

iour and they dismissed the study of inner experi­

numbering

over

55,000

members; in keeping with the dual nature of psych­

ence as intrinsically unscientific. All mentalistic

ology, these members include both academics and

concepts were to be rigidly excluded from the

professional practitioners. There are also people

vocabularly of the behavioural psychologist. In the

without the official qualifications granted by the

United States this position was first advocated by

professional organizations, but who claim to be

John B. Watson

psychologists and offer services to the public in

Skinner (born

return for payment.

gramme was developed in the Soviet Union by Ivan

In the first part of the twentieth century, aca­

Pavlov

(1878-1958) and later by B. F. 1904). A similar anti-mentalist pro­

(1849-1936). Both programmes laid great

demic psychologists were concerned to create an

stress on the experimental study of learning, with

independent discipline, which would be separate

Watson, more than Pavlov, emphasizing the role of

from philosophy. Psychologists claimed that they

rewards and punishments. Both behaviourism and

were scientifically examining matters which previ-

Pavlovianism claimed to have discovered through

540

PSYCHOLOGY

careful experimentation the fundamental principles

ever, psychoanalysts argued that the most import­

for changing behaviour. It was suggested that these

ant elements of mental life were the unconscious

principles provided the basis not only for scientific

ones. According to psychoanalytic theory, the mind

psychology, but also for the solution of social prob­

was fundamentally divided: the unconscious, in­

lems: if the principles of learning were discovered,

stinctual part of the mind (the 'id') was in perpetual

then there would be limitless possibilities for

conflict with both the 'ego' (conscious, rational

changing behaviour by altering the environment

elements) and the 'superego' (the sense of con­

(see BEHAVIOURISM).

science). Psychological disturbances such as neur­

Eugenics/psychometrics

conflict between the unconscious instinctual forces,

oses and lapses of memory could be traced to the

This school of thought owed much to the early work ofFrancis Galton (1822-1911) and has had a major impact on the development of British psych­ ology. Unlike behaviourism this school of psych­ ology assumed that the possibilities for changing behaviour were strictly limited by genetic inherit­ ance. Not only were psychological characteristics assumed to be inherited, but they were also thought to be measurable. Much emphasis was placed on 'psychometrics', or the construction of tests to measure individual differences in personality, intel­ ligence, vocational aptitudes and so on. On the basis of test results, psychologists such as Charles Spear­ man argued that IQ ('intelligence quotient') was largely inherited, and Raymond Cattell produced similar arguments for personality traits. In addition to the argument that some individuals were consti­ tutionally more intelligent than others, there were also racial themes: it was alleged that some 'races' were more or less intelligent than others. This school of psychology has been less optimistic than behaviourism in its approach to social issues: be­ cause psychological characteristics were presumed to be genetically fixed for the most part, social problems would not be solved by changing the environment. Some psychologists advocated eu­ genics, suggesting policies which restricted the breeding patterns of the 'less fit' and encouraged the 'most fit' to reproduce. These themes, together with those of racial and individual differences, were taken up in the 1930s by fascist politicians (see EUGENICS; INTELLIGENCE TEST).

especially sexuality, and those of the ego and super­ ego. Psychoanalytic therapy aimed to give the pa­ tient insight about their unconscious mental life. Freud also proposed a psychoanalytic social psych­ ology which tried to explain the growth of civiliza­ tion in terms of the child's repressed feelings towards parents. (See PSYCHOANALYSIS.) The four schools of thought represented com­ peting visions of what psychology should be like. Although they agreed that psychology should be a science, they proposed very different methods for conducting psychological enquiry. Moreover, each suggested that psychologists should study different phenomena: conscious experience, behaviour, gen­ etic abilities, unconscious feelings. In addition, the schools proposed very different types of training for professional psychologists, and envisaged dissimi­ lar roles for them within society. Within the world of academic psychology, the period from 1930 to 1960 saw the steady triumph of the behaviourist school, especially in America. The major journals of psychology reflected a grow­ ing preoccupation with behavioural experimenta­ tion and with the processes of learning. The analysis of experience was increasingly considered to be old-fashioned, even prescientific, as psycholo­ gists sought to discover experimentally the behav­ ioural responses to stimuli. Since the aim was to construct a general stimulus-response psychology, it mattered little whether the experimental subjects were humans. There was a growth of animal experi­ mentation

as

psychologists

accumulated

vast

amounts of laboratory data about the frequency with which hungry rats press levers in pursuit of

Psychoanalysis

food.

This school of psychology is associated with the

The triumph of behaviourism was by no means

work of Sigmund Freud (1856-1939), who, in

absolute or universal. The psychometric tradition

Vienna at the turn of the century, formulated both

remained strong, especially in Britain and in parts of

a theory of mind and a therapeutic practice. Like

America, where A. R.Jensen has continued to argue

itself

that Afro-Americans are genetically less intelligent

with the mental life of individuals rather than

than whites. Psychometric tests were much in

with overt, measurable patterns of behaviour. How-

demand from educationalists, industrialists and

associationism,

psychoanalysis

concerned

PSYCHOLOGY

541

military authorities, who wanted convenient and

humanistic, feminist and discursive psychologies

scientifically warranted procedures for classifying

have advocated methodologies that have been ex­

large numbers of people. Moreover, this period saw

plicitly antiexperimental.

the publication of some classic works of gestalt

In the past twenty-five years, cognitivism has

psychology, which directly analysed experience

replaced behaviourism as the major movement in

and criticized the philosophy of behaviourism.

psychology. Cognitive psychologists, unlike behav­

During the behaviourist heyday, psychoanalysis

iourists, seek to elaborate the internal mechanisms

was largely a peripheral interest within universities.

of thought. They often do so by constructing hypo­

However, psychoanalysts tended to earn their

thetical models of internal cognitive processes. Ori­

living as therapists rather than university teachers,

ginally, cognitive psychology was stimulated by

and they established their own professional organ­

developments in information technology, as early

izations. During the 1930s the American psycho­

cognitive psychologists saw the brain as a system

analytic movement was considerably augmented by

that processed information (Newell and Simon,

the arrival of a number of eminent Jewish refugees,

1972). Much effort was devoted to constructing

fleeing from Nazi persecution in Germany and

computer models to show how the visual system

Austria. Despite intellectual and other prejudices,

might

these refugees succeeded in shifting the major focus

1982). Like the computers of the time, the early

of psychoanalysis from Europe to the United

cogmtlve

States.

through one program at a time in a predetermined

The growth of behaviourist psychology com­ cided with another development within psych­

process

perceptual

models

manner (see

operated

information serially,

(Marr, running

)

ARTIFICIAL INTELLIGENCE .

Recent cognitive psychology has been based on

ology, which ensured that in the long run no

the idea of Parallel Distributed Processing (PDP) or

single system, neither behaviourism nor any other,

'connectionism'. Such models recognize that the

would attain complete dominance. There was a

nervous system processes vast amounts of infor­

growth and separation of specialisms. These in­

mation simultaneously. The 'neural networks' of

cluded physiological psychology, drawing on new

PDP models aim to show how the same units of

advances in neurology and biochemistry, and seek­

processing can be used for very different functions.

mechanisms

The networks, which such models hypothesize, are

underlying psychological processes; child develop­

characterized by a degree of flexibility and uncer­

ment, pioneered by the Swiss psychologist Jean

tainty that was not to be found in the rigid pro­

ing

to

identify

the

physiological

Piaget (1896-1980), who analysed the stages of

gramming of the early serial models. Adherents of

children's mental development; and social psych­

connectionism claim that cognitive science is on the

ology, which was intellectually closer to the social

brink of discovering the secrets of thought that have

sciences than the biological ones. New journals

baffled philosophers for ages (Lakoff and Johnson,

were established for these subdisciplines, and tech­

1999). Critics have argued that 'connectionism'

nical vocabularies were developed. No longer was it

cannot account for the way that speakers use gram­

possible for a single individual to be acquainted

matical rules (Pinker, 1994) or, more generally, that

with, let alone understand, all the developments in

cognitive psychology fails to study how people

psychology. As psychology became more diffuse,

speak in ordinary social life (Edwards, 1997). The

the prospects for an integrated discipline, unified

critics also stress that the 'neural networks' of cog­

around a single theoretical perspective, became

nitive models tend to be hypothetical models, rather than descriptions of actual physiological

more remote. Some of the developing specialisms were directly

systems. Some cognitive psychologists are at­

influenced by nonbehaviourist ideas. Social psych­

tempting to remedy this by linking experimental

ologists, seeking to understand the structure and

studies of thinking more closely with neurophysio­

function of attitudes, developed ideas from gestalt

logical findings; for instance, such psychologists

psychology. In the 1960s, linguistics provided an

have been studying the cognitive abilities of pa­

impetus for the development of psycholinguistics.

tients with particular, localized brain damage. Al­

However, most of these specialisms were commit­

though the claims of cognitive theorists continue to

ted to the sort of experimental methodology that

attract controversy, there is no doubt that the cog­

had

There

nitive movement has affected wide areas of psych­

was also a critical reaction against experimentalism:

ology. For instance, in the past twenty years the

been pioneered

by behaviourism.

542

PUBLIC CHOICE

study of 'social cognition' has been at the forefront

behavioural characteristics tend to be much more

of social psychology, just as developmental psych­

circumspect

ologists have concentrated on examining cognitive

PSYCHOLOGY). Generally, the demand for books of

development.

popular psychology continues to grow. Academic

and

technical

(see

EvoLUTIONARY

The direct influence of psychological ideas

psychologists may be concerned about some of the

on social theory has not been as great as might

ideas that are marketed as 'psychology', but there

have been expected. Cognitive science has had a

can be little denying the social significance of

negligible impact on the wider social sciences. In

psychology in the contemporary world.

this respect, it resembles behaviourism. The his­ tory of psychoanalytic ideas tells a different story.

Reading

Despite occasional attempts by psychologists to

Anderson, J. R. 2000: Cognitive Psychology and its Impli­

reformulate and reclaim Freudian ideas (Billig, 1999), psychoanalysis had been more influential outside, rather than inside, academic psychology. For instance, some left-wing social theorists sought to unite Freudian and Marxist theories (see FRANK­ FURT SCHOOL). In recent years, the unorthodox

cations.

Ash, M. G. and Woodward, W. R. eds 1987: Psychology in Twentieth-Century Thought and Society.

Danziger, K. 1997: Naming the Mind: How Psychology Found its Language.

Freud, S. 1917 (1991): Introductory Lectures on Psychoanalysis.

French psychoanalystJacques Lacan has been par­

Frosh, S. 1997: For and Against Psychoanalysis.

ticularly influential in social and literary theory.

Lakoff, G. andJohnson, M. 1999: Philosophy in the Flesh.

Mainstream psychologists, if they were to read

Richards, G. 1997: 'Race', Racism and Psychology.

Lacan, would find his language woefully foggy

Schacter, D. L. 1996: Searching/or Memory: the Brain, the

and his ideas lacking any empirical validation.

Mind and the Past.

MICHAEL BILLIG

However, ideas from the wider social sciences do sometimes percolate into academic psychology; for instance, within social psychology there is a grow­

psychology, gestalt

See GESTALT PSYCHOLOGY

ing movement of 'social constructionists' who are incorporating ideas from postmodernist sociology

psychology, social

See SociAL PSYCHOLOGY

(Gergen, 1994). Psychological ideas have had a great impact on society though professional practitioners. Clinical

public choice

People behave in much the same

way whether they are acting in markets or political

psychology is firmly established as a profession,

office or the civil service: they pursue their self­

with many clinical psychologists today using both

interests. This is the arresting premise of a theory

behaviourist and cognitive notions in their treat­

that attempts to unify politics and economics by

ments. The theory and practice of education has

providing what is also sometimes known as an eco­

been influenced by developmental psychology in

nomic theory of politics. This application of the

general and by Piagetian theory in particular. Ad­

rational choice model has had a powerful impact

vertisers are often familiar with social psychological

on both the theory and practice of modern politics.

theories of attitude change; personnel managers

Notably, it has fuelled arguments for the extension

regularly apply standard psychological tests. Over

of constitutional restraint on government through

and above such direct influences, there has been a

its analysis of 'government failure'.

more diffuse impact of psychological notions on

Public choice theory began with a revival of 19 57;

ordinary, nonspecialist ways of thinking. Technical

interest in voting systems (see Downs,

phrases have passed into lay vocabulary: extrovert,

Black, 1958). Two insights, in particular, became

IQ, neurotic, 'Freudian slip' and so on. Newspapers

building blocks in the public choice school. First,

and magazines are often keen to present popular

the possibility of cycling in voting systems was

psychological features. Currently there is a vogue

(re)discovered and this helped undermine the trad­

for genetic ideas that, for instance, claim to link

itional idea that government action reflected 'the

contemporary male behaviour to the evolution of

will of the people' (see SociAL CHOICE and the

'hunting instincts' or female behaviour to 'maternal

discussion of the Arrow Impossibility Theorem).

instincts'. This sort of psychologizing is much more

In part as a consequence, public choice theorists

popular in the mass media than in the academic

now adopt a version of the contractarian approach

journals, where theories about the genetic basis of

to government (Buchanan, 1974). Thus they argue

PUBLIC SPHERE

543

that there are only individuals (as distinct from

competition through opting-out, tendering, privat­

some 'group mind' or a 'general good' which gov­

ization and the like.

ernment might reflect); and

the authority of

Some may want to jib at the precise informa­

government comes when individuals establish it to

tional assumptions, and at reliance on the model of

resolve their differences as part of a constitutional

'utility' maximizing individuals (see also UTILITAR­

settlement which enables them to live advanta­

IANISM ). But few doubt that the recognition of'gov­

geously together.

ernment failure' has proved an important corrective

Secondly, it was recognized that information is

to a common view (in economics, at least) which

costly to acquire. This insight combines dramatically

simply held that the government would act to com­

with the assumption that political actors pursue their

pensate for 'market failure', once identified. Never­

own self-interests to produce the prospect of 'gov­

theless, it should not be forgotten that markets do

ernment failure' -that is, government which fails to

fail, and hence the real questions in public choice

behave as an institution of mutual advantage. For

theory now relate to how different constitutional

example, politicians attempt to maximize their

regimes affect the relative incidence and size of

chances of re-election by responding to electors

'market' and 'government' failures.

who, given the costs of acquiring information, are

See also SociAL CHOICE.

more aware of issues directly relevant to their inter­ ests (like particular expenditure programmes and taxation levels) than those of more indirect and less immediate interest (like the state of public finances and future debt service). The result, in the absence of any constitutional constraint, is a bias towards high expenditure, low taxes and public deficits (see Buchanan and Wagner,

1977).

Likewise, the polit­

icians' poor knowledge of the actions of their bur­

Reading Black, D. 1958:

The Theory of Committees and Elections. The Limits of Liberty: Between the Anarchy and Leviathan. Buchanan, J. and Wagner, R. 1977: Democracy in Deficit: the Political Legacy ofLord Keynes. Downs, A. 1957: An Economic Analysis ofDemocracy. Tullock, G. 1965: The Politics ofBureaucracy.

Buchanan, J. 1974:

SHAUN P. HARGREAVES HEAP

eaucrats leaves scope for the pursuit of bureaucratic self-interests; and these are likely to be best served, under the reward systems of most civil services,

public sphere

through the growth of their departments (see Tul­

public and private goes back to Greek and Roman

Although the distinction between

Hence, inadequate information here

times, the concepts of the public sphere and of

fuels excessive bureaucratic growth and this, in

publicity are intimately linked to eighteenth-cen­

turn, interacts with the phenomenon noted earlier

tury conceptions of CIVIL SOCIETY. Twentieth­

to create a growing constituency of voters whose

century

immediate interests also favour a large public sector.

concerned with what is seen as excessive'privatism'

lock,

1965).

Thus the scene is set for a modern Leviathan

social

thought

has

continued

to

be

(see PRIVACY) and a corresponding decline of public

(1962) argued that publicity

which has neither the capacity nor the inclination to

life. Ji.irgen Habermas

satisfy the needs of its citizens; it is out of control

as a critical principle, the opening-up of public

and the need for reform is all the more pressing

affairs to discussion by concerned citizens, had

because the growth of government also encourages

given way to a manipulated public opinion, while

rent-seeking activity. (Rents in this sense are

Richard Sennett (1978) diagnosed The Fall ofPublic

created, for instance, through government actions

Man.

that create monopolies of one kind or another, as

FEMINISM has both documented the gender bias

when certain activities are licensed by government,

in the distinction between 'public man' and'private

or when public pay exceeds the private counterpart.

woman'

Such rents encourage individuals to invest re­

public/private

sources wastefully in actions which are designed

slogan that 'the personal is political' has been com­

to increase their chances of acquiring the titles to

plemented by research showing, for example, that

them.) There is an obvious solution: the constitu­

the nineteenth-century 'private sphere' not only

(Elshtain,

1981)

and

questioned

distinction itself. The

the

feminist

tional restraint on government action. Specifically,

lacked privacy but was a major area of economic

for instance, there should be requirements to bal­

activity (Davidoff, 1979), and that women are not so

ance the budget, a monetary constitution, and bur­

much uninterested in 'public', political life as

eaucracies should be exposed to the forces of

excluded from it and, where they are present, over-

544

PUNISHMENT

looked (Siltanen and Stanworth, 1984). As Marx

punishment- the legal process whereby violators of

implied in his critique of Hegel, the pathologies of

the criminal law are sanctioned in accordance with

the public and private spheres can reinforce rather

specified legal rules and procedures, and undergo a

than mitigate one another, as when a politicized

punishment which is administered by state officials.

private sphere which is made the object of 'moral

It is thus judicial punishment which has formed the

panics' and legislation (Donzelot, 1977, 1984) coex­

focus of attention for most modern thinking about

ists with a personalized and degraded political

punishment, although the behavioural effects of

sphere, whose dissatisfactions are in turn relieved

punishment in other contexts have been the subject

in the 'niches' of private life. These ways of think­

of much psychological research.

ing about the relation between public and private are also affected by an overdue recognition of the importance of the MA SS MEDIA (Thompson, 1990,

The philosophy ofpunishment Because judicial punishment entails the deliberate

esp. pp. 238-48).

infliction of harms by state officials on individual

Reading Alejandro, R. 1993: Hermeneutics, Citizenship and the

Public Sphere. Calhoun, C. ed. 1992: Habermas and the Public Sphere. Elshtain, J. 1981: Public Man, Private Woman. Habermas, J. 1962 (1989): The Structural Transformation

of the Public Sphere. Keane, J. 1984: Public Life and Late Capitalism. Sennett, R. 1978: The Fall ofPublic Man. Siltanen, J. and Stanworth, M. 1984: Women and the Public Sphere. WILL! AM OUTHW AITE

citizens, it is a social practice which is susceptible to criticism and has need of legitimation. A large philosophical literature has developed around the issue, setting out justificatory arguments for the institution, identifying circumstances in which penal power may be exercised and describing the proper

purposes

which

punishments

should

pursue. The major debate here tends to be between utilitarian and deontological approaches to the problem. The former argues that punishment is itself an evil and is justified only when, and in so far as, it can produce useful effects- such as social

punishment

To punish is to impose a penalty in

defence or the prevention of future crime (see also

response to and in condemnation of a rule violation.

CRIME AND DEVIANCE). Deterrence, incapacitation,

The process of punishment is thus the deliberate

reformation and denunciation are thus acceptable

imposition of some form of hard treatment and

objectives on this view and should be used to the

stigmatization on an agent deemed responsible for

extent that they can be shown to be effective. Against

violating a norm. Penalties which lack any element

this, the rival position claims that punishment is

of condemnation - such as library fines - are not,

justified as the proper response to certain evils be­

strictly speaking, punishments. Nor are measures

cause justice, or natural law, or the social contract

such as 'preventive detention' which are imposed

demands that crimes be avenged and appropriate

on the basis of predicted future conduct rather than

retribution be exacted. The purpose of punishment

past offences. The status of compulsory measures

should therefore be to ensure proper retribution or

of care and treatment, where these are imposed in

'just deserts', such retributive measures being mor­

response to deviant conduct - for instance by a

ally imperative whether or not they can be shown to

juvenile court- is ambiguous. Such measures may

be instrumentally useful.

be experienced as punitive and stigmatizing be­

In practice, penal measures and institutions usu­

cause of their context or use, even though they

ally claim to pursue several of these aims simultan­

aim to provide help or therapy for the recipient. Punishment occurs in a variety of social con­

eously, though empirical research suggests that only the more negative aims (retribution, denunci­

texts, and in one form or another is probably an

ation, incapacitation) can be pursued with any like­

intrinsic property of all settled forms of human

lihood of success. Attempts to achieve reformative

association. Families, schools, workplaces, net­

ends by means of penal sanctions have not suc­

works of friends or even nation-states all punish

ceeded in more than a small minority of cases.

their deviant members from time to time, using

Similarly, although the existence of a penal system

sanctions which can range from a mild rebuke to a

which enforces social norms does produce a basic

full-scale military assault. However, the central

deterrent effect (as compared with no enforce­

case of punishment in modern society is judicial

ment), the deterrent effects of specific sanctions,

PUNISHMENT

545

or specific levels of sanctioning, appear to be se­

usually by exploring the social functions and deter­

verely limited. Rational, calculating offenders who

minants of punishment and the ways in which penal

believe it likely that they will be apprehended and

institutions are related to broader social configura­

punished and for whom that risk is unacceptable are

tions. Emile Durkheim argued that punishment

the best targets for deterrence.

represents a collective response to acts which vio­ late the shared sentiments and values of society. It is a passionate reaction which expresses collective

The practice ofpunishment For much of the twentieth century, penal systems espoused to a greater or lesser degree a 'rehabili­ tative' ideology

which

insisted

that

offenders

should be dealt with in a positive, reformative way, adapting measures of treatment and training to their individual needs and disregarding punitive concerns. Characteristically, there was the intro­ duction of more refined modes of assessing and classifying offenders, an extended repertoire of spe­ cialized institutions, legislation to allow indeter­ minate sentencing and the employment of experts at key points in the system. This 'penal welfare' approach never fully displaced older concerns with punishment and just deserts, not even in the sphere of juvenile justice where treatment philosophies were best established. Since the 1960s there has been a marked turn away from the rehabilitative approach and a revival of an explicit concern with retributive and deterrent concerns on the part of policy-makers, politicians and criminologists (see also CRIMINOLOGY). Contemporary systems of punishment utilize a diversified range of sanctions, providing a hierarchy of measures which allows a scale of severity to­ gether with a horizontal set of alternatives adapted to different types of offenders. These include fines, community service orders, various forms of super­ vision (which can be geared towards counselling and support or towards surveillance and control), psychiatric orders, custodial sentences of one kind or another and, in some jurisdictions, judicial exe­ cution. There is great diversity in the patterns of sanctioning and levels of punishment experienced by countries which are in other respects (including crime rates) very similar. Rates of imprisonment are, for example, subject to enormous variation, both between states and within the same jurisdic­ tion over time. Similarly, the levels of punishment deemed appropriate for particular offences can vary markedly from one nation to another.

The sociology ofpunishment

feelings and at the same time reaffirms the force of social mores. The rituals of punishing are thus one means whereby the moral order is upheld, social solidarity is reinforced and the boundary between acceptable and unacceptable conduct is redrawn (although, as G. H. Mead pointed out, this form of solidarity is based on hostility and can promote intolerance). On the Durkheimian view, punish­ ment forms an important element within society's moral circuitry, and the form and intensity of penal sanctions will be determined by the character of society's moral life. Advanced societies, featuring an extended division of labour, diversified moral codes and a commitment to the values of liberal individualism, are thus more likely to develop more lenient systems of punishment, organized around the deprivation of individual liberty. In contrast, Marxist interpretations portray pun­ ishment as an instrument of state control, function­ ing

repressively and

ideologically to

preserve

ruling-class dominance, and being shaped primarily by the MODE OF PRODUCTION. The centrality of the fine in modern penality; the emphasis on labour in prisons; the principle of 'less eligibility' which insists that prison conditions must be set below those of the poorest classes in society; even the idea that offences should be 'exchanged' for an equivalent penalty, measured in abstract units of time - all of these characteristics are cited as evi­ dence that punishment is shaped as much by the structures of market society as by the requirements of crime control. The most recent interpretation of punishmentdeveloped by Michel Foucault - emphasizes the 'disciplinary' and 'normalizing' aspects of modern penal methods, and highlights the ways in which an increasingly knowledgeable penal apparatus is able to exert deeper and more positive forms of control on those caught up in the system. Punishment here is viewed as a form of power and governance, oper­ ating by means of detailed principles of surveillance, inspection and individuation, its concern being less to 'punish' offenders than to mould their behaviour

Sociological and historical research has endeav­

and to manage the risks that they collectively repre­

oured to explain these variations in penal patterns,

sent. The 'panoptic' regime of the modern prison-

546

PUNISHMENT

which subjects individual inmates to continual sur­

such criticism has had so little impact on modern

veillance in order to identify and correct any devi­

penal systems is one reason why so much attention

ance from institutional norms -is taken to represent

is currently being given to the social dynamics

a model of the kinds of'power-knowledge' relations

which underlie the institution of punishment.

that are prevalent in contemporary society. It is widely recognized that, as a control tech­ nique, punishment has serious limitations. Psych­ ologists point out that positive reinforcements are often more effective means of shaping conduct, that the effects of punishment are often shortlived, and that the recipients of punishment tend to build up a resistance to it. Similarly, criminologists argue that the capacity of the penal system to transform indi­

Reading Christie, N. 1982:

Limits to Pain. Visions ofSocial Control. Durkheim, E. 1893 (1984): The Division of Labour in Society. Foucault, M. 1975 (1977): Discipline and Punish. Garland, D. 1990: Punishment and Modern Society. Cohen, S. 1985:

Mead, G. H. 1918: The psychology of punitive justice.

more on alternative methods of handling social

American Journal ofSociology 23, 577-602. Punishment and Social Structure. Sharpe, J. A. 1990: Judicial Punishment in England. Walker, N. 1980: Punishment, Danger and Stigma.

conflicts and troublesome individuals, such as me­

DAVID GARLAND

viduals or to reduce crime rates is severely re­ stricted. Critics of punishment argue that criminal justice should rely less on a punitive response and

diation, reparation and crime prevention. That

Rusche, G. and Kirchheimer, 0. 1968:

R This concept as it has been popularly used

lowish tinge and in most cases there is a fold of

in politics has had profound effects on recent world

skin (the epicanthic fold) overhanging the eye

race

history. The National Socialists in Germany be­

opening. Negroids have dark brown skin. Their

lieved in the existence of a superior Aryan race as

hair is of the tightly curled 'peppercorn' sort.

well as in the existence of inferior races. They also

They have little bodily hair. Their heads tend to

regarded the Jews as a race and proceeded to try to

be long, the nose is frequently flattish with wide

exterminate them. In South Africa in recent times

nostrils, the lips are usually thick and everted

the political domination of whites has been justified

and there is a slight forward projection of the

in terms of a doctrine of racial superiority of whites

upper jaw. Caucasoids have a variety of hair

over blacks. In many other countries there have

forms. Hair on the face and over the body is

been similar if less dramatic developments in

well developed. Skin colour varies from white

which the struggle between ethnic groups has seen the emergence of theories that these groups are

to brown. The nose is narrow and lips are thin.

4

Many subgroups may be distinguished within

races. The implication of the use of the term race

these major groups, but there is far less agree­

in all of these cases is that the factual inequalities

ment among anthropologists about their distin­

existing between groups are inevitable because they are naturally given. Such views, however, are at

guishing characteristics.

5

odds with scientific knowledge.

In making these classifications the only charac­ teristics which anthropologists use as a basis for

1950 UNESCO called together a meeting of

classification are physical and physiological.

experts to review what was known scientifically

According to present knowledge there is no

In

about races and to indicate how the term 'race'

proof that the groups of humanity differ in

should

their innate mental characteristics, whether in

be

used

scientifically

(see

Montague,

1972). This experts' committee reached the following conclusions:

respect of intelligence or temperament.

6

Social and cultural differences between groups are not genetically determined and social and

All human beings belong to the same species,

cultural development have been independent of

homo sapiens; they are also probably derived from the same stock. The differences which

changes in inborn constitution.

7

The different racial groups are capable of inter­

exist between groups of humans are due to

breeding and producing fertile offspring. There

'isolation, the drift and random fixation of ma­

is no evidence, moreover, that interbreeding

terial particles which control heredity (the

produces results which are bad from a biological

genes), changes in the structure of these par­

point of view.

ticles, hybridization and natural selection'.

2

Homo sapiens is made up of a number of popula­

The final and most important conclusion however

tions each of which differs from the others in the

is stated as follows:

frequency of the occurrence of one or more genes.

3

The larger distinguishable populations have

All normal human beings are capable of

been referred to as races and there is some

learning to share in a common life, to under­

agreement among anthropologists that human­

stand the nature of mutual service and reci­

ity can be divided into three major groups: (a)

procity and to respect social obligations and

the Mongoloid; (b) the Negroid; and (c) the

contracts. Such biological differences as

Caucasoid. Mongoloids have lank hair and rela­

exist between members of different ethnic

tively sparse bodily hair. Their skin has a ye!-

groups have no relevance to problems of

548

RACE

social and political organization, moral life and communication between human beings. (in Montagu, 1972) Quite clearly then there is no justification in biological science for the popular usage of the term race. We should not speak of Germans, French and British, or Protestants, Muslims and Jews as races. These are in fact national, religious, or ethnic groups (see ETHNICITY ) bound together by political organization and shared culture. Nonetheless, even if it has no justification, the existence of the popular usage of the term race does raise problems for the sociologist. There is a differ­ ence between situations in which ethnic and na­ tional groups simply interact with one another and those situations in which this interaction is seen as a racial one. In these latter situations an element of RACISM is present. Several sociologists have sought to explain the popular usage of the term race and the existence of racism by defining 'race relations' or race relations situations. The first of these is van den Berghe ( 1978) who sees race relations as one of the bases on which social systems make 'invidious distinctions' between individuals. Such invidious distinctions lead to the emergence of status systems. Race relations exist where the invidious distinctions are based on differ­ ences of phenotype (physical appearance). Rex (1983, 1986), on the other hand, suggests that a race relations situation may occur not merely between groups distinguished by phenotype but between any groups in certain conflict situations if the differences are explained in terms of racist the­ ories. Thus he argues that a race relations situation has three aspects:

2

3

The situation is one of severe competition, ex­ ploitation, oppression or discrimination, going beyond that to be found in free market situ­ ations (free markets being seen here as produ­ cing class rather than race relations situations); The relations which exist are between bounded groups and it is impossible or at least very difficult for an individual to move from one group membership to another; The whole system is justified by dominant groups in terms of some sort of deterministic theory, usually of a biological kind.

It is to be noticed here that neither in the definition of the kinds of groups involved nor in the theories

referred to in the third part does Rex confine him­ self to phenotypical or even biological factors. What he seeks to do is to emphasize that 'deterministic' theories and especially racist theories of the bio­ logical sort arise when the basic group relationship is severely conflictual. This draws attention to an important aspect of the popular usage of the term 'race', namely that it arises in conflict situations and is used to justify the dominance of a particular group. This definition of a race relations situation, how­ ever, involves a deliberate overemphasis in order to bring together all the many kinds of situation which are popularly thought to be based on race. It includes the situation of the Jews in prewar Germany and that which prevails between Cath­ olics and Protestants in Northern Ireland, not be­ cause it accepts that the groups involved here are races in a scientific sense, but because they are sometimes popularly described as races (in the latter case, in Northern Ireland itself), and the situations have much in common with conflictual situations between groups distinguished by pheno­ type. This point having been made, however, and with the recognition that race relations situations are always involved with severe 'competition, conflict, exploitation, oppression or discrimination', it might nonetheless clarify matters if it were recog­ nized that two types of groups, one distinguished by phenotypical, the other by cultural, characteris­ tics, may be involved. The essential point made by Rex was that 'race relations situations' always re­ ferred to situations of conflict rather than of harmo­ nious cooperation. The general view amongst sociologists, however, would be that it is worth­ while distinguishing those situations in which phenotype was involved as the true race relations situations and recognizing a separate category of situations of ethnic conflict. But with this said, it has still to be noticed that both race relations situations and ethnic relations situations may be justified by dominant groups in terms of deterministic theories, including racial ones. What the popular usage of the term race does is precisely to extend the usage of the term to cover situations based on cultural difference. From a sociological point of view it is important to recog­ nize that there is a group of conflictual situations which are marked by racism. These are race rela­ tions situations even though the groups involved are not in a scientific sense races.

RACISM

549

As a later meeting of experts called by UNESCO

In summary, what may be said in definition of

recognized, one of the main types of situation

the term race is that correctly used in a scientific

giving rise to racist definitions is that which derives

sense it is a taxonomic term of limited usefulness. It

from colonialism (both UNESCO statements, of

has no relevance to the explanation of political

1953 and 1967, in Montagu, 1972). Such definitions

differences among human beings. The popular use

are particularly evident in what Furnivall (1939)

of racist terminology, however, does mean that

and Smith (1963) have called plural societies.

there are many situations in which physically and

Such societies, according to Furnivall, involve cul­

culturally distinguishable groups are defined as

turally distinct groups which come together only in

races, and where such definitions exist we have

the marketplace, so that, whereas relations between

what may be called race relations situations, even

individuals within any group are harmonious and

though the groups involved are not races in a scien­

cooperative, relations between groups are brutal

tific sense.

and oppressive. According to Smith, on the other hand, each of the groups has a nearly complete

Reading

institutional system in itself, but the political insti­

Furnivall, J. S. 1939: Netherlands India: a Study ofPlural

tution binds them together under the domination of one group. These are the sorts of situations which Rex refers to as being marked by severe competi­ tion, conflict, exploitation, oppression and discrim­ ination and they nearly always give rise to racist definitions producing race relations situations. If colonialism is peculiarly productive of racism,

Economy. Montagu, A. 1972: Statement on Race. Rex, J. 1983: Race Relations in Sociological Theory. --1986: Race and Ethnicity. Smith, M. G. 1963: The Plural Society in the British West lndies. van den Berghe, P. L. 1978: Race and Racism: a Compara­ tive Perspective.

however, it is not the only circumstance under

JOHN REX

which it might occur. Another common situation Any set of beliefs which classifies hu­

occurs when societies with ongoing systems of class

racism

and class conflict attract immigrants who enter the

manity into distinct collectivities, defined in terms

society on less favourable terms than the lowest

of natural and/or cultural attributes, and ranks

native-born class. These immigrants may then

these attributes in a hierarchy of superiority and

form what is sometimes called an underclass and

inferiority can be described as racist. Under social

be subject to more severe exploitation and oppres­

and political conditions favourable to them, these

sion than that experienced in the labour market by

beliefs are associated with sets of discriminatory

native-born workers (see MIGRATION). Very often

practices and institutions which favour one such

in these circumstances the immigrants may be

collectivity over another, in line with the supposed

defined as racially different by dominant groups.

difference and superiority.

Such distinctions may rest on a recognition of

'Racism' is a European notion, which came into

physical differences but also occur when distinc­

use in the 1930s to designate the beliefs and prac­

tions are cultural, resting on the false assumption

tices of the Nazi regime in Germany, based on the

that mental and cultural characteristics are bio­

alleged superiority of the 'Aryan' race, the import­

logically inherited. Finally there are other situ­

ance of racial 'purity' and the consequent policy of

ations in which a racial or ethnic group is not an

'purification' which culminated in the horrors of

underclass but performs an unpopular pariah role

the Holocaust (see ANTI-SEMITISM; NATIONAL So­

in the society, as classically, in the case of the Jews

CIALISM). In that instance, racism was directed pri­

in medieval Europe and amongst secondary Indian

marily (but not exclusively) against Jews. The ideas

or Lebanese traders in colonial societies. In times of

behind this hostility formed a system of classifica­

political, economic and social stress such a group

tion of 'races' on the basis of supposedly distinct

might become a scapegoat for the society's ills. If it

biological constitutions, which in turn had attached

does, even if the group is an ethnic group rather

to them distinct moral and cultural qualities. Subse­

than a racially distinct population, it may be subject

quently, 'racism' has been generalized to designate

to racist definition and the scapegoating situation

other ideas of systematic group differences of super­

becomes one of race relations as defined above. This

iority/inferiority, most commonly those which

is what happened in the case of European Jews in

relate to black/white relations in South Africa, the

Nazi Germany.

United States and Western Europe.

550

RACISM

'Racism', of course, is linked to the notion of

tific status of the concept of 'race'. Their conclu­

RACE as a principle of classification of humanity.

sions were that there was no scientific basis for

This notion has been highly variable in content,

racial theories. This view was facilitated by devel­

following the political and cultural contexts of its

opments in biological science, especially genetics,

use. In the earlier periods of European history, prior

in terms of which classifications on the bases of

to the eighteenth century, 'race' referred generally

'phenotypical' characteristics like skin colour are

to national 'stock', say French as distinct from Eng­

arbitrary (Montagu, 1972).

lish, each having particular attributes, customs and

Reactions to the Nazi horrors made 'racism' into a

traditions. One can only speak of 'racism' in this

label of moral and political disapprobation. The near

context in general and vague terms of 'national

consensus of scientific opinion on the invalidity of the

pride'. Overriding this differentiation between

concept of'race' undermined the credibility as well as

European nations was distinction, on the basis of

the respectability of racist beliefs. To some writers on

religion, between Christian and heathen. The main

the subject, this signified the end of biological racism,

non-Christian adversary was the world oflslam. As

and therefore of racism as such, though not of'ethno­

such, negative stereotypes of others were formu­

centrism' (Banton, 1970, pp. 31-2). Others have

lated on the basis of religious difference, and the

disagreed with this conclusion (Miles, 1989, pp.

assumptions of moral and cultural superiority and

42-8). First, the demise of biological classifications

inferiority which followed from these differences.

at the intellectual and official levels did not lead to

The main modern notion of race, however, de­

their extinction at the levels of popular culture and

veloped in the eighteenth and nineteenth centuries,

'commonsense'

based on the idea of biologically distinct types of

racism is not the only possible form: there are many

humanity.

beliefs and ideologies in the modern world which

European geographical explorations,

knowledge.

Second,

biological

and later colonial expansion, heightened curiosity

classify people and evaluate them on the basis of

and interest in different peoples. The later period

cultural and 'ethnic' differences. These beliefs, it is

of this expansion coincided with the intensification

argued, function in similar fashions to biological

of scientific activity and the increasing prestige of

beliefs: whether hostility to Jews or blacks is based

science. Systems of classification and, later, theories

on the belief in their biological inferiority or culturo­

of evolution marked the biological sciences. The

ethnic inferiority makes little difference. Indeed, the

classification of human races was seen as an exten­

terms 'race' and 'race relations' continue to enjoy

sion of this scientific endeavour. On the basis of the

wide currency. On the other side, it is argued that

criteria of classification, rankings were developed of

this wider usage of 'racism' does not distinguish it

orders of superiority/inferiority, in which the

from 'ethnocentrism' or even nationalism. The ar­

Europeans, naturally, regarded themselves as su­

gument then revolves on choice of definitions, and

perior. However, classifications did not stop there,

the necessity or otherwise of distinguishing between

but were extended into the different European

closely related and, in any case, fluid concepts.

nations. For instance, the negative stereotype of

An important sociopolitical context for the oper­

the Irish in England in the nineteenth century was

ation of racist ideas at present is constituted by

incorporated into this racist classification of differ­

Western

ence and attribution of inferiority.

Caribbean, Asian, North African and Southern

European

societies

containing

Afro­

It was this biological idea of race hierarchy which

European communities originating in waves of mi­

animated the racist thrust of Nazism and fascism in

grant labour in recent history. Political conflicts and

Europe in the 1920s and 1930s. The atrocities com­

communal tensions surrounding this phenomenon

mitted by these regimes in line with their racist

have featured a wide range of racist ideas. Given the

ideologies alerted the liberal world to the dangers

politically and morally negative connotations of

of these beliefs, and, as we have seen, led to the

racism, only a few, generally disreputable ultra­

formulation of the very concept of 'racism'. After

right groups would acknowledge being 'racist'.

the Nazi defeat, liberal world opinion was con­

Most forms of hostility or discrimination against

cerned to ensure that these concepts would never

these 'ethnic groups' are disguised or covert, espe­

again be employed for political purposes. To that

cially when practised by governments and official

end, during the 1950s and 1960s UNESCO con­

bodies. A good example is British immigration con­

vened four meetings of leading scientists (in biology

trols, widely thought to be racist in their effects, but

and the social sciences) to pronounce on the scien-

which nevertheless do not use explicit racial or

RACISM ethnic categories in their legal or administrative specifications. Nevertheless, a new form of explicit ideas on 'race relations', which are thought by some to be racist, are increasingly voiced from respect­ able quarters on the 'New Right'. These ideas assert the common propensity of people to prefer inter­ course with 'their own kind', this being defined in cultural and national terms. It follows that it is desirable to segregate culturally and ethnically different populations in the interests of peace and harmony. Proponents of these views would deny that they are racists: they classify differences of humanity, but without asserting superiority or in­ feriority of different categories, merely the desir­ ability of their segregation. Yet these were the explicit justifications of apartheid in South Africa, now universally condemned. Explanations of racism

Why are hostile sentiments and actions directed against certain groups under particular conditions on the grounds of their supposed natural or cultural inferiority or offensiveness? Various explanations have been advanced. Psychological explanations

551

then, it is argued, there must be systematic social processes which activate and institutionalize these sentiments and actions. Inferiorization of black and Asian communities in the United States and Western Europe, it is pointed out, is the product of a long history of European domination, first in colonial situations where native populations were exploited, then in the metropolitan countries themselves into which they were imported as con­ venient labour, sometimes as slaves, and more recently as migrant cheap labour. The weak eco­ nomic and political position of these minorities renders them vulnerable to racial categorization and 'scapegoating'. This would then serve to legit­ imize their exploitation and disadvantage in the dominant society. Critics of this line of thought have pointed out that the groups in question do not constitute uniform economic or social categor­ ies, but occupy varying positions, ranging from poorly paid workers to prosperous businessmen who are sometimes the employers and landlords of the poorer individuals. A more complex analysis of racism, combining 'class' with the communal factors, is advocated by some writers (for a dis­ cussiOn of these issues, see Miles, 1982 and 1989).

These are framed in terms of patterns of emotional reactions by particular personality types, dubbed in one set of studies in the 19 50s as the 'authoritarian personality' (Adorno et al., 1950), in effect a type of psychopathology generated by certain patterns of childhood experiences. Whatever the merits of this explanation, it cannot account for situations, like that of Nazi Germany, in which a whole political culture, which must include many different personality types, is geared to waging violent racist campaigns.

An examination of the wide and variable range of historical and modern situations of racism would indicate that it is not a uniform phenomenon amen­ able to a common explanation. There are many different phenomena of racism, characterized by the socioeconomic and cultural factors of which they form a part. Explanations of racism must arise from the analysis of each situation.

Social tensions explanations

Banton, M. 1987: Racial Theories.

The idea here is that racism derives from particular social confil cts and stresses which generate the need for 'scapegoats'. Social frustrations lead to general­ ized aggression which cannot be directed against the sources of frustration because they are too powerful or not clearly identifiable. The aggression is then directed against vulnerable minority groups who are blamed for economic and social ills.

Reading Adam, H. 1971: Modernizing Racial Domination. Benedict, R. 1983: Race and Racism. Castles, S., Booth, H. and Wallace, T. 1984: Here for Good: Western Europe's New Ethnic Minorities. Fanon, F. 1961 (1983): The Wretched of the Earth. Husband, C. ed. 1982: 'Race' in Britain: Continuity and Change. Miles, R. 1982: Racism and Migrant Labour: a Critical Text. --1989: Racism. Mosse, G. L. 1978: Toward the Final Solution: a History of

Structural explanations

If certain minority groups are regularly under attack in a whole range of different situations,

European Racism. Rex, J. 1983: Race Relations in Sociological Theory. Zubaida, S. 1970: Race and Racialism. SAMI ZUBAIDA

552

RADICALISM

radicalism

The word is of Latin derivation and

substantive conceptions of a desirable political or

means literally 'of or pertaining to a root or to roots'

social order, however distorted and ambiguous

(OED). Not surprisingly, it has been extended to

those conceptions may have become in the course

mean relating to that which is central, essential,

of nearly two centuries of political contestation over

fundamental, primary, or the source and origin of

their meaning. Because radical as a label is vacuous

any phenomenon. It has, consistently with this

in conveying no concrete image of the institutional

broad connotation, acquired technical meanings in

order it seeks, while simultaneously suggesting ex­

mathematics, geometry, philology, music, botany

treme rejection of whatever exists, it has rarely been adopted as a self-sufficient name by power-seeking

and chemistry. The word or its derivatives came to be applied in

parties and movements. In this it differs from such

politics to what were perceived as far-reaching and

similarly nonspecific all-purpose labels as 'progres­

thoroughgoing reforms, those seeking them, and

sive', 'populist' or 'democratic', the first indicating

their advocacy as a more or less systematic belief

no more than a general predisposition towards

system. This use originated in English politics in

change, the other two merely that they reflect the

the late eighteenth and early nineteenth centuries in

will of the people or the majority. These terms are

the course of the ferment arising out of the French

frequently favoured by vote-seeking parties in

revolution and later became prominent in France as

democratic politics precisely because of their vacu­

well. Radicalism initially referred only to the left in

ity and ability to mean all things to all persons,

politics, that is, to proposals, programmes and

whereas nuances of both extremism and elitism

ideologies advocating change in existing institu­

inescapably cling to radicalism except perhaps in

tions and practices (the left-right distinction itself

times of acute social crisis.

had its origin in the politics of the French revolu­

Nevertheless, the Radical and later Radical So­ cialist Party was the leading political party of the

tion). 'Radical' may be used to characterize either the

French Third Republic and survived into the

content of desired changes, suggesting that they are

Fourth Republic. Similar parties of the same

far-reaching, the methods recommended for achiev­

name and outlook existed in several smaller Euro­

ing them, methods seen as going beyond the con­

pean countries in the first half of the present cen­

ventional norms regulating political conflict, or

tury. The French Radicals laid claim to the Jacobin

both in combination, envisaging a 'totalistic' trans­

heritage of REPUBLICANISM. They were strongly

formation of the political or social order to be

anticlerical, opposed to traditional conservative

attained by armed struggle or violent REVOLUTION.

elites, and also to large-scale capitalism and socialist

'Radical' in this sense is distinguished from 'mod­

collectivism.

erate', 'conventional', and even from 'legal', terms

party by the 1920s, the French Radicals did partici­

that may also be applied both to the ends and to the

pate in the Popular Front government of the left in

means espoused by a political movement. Radical­

1936-7.

Although basically a conservative

ism, therefore, lacks any specific substantive con­

Despite its original restriction to the left, some

tent. It describes an abstract property of a belief or

political tendencies that are in no sense of the left

programme, that of opposing and wishing to re­

have also been described as radical in recognition of

place features of an existing order that are seen as

the truth of the dictum that 'les extremes se touchent'

central and even definitive.

- extremes touch each other.

'Radicalism' resembles such political labels as

Reactionary or

right-wing movements have on occasion resembled

'left', 'right', 'conservative' and 'progressive' in

the revolutionary left in their zealous rejection of

identifying a political viewpoint solely by its atti­

the status quo, their readiness to countenance new

tude towards change or its relation to other political

and even extralegal methods of political advance­

positions. Radicalism suggests a more extreme, ab­

ment, and their disposition to see their political

solute, uncompromising commitment; in addition,

aims as expressions of all-encompassing ideologies

one that is comprehensive, embracing a large

or Weltanschauungen purporting to explain human

number of concrete issues in the sweep of its con­

nature, society and history. The fascist movements

demnation or endorsement. So understood, 'radic­

of the interwar years were called radical, unsurpris­

as

ingly, since they largely patterned themselves on

'liberalism', 'socialism', 'communism' or 'anarch­

the mass movements of the radical left and were

ism', which possess a definite content pointing to

often led by renegade leftists. The term 'radical

alism'

stands

in

contrast

to

such

labels

RATIONAL CHOICE THEORY

553

right' came into use in the 1950s when it was applied

taken for granted some version of Max Weber's

by a number of well-known American political

claim that the spread of instrumental

sociologists and intellectuals to McCarthyism -

throughout all areas of social life was a distinctive

reason

the indiscriminate exploitation by the conservative

feature of the modern West. To the extent that it

former isolationist wing of the Republican Party of

suggests the superiority of the West over other

anticommunist sentiment as a weapon against the

civilizations, this view has been disputed by post­ colonial critics. But it has also been challenged,

Democrats in office and the left in general. When it was coined by Seymour Martin Lipset,

from a very different direction, by the central

the phrase 'radical right' possessed the resonance of

claim of rational choice theory: namely, that the

an oxymoron. It reflected, however, the widespread

greater part of social life can be explained by

sense before and immediately after World War II

means of models of individual rational action. Ra­

that movements such as fascism and communism

tionality has been understood in many different

and

the

ways, but in this case it is understood in utilitarian

McCarthyite tendency in the United States had

terms as a matter of maximizing the satisfaction of

even

paler

reflections of them like

common traits that transcended the 'normal' left­

the individual's preferences. Models of maximizing

right interest cleavages of democratic politics. Rad­

behaviour are widely used in contemporary eco­

icalism, therefore, came to stand for a particular

nomics, and rational choice theory proposes to

style of politics characterized by extreme and con­

extend that 'economic' approach to all areas of

spiratorial images of the enemy and a willingness to

social life, hoping thereby to generate powerful

resort to undemocratic methods of political conflict

explanations on the basis of a few, relatively simple assumptions. Outside of economics proper, influen­

and ones of questionable legality. After the 1950s the older, primarily left-wing,

tial examples can be found in public choice theory

overtones of 'radicalism' were largely restored.

and other areas of political science, in sociology and

Indeed, it was the aim of the NEW LEFT movements

even within academic Marxism.

in the major Western democracies to reinstate the

Rational choice theorists have been particularly

left-right division as the major axis of political

concerned to explore the discrepancy between the

conflict and to cleanse the label 'radical' of the

rationality, as they see it, of individual actors and

totalitarian implications it had acquired in the fas­

the irrationality of much collective behaviour.

cist and early Cold War era. In the late 1980s,

First, Kenneth Arrow (1951) has shown that indi­

however, the collapse of communism once again

vidual preferences cannot normally be aggregated

made the term ambiguous, for some of the oppon­

into a well-defined collective preference structure

ents of communist rule in the Soviet Union and

and that, as a result, there will often be no outcome

Central Europe were often described - and de­

that can be said to maximize collective preferences.

scribed themselves - as 'radicals' or 'leftists', al­

Secondly, it has been argued that collective behav­

though

democratic

iour involves the strategic interaction of rational

governments and capitalist market economies on

individuals, each of the acting on the basis of their

the Western model in their own countries.

assessments of the possible actions of others.

they

wished

to

establish

Despite its abstract and formal nature, radicalism

In a 'prisoners' dilemma' situation, characterized

has always tended to acquire a particular ideological

by the absence of effective communication (imagine

colouration from the major historical events of a

two prisoners interrogated separately about a crime

period. Its meaning in use, therefore, is likely

they have jointly committed), rational actors fear

always to be highly relative and context-bound.

the worst of the others and act to minimize the damage to themselves. Each therefore avoids the

Reading

worst possible outcome, but collectively they fail to

Bell, D. ed. 1963: The Radical Right.

obtain the best.

Lasky, M. J. 1976: Utopia and Revolution.

The 'free rider' phenomenon brings out another

Lipset, S. M. 1960 (1981): Political Man, expanded edn.

problem concerning the rationality of collective

Mannheim, K. 1929 (1960): Ideology and Utopia.

behaviour. Some goods (clean air, national defence)

DENNIS

H.

WRONG

are of a kind that can only be provided collectively and rational, self-interested actors will aim to

Until recently, most

obtain the benefits of such collective goods while

historically informed social scientists would have

leaving others to incur the costs of providing them.

rational choice theory

554

RATIONAL CHOICE THEORY

The problem is that, if there are too many of these

auxiliary assumptions about what actually motiv­

'free riders', then the collective good will not be

ates the individuals in question. In this respect the

provided at all. Mancur Olson

overt individualism of rational choice explanation

(1965) has developed

this argument to suggest that even if all members of

often relies on the further assumption that individ­

a group share a common interest it does not follow

uals, preferences in fact reflect their social struc­

that they will organize to pursue that interest. Col­

tural location

lective action by large groups will take place only if

whether the strict assumption of actors' rationality

(see INTERESTS) .

It is debatable

the free rider problem can be overcome: it depends,

adds much to the explanatory power of the auxiliary

in other words, on the existence of selective incen­

assumptions themselves.

tives for activists and sometimes also on an element

However, the most serious issue raised by rational

few

choice theory concerns the assumption noted earlier

members (such as a business oligopoly) will nor­

that, far from being historically contingent -as the

mally be much better placed to organize and to

Weber thesis suggests - the dominance of instru­

agree on an optimal course of action.

mental reason is in fact a fundamental feature of

of

compulsion.

In

contrast,

groups

with

Rational choice theory does not require its

the human condition. To see what is at stake here it

models of rational behaviour to be entirely realistic.

is useful, first, to note that the view of human indi­

The aim, rather, is to provide successful predic­

viduals as rational maximizers of their own utilities is

tions and, in the absence of predictive success, to

itself an historically recent development (Taylor, and secondly, to observe that there are two

develop more appropriate models of rational action

1989)

or, if all else fails, to provide means of identifying

quite distinct senses in which rationality might be

the place of non-rational elements in human action.

ascribed to individuals. It might refer to what used to

Electoral behaviour is a frequently cited example

be called a faculty of reason, a generalized capacity

of this last case. In most large-scale elections one

to develop a connected chain of reasoning or argu­

person's vote will have little effect on the outcome,

mentation. It might also refer, more narrowly, to

and the difference the outcome makes to most

features of the chains of reasoning themselves (con­

electors is also likely to be small. The assumption

sistency, utility maximization, etc.) or to the charac­

of rational, self-interested behaviour therefore sug­

ter of the concepts and other intellectual tools

gests that almost no-one will bother to vote in

(horoscopes, dice, cost-benefit analysis) employed

national elections. Since most adults vote in these

in their construction - and, by extension, to the

elections without being compelled to do so this

character of particular courses of action. The as­

example suggests, even to supporters of the rational

sumption that individuals are rational in the first

choice approach, that the strong assumption of

sense, that they are normally endowed with a faculty

individual rationality may have to be relaxed.

of reason and that they are therefore capable of deve­

Sympathetic critics have argued that the earlier

loping chains of reasoning, tells us nothing about the

versions of rational choice theory held too simple a

conceptual tools they might employ in the process.

view of the actor, suggesting, for example, that they

Here the question of what kind of reasoning is

took insufficient account of altruism and the ex­

employed by the individuals concerned and how

pressive character of human action, or that human

they conceive of themselves as actors promises to

cognitive capacities are simply too limited for their

be more informative than that of whether or not their

decisions in complex situations to be fully rational.

conduct conforms to the technical requirements of

Others have suggested

some particular model of instrumental rationality.

that

rationality

should

be seen as a matter of long-term projects of self­

Since the greater part of the conceptual tools avail­

transformation (including the transformation of

able to individuals will be acquired in the course of

one's preferences), not just of short-term maxi­

interactions with others, there is an important sense

mization.

in which the kind of reasoning employed in their

Another line of criticism concerns the explana­ tory force of the assumption of rationality. This

action will depend on cultural and social conditions external to the actor concerned.

assumption leads us to expect a certain consistency

Rational choice theory has little sympathy with

in the behaviour of individuals but it tells us noth­

such distinctions, assuming, in effect, that all

ing about the content of their motivations. Thus the

human individuals are maximizers of their own

analysis of significant features of social life in terms

utilities. According to this view, then, what distin­

of the rational actions of individuals in fact relies on

guishes well-educated Westerners from even the

RATIONAL EXPECTATIONS HYPOTHESIS

555

most 'primitive' of others is not the instrumental

this account of expectation formation will remain

character of their rationality but rather the external

incomplete unless it is supplemented by some add­

conditions with which they have to deal.

itional sense of individual agency.

Reading

process of learning as an individual moves from

The first concerns the characterization of the Coleman, J. S. 1990: Foundations ofSocial Theory.

nonrational to

Green, D. and Shapiro, I. 1994: Pathologies of Rational

since the pay-off to a particular person of holding

Choice Theory. Hindess, B. 1988: Choice, Rationality, and Social Theory. Olson, M. 1965: The Logic of Collective Action.

rational

expectations.

Formally,

one set of expectations rather than another depends on actual outcomes and these outcomes depend on the expectations of others, a person is actually in a

Taylor, C. 1989: Sources ofthe Self

BARRY HINDESS

game with others (see GAME THEORY). A Nash equilibrium in this game constitutes a rational ex­ pectation and it is the out-of-equilibrium behaviour

rational expectations hypothesis

According

of agents in this game which corresponds to a

to this hypothesis, an individual's expectations

learning process. However, it is now generally

regarding future events should not suffer from sys­

accepted that an analysis of such out-of-equilib­

tematic errors. The reason is simple: you ought to

rium behaviour must have recourse to a notion of

be able to learn about the systematic components of

rational agency which differs from the simple in­

your errors, and there is every incentive to do so

strumental sense which is normally assumed in

since you will profit by removing them. Thus, it is

Neoclassical economics.

the instrumentally rational agent's 'eye for the main

Secondly, there are a variety of social settings

chance' (see RATIONAL CHOICE THEORY) which is

where this dependence of outcomes on expectations

responsible for the generation of rational expect­

yields multiple rational expectations equilibria.

ations; and not unsurprisingly it has been hailed as

That is to say, there are many expectations which

the natural hypothesis to use in NEOCLASSICAL ECO­

if widely held would reproduce themselves but for

NOMICS. Indeed, together with the so-called natural

white noise random errors. Again, this raises a

rate of unemployment hypothesis, it has consti­

problem for the normal instrumental sense of ra­

tuted one of the main planks in the extremely

tionality: which expectation is to be held when

influential NEW CLASSICAL ECONOMICS. In addition,

many potentially satisfy this condition of being a

it has greatly simplified the estimation of relation­

rational expectation? This dilemma is characteristic

ships in EcoNOMETRICS.

of situations where there is genuine uncertainty and

Muth's

(1961) original statement

of the rational

expectations hypothesis was phrased slightly differ­ ently. Expectations were to be the 'predictions of the relevant economic theory' (p.

316),

or more

there is an analogous problem in game theory when there are multiple Nash equilibria. Thus the rational expectations hypothesis has contributed enormously to our understanding of

generally the 'subjective probability distribution

how individuals form expectations about the future.

of outcomes' (p.

In particular, whereas it once promised to fill

316)

should tend to the 'objective

probability distribution of outcomes' (p.

316). This

the informational gap in the instrumental account

way of putting the hypothesis reveals, perhaps,

of rationality, it has actually served to underline

more of the difficulties which have come to be

the need for additional rationality assumptions

associated with it. Individuals may wish to avoid

if we are to understand action in conditions of

making systematic errors but closing the gap be­

uncertainty.

tween the 'subjective' and the 'objective' is not some simple exercise in the social world. It is not just a question of allowing time to elapse as it might be for someone forming expectations about the landscape as the fog disappears. There are no 'ob­ jective' outcomes in this sense because outcomes in the social world depend on the 'subjective' expect­ ations which we entertain about them. This inter­ dependence generates two principal problems for the hypothesis and they combine to suggest that

Reading Attfield, C. L. F., Demery, D. and Duck, N. W. 1985: Rational Expectations in Macroeconomics. Begg, D. 1982: The Rational Expectations Revolution in Macroeconomics. Bray, M. 1985: 'Rational Expectations, Information and Asset Pricing'. Oxford Economic Papers 37, 161-95. Frydman, R. and Phelps, E. S. 1983: Individual Forecast­ ing and Aggregate Outcomes.

556

RATIONALITY AND REASON

Hahn, F. 1980:

Money and Inflation.

Haltiwanger,J. and Waldman, M. 1985: Rational Expect­ ations and the Limits ofRationality. American Economic

Review 75,326-40. Hargreaves Heap, S. P. 1989:

Rationality in Economics.

Muth, J. F. 1961: 'Rational Expectations and the Theory of Price Movements'.

Econometrica 29,315-35. SHAUN P. HARGREAVES HEAP

ence cannot be described without invoking a prior theory and that how the theoretical web is spun is a matter of convention. Kuhn's scientific

(1962) claim that

thought is governed by

'paradigms'

suggests a similar theme for a sociology of know­ ledge. Thirdly there is a rationalism which rests on the assumption that human behaviour is rational. The leading example is that of microeconomics,

Enlightenment thinkers

where agents are rational, in that they always calcu­

declared the human mind and human society to be

late the most effective way to satisfy their prefer­

rationality and reason

as rational as the other operations of nature and as

ences. They are the utility maximizers found in

amenable to scientific reason. The history of the

decision theory, rational choice theory and game

social sciences could be written as an unfinished

theory, agents whose rationality is of an instrumen­

debate about the truth of this conjecture. Defini­

tal, means-to-given-ends kind. To act rationally is

tions of 'rationality' and 'reason' would be part of

to maximize an objective function subject to con­

the debate, and so cannot usefully be given at the

straints. The assumption of rationality is often

start of this entry.

taken to imply that agents are self-interested.

The conjecture is 'rationalist' in three very

Strictly, however, it implies only that they pursue

different senses. Firstly it involves a broad conten­

their own goals in a systematic maximizing (or

tion that nature is a rational (in the sense of ordered)

satisficing) way, thus leaving it open whether they

system of causes and effects, governed by laws

are self-interested (see RATIONAL CHOICE THEORY) .

which a scientific method (Reason) can discover.

The power and elegance of economic theories

In whatever exact way this causality is construed, it

based on rationality assumptions have attracted

excludes meaning and purpose from the workings

other social sciences. There are 'economic' theories

of nature and absolves science from thinking in

of, for instance, democracy, international relations,

these older terms about God's designs. It also ex­

race relations, gift giving, friendship and marriage,

cludes chance; but there is scope for a reluctant

all treated as exchange between rational bargainers.

compromise by means of theory of probability,

Such theories are individualist and, at their most

which allows for a limited element of unpredict­

ambitious, try to account also for the emergence of

ability. 'Positivism', as the term is used in the social

the institutions within which exchanges occur. The

sciences, applies this broad philosophy of nature

grandest example is the theory of the social con­

and science to the social world. To philosophers, however, 'positivism' suggests

tract, rejuvenated lately by Rawls

(1971), which

analyses the very being of society as norms which

'logical positivism', a sharp form of empiricism and

it is rational for individuals to create or accept to

hence opposed to rationalism. In this second sense

their mutual advantage.

rationalists think of causal laws in terms of hidden

Alternatively, however, human behaviour may

forces and necessities, in the spirit of the Cartesian

be deemed rational in the different sense of con­

and Newtonian systems of the seventeenth century.

forming to rules and institutional procedures. This

Reason is the power of the mind to penetrate the

is how Max Weber viewed the rational-legal

veil of perception and its model is mathematics.

systems of the modern world and, especially, the

Empiricists retort that observation, experiment

activities of bureaucrats. It also invites the relativ­

and statistical generalizations provide the only war­

istic suggestion that every culture or institution is

rants of science and hence that causal 'laws' are

rational in its own terms and is therefore to be

projections of experience upheld by experience.

understood by identifying its rules from within.

This dispute continues in the social sciences,

Disputes about whether to take rational action as

with, broadly, systemic, structural and strongly

instrumental or rule governed, and whether to

functional approaches on the rationalist side and

allow scope for both readings, are notably alive in

behavioural and statistical approaches on the em­

anthropology but also to be found elsewhere, even

piricist. Be it noted, however, that it is possible to

m

disagree with both parties. For instance Quine (see as an example

1951) has argued both that experi-

.

.

economics. The 'economic' reading is usually held to be

consistent with positivism and hence to allow for

RATIONALIZATION

557

purposive behaviour in humans without threat to

will not be addressed here: rationalization as a false

the unity of scientific method. The other reading

or self-serving explanation or justification of the

opens up a dispute between positivism and hermen­

beliefs or practices of an individual or group.)

eutics (or 'interpretation' as the key to the under­

The special conception of rationalization, re­

standing of action), which challenges the scope of

stricted to the economic domain, developed in Ger­

causal explanation in the social world. A break may

many in the late 1920s. 'Rationalization' became a

be perceived between 'nature' and 'culture' and,

widely current catchword during these years of

with it, between the natural and the social sciences.

spectacular economic recovery and reorganization,

If so, 'reason' is to be connected to 'interpretation'

used to denote- and to promote- the development

for social understanding. For a starting point see

of new instances of interfirm coordination, integra­

Weber (1921-2) on adequacy at the level of mean­

tion, standardization and planning, on the one

ing and causal adequacy.

hand, and the systematic institutionalized exploit­

Questions of scientific method are distinct from

ation of scientific research, knowledge, techniques,

historically specific questions about the forms and

methods and attitudes in production, management,

limits of human rationality, as raised in the twenti­

distribution and finance, on the other. It quickly

eth century by, for instance, Freudian psychoanaly­

became clear, however, that what was rational from

sis, B. F. Skinner's behaviourism, Chomskyan

one point of view might be irrational from another.

linguistics or computational models of the mind.

Technical rationalization might be economically

The widest is perhaps Weber's problem of modern­

irrational; the administrative rationality of coordin­

ity and whether the spread of rational-legal order,

ated planning might be irrational from the point of

necessary for capitalism, can sustain itself in a

view of market efficiency; organizational rational­

wholly secular world. It may be that whether the

ization to curb excess capacity might be socially

human mind and human society are as rational as

irrational. Perhaps because of this inescapable am­

the other operations of nature depends on whether

biguity, the vogue of 'rationalization' as a program­

human beings make them so - a disturbing thought

matic rallying point quickly passed. The term was

which brings abstract discussion of the definitions

adopted in other countries, but it never had the

of 'rationality' and 'reason' abruptly down to earth.

same currency it had in Germany. In English, the term has generally had a narrower meaning, refer­

Reading

ring mainly to organizational changes aimed at re­

Chomsky, N. 1966:

ducing inefficiency, waste or overcapacity.

Cartesian Linguistics: a Chapter in the History of Rationalist Thought. Hollis, M. and Lukes, S. eds 1982: Rationality and Rela­ tivism. Kuhn, T.S. 1962 (1970): The Structure of Scientific Revo­ lutions. Quine, W.V. 0.1951 (1963): Two dogmas of empiricism. In From a Logical Point of View. Raw1s,J. 1971: A Theory ofJustice. Weber, M. 1921-2 (1979): Economy and Society. Wi1son, B. R.ed. 1970: Rationality.

The general conception of rationalization has a much wider frame of reference. The forces of ra­ tionalization- science and technology, markets and bureaucracies, discipline and self-discipline - are understood as permeating all spheres of life: cul­ ture, sexuality, and the personality itself as much as production, warfare, law and administration. This sweeping civilizational conception of rationalization owes most to Max Weber, whose entire oeuvre can

MARTIN HOLLIS

be read as an attempt to characterize and explain in

This is a richly ambiguous con­

liar rationalism' of modern Western civilization

world-historical perspective the 'specific and pecu­ rationalization

cept, covering a 'whole world of different things'

(1904-5). As Weber demonstrated in detail, exceed­

(Weber, 1904-5).

ingly various modes of rationalization have existed

Its

ambiguity parallels and

reflects that of the related concepts of reason, ra­

in every sphere of life and in every great civilization.

tionality and rationalism (see RATIONALITY AND

In any particular domain, moreover, there are com­

REASON). Because of this ambiguity, it is impossible

peting modes of rationalization, oriented to differ­

to give a general definition of rationalization. Two

ent ends and values. For example, Weber stressed

meaning clusters,

can be identified,

the rationalism of both Confucianism and Puritan­

reflecting what can be called the special and the

however,

ism, but noted that the former enjoined 'rational

general conceptions of rationalization. (A third con­

adjustment to the world', the latter 'rational mas­

ception of rationalization, unrelated to the first two,

tery of the world' (Weber, 1951 , p. 248).

558

REALISM

Weber's concern, then, was not to set rational­

only one aspect of Weber's deeply ambivalent re­

ization in the West against its absence elsewhere; it

sponse to modern Western rationalism - that

was to specify and explain the distinctiveness of the

informed the subsequent development of the gen­

Western pattern of rationalization. This distinctive

eral conception of rationalization in the work of

pattern involves six fundamental and widely rami­

Max Horkheimer and Theodor Adorno. More re­ cently, Ji.irgen Habermas has undertaken a system­

fying social and cultural processes:

atic reconstruction of the notions of rationality and

2

3

4

The disenchantment and intellectualization of

rationalization, aiming to link the normative philo­

the world, and the resultant tendency to view

sophical concern with reason and the empirical

the world as a causal mechanism subject, in

historical-sociological concern with rationalization.

principle, to rational control;

Basing this reconstruction on the distinction be­

The emergence of an ethos of impersonal

tween cognitive-instrumental rationality and com­

worldly accomplishment, historically grounded

municative rationality, Habermas arrives at a more

in the Puritan ethic of vocation;

differentiated and less pessimistic appraisal of the

The growing importance of specialized tech­

course of West ern rationalization than that of the

nical knowledge in economy, administration,

FRANKFURT SCHOOL theorists, while retaining and

and education;

amplifying their critique of instrumental reason.

The objectification and depersonalization of law, economy and polity, and the consequent

See

also

SciENTIFIC-TECHNOLOGICAL

REVOLU­

TION; MODERNIZATION.

increase in the regularity and calculability of

5

action in these domains;

Reading

The progressive development of the technically

Brady, R. 1933: The Rationalization Movement in German

rational means of control over man and nature; and

6

The tendential displacement of traditional and

(wertrationa[) by purely instru­ (zweckrational) action orientations.

value-rational mental

Industry. Brubaker, R. 1984: The Limits of Rationality: an Essay on

the Social and Moral Thought ofMax Weber. Habermas, J. 1981 (1984, 1989): The Theory of Communi­

cative Action, 2 vols. Horkheimer, M. 1947: The Eclipse ofReason. Levine, D. N. 1985: Rationality and freedom, inveterate

Despite their different historical roots, these pro­

multivocals. In The Flight from Ambiguity: Essays in

cesses are linked by the fact that they all further

Social and Cultural Theory.

formal rather than substantive rationality.

They en­

Weber, M. 1921-2 (1978): Economy and Society, ed. G. Roth and C. Wittich.

hance, that is, the calculability of action while remaining indifferent to its informing ends or

--

1920 (1946): From Max Weber: Essays in Sociology. WILLIAM ROGERS BRUBAKER

values. What is 'specific and peculiar' about the West ern pattern of rationalization, then, is the fact that the 'end' in terms of which the social order is

realism

rationalized -maximum calculability-is not really

asserts the existence of some disputed kind of entity

Generally,

'realism'

in

philosophy

that indis­

(such as universals, material objects, causal laws;

criminately facilitates the purposeful pursuit of all

propositions, numbers, probabilities; social struc­

substantive ends.

ture, moral facts). But the three most historically

and end at all but a

generalized means

In his investigations of rationalism and rational­

important types of realism have been:

ization, Weber recast in sociological terms a prob­ lem belonging originally to the philosophy of

Predicative realism,

history. In so doing he broke decisively with the

universals independently (Plato) or as the prop­ erties (Aristotle) of particular material things;

faith of the Enlightenment-and with that ofHegel -in the realization of reason in history. The dream

2

asserting the existence of

ently of their perception; and

nightmare: rationalization might engender a world dominated by powerful bureaucracies and by the

Perceptual realism,

material objects in space and time independ­

of reason, Weber suggested, might turn out to be a without meaning, without caritas, without freedom,

asserting the existence of

3

Scientific realism,

asserting the existence and

operation of the objects of scientific enquiry

'iron cage' of the capitalist economy. It is this mood

absolutely (for the most part in natural science)

of cultural pessimism - representing, to be sure,

or relatively (for the most part in social science)

REALISM

559

independently of the enquiry, or more generally

attacks on this was mounted by W. V. 0. Quine

of human activity.

who argued against the canonical analytical/ empir­ ical and theory /fact distinctions for a holistic view

Modern (late twentieth-century) scientific realism

of knowledge as in effect 'a field of force whose

entails, but is irreducible to, realist positions in

boundary conditions

(I)

and (2). This article will be mainly concerned with

are experience'. Drawing

upon this, Mary Hesse and others argued that

(3) and with the PHILOSOPHY OF SCIENCE generally.

scientific language should be seen as a dynamic

(But see also PHILOSOPHY OF SOCIAL SCIENCE; NAT­

system constantly growing by the metaphorical ex­

URALISM.) But for the first half of the twentieth

tension of natural language. Observational predi­

century it was (2) that was at the forefront of philo­

cates were not isomorphs of (physical, sensual or

sophical debate.

instrumental) objects, but 'knots' attaching the net­

Thus the turn of the century saw the beginnings of a reaction against the prevailing idealisms - in

work to the object world in a theory dependent and mutable way.

Britain, especially in the work of G. E. Moore and

This was powerfully reinforced by a growing

(for some of the time) Bertrand Russell, and in the

awareness, induced by the work of Karl Popper,

USA, WilliamJames. Moore, in defending a com­

T. S. Kuhn, I. Lakatos, P. K. Feyerabend and, in

monsense realism, prefigured the devastating attack

France, G. Bachelard and A. Koyre, of the reality of

against phenomenalism provided in mid-century

scientific change. Theories were social construc­

by the later Wittgenstein and the Oxford school of

tions, offering competing descriptions and explan­

LINGUISTIC PHILOSOPHY,

ations of a theory-independent world. Rom Harre,

led

principally

by J.

Austin, G. Ryle and F. Waismann. But the theor­

invoking the tradition of W. Whewell and N. R.

etically dominant form of perceptual realism in the

Campbell, drew attention to the role of models in

first half of the century was 'representative realism',

theory growth. Theoretical entities and processes,

which posited a causal chain between object and

initially imaginatively posited as plausible explan­

percept, mediated by sensation or sensa, in virtue of

ations of observed phenomena, could come to be

which some percepts were like their objects. This

established as real, through the construction of

suffered from the defect that it was unverifiable.

either sense-extending equipment or of instru­

For, on representative realism, there was no way

ments detecting the effects of the theoretical phe­

object and percept could be directly compared. For

nomena (in the latter case invoking a causal

this reason, the dominant epistemology, PosiTIV­

criterion for attributing reality). All this strongly

ISM, was normally formulated in phenomenalist

suggested a vertical 'theoretical' realism. This was

terms (that is, material objects were analysed as

further supported by the linguistic arguments of

actual or possible sense-data)- though occasionally

Saul Kripke and H. Putnam that the use of natural

given physicalist (for instance by 0. Neurath) or

kind terms, such as 'gold' and 'water', presupposed

operationalist (for instance, by P. W. Bridgman)

that those substances have real essences, although

declensions. Phenomenalism

not necessarily known to us.

was,

however,

at

least as untenable as representative realism. For

Shortly afterwards Roy Bhaskar produced, in his

there was no way to define sense-data save in ma­

system of transcendental or critical realism, an ar­

terial object terms. ('I seem to be seeing'- or 'I am

gument for a horizontal 'transfactual' or nomic

sensing'- 'a pink elephant now'.) A way out of this

realism, alongside the theoretical realism already

impasse seemed to many late-century realists to be

established. He argued that it is a condition of the

provided by the ecological perception theory of].].

possibility of experimental and applied activity that

Gibson and his school. According to this theory

the objects of scientific enquiry (causal laws, gen­

beings were organisms which actively

erative mechanisms, structured things) not only

sought out invariants - as affordances (such as,

exist but act independently of that activity- trans­

this cheese as edible) - in their environment.

factually, in open and experimentally or otherwise

human

Many have hailed this as a Darwinian revolution

closed systems alike. Both theoretical and transfac­

in (2).

tual realism involve what a recent writer has called,

Modern scientific realism takes off from criticism

following Mandelbaum, 'transdiction', that is, in­

of the logical positivism of the 1920s and 1930s

ference to the (in practice and in principle) unob­

which formed the basis for the received view of

servable (Manicas, 1987, p. 10). Many have hailed

science until the late 1960s. One of the first decisive

this as a Copernican revolution in (3).

560

REASON

Arguments for (3) may be divided into three broad types: (a) transcendental arguments from the possibility of specified social practices (such as Bhaskar's); (b) inductive arguments from the suc­ cesses of the sciences; and (c) reductiones ad absur­ dum of irrealist (non-realist) positions. An example of (b) is Putnam and Boyd's argument that the cumulative character of scientific growth strongly indicates that theories are (fallible) attempts to describe real states and structures as they succeed

Gibson, J. J. 1966:

The Senses considered as Perceptual

Systems. Harre, R. 1986: Hesse, M. 1974:

Varieties ofRealism. The Structure ofScientific Inference.

lsaac,J. 1990: Realism and reality: some realistic considerations. Journal

for the Theory ofSocial Behaviour 20.1.

Outhwaite, W. 1990: Realism, naturalism and social be­

Theory ofSocial Behaviour 20.4. Philosophical Papers, vol. 3. Quine, W. V. 0. 1952 (1963): From a Logical Point of View. haviour. Journal for the

Putnam, H. 1983:

ROY BHASKAR

one another in providing better (fuller) accounts of a theory-independent reality. (Putnam (1978, p. 25) now rejects this on the grounds of the possi­

reason

See RATIONALITY AND REASON

bility of a 'disastrous meta-induction' from the Initially a debate inside Western So­

failure of reference in some actual cases, e.g. phlo­

reformism

giston. Hesse has also criticized it on the grounds

CIALISM at the end of the nineteenth century and

that the history of science reveals no convergence.)

beginning of the twentieth century about the most

Another example is Harre's and Aronson's argu­

appropriate and desirable political methods for

ment from the determinate outcome of searches

bringing about the transformation of CAPITALISM

for hypothesized beings for a pragmatic policy real­

and the transition to socialism, reformism em­

ism. Examples of (c) are the paradoxes, antinomies

braced the idea of a peaceful route.

and aporiai into which irrealist philosophies fall,

Because Karl Marx (1818-1883) had left no clear

such as the problem of induction (see KNOWLEDGE,

or authoritative theory explaining the social pro­

THEORY OF). One kind of problem may be specifi­

cesses by which socialism replaces capitalism, div­

cally mentioned. If realism is transcendentally­

isive political controversy was inevitable. However,

axiologically necessary, this means that irrealist

there were broadly two opposed views. Orthodox

accounts will presuppose in practice some ontol­

Marxists like Rosa Luxemburg (1871-1919) and

ogy, and thence some or other type of realism (for

Karl Kautsky (1854-1938) argued that capitalism

instance, an empirical or a subjective or objective

could only be finally destroyed by violent revolu­

conceptual realism). Moreover if a particular form

tionary methods. Revolution was necessary for the

of realism, such as transcendental realism, is neces­

establishment of the dictatorship of the proletariat,

sary, this implies that actually generated and his­

the destruction of the capitalist state and the end of

torically efficacious philosophies will always take

bourgeois law. Luxemburg supported the strategy

the form of internally inconsistent compromise for­

of the mass strike to develop a revolutionary con­

mations. Here philosophy in pursuing its critique

sciousness. Those who adopted reformism, like

must join hands with empirically grounded soci­

Eduard Bernstein (1850-1932), claimed that the

ology of knowledge.

transition to socialism could be achieved by peace­

Until very recently most debates about realism

ful means, for example by the electoral victory of

have turned on the epistemological question of the

the organized working class within liberal democ­

truth of our knowledge, rather than the ontological

racy.

question of the reality of structures and things (as

After Marx's death, MARXISM became the official

defined at the onset of this article). But critical

ideology of the German Social Democratic Party

realists have argued that ontological realism is con­

(SPD), which represented the German working

sistent with epistemological relativism (and that the

class. Under the influence ofBernstein, the reform­

latter does not entail judgemental relativism). We

ist wing of the SPD gradually accepted the position

know the same world but under irreducibly histor­

that a crisis of the capitalist economy was no longer

ical (and better or worse) descriptions.

imminent or inevitable, and that there could be an

Reading

cialism.Bernstein published a number of important

evolutionary reform of capitalism resulting in so­ Bhaskar, R. 1986:

Scientific Realism and Human Emanci­

Collier, A. 1994:

articles in the Die Neue Zeit, Sozialdemokrat and Justice in the 1890s on the general problems of

pation. Critical Realism.

socialism. He noted that as capitalism became a

REGIONALISM

561

more complex and differentiated social system,

democracy in 1989-90 once more transformed the

social class divisions became equally complex. As

character of political debate. The idea that capital­

a result, the likelihood of a violent class struggle

ism could be destroyed by revolutionary violence is

between capitalists and workers became more

no longer an issue. Instead social reformers inside

remote. The middle classes were thriving, the

Eastern Europe returned to the task of restoring the

workers' standard of living had improved and the

vitality of civil society, while in Western capitalism

dominant class had reluctantly accepted the role of

attempts to reform society are often couched in

a socialist opposition in the parliamentary system.

terms of a revitalization of the liberal principles of

Bernstein argued that Marxism was a set of useful

CITIZENSHIP as the essential foundation of welfare

but tentative guides to action and, rather than

rights; such reforms are no longer perceived as

playing a scientific role, socialism had to provide

necessary steps towards socialism. However, critics

moral leadership to counteract the negative effects

of capitalism still argue that fundamental reforms of

of factory conditions on the lives of the working

society (in terms of health, education and welfare)

class. In short, Bernstein's programme for the social

cannot be realized without a radical attack on the

reform of the capitalist system was also associated

underlying inequality in property and power which

with REVISIONISM, because he rejected economic

characterizes a free market system. Radical critics

determinism.

claim that the expansion of citizenship and welfare

The question of reformism which dominated

is merely a coaptation of radical dissent, and there­

socialist debates in the period 1890-1918 is by no

fore the welfare state is not in fact a major reform of

means resolved. Similar issues re-emerged after

laissez-faire economics. Although these criticisms

World War II in social democracy and eurocom­

are obviously contested, it is important to compare

munism. The political and economic integration of

different patterns of social reform, because there are

Europe has produced a major rise in real incomes,

major differences within capitalism between for

thereby making the possibility of armed insurrec­

example Sweden, Great Britain, Japan and the

tion against the capitalist state even more remote. In

United States in terms of the relationship between

a liberal democracy, communism could only win

inequality, economic growth and welfare expend­

votes by adopting a more reformist, legalistic strat­

iture.

egy and, as a consequence, moving towards a more central position. Many social scientists came to

Reading

believe that the EMBOURGEOISEMENT of the workers

Anderson, P. 1976: Considerations on Western Marxism.

would turn them further away from socialism. The

Mann, M. 1988: Ruling class strategies and citizenship.

WELFARE STATE was an alternative to revolution,

because it transformed the exploitative relationship between capital and labour; the worker was no longer faced with a choice between starvation or employment. The gradual de-Stalinization of Eastern Europe, the crises of Hungary and Czechoslovakia, the split between Chinese and Russian versions of socialism, and the continuous problems of centralized eco­ nomic planning in the 1960s contributed to the emergence of the NEW LEFT, which rejected the tradition

of

revolutionary

political

violence,

Sociology 21,339-54. Maravall,J. M. 1979: The limits of reformism: parliamen­ tary socialism and the Marxist theory of the state. British Journal ofSociology 30, 267-90. Marshall, T. H. 1981: The Right to Welfare and Other Essays. Schram, S. G. and Turbett, J. P. 1983: Civil disorder and the welfare explosion: a two-step process. American Sociological Review 48,408-14. Tudor, H. and Tudor,]. M. eds 1988: Marxism and Social Democracy: the Revisionist Debate 1896-1898. Turner, B. S. 1986: Citizenship and Capitalism: the Debate over Reformism.

BRYAN S. TURNER

whereby the working class would carry the sole burden of destroying capitalism by a direct assault. The progressive reform of capitalism would in fact

regionalism

require the participation of all oppressed social

sociopolitical movement which is inspired by the

groups, namely blacks, women and students, and

culture of a particular region and aims to defend

not just the militant workers.

local identity from being submerged by national

This is a term used to indicate a

The apparent collapse of the command econ­

homogeneity, as well as to make the region more

omies of the Soviet bloc, the erosion of communist

independent of central government. More recently,

party legitimacy and the restoration of multiparty

especially in the European Union (a Europe of

562

REGULATION

Regions) the term is used to refer to homogeneous

larly to the European Union where, within a dy­

economic areas and the problems of diversified

namic situation, the transnational control of the

innovative development emerging within them

European Commission is balanced by the subsidi­

and their need for subnational governance.

arity principle of the increasing importance of sub­

Regionalism is a particularly strong and recur­

national government. At the regional level, an

rent phenomenon in those countries in which the

increasing demand and need for local governance

formation of the nation-state (Tilly, 1975) has not

is often accompanied by the lack of a tradition in

obliterated diverse regional cultural identities but,

administration and exercising power and by the

rather, fostered centralized government strategies

absence of clear territorial and social boundaries

for repressing or subordinating these identities to

(Le Gales and Lequesne, 1998).

uniform and unified national standards. Regionalist

Although this phenomenon more often brings to

movements are magnified by relative geographical

mind industrialized countries, it is also found in

isolation, as is the case with large islands like Cor­

many underdeveloped countries, above all in Asia

sica and Sardinia or mountain districts like Savoy

and Africa. Here the formation of nation-states

and the Aosta Valley, or by specific religious -

under the dominant influence of colonialism has

Ulster, Kosovo, Azerbaijan- sociocultural or socio­

led to the aggregation of highly diverse local entities

ethnic - Catalonia, the Basque country, Quebec­

into fragile centralized states, continually beset by

or ethnic national - the Kurdish or Armenian

economic difficulties; take, for example, India, In­

movements in various Middle Eastern countries -

donesia or the Philippines, where the regional map

factors. In many cases where there is a cumulation

coincides with deep ethnic, religious, linguistic and

of conditions of regional diversity, it is difficult to

cultural divisions.

distinguish between regional identity and a separat­ ist national movement, especially in nations which

Reading

have historically enclosed regions with different

Keating, M. and Loughlin, J. eds 1996: The Political

religious,

linguistic

and

cultural

traditions;

examples are the Basque country and, above all, most of the local states which formerly constituted the federal republics of Yugoslavia and the Soviet Union. Apart from concrete historical develop­ ments which have witnessed, at least in the Baltic republics and in Slovakia, a rapid transition from

Economy ofRegionalism. Le Gales, P. and Lequesne, C. eds 1998: Regions in Europe. Mingione, E. 1993: Italy: the resurgence of regionalism, International Affairs 6913, pp. 305-18. Rousseau, M. 0. and Zariski, R. 1987: Regionalism and Regional Devolution in Comparative Perspective. Tilly, C. ed. 1975: The Formation of National States in Western Europe.

regionalism to the birth of new nations, recent

ENZO MINGIONE

events show how difficult it is to draw a dividing line between regionalism and separatism. Regional movements are nowadays magnified by

regulation

The 'regulation approach' to the an­

alysis of contemporary capitalism derives from a

differences in the patterns of economic develop­

disparate group of French Marxists writing in the

ment (Keating and Loughlin, 1996) and by the

late 1970s and early 1980s. Economies are analysed

increasing decline of national control in the face of

as more or less cohesive structural combinations of

globalization and localism. This applies both to

a two-sector productive system (means of produc­

regions that are less developed, like southern Italy,

tion and means of consumption), a wage relation, a

and to those that are affected by strong economic

monetary relation and banking structure, and a

growth and end up seeing national centralism as a

state relation, all embedded within an international

limit to their own prospects for development, as in

division of labour of production and finance.

the case of Catalonia or Lombardy (Mingione, 1993).

Primarily, regulation theory identifies 'regimes of accumulation' as extensive or intensive, and

When the conflict between regionalism and na­

'forms of regulation' as competitive or monopol­

tional governments does not take on separatist over­

istic. These distinctions have narrower and wider

tones, regionalist political organizations claim as

interpretations. Thus on a narrow interpretation,

their objective the devolution of wide governmental

an extensive regime of accumulation is one in which

powers to an intermediary level between the na­

accumulation does not alter the technology of pro­

tional and the provincial and municipal levels (see

duction (at least in the consumer goods sector) and

Rousseau and Zariski, 1987). This applies particu-

in which productivity growth is low, whereas an

REIFICATION

563

intensive regime continually alters both technical

trade unions into economic management) charac­

and social organizations of work in pursuit of rapid

terize the 'golden age' of capitalism in the 1950s and

productivity growth. And again on a narrow inter­

1960s. Finally, the problems of the 1970s are seen as

pretation, forms of regulation refer to predominant

the breakdown of this golden age; Fordism is in the

practices of price formation, freely fluctuating

process of giving way to the flexible specialization

prices characterizing the competitive form of regu­

of post-Fordism. This requires an organization of

lation, and administered pricing practices the mon­

consumption which is in the process of being

opolistic. Wider interpretations of these terms are

worked out in the 1980s and 1990s, through the

also used to describe the social structure as a whole.

alteration of the state's economic role, privatization,

On this basis, capitalist history is periodized,

mass unemployment and the restructuring of the

with particular emphasis being placed on the

labour force, and the alteration of the legislative

changing organization of work and on the way in

framework defining both trade union activity and

which the wage system facilitates the realization of

the boundaries and scope of the welfare state.

the products of labouring activity. Thus from the

There is also an international dimension. The

mid-nineteenth century to 1914 is an extensive

pre-1914 era is characterized by British hegemony,

regime of accumulation with competitive regula­

and the interwar transitional era by international

tion. The interwar period is a transitional phase in

rivalry and US isolationism; the golden age to 1970

which an organization of work known as 'scientific

is dominated by the USA, and in the post-1970

management' or Taylorism is generalized in the

transitional era neither the USA nor the EU nor

USA and appears partially in Europe. In addition,

Japan is able unambiguously to regulate the world

the incorporation of Taylorist principles into auto­

economy through its international economic dom­

matic systems of production, known as FoRDISM,

ination.

appears embryonically. But the rapid rates of

Regulation theory is all-embracing. It is stronger

growth of productivity thereby engendered were

on description than on analysis, because it is diffi­

not extended to the purchasing power of the wage,

cult to conceive a single analytical account of the

whose growth was comparatively slight. Hence the

very wide variety of different national experiences

economic crises characterizing world capitalism

and their institutional forms. It is therefore best

after 1929 are seen not in terms of the conventional

understood as an indicative or suggestive research

business cycle but rather as a structural breakdown:

agenda rather than as a polished theory. It is for

the developing intensive regime of accumulation

detailed research to confirm or invalidate both

could not properly establish itself on the basis of

premises and conclusions of regulation theory,

competitive regulation, but required a policy of

and this remains in its infancy.

active regulation of the wage relation itself. This was achieved by the post-1945 reconstruction and

Reading

the following long boom: Fordist methods of mass

Aglietta, M. 1976 (1979): A Theory of Capitalist Regula­

production were able to establish themselves as the preponderant organization of work, because of the mass consumption allowed the working class by the variety of institutional forms collectively con­ stituting monopoly regulation. Particularly import­ ant here are collective wage agreements, backed up by the social security and unemployment insurance

tion: The US Experience. --1982: World capitalism in the eighties. New Left Review 136, 5-42. Boyer, R. 1979: Wage formation in historical perspective: the French experience. Cambridge Journal ofEconomics

3:2,99-118. de Vroey, M. 1984: A regulation approach interpretation of contemporary crisis. Capital 5 Class 23, 45-66.

provisions of the WELFARE STATE and the huge

Lipietz, A. 1986: Behind the crisis: the exhaustion of a

increases in the economic interventions of the

regime of accumulation: A 'regulation school' perspec­

state (seen not so much in terms of Keynesian

tive on some French empirical works. Review ofRadical

public expenditure policies, but rather with respect

Political Economics 18.1-2, 13-32.

SIMONMOHUN

to the management of money, and to the reproduc­ tion of the labour force). Accordingly, intensive accumulation (the generalization of Fordism in

reification

production) and monopoly regulation (the manage­

which the products of the subjective action of

This term refers to the process by

ment of mass consumption via the establishment of

human beings come to appear as objective, and so

the welfare state and the partial incorporation of

autonomous from humanity. However, two broad

564

RELATIVE DEPRIVATION

uses of the term may be identified. In the Marxist

to forget the human authorship of the social world.

tradition the term is used critically, to describe a

As such, reification is not uniquely situated in rela­

process that is specific to capitalism, and that serves

tion to Marx's theory of commodity fetishism.

to maintain the inequalities of a capitalist society by

Rather, it is argued that all social reality is con­

concealing actual processes of exploitation. In the

structed by social actors, and that reification is

non-Marxist tradition, and especially in phenom­

merely 'an extreme step in the process of objectifi­

enological approaches (see

cation' (Berger and Luckmann,

PHENOMENOLOGY),

reifi­

1967,

p.

Fur­

89).

cation is presented as an inevitable feature of all

ther, it may be argued that only in so far as human

societies, as part of the social construction of reality.

beings forget that social reality is constructed does

Within Marxism, the term 'reification' occurs as

that reality attain any permanence. Reification

the standard English translation of the German

thereby becomes a necessary feature of society,

Verdinglichung, which was introduced by Gyiirgy Lukacs (1923, pp. 83-222) and does not occur in

rather than something undesirable.

Marx's writings. Lukacs's theory of reification is a generalization of Marx's theory of

ISHISM.

CoMMODITY FET­

For Marx, the process of exchanging the

Reading Adorno, T. W. 1966 (1973): Negative Dialectics, trans. E. B. Ashton.

products of human labour on a commodity market

Berger, P. L. and Luckmann, T. 1961: The Social Con­

leads to the social relationship between people

struction of Reality: a Treatise in the Sociology ofKnow­ ledge. Luk:ics, G. 1923 (1971): History and Class Consciousness: Studies in Marxist Dialectics, trans. R. Livingstone. Rose, G. 1978: The Melancholy Science: an Introduction to the Thought ofTheodor W. Adorno. Thomason, Burke C. 1982: Making Sense of Reification: Alfred Schutz and Constructionist Theory.

appearing as a relationship between things (Marx,

1867,

pp.

163-5).

Lukacs attempts to extend

Marx's economic analysis to the total life of society. He does this through reference to Weber's analysis of the growth of rationality. Instrumental rational­ ity is integral to the development of the capitalist economy, and further reflects the process of com­

ANDREW EDGAR

modity exchange, in so far as it facilitates the equating of different objects. For Lukacs, this

This attracted promm­

equation works only by emphasizing the quantita­

relative deprivation

tive characteristics of the object at the expense of

ence as a subjective and later as an objective concept

the qualitative. Lukacs suggests that these qualita­

- with alternative but quite distinct meanings.

tive aspects are the uniquely human properties of

People can feel deprived relative to others and also

the object, and hence are systematically concealed

relative to their observed conditions or situation. Alternatively, people can

by reification. While reification has been referred to widely in

be

deprived relative to

others: their conditions are demonstrably worse

Marxist writing, the theory has been developed

than those of others. First, people's feelings, or

most precisely by Theodor Adorno. Reification

their behaviour arising from their feelings, may

becomes a theory of the social determination of

provoke surprise and even seem irrational. 'Relative

language and thinking. This emphasizes the rela­

deprivation' was originally coined to help explain

tionship between concepts and the objects to which

why some objectively

they refer. In so far as concepts are products of

American army were discontented (Stouffer et al., p.

The term was taken up by social

social processes, they cannot be presupposed to

1949,

correspond wholly to their objects. Under reifica­

psychologists, sociologists and political scientists

tion, concepts serve either to impute properties to

(Merton,

the object that are absent (as for example with the

both differences of feeling between groups and

concept of 'freedom'), or to conceal or distort

differences between feeling and reality. Feelings of

existing properties, so that they appear objective

deprivation relative to some condition or situation

rather than subjective (Adorno,

183-92).

perceived as attainable or achievable irrespective

While the Marxist tradition sees reification as a

of people's actual condition or situation were clearly

1966,

pp.

125).

well-off soldiers in the

1949,

is one example) to call attention to

historically specific phenomenon that is at once

relevant to a large part of social life. The distinction

undesirable but potentially open to change, the

helped

non-Marxist tradition uses the term to refer to a

also spontaneous protests and the organization of

more general process by which human beings come

collective action. Runciman

to

explain

variations

of

opinion

(1966, p. 10,

and

but

1989,

RELATIVISM esp. pp.

36

and

97)

applied the term rigorously to

565

denies that beliefs can be, or can be known to be,

the problems of class structure, minority status and

true in this sense. 'What is truth on one side of the

variation between cultures.

Pyrenees is error on the other,' Pascal remarked

Second, the need to use the term in an objective and not only an individually or collectively subject­

drily in his Pensees

(V 294),

commenting on the

diversity of moral beliefs. The apothegm also serves

ive sense has subsequently emerged. Work on social

to capture a broader relativism, which asserts the

rank, class, social mobility, income distribution,

relativity of all cognition. Meanwhile it is worth

poverty and patterns of ill-health in the population

starting with the case for moral relativism. Ethical

has directed attention to the importance of measur­

variety within societies and between them is a plain

ing, for example, social distance, the material and

fact which, while not proving that there is no abso­

social conditions of different groups, classes or

lute or objective truth in ethics, tends to suggest it.

ranks in the population and the disjunction between

The rise of science has brought a sharp fact/value

met and unmet needs. In the process the meaning of

distinction, which seems to cut the ground from

'deprivation' itself has come under more searching

under moral beliefs. The social sciences offer ways

scrutiny. It has been distinguished from ideas like

of explaining their variety as a function of corres­

PovERTY

by applying it directly to material and

pondingly various social systems. Philosophy has

social inadequacies rather than indirectly to the

cast doubts on the very idea of moral knowledge,

low incomes which may, or may not, underlie

especially those put scornfully by Nietzsche or

those inadequacies. Some have distinguished be­

analytically by emotivism. In short, traditional

tween objective forms of material and social depriv­

claims to truth in ethics have been a natural casualty

ation as well as between subjective forms of

of 'modernity', with Reason now undermining

individual and collective deprivation (for example,

what it used to support.

Townsend,

1979,

pp.

46-53,

and

1987).

The objective social context or framework and

Yet even in ethics relativism is not always meant to subvert all objectivity. As with utilitarians, it may

reference points for the ascertainment and under­

demand only that local preferences be respected,

standing of individual and group grievances of the

when deciding what it is right to do. So one must

kind encouraged by studies of feelings of depriv­

distinguish a limited relativism, which in effect

ation demands elucidation. Thus, a group of skilled

injects an element of perspective into what is

manual workers may feel deprived in relation to a

meant to remain an objective point of view, from a

group of office staff. Before jumping too readily to

more radical scepticism, which contextualizes every

the conclusion that subjective and objective states

point of view in order to deny that there is anything

are out of line, information has to be collected in

objective or universal under the sun. The former is

detail about pay but also many other highly relevant

symptomatic of social thought in the spirit of the

features of working and social life. And this can

Enlightenment, which treats human beliefs and

involve a much broader investigation of working

relations as objects for scientific study. The latter,

conditions, security of employment, promotion

attractive to critics of Enlightenment rationalism

RATIONALITY AND REASON),

prospects, fringe benefits and social location than

(see

may be suggested in the original discoveries about

structive, if it leads on to hermeneutics or into

is not merely de­

feelings of deprivation. Analysis of the history of

various forms of 'postmodernism'. The crux is

the concept shows that the importance of subjective

whether a limited relativism can find a defensible

or collective deprivation as an explanatory variable

stopping place.

cannot be assessed independently of actual depriv­

The case for the relativity of all cognition is best taken in three stages. The first is conceptual relativ­

ation.

ism, which sets off from the enormous diversity of Reading

classificatory and explanatory schemes. The facts of

Runciman, W. G. 1989:A Treatise on Social Theory, vol. 2:

experience never fully determine what it is rational to believe about the order in (or underlying) experi­

Substantive Social Theory. Townsend, P. 1979: Poverty in the United Kingdom.

PETER TOWNSEND

ence. To classify or explain is to apply the concepts in local use. Thus the Karam concept of 'yakt' groups bats with most birds but excludes cassowar­

relativism

If true belief is defined as belief

which matches an independent reality, relativism

ies (Bulmer,

1967);

physics employs concepts like

'ether' or 'phlogiston' at one time and drops them at

566

RELIGION

another. Each scheme of classification imposes a

(Wittgenstein, 1953). Materialist answers involve a

grid, backed by theoretical concepts which rely

stopping place, so that a scientific observer can

finally on categorical concepts, like time, deity,

establish a relativist perspective, presumably one

causation and agency. That is not a subversive

which exempts properly scientific thought from

thought, if science can be marked off and shown

contextualization. Idealist answers tend to refuse

to be progressive. The subversive thought is that

exemptions and so lead readily to, for example,

categorial

contestible

the replacement of all traditional objectivity by a

within their own conceptual scheme, and that con­

postmodern 'conversation of mankind' (Rorty,

ceptual schemes are incommensurable, for instance

1980).

concepts

are

essentially

because they rely on 'absolute presuppositions'

On the one hand, if there is anything universal

(Collingwood, 1940) or 'paradigms' (Kuhn, 1962)

under the sun, it is not obvious. On the other,

which have the status of myths.

variety is in itself never a proof that all viewpoints

That there are any given facts of experience is

are equally valid, and, if they were, a global relativ­

Quine

ism would be no more valid than its denial. Dis­

(1960) maintains that 'there is no such thing as

putes remain fraught, since a distinction between

unvarnished news.' Even to describe, one must

the cognitive and the social, with the aim of explain­

interpret with the aid of theories and in language

ing one in terms of the other, is easy neither to draw

permeated by theory. So, it seems, 'the "real

nor to defend.

denied, secondly, by

perceptual relativism.

world" is to a large extent built on the language habits of the group' (Sapir, 1929), implying perhaps

Reading

that those with deeply different theories or lan­

Bernstein, R. 1983:

guages inhabit 'different worlds' (Kuhn, 1962; cf.

Bulmer, R. 1967: Why is the cassowary not a bird?

Winch, 1958).

Beyond Objectivism and Relativism. Man,

NS, 2.

context­

Collingwood, R. G. 1940: An Essay

ualizes even the criteria of truth and logic. If there

Hollis, M. and Lukes, S. eds 1982:

Thirdly, a sweeping

epistemic relativism

can be fundamentally alternative logics, then the basic tenets of Aristotelian logic lose their title to be 'the laws of thought'. If truth is finally 'a mobile army of metaphors, metonyms and anthropo­ morphisms' and 'truths are illusions about which

on Metaphysics. Rationality and Rela­

tivism. Kuhn, T. S. 1962

(1970): Structure of Scientific Revolu­

tions. Nietzsche, F. 1873 moral sense. In

(1954): On truth and lie in an extra­ The Portable Nietzsche, ed. W. Kauf­

man.

one has forgotten that this is what they are'

Quine, W. V. 0. 1960:

(Nietzsche, 1873), then there can be no ultimate

Rorty, R. 1980:

cognitive fixtures. The case is encouraged both by

Sapir, E. 1929: The status of linguistics as a science.

philosophical disputes about truth, which thereby unsettle the possibility of a neutral criterion, and by anthropological evidence that, one might say in

Word and Object. Philosophy and the Mirror ofNature.

Language 5. Winch, P. 1958

(1976): The Idea ofa Social Science. Philosophical Investigations.

Wittgenstein, L. 1953:

MARTIN HOLLIS

echo of Pascal, what is a good reason (for any belief or action) on one side of the Pyrenees is a bad reason elsewhere. If so, all cognition is in the end held up by

religion

its own bootstraps.

alized dispositions and actions relative to the sacred

The term 'religion' refers to institution­

In contextualizing or internalizing thought, what

-a dimension of life that is felt to be incommensur­

is one making it relative to? Answers divide broadly

ably more profound, powerful and significant than

into materialist and idealist. The former relates

the everyday or mundane. Religion expresses con­

cognition to something external to cognition -be­

cern with matters of ultimate significance such as

havioural or neural conditioning, perhaps, or social

the meaning of life, suffering, evil or death and the

structure or relations, construed independently of

sense of hope for a better future including salvation,

whatever beliefs they determine. The latter relates

peace, life after death or rebirth. There is wide

cognition to itself after the manner of a network, in

variation in the social forms through which religion

effect internalizing social relations, or even nature,

articulates ideas about the sacred, and the sedimen­

to the network too. Perhaps different languages are

tation

ultimately different networks. Perhaps 'what has to

and social forms over long periods of time has

be accepted, the given, is, so to say, forms

helped to establish religion as a powerful and

of life'

of these ideas in

cultural,

experiential

RELIGION

567

enduring institution in virtually all known societies.

scientists to adopt a more relativistic and less intel­

The distinctive characteristics of each of the

lectualistic approach.

world's major religions represent particular ways of symbolizing the

mutual relations between

The force of evolutionary, rationalist and organi­ cist thinking has slowly declined, but there is no unanimity among current thinkers, who fall roughly

human beings and the sacred. Judaism, Christianity and Islam tend to maintain

into two categories. On the one hand, there are

a clear distinction between the sacred and the secu­

thinkers who insist on the need to conceptualize

lar, treating them as categorically separate domains.

religion in

But Hinduism, Buddhism, Shinto and numerous

kinds of spirits, divinities or other transcendental

indigenous cultures regard the sacred as an imma­

forces. Robertson's definition is representative of

nent quality of all existence. Nevertheless, all reli­

this approach:

gions

symbolize

and

'manage'

the

points

substantive terms of belief in certain

of

disjunction or continuity between the secular and sacred registers of meaning with the aid of myth, symbol, ritual, sacred text and distinctive concepts of sacred space, time, community and being. If it is objected that this inclusive and relativistic way of conceptualizing religion runs the risk of

Religious culture is that set of beliefs and symbols (and values deriving directly therefrom) pertain­ ing to a distinction between an empirical and a super-empirical, transcendent reality; the affairs of the transcendent being subordinated to the non-empirical. (1970, p. 47)

confusing religious with other kinds of intense or profound experiences, the response would be that

On the other hand, there is a long tradition of

the attribution of religious significance is itself a

thinking about religion in terms of its alleged func­

cultural variable and would, therefore, vary with

tions or purposes. An infu l ential example of this

the extent to which sacredness had been identified,

approach is the claim that 'religion is a system of

symbolized and codified in any particular culture.

beliefs and practices by means of which a group of

Thus, the religious meanings of, for example,

people struggles with the ultimate problems of

childbirth or warfare are not fixed but, depending

human life' (Yinger,

1957, p. 9).

on the context, they can be made more or less

While the substantive approach offers the advan­

salient, systematic or distinctive. This means that

tage of appearing to stick closely to what many

there is no social scientific justification for confining

people report about religion, it also runs into the

the term 'religion' to particular beliefs or experi­

criticisms that it arbitrarily emphasizes belief or

ences, although, in accordance with the canon of

knowledge, that it creates an artificial boundary

methodological agnosticism, the possibility that

between religion and magic, and that it is insensi­

nonhuman powers or agents may directly affect

tive to cross-cultural differences between religions. By contrast, the functionalist approach benefits

human events has to remain open. One of the major contributions towards the social

from being cross-culturally applicable and from

scientific understanding of religion is the recogni­

being remote from the level of empirical detail;

tion that no single definition of the phenomenon

but it also incurs costs which, according to its

can be adequate for all purposes. In contrast to the

critics, cancel out its benefits. In particular, it

confident characterizations of religion produced by

tends to attract criticism for imputing teleology to

many Western thinkers of the late nineteenth cen­

social and cultural arrangements, for reducing the

tury, the tendency in recent decades has been to

meaningfulness of religion to its consequences, for

prefer definitions which are more nuanced and

confusing religion with ideology, and for implying

more sensitive to the growing body of knowledge

that everything that exists must, for that very

about cultures other than those dominated by

reason

Christianity, Judaism or Islam and about the var­

strengths and weaknesses of these basic approaches

alone,

fulfil a

function.

ieties of religious expression at different levels of

are discussed in Spiro

culture. Thus, whereas the founding generations of

Platvoet and Molendijk

The

relative

(1966), Berger (1974) and (1999). Meanwhile, the

anthropologists and sociologists seemed content to

definition of religion for legal purposes is becoming

reduce religion to 'a general theory of the world'

(K.

more complicated and contentious in some coun­

Marx), 'belief in spiritual beings' (E. Tylor), or

tries in the face of growing religious diversity and in

propitiation or conciliation of powers superior to

consequence of the enactment of international

humans (J. Frazer), it is now common for social

charters and codes of human rights that sanction

568

REPUBLICANISM

the freedom of individuals to practise the religion of

theologies of struggle), the contributions of reli­

their choice (Cumper, 1996). Similarly, religious

gious ideas and sentiments have in some cases

organizations increasingly challenge laws and con­

been important but rarely decisive. And, in the

ventions

for

modern Western world at least, religious themes

example, to claim charitable status, to make public

have inspired relatively few artistic achievements of

broadcasts or to offer chaplaincy services in prisons,

outstanding merit.

that

deny

them

opportunities,

military establishments or hospitals (Beckford,

These developments conform to the dominant interpretations of modernity, namely, that religion

1999; Beckford and Gilliat, 1998). The twentieth century witnessed the maturation

has ceased to serve as the 'sacred canopy' for

of academic disciplines that constituted religion in

modern existence (Berger, 1967), as the principal

rather distinctive ways. Older disciplines such as

instrument of cultural and societal integration

the History of Religions, Theology and Compara­

(Wilson, 1982), or as the social system's main

tive Religion tend to accord priority to philological,

mechanism for reflecting on its own integrity (Luh­

historical, philosophical and doctrinal aspects. But

mann, 1977). On the other hand, religion that is not

the growing influence of phenomenological think­

church-oriented may still be implicit in basic so­

ing in the 1930s inspired more intuitive studies of

cialization process (Luckmann, 1967) and may still

religious experience, ritual, sacredness and the holy

function as a metalanguage which transcends the

(see Otto, 1917; Van der Leeuw, 1938; Eliade,

domain of objective facts (Bellah, 1989), which

1958). Meanwhile, psychological and psychoana­

permits 'serious' things to be said 'for real' (Fenn,

lytical approaches found favour, especially among

1981) or which articulates 'expressiveness' (Melior

practitioners involved in training religious profes­

and Shilling, 1997).

sionals for liturgical, counselling and social service

Indeed, there are indications at the dawn of the

functions (see Rieff, 1966). The influence of socio­

twenty-first century that religious thought and sen­

logical thought increased dramatically in the 1960s

timent may be reasserting themselves in response to

when liberal American denominations were about

the possibility of genuinely global communication

to lose some of their popularity (Berger, 1961) and

and destruction (Robertson, 1985; Beyer, 1994) and

when, unexpectedly, conservative churches and al­

that religious themes are resurfacing in social move­

legedly deviant new religious movements were be­

ments concerned with such globe-wide issues as

ginning to grow in size and public impact (Kelley,

peace, human rights, genocide and protection of

1972; Stark and Finke, 2000). But it was the vogue

the natural environment (Beckford, 2001). Religion

for structuralism in the human sciences that prob­

is also proving to be a remarkably durable and

ably gave most prominence to the study of religion

effective medium for the cultivation and expression

in the forms of myth, ritual, symbolism and pro­

of ethnic and national identities in countries as

cesses of sacralization. Finally, Religious Studies,

different as Russia, Iran and Sri Lanka. The results

as a deliberately interdisciplinary approach began

may be integrative or disintegrative in the long­

to flourish in the 1970s and fostered, in particular, a

term.

more

critical

attitude

towards

methodological

issues as well as a more policy-oriented stance

See also CHRISTIANITY AND CHRISTIAN SOCIAL

THEORY; LIBERATION THEOLOGY; THEOLOGY.

both in the increasingly multicultural and ethnic­ ally diverse context of advanced industrial societies

Reading

and in former colonies rediscovering their religious

Berger, P. L. 1967: The Sacred Canopy: Elements of a Sociological Theory ofReligion.

heritage. Religions no longer make the most formative contributions to the major currents of social and political thought in most parts of the modern world. Whether it be at the level of the ideologies that have shaped nation states and international con­

Bowker,J. 1973: The Sense of God. Smart, N. 1973: The Science ofReligion and the Sociology of Knowledge.

Waardenburg, J. ed. 1973-4: Classical Approaches to the Study of Religion: Aims, Methods and Theories of Re­ search, 2 vols.

flicts (e.g. clerical fascism, Christian Democracy,

JAMES A. BECKFORD

Hindu or Japanese nationalism, and Islamic anti­ The

Roman

expression

imperialism) or whether it be at the level of the

republicanism

changing fashions in philosophy (e.g., Catholic

publica implies that things that are public must be

phenomenonlogy,

of public concern: active citizens should manage the

Christian

existentialism

or

res­

REVISIONISM

569

state, not kings, aristocratic oligarchies or even

safeguards both from itself and from each other.

single parties. Citizens treat each other as equals.

The republican spirit says that these laws must be

The public culture of politics is quite different from

made and changed by active citizens working in

the private decision-making in autocracies. But the

concert; the price of freedom is not simply eternal

citizen body, until this century, always excluded

vigilance but perpetual civic activity. Between the

women and slaves, and usually excluded debtors,

state and the individual there is the creative tumult

servants, the poor and the illiterate. Republicanism

of CiVIL SOCIETY.

is not necessarily democratic, but it is more partici­ pative in spirit than individualistic liberalism. Machiavelli provided the classic theory of repub­ licanism in his Discourses (ed. Crick,

1970). A state

is stronger if it can trust a citizen class with arms. Freedom means tolerating social conflict, but con­ flict if well managed, if handled by political com­ promise, can be a source of strength; it gives liveliness to political life. This realistic restatement of an idealized Renaissance picture of the Roman

Reading Bock, G., Skinner, Q and Viroli, M. eds 1990: Machiavelli and Republicanism.

Crick, B. R. 1992: In Defence ofPolitics, 3rd edn. Keane, J. ed. 1988: Democracy and Civil Society. McWilliams, W. C. 1973: The Idea ofFraternity in Amertea.

Pocock, J. G. A. 1975: The Machiavellian Moment: Flor­ entine Political Thought and the Atlantic Republican Tradition.

republic was immensely influential, especially in

Williams, G. A. 1989: Artisans and Sans-Culottes: Popular

the Dutch republic, Sweden, England and Scotland

Movements in France and Britain during the French

of the civil wars, the British American colonies and

Revolution,

above

all

in

the French revolution.

2nd edn. BERNARD CRICK

Antonio

Gramsci produced a communist variant, partly to A term which was introduced into

refute Lenin's obsession with the state and the

revtswmsm

party, arguing that the participative cooperation of

Marxist thought at the end of the nineteenth cen­

the skilled industrial worker was now the key to the

tury to refer to critical reassessments and reformu­

rise and fall of societies rather than Machiavelli's

lations of Marx's ideas, and in particular those

armed citizen.

concerning the development of capitalism and the

Republicanism was strong in the early United

nature of a transition to socialism. It gained wide

States, where the ideology of Jeffersonian democ­

currency in the revisionist debate initiated by

racy was based on a cult of active CITIZENSHIP,

Eduard Bernstein's articles (written from

making simplicity of manners, plain speaking and

later expanded into a book

candour virtues to be universalized by personal

of socialism, in which he attempted 'to become

1896-8), (1899), on the problems

example. The name of the modern Republican

clear just where Marx is right and where he is

Party in the USA is misleading, as is that of the

wrong'. The main targets of Bernstein's criticism

'IRA' (Irish Republican Army), except in the

were the 'economic collapse' theory of the end of

narrow sense that they oppose the British crown.

capitalism, and the idea of an increasing polariza­

In a MoNARCHY the term has this narrower conno­

tion of society between bourgeoisie and proletariat,

tation. But republicanism is not necessarily anti­

accompanied by more intense class conflict. Against

monarchical; it is essentially anti-aristocratic. 'Red

these doctrines, which had become part of Marxist

republicanism', in theJacobin tradition, is fiercely

orthodoxy, he argued that alongside the concen­

egalitarian and populist in spirit, in deliberate con­

tration of capital in large corporations there was a

trast to bourgeois republicanism which cares less for

growth of new small and medium-sized businesses,

'sovereignty of the people' and more for 'the rule of

more widespread property ownership, a rise in the

law' and 'the constitution'. But neither developed,

general level of living, an increase in the numbers of

like socialism, a distributive economic theory; both

the middle class, the emergence of a more complex

accepted liberal economics because historically it

and differentiated system of stratification in cap it­

had replaced aristocratic mercantilist policies.

alist society and a diminution in the scale and in­

Republicanism is compatible with both demo­

tensity of economic crises.

cratic socialism and radical liberalism, but is best

In the course of this debate, revisionism became

understood by contrast to that kind of liberalism

identified with REFORMISM and the abandonment of

which sees the state as ensuring the rights of indi­

revolutionary aims, or even of any strong commit­

viduals to lead a private life protected by legal

ment to the achievement of socialism. But the

570

REVIVALISM

opponents of revisionism were themselves divided,

Palmer, 1997), but in most cases the aim is to

with Kautsky and the Austro-Marxists attempting

reinfuse vitality and creativity into a putatively

to incorporate various new phenomena into the

declining, corrupt or threatened tradition. Reli­

orthodox Marxist view of the development of cap­

gious revivals have also been said to herald periods

italism, while Rosa Luxemburg and Lenin ex­

of wide-ranging social reforms and, in the case of

pounded

a

revolutionary

political

doctrine in

the American Great Awakenings, long-term cycles

terms of which some other critics of revisionism

of spiritual

were themselves treated as revisionists.

(McLoughlin, 1978).

renewal and

social

reconstruction

The denunciation of revisionism as counter­

Millennia! revival movements can be interpreted

revolutionary reached a peak with the outbreak of

as responses to disasters (Barkun, 1974) or as cre­

World War I in 1914 and the collapse of the Second

ative responses to socioeconomic exploitation and

International, and this usage as a term of abuse was

suffering (Worsley, 1957). Other explanations have

perpetuated by the consolidation of Bolshevism as a

stressed relative deprivation, the search for short

new orthodoxy in the Soviet Union and then, after

cuts to magical and healing power, the psychology

1945, in Eastern Europe. By the end of the 1980s,

of the 'true believer', cognitive dissonance and col­

however, Bolshevik orthodoxy had itself collapsed,

lective paranoia. There seems to be agreement

totally in its Stalinist form and to a large extent in its

among these competing interpretations, however,

Leninist form; and in historical perspective revi­

that successful revival requires the weakening of old

sionism can now be seen as a succession of mod­

meanings and commitments before the transition to

ifications of Marx's theory of society, and of its

new values and identities can take place (Burridge,

implications for political practice, resulting from

1969).

major social changes in both capitalist and socialist

Examples include the Methodist revivals in

societies, from particular historical circumstances

eighteenth-century Britain, the series of revivals

and from changes in knowledge and ideas. What

that transformed various Protestant churches in

was once called revisionism is now better described

New York State in the first half of the nineteenth

as the development of numerous and diverse

century (Cross, 1950) and the present-day conver­

schools of Marxist thought (and of socialist thought

sion of many people in Latin America to pentecos­

more generally) in response to changing conditions;

talism

that is, as a normal feature in the unending effort to

societies where Christianity has been the dominant

(Martin, 1990).

In advanced

industrial

comprehend through the concepts of social theory

form of religion, revivalism is nowadays limited to

an ever-changing historical reality.

occasional episodes of heightened emotion, inten­

Reading

of personal faith in the power of Jesus Christ to

sified feelings of guilt and spontaneous expressions Bernstein, E. 1899 (1961): Evolutionary Socialism.

redeem sin and to heal minds and bodies. Circuit

Gay, P. 19 5 2: The Dilemma ofDemocratic Socialism.

riders, hellfire preachers, camp meetings and tent

Ko1akowski, L. 1978: Main Currents of Marxism, vol. 2,

revivals were all precursors of modern Protestant

eh. 4.

revivalism which includes charismatic renewal,

Labedz, L. ed. 1962: Revisionism.

televangelism, faith healing and political forma­ TOM BOTTOMORE

tions such as the Christian Coalition. The Roman

The idea that religious traditions

tines and Cistercians, and a specifically Catholic

tend towards entropy unless periodically revitalized

form of revivalism occurred in nineteenth-century

either by a return to primitive truths or by the

America (Dolan, 1978).

Catholic Church has had revivals led by Benedic­ revivalism

injection of new truths is central to many meanings

Collective revivals of Islamic fervour powerfully

of revivalism, especially in cultures affected by

shaped political and social developments in, for

Christianity. Revivals, as collective searches for a

example, Iran, the Sudan, Pakistan and Afghani­

radically better world, stem from religious reasons

stan in the second half of the twentieth century

for dissatisfaction with the present state of affairs.

(Halliday, 1996). Hindu revivalism is also becom­

They may take such varied forms as apocalyptic,

ing an important factor in Indian politics (Bhatt,

millenarian,

1997), and Buddhist revivals have marked the his­

messianic,

prophetic,

nationalistic,

nativistic, evangelical or charismatic outbursts, sometimes

involving

violence

(Robbins

and

tory of several nations of South Asia. See also

FUNDAMENTALISM.

REVOLUTION

571

its opponents; this may entail a long guerrilla war,

Reading

or a sudden explosion of popular tumults. If the

Barkun, M. 1974: Disaster and the Millennium. Burridge, K. 1969: New Heaven. New Earth.

government falls, there follows a period in which

McLough1in, W. 1978: Revivals. Awakenings and Reform.

revolutionary leaders contend with each other, and

JAMES A. BECKFORD

with adherents of the old regime; this period com­ monly includes both civil and international wars,

revolution

In political thought, this refers to an

and often a period of domestic 'terror' against op­

illegal, usually violent, seizure of power that pro­

ponents of the revolution. A successful revolution

duces a fundamental change in the institutions of

then leads to the consolidation of power and the

government. However, the concept of revolution

construction of new political institutions. Because

has been used in many ways, with some variation in

this process may take decades, the dating of revolu­

meaning. 'Revolution' is sometimes used to de­

tions is frequently imprecise. However, for con­

scribe any fundamental change, whether or not it

venience revolutions are typically dated by the

was violent or sudden. In this sense we speak of the

year in which the old regime falls- thus the French

'Industrial Revolution' or the 'scientific revolu­

revolution of 1789, the Chinese communist revolu­

tion'. Fundamental changes in government that

tion of 1949- even though revolutionary struggles

occur through elections rather than through violent

and state reconstruction may continue for decades

seizures of power are also sometimes described as

afterwards.

revolutions, for example the 'Nazi revolution' in

The

concept

of

revolution

as

fundamental

Germany which followed Hitler's electoral victory

change is strictly a modern development. From

in 1933.

ancient Greece to the Renaissance, 'revolution' power

meant a cyclical motion, such as the revolution or

depends on uprisings by urban crowds or rural

turning of the planets. In politics, the term 'revolu­

peasants. These uprisings are usually what we

tion' therefore also implied a cyclical pattern, a

mean when we refer to 'revolutions'. However, in

movement from aristocracy to democracy to tyr­

In

most

revolutions,

the

seizure

of

some cases popular groups do little, while an indi­

anny and back, in an endless circle. Only in the

vidual or small elite group seizes power and imple­

eighteenth century, particularly after the French

ments sweeping political changes (as in the Turkish

revolution of 1789, did the term 'revolution' come

revolution under Atati.irk in 1921, or the Egyptian

to refer to a permanent and fundamental, rather

revolution under Nasser in 1952). Such events are

than cyclical, change.

often described as 'elite revolutions' or 'revolutions from above' (Trimberger, 1978). Revolutions vary in their scope. Those that

Moral evaluations

change only government institutions are sometimes

The concept of revolution is often used with moral,

labelled 'political revolutions'. Those that also

as well as descriptive, overtones. Many thinkers,

change the distribution of wealth and status in a

particularly those inspired by Karl Marx, use the

society- for example, by destroying the advantages

term 'revolution' to imply change that is valuable

of a nobility- are often called 'social revolutions' or

and progressive. In politics, this usually means

'great revolutions'. When groups seeking funda­

reducing inequality and providing greater justice;

mental change attempt to seize power, but that

in other fields, it simply implies progress in know­

attempt fails, we speak of 'unsuccessful' or 'failed

ledge or productive output - as with the 'agricul­

revolutions', such as the revolution of 1848 in Ger­

tural revolution', or the 'computer revolution'.

many. (An attack on a government that seeks only

These thinkers view revolutions as necessary to

to change the ruling personnel or policies but makes

achieve social progress; indeed, they often argue

no attempt at fundamental change in institutions is

that revolution is the only way to overthrow estab­

usually called a 'rebellion', rather than a 'revolu­

lished ideas or institutions.

tion'.)

Others, however, use the term revolution to

Properly speaking, revolution is a process rather

imply a time of chaos, of unfettered struggle for

than an event. There is an initial period in which

power with destructive consequences. They see

criticism of the state mounts and opponents of the

revolution as a violent and dangerous departure

government strive to gain support. Then ensues a

from the normal course of political life. These

period of contention between the government and

thinkers consider revolutions as something to be

572

REVOLUTION

avoided; they advocate that desired social change

defending itself, and providing leadership to op­

should be brought about through gradual reform.

position groups.

This argument is long-standing and far from

The currently prevailing view of the causes of

settled. Different writers continue to view revolu­

revolution is the 'structural' theory. This combines

tions with optimism or pessimism, depending on

attention to resource mobilization and state re­

their individual judgement as to whether the ben­

sources. In this view, revolutions will occur only

efits of revolutionary change are worth the costs.

when a combination of factors creates a 'structural

Additional debates over the nature of revolutions

situation' favourable to revolution. This situation

have centred on two issues - why do revolutions

includes

occur, and what have they accomplished?

divided and alienated elites; and an opposition

a

weakened

government;

internally

with leadership, resources (including popular sup­ port) and organization. Revolutionary ideologies -

Causes ofrevolution

which might include communism, liberalism or

Thinking about the causes of revolution grew more

Islamic fundamentalism - are considered to be

sophisticated throughout the twentieth century.

capable of gaining wide appeal only when a struc­

Early thinkers focused chiefly on crowds, seeing

tural situation arises which favours revolution.

revolution as the product of uncontrolled and spon­ taneous popular enthusiasm. Such crowd action might be triggered by a burst of economic hardship,

Outcomes of revolution

or a particularly flagrant act of government corrup­

Thinking about the outcomes of revolution is less

tion or oppression.

advanced than thinking about its causes. Only two

In the 1950s and 1960s, there was great concern

conclusions seem well established. First, revolu­

that revolutions would flare in countries undergo­

tions generally produce a growth of state power,

ing a shift from more traditional to more modern

as post-revolutionary regimes tend to attack the

patterns of economic and political life. Populations

problem of state weakness by building states

caught 'in between' old and newly emerging life­

with larger armies and bureaucracies than the pre­

styles were considered unusually vulnerable to

revolutionary regime. Second, revolutions gener­

popular frustration and

ally increase the likelihood of international wars,

enthusiasm for rapid

change. There was also concern over ideologies -

since the change of regime usually results in a

such as communism - that might lead crowds to

change of international alliances. This often leads

adopt extreme and violent behaviour. The roots of

to tests of the strength of the new regime or the new

revolution were seen in both modernization and

alliances via international aggression, whether ini­

ideological subversion.

tiated by the new regime or its opponents.

By the 1970s, however, particularly as a result of

On a host of other important issues, such as

the work of Charles Tilly (1978), scholars had

whether revolutions can create stable democracies,

become aware that revolutionary crowd behaviour

reduce inequality or enhance economic develop­

was not simply spontaneous and emotional. In­

ment, the evidence is highly ambiguous. Systematic

stead, revolutionary activity was seen to require

study of these matters has only just begun.

leadership, organization and mobilization in pur­

Goals regarding outcomes are what differentiate

suit of political objectives. This 'resource mobiliza­

'rebellions' from 'revolutions'. In rebellions, the

tion' view led scholars to seek the causes of

goals of state opponents usually extend no further

revolutions in shifts of resources among politically

than rectification of a particular grievance, or for­

active groups.

cing a change of state personnel or policy. In revo­

In addition, Theda Skocpol (1979) and Jack

lutions, however, state opponents are motivated by

Goldstone (1990) drew the attention of scholars to

an ideology which depicts existing institutions as

the resources of the state. They pointed out that the

fundamentally flawed or evil, and in need of total

state's own resources might be strained by the costs

replacement or reconstruction. Though the causes

of war or economic development, weakening the

of rebellion and revolution may be similar - state

state and creating opportunities for state oppon­

weakness, elite divisions and popular mobilization­

ents. Moreover, they noted that conflicts within

the impact of revolutionary ideology in promoting

the political and economic elite were often crucial

radical goals and outcomes makes revolutions dis­

in diminishing the effectiveness of the state in

tinctive.

RIGHTS

573

ity, refrain from interfering with the possession of

Future prospects of revolution In the early and mid-twentieth century, when revo­ lutions were viewed as the product of popular emo­ tional response to the stresses of modernization, it was expected that revolutions would become less common as the world grew more rational and de­ veloped. However, the realization that revolutions are grounded in rational pursuit of political object­ ives and arise when shifts in power occur between states, elites and popular groups has altered this expectation. Changes in technology, international politics and the world economy bring new re­ sources into the hands of various groups, while strengthening some states and weakening others. Such shifts were particularly marked in those coun­ tries heavily involved in the strategic competition between the USA and the USSR. Thus revolutions (and attempted revolutions) were frequent in the late twentieth century - in Iran, Nicaragua, Af­ ghanistan, Poland, the Philippines - and will likely remain a recurrent feature of world politics. See also COLLECTIVE ACTION, MARXISM, PERMAN­ ENT REVOLUTION.

the good, or to proffer the benefit or response. Legal rights, that is, those rights recognized by LAW, serve as a model for extralegal, or 'moral' rights. Those who invoke the latter in support of their claims imply that such claims would be upheld by an imaginary moral tribunal, and typically seek to change the law so as to give effect to them. The question arises, on what grounds rights can be posited. The traditional answer is that human beings have 'natural rights'. John Locke maintained that, even in a 'state of nature', individuals are moral beings, and in abandoning that state of nature, they conceded only limited powers of con­ straint to the government they thereby established. When it exceeds these, it violates the 'natural rights' of its subjects. The Bill of Rights attached to the Constitution of the United States neatly exemplifies this mode of thinking. By the middle of the twentiety century, though, claims as to the existence of such rights had come under attack from a variety of quarters. Some, reflecting a logical positivist perspective which denies that moral judgements can be true or false, saw such claims more as 'decisions' or 'the taking of a stand' (Mac­

Reading Dix, R. 1983: Varieties of revolution.

Comparative Politics

15, 281-93. Eckstein, S, 1982: The impact of revolution on social welfare in Latin America.

Theory and Society 11, 33-94.

Donald,

1947-8, p. 49); others, while accepting the

validity of moral judgements, regarded collective entities - the nation, the class - as the sole reposi­ tories of worth; and, in a more practical vein, Mab­

(1958), while viewing collective entities with

Goldstone, J. A., Gurr, T. R. and Moshiri, F. eds 1990:

bott

Revolutions ofthe Late 20th Century. Paige,J. 1975: Agrarian Revolution. Walton,J. 1984: Reluctant Rebels.

extreme scepticism and proposing to 'banish [the termJ "society" in the intersts of clear thinking' (p.

JACK A. GOLDSTONE revolution, managerial

See

MANAGERIAL RE­

VOLUTION

83), dismissed natural rights as 'indeterminate and 58) and as a political weapon invari­ ably used by opponents of reform (p. 62).

capricious' (p.

In the later part of the century, 'rights' reasserted themselves in political thinking, though, following

revolution, permanent

See

PERMANENT REVO­

LUTION

World War II and the subsequent exposure of the Nazi holocaust, much of the emphasis worldwide was on what have been called 'human rights'. In

revolution, scientific-technological

See S CI­

ENTIFIC-TECHNOLOGICAL REVOLUTION Right, New

See NEW RIGHT

delineating such rights, the debate was not so much about what rights individuals once had, or would have, in a 'state of nature', as on what rights all should have in the world as it is today. Moreover, whereas natural rights tended to be thought of as 'active', that is, options which their holders might

For anyone to have a right, a correspond­

choose to exercise, or not, in any given case, the

ing duty must fall on some other or others, specific

notion of 'human rights' extends the concept of

or general. The right might be to do something, or

'rights' to cover 'passive' rights as well, that is,

rights

to keep possession of something, or to receive

entitlements which impose duties on others regard­

something (including an abstraction like respect).

less of the choice of one so entitled. Thus a child

The respective duty would be to tolerate the activ-

may be said to have a 'right to education' without

574

RIGHTS

implying that it should have the option of refusing

essentially social in character. By presupposing the

to be educated.

autonomy of each member, the free society depends

Rights may be specific or universal. Whereas a

on each acting in the spirit rather than merely the

universal right is one which everyone should recog­

letter of its established MoRALITY.It must therefore

nize, a specific right is due only from a specific

accord each person the chance to convey his or her

other, or set of others, and arises either from expli­

own insight into public affairs, and thus preserve

cit undertakings the latter have made, or out of the

everybody's freedom of expression. Moreover, in

relationship between them. Thus Melden

what he calls a 'critical humanist' perspective,

(1959)

contends that a father has the right to expect respect

members of a society may appraise the prevailing

from his son, and, by analogy, some go on to claim

understanding in their society, and seek to improve

that a group has a specific right to the loyalty of its

it. The rights of association, of political participa­

members and a state to that of its citizens.

tion and of nonviolent political action will tend to

It is not, however, characteristic of 'natural rights' theorists to champion the rights of collectiv­

facilitate this process. According to Mabbott

(1948, p. 57), 'natural

ities aganist individuals. On the contrary, 'rights'

rights must be self-evident and must be absolute if

are seen as being based on freedom (Hart), and

they are to be rights at all'. Milne, by linking 'nat­

freedom is defined negatively as the absence of

ural rights' with the conception of a free society,

constraint (Cranston

1953; Berlin 1958). Jean-Jac­

showed that they do not need to be self-evident; and

ques Rousseau's claim that we can be 'forced to be

both he and Hart concede that they may sometimes

free' is held to be a misuse of language. In Hart's

have to be overridden. This last admission does however take 'natural

words

rights' theorists down a slippery slope. If rights

if there are any moral rights at all, it follows that

could be overridden simply on utilitarian grounds,

there must be at least one natural right, the equal right of all men to be free . . . [whereby] any adult

that is, whenever overriding them would promote

human being capable of choice (a) has the right of forbearance on the part of all others from the use

greatest number', they would be nugatory. As Wal­

of coercion or restraint against him save to hinder coercion or restraint and (b) is at liberty to do (i.e.

the 'greatest happiness (or greatest good) of the dron, following Dworkin, puts it,

is under no obligation to abstain from) any action which is not one coercing or restraining or

an individual has a right when there is a reason for assigning some resource, liberty, or opportunity to

designed to injure other persons. (Hart, 1955, p.

him even despite the fact that normally decisive considerations of the general interest (or other

174) This is not, in Hart's view, an absolute right, but

collective goals) would argue against that assign­ ment. (Waldron, 1984, p. 17)

good reasons would have to be given for overriding Utilitarians, by contrast, 'are necessarily and pro­

it. Milne, by contrast, following Green

(1941) and

foundly committed to ...trading off the interests in

(1951), sees freedom as positive. He

life and liberty of a small number of people against a

agrees with Hart that 'the right to freedom from

greater sum of the lesser interests of others' (ibid.,

arbitrary constraint is a necessary condition for

pp. 18-19).

Bosanquet

having any other rights at all,' but maintains that

To preserve this distinction, advocates of natural

this is possible only in a free society, one whose

rights would contend, first, that even though a right

members 'are in substantial agreement about the

were not absolute, a powerful case would have to be

fundamental character of their way of life' (Milne,

made before it could be overridden, which could

1968, p. 177). He envisages that the established

mean requiring that those seeking to override it

morality of such as society might authorize con­

could not simply use their discretion but would

straints on grounds other than those mentioned by

have to convince an independent court or tribunal

Hart (road safety might be one example). What

of the necessity for doing so; and secondly that, in

distinguishes a free society is that each member

overriding a right, the infringement should be kept

shares in the responsibility of maintaining it and

to a minimum, the right should be restored as soon

determining its direction, and must therefore be

as the necessity for overriding it had passed and

autonomous under the law. Rights, he argues, are

compensation should be paid for the transgression.

ROLE PROCESSES It is also argued that some rights are absolute.

ritual, political

575

See POLITICAL RITUAL

Gewirth (1984) proposes that a mother's right not to be tortured to death by her own son would be

role processes

one. Thus even if terrorists credibly threatened to

mainstay of micro level theorizing in sociology for

The concept of roles has been a

destroy a large city with nuclear weapons unless

over a century. Early on, George Herbert Mead

this happened, it would be wrong for the son to

(1934) emphasized the process of 'role taking' or

do it. The son would be responsible for the torture

the reading of another's gestures in order to deter­

he inflicts but not for the lethal actions of the

mine their dispositions and likely course of action.

terrorists in response to his refusal to inflict it.

In the early decades of the twentieth century, a

Gewirth's thinking, however, seems primarily

more structural view of roles emerged in the theor­

concerned with the son's duty rather than the

izing and research of the Chicago School of soci­

mother's rights, which would hardly be less totally

ology in America. Here, roles were seen as sets of

violated if she were tortured to death by someone

expectations associated with positions in social

else. To echo Hart, if there are any 'natural rights'

structures (Park, 1926) or as behavioural manifest­

at all, the right not to be tortured, or delivered to a

ations of these expectations (Linton, 1936). Roles

prospect of torture, is surely absolute.

were thus conceptualized as behavioural adjuncts to

Theories of rights (and especially of 'natural' or

the positions and norms of social structures, a view

active rights) often present the individual as every­

that was carried forth into the second half of the

thing and society as nothing. As Milne shows, this

twentieth century by Talcott Parsons (1951), who

is an exaggeration, which the broader concept of

saw 'status-roles' as the building blocks of social

human rights, incorporating such 'passive' entitle­

systems regulated by a cultural system of norms,

ments as those to food, shelter, medical attention

values and beliefs.

and education, to some extent redresses, at least in

There were, however, many objections to this

principle. To claim that there are limits beyond

structural view of roles. Early work by Jacob Mor­

which the individual's freedom and welfare may

eno (1934 [1953]), for example, emphasized not

not be subordinated to what a government sees as

only the structural dimension of roles (what he

the common good is hardly now disputable, though

termed 'psychodramatic roles'), but also 'psycho­

the contrary consideration posed by Mabbott's ar­

somatic roles' whereby individuals behave in ac­

gument suggests that there should also be limits to

cordance with their biological needs and 'social

the extent to which governments ought to be im­

roles' in which individuals exhibit behaviours asso­

peded from the promotion of genuinely common

ciated with memberships in general categories (e.g.,

purposes by individuals invoking their rights.

male, female, old, young). This more complex view

Nevertheless, it is difficult to disagree with the

of roles was supplemented in the 1950s and 1960s

contention that, over the last century the grimmest

by an emphasis on the dynamic aspects of roles as

outrages against humanity have, on balance, come

constructed and strategic lines of conduct. Erving

more from an excess in the power of governments

Goffman's (1959, 1967) dramaturgical approach

than from a deficiency in it. If that is conceded, the

emphasized that roles are orchestrated in order to

revived emphasis on rights represents a salutary

present a particular view of self, and similarly,

trend.

Ralph H. Turner (1962) argued for a process of 'role making' in which individuals consciously and

See also JusTICE.

unconsciously present gestures marking an under­ Reading

lying role that they are trying to assert for them­

Dworkin, R. 1978 (1990): Taking Rights Seriously, rev.

selves in a situation.

edn. Gostin, L. ed. 1988: Civil Liberties in Conflict. Hart, H. L. A. 1955: Are there any natural rights? Philo­ sophical Review 64, 175-91.

MacDonald, M. 1947-8: Natural rights. Proceedings ofthe Aristotelian Society, 35-55.

Melden, A. I. 1977: Rights and Persons.

Ralph Turner's work also incorporated a more phenomenological

view

of

role dynamics. He

argued that people presume, unless dramatically proved otherwise, that the gestures of others are consistent and mark an identifiable role. Role taking thus revolves around efforts by individuals to dis­

Milne, A. J. M. 1968: Freedom and Rights.

cover the underlying role marked by the configura­

Waldron, J. ed. 1984: Theories ofRights.

tion of gestures emitted by others. Moreover,

RODERICK C. OGLEY

individuals continuously seek to verify the role

576

ROLE PROCESSES

that they have imputed to each other; and so, people constantly monitor each others' responses on the presumption that these responses signal a coherent role (R. H. Turner, 2002). The concept of self has always been central to how sociologists conceptualize the dynamics of roles. Symbolic interactionists emphasize that indi­ viduals are highly motivated to make roles consist­ ent with their identity (Cooley, 1909; Mead, 1934; Stryker, 1980; Swann, 1990; R. H. Turner, 2002). When individuals cannot do so, they will engage in a variety of efforts to achieve consistency between their self and roles: they may leave the situation; they may redouble efforts at role making consistent with an identity; and sometimes, they may even shift identities (McCall and Simmons, 1966). How­ ever, considerable debate exists over whether people possess a stable and trans-situational self or identity that they seek to confirm through role making in all situations (Mead, 1934; R. H. Turner, 1962;]. H. Turner, 1999, 2000, 2002) or, alterna­ tively, whether people carry multiple selves for each situation in which they find themselves (Golf­ man, 1959). If individuals carry multiple identities and selves, then changing a situational identity is less traumatic than would be the case if individuals carry a core self to all situations. The concern with the relation between self and roles generated, for a time, theory and research on problems faced by individuals while playing roles (Merton, 1949; Goode, 1960), particularly prob­ lems of role strain (difficulties in meeting all of the expectations associated with roles) and role conflict (incompatible demands among the various roles) and role conflict (incompatible demands among the various roles that individuals play). A related concern was on deviant roles, with two traditions emerging in the middle decades of the century: strain theory, where individuals are pushed to de­ viant roles by virtue of structural roadblocks to meeting cultural ideals (Merton, 1938; Quinney, 1979), and labelling theory, where micro inter­ actions can label and channel people into deviant roles (Lemert, 1951). More recently, theory and research have moved away from the study of deviance towards the analy­ sis of the emotions aroused when self is confirmed or disconfirmed (Higgins, 1989; Smith-Lovin, 1990;]. H. Turner, 1999). Failure to confirm self will arouse negative emotions -for example, anger, fear, sadness, shame, and guilt-whereas confirma­ tion will arouse positive emotions - satisfaction,

happiness, pride. Those experiencing negative emotions will seek to avoid these feelings by en­ gaging in defensive reactions, such as selective per­ ception of others' gestures, discounting of the legitimacy of others to disconfirm self, or use of short-term credits accumulated in past situations where self was confirmed to ride out episodes of disconfirmation (McCall and Simmons, 1966;]. H. Turner, 1999, 2002). If such reactions prove invi­ able, however, people may escalate their defensive reactions into full-blown repression by bypassing or pushing from consciousness negative emotional ex­ periences (Scheff, 1988;]. H. Turner, 1999). Over the last decade or so, some new conceptual­ izations of roles have emerged. One position argues that roles constitute a resource that can be used to gain access to other roles (Baker and Faulkner, 1991). Here, the ability to play one role allows individuals to gain access to other roles that bring positive reinforcement. Another new idea is that roles are cultural objects that can serve not only as resources to gain access to other roles but also as symbolic markers of who and what a person is (Callero, 1994). Another line of work has extended Ralph Turn­ er's concern with the phenomenology of roles. Jonathan Turner (1994, 2000, 2002), for example, has stressed that individuals carry rather fine­ grained conceptions of roles in their stocks of know­ ledge far beyond Ralph Turner's view that roles constitute only 'loose cultural frameworks' for in­ terpreting actions. For]. H. Turner, individuals carry in their minds detailed conceptions of roles, and these conceptions allow role making and role taking to be a generative process. In]. H. Turner's (2002) scheme, there are (a) 'pre-assembled roles' that are readily known to all (e.g., the role of mother, daughter, worker, student); (b) 'combin­ ational roles' in which people assemble two well­ understood roles in a situation (e.g., a 'daughter' who combines this role with one of a 'host' at a family gathering); (c) 'generalized roles' (e.g., being upbeat, gracious, serious, sad, assertive, shy and the like) that can be adopted to other roles in a situ­ ation; and (d) 'trans-situational roles' that are typ­ ically associated with the social categories to which people belong - e.g., gender, class, ethnicity and age. Thus, in]. H. Turner's view, role conceptions are fine tuned, but they also reveal generative potential as elements of various conceptions are assembled in a situation - as would be the case, for example, when a mother acts upbeat while

ROLE PROCESSES

577

displaying herself as belonging not only to a gender

the concept of roles continues to be a workhorse in

category but also to age, class and ethnic categories.

sociology today.

People generate these kinds of complex roles rather readily in role making, and those role taking with

Reading

them have little difficulty in interpreting these roles

Biddle, B. S. 1979: Role Theory: Explanations, Identities

because they carry in their stocks of knowledge more precise conceptions of many roles. In sum, then, the analysis of roles continues to be an interesting facet of microsociology. While an explicit role theory and associated research trad­ ition is no longer as visible as it was in the 1950s,

and Behaviour. Turner, J. H. 1994: Roles and interaction processes: toward a more robust theory. In Self, Collective Action and Society, eds G. Platt and C. Gordon. --

2002 : Face-to-Face: a Sociological Theory ofInterper­

sonal Behaviour. Turner, R. H. 1968. Role: sociological aspects. In Inter­

1960s and 1970s (see Biddle, 1979), the analysis of

national Encyclopedia ofthe Social Sciences, vol. 13, ed.

roles has become more integrated into more general

D. L. Sills.

theories and research programs in microsociology. Thus, while no longer a discrete mode of analysis,

--2002: Role theory. In Handbook of Sociological Theory, ed. J. H. Turner.

s science,

philosophy

of

See

PHILOSOPHY OF

tion and attempts to limit the transfer of technical know-how also go back for many centuries. But it

SCIENCE

was in the latter part of the nineteenth century that science policy

At the level of policy-making,

the professionalization of R

& D activities and their

science policy is usually defined as those policies

rapid growth led to pressure for a more consistent

which are designed to influence the allocation of

and methodical policy formation process in the

resources to scientific and technical activities, the

leading industrial countries, notably Germany and

effectiveness of this allocation and the social conse­

Britain. Poole and Andrews (1972) have docu­

quences. At the level of academic research, it may

mented this growth of government involvement in

be defined as the study of these activities, drawing

the period from 1875 to 1939 particularly well with

on the history, economics, sociology and philoso­

selected original source material. Of special interest

phy of science as well as on contemporary observa­

is the eighth report of the Royal Commission on

tion and analysis of the policy-making process.

Scientific Instruction and Advancement of Science,

There is no consistency of usage with respect to

which in 187 5 recommended the establishment of a

technology. Some authors (and some governments)

Ministry of Science and made various other pro­

confine the expression 'science policy' exclusively

posals which had to wait between 30 and 90 years

to science in the narrow sense of the word. Others

before their implementation.

use it to embrace both science and technology

However, government involvement with science

policy. It is in this sense that the expression is

continued to increase before, during and after

used here. Abortive attempts have been made at

World War I, spurred on both by trade competition

various times to introduce other expressions, such

and by military rivalry. The establishment of

& D laboratories, in the first place in

as the 'science of science' (Goldsmith and Mackay,

inhouse R

1964) or 'scientific policy', but they have generally

the German chemical industry in the 1870s but

fallen into disuse. Most of those involved, whether

later in many other industrial firms, intensified

in theoretical analysis or practical policy-making,

technological

are uncomfortable with expressions which might

growth of professionalism in a wide range of scien­

competition

and

accelerated

the

convey too strong an impression of certainty and

tific and technical activities. At the same time uni­

coherence in a very uncertain and controversial

versity science departments and technical schools

area.

became the object of greatly increased industrial

The emergence of science policy as a distinguish­

and government interest because of their dual

able and significant area of policy-making and of

role as performers of research and the source of

academic interest was closely related to the profes­

educated

sionalization and scale of various scientific and

personnel.

professional

scientific

and

technical

technical activities, particularly research and devel­

It was this new and rapidly growing complex of

& D). Already in the seventeenth and

government industrial and university scientific ac­

eighteenth centuries there were of course organiza­

tivities which was the subject of the pioneering

tions such as the Royal Society, academies of sci­

book by ]. D. Bernal on the Social Function of Science (1939). Without doubt this was the most

opment (R

ence, and other flourishing scientific societies and journals (Price, 1963). Some of these were recog­

influential book on science policy in the first half of

nizable as of national importance and there were

the twentieth century. The book is divided into two

embryonic forms of patronage and government as­

parts which matched the scientific concerns of the

sistance even earlier than the seventeenth century.

author and his commitment as a Marxist to political

The promotion of invention through patent legisla-

action: 'What science does' and 'What science could

SCIENCE POLICY do'. In the first part Bernal made an attempt to

579

also organized a periodic review of the science

measure the scale of all R & D activities in Britain

policy of various member countries conducted by

at that time. It was not until the 1950s that govern­

outside 'experts' (policy-makers and academic re­

ments made the first official measurements ofR & D,

searchers), thus conferring on science policy some

which have since become a regular feature of social

of the attention normally devoted to the economic,

statistics and an important tool of analysis in much

social and foreign policies of governments.

science policy research. In the second part he pro­

The growth of science policy research followed

posed both a massive increase in the scale of R & D

and interacted with this rapid growth ofR & D and

and related scientific activities and a redirection of

of science policy institutions. It was, and is, pur­

resources away from military towards welfare and

sued both by scholars from a variety of disciplines

humanistic goals. His proposals for increasing the

(for instance, Merton, 1973; Nelson, 1987; Price,

scale of R & D by at least an order of magnitude,

1963) and increasingly by multidisciplinary re­

although at the time they seemed far-fetched and

search groups in universities or elsewhere (see, for

impractical, have in fact been implemented in

instance, Spiegel-Riising and Price, 1977). Whereas

most industrial countries since World War II. His

much of the early impetus came from physicists

fundamental proposals for the reorientation and

such as ]. D. Bernal or biologists such as Julian

reorganization of scientific activities still await im­

Huxley, social scientists became increasingly in­

plementation and remain the subject of deep con­

volved, often in multidisciplinary research groups

troversy, ranging from the goals of industrial R & D

such as the Science Policy Research Unit estab­

in large corporations through to the social responsi­

lished at the University of Sussex in 1965, or at

bility of scientists, the planning of science and the

similar institutions in Manchester, Lund, Heidel­

dangers of technocracy. Bernal's ideas were heavily criticized (see, for

berg, Karlsruhe, MIT, Limburg, Tokyo and other centres.

example, Baker, 1942) because of his advocacy of

Among the many streams of research which

planning and his rather uncritical admiration of

flourished in the 1970s and 1980s there were grow­

Soviet science policy. However, his insistence on

ing attempts to use so-called 'output indicators' of

the necessity of a major government role in science

science and technology, including bibliometric in­

policy and his somewhat utopian vision of the enor­

dicators of publication and citation, patent statistics

mous potential contribution of science to overcom­

and patent citation, measures of innovation and

ing poverty and underdevelopment have remained

diffusion. Obviously such indicators are open to

an abiding influence in science policy research. The

much misinterpretation and abuse, as well as pro­

awesome achievements of scientific research during

viding helpful clues for policy-making. A great deal

World War II marked the universal recognition

of research is therefore devoted to the critical as­

that science was now one of the most powerful

sessment and development of these indicators (see,

influences in society generally and led to the accept­

for example, Research Policy, 1987). As science

ance of a greatly enhanced role for science policy,

policy research has matured it has also begun to

which would have been difficult to achieve in

have a greater reciprocal influence on other discip­

the prevailing prewar climate of ideas in most

lines, as for example, in the reformulation of eco­

countries. Advisory councils and committees proliferated in the 1950s and 1960s and it was not long before ministries 'of Science', of 'Education and Science'

nomic theory through the economics of technical change (Dosi et al., 1988). See also SciENTIFIC-TECHNOLOGICAL REVOLU­ TION; SOCIAL PLANNING.

or of 'Science and Technology' became quite a normal feature of government. International organ­

Reading

izations such as the United Nations Education,

Annerstedt, J. and Jamieson, A. 1988:

Scientific and Cultural Organization (UNESCO) and even more the Organization for Economic Co­ operation and Development (OECD) played a very important role in the standardization of statistics (OECD, 1963a), and in stimulating policy research and the interchange of experience at ministerial meetings (see, for instance, OECD, 1963b). They

From Research Policy toSocial Intelligence: Essaysfor Steven Dedijer. Berna1,J.D.1939: TheSocialFunction ofScience. Dickson, D.1984: The New Politics ofScience. Freeman, C. 1987: Technology Policy and Economic Per­ formance; Lessons from Japan. Krauch, H. 1970: Prioritdten fur die Forschungspolitik. Lakoff, S. A. 1966: Knowledge and Power: Essays on Sci­ ence and Government.

580

SCIENTIFIC-TECHNOLOGICAL REVOLUTION

Mowery, D. C. and Rosenberg, N. 1989: Technology and the Pursuit ofEconomic Growth.

ship of ancient classical thought and their disdain for empirical work. With this scientific revolution

Nelson, R. R. 1987: Understanding Technical Change as an Evolutionary Process. Poo1e, J. B. and Andrews, K. 1972: The Government of Science in Britain. Ravetz, J. 197 1: Scientific Knowledge and its Social Prob­ lems. Spiegel-Rosing, I. and Price, D. de Solla 1977: Science,

came the formulation of theories (ideally expressed mathematically) testable against empirical observa­ tions (where possible obtained from experiments). Galileo's work in the seventeenth century was a pathbreaking contribution that stimulated, em­ bodied and defined this scientific revolution. Polit­

Technology and Society: A Cross-Disciplinary Perspec­

ical changes accompanied this cognitive revolution

tive.

and ultimately science gained some independence CHRISTOPHER FREEMAN

from state (at the time, church) oversight. Later, newer sciences emerged or matured but

science, sociology of

See SociOLOGY OF SCIENCE

though these might have varied in perspective or approach from sciences established earlier, each

scientific

management

See

FoRDISM

AND

POST-FORDISM; INDUSTRIAL RELATIONS

was shaped to the theory-observation template, each was a product of the earlier revolution. Examples include epidemiology, medical science,

scientific-technological

revolution

One

of

and ecology. Similarly for the application of scien­

the most significant transformations in the modern

tific methods to the study of society, including the

era was the revolution in science and technology in

use of purposively designed experiments of a social

the twentieth century. It represents a fundamental

or economic nature. In this case, simplifying as­

transformation in science, in the linkage between

sumptions about the nature of social actors are

science and technology and in the relationship be­

made and the prespposition has been that social

tween science and society. Differences from earlier

research guided by a suitably adapted theory-ob­

times include the social mechanisms for supporting

servation template could lead to a better under­

research, the environments in which researchers

standing of social action - on the average - and

work, the ways in which they are recruited, the

society.

organization of scientific/ technological research,

In contrast, the recent scientific and techno­

the manner in which problems are formulated,

logical revolution has been entirely different in

chosen or assigned, and the reward structures that

character. Beneath the bedazzling distraction of

largely direct the quest for knowledge. In essence,

discoveries and inventions seemingly without end,

the relationship between science and society has

there has been a revolution in organization. What

been altered substantially in this century, and one

has changed most radically in this century has been

aspect of this has been increased efforts to link

the social organization of science, and it is this that

science more closely to technology in an attempt

has constituted a fundamental transformation.

to achieve economic or other national goals.

Many of the trends leading up to the current revo­

As with most transformations affecting the intel­

lution - such as greater specialization, closer

lectual sphere, it will take some time before its full

coupling between science and technology and be­

import is recognized and interpreted. But even

tween science and the state - have been visible for

before the revolution has run its course it is clear

some time. In this century, however, intercon­

that not only has science and technology been

nected changes of a cumulative nature have pro­

affected but so also has the whole process by

duced a threshold effect - a revolution in science

which social thought takes form, and - indeed -

and technology.

perhaps the very substance of future social thought.

In its general form this new revolution has been a

The earlier scientific revolution, at the beginning

consequence of the drive for rationality that has

of the modern era, provides a useful basis for com­

been a motive force in the rise of the West, espe­

parison. The revolution of the sixteenth and seven­

cially since the Protestant Reformation (see also

teenth centuries was a cognitive revolution. Ways

PROTESTANT ETHIC THESIS) . Methods of accounting

of thinking about nature, the kinds of questions

that made capitalist enterprise possible have been

asked and the methods of seeking (valid) answers

extended and applied, initially to technology and

were transformed. Before the scientists of this era,

subsequently to science. Concepts once thought

the scholastics reigned supreme - with their wor-

to belong exclusively to the world of business -

SCIENTIFIC-TECHNOLOGICAL REVOLUTION contracts, time budgeting and time management,

581

nologist - an indpendent thinker - could have

output, production runs, ownership, productivity,

wrestled with a single problem for some years, the

and so on-have come to figure prominently in the

accountability demands on organizations (and on

administration (now management) of science and

their employees), and the career aspirations of the

technology. Moreover, in many societies, relevance

men and women of science and technology, have

-especially relevance to the economic prosperity of

combined to ensure widespread acceptance of

those contributing to the support of research

numbers of publications or patents (and/or page

through their taxes, whose degree of contentment

counts or successful grant applications or contracts

may determine the fate of governments in demo­

or citations or students) per year as valid indicators

cratic societies - has become a criterion of some

of adequate production rates.

importance in the evaluation of science. The relentless pursuit of economic rationality

Any consideration of the scientific-technological revolution of the twentieth century must recognize

has been nowhere as evident as in the bureaucrat­

one of its main features - its apparent success.

ization of research.For individual scientists this has

Whether problems have been assigned by capitalist

meant a transformation from independent ex­

corporations or by the state, or chosen for their

plorers to employees positioned on hierarchical

relevance to the concerns of the day, disciplinary

career ladders in large organizations, from wide­

or societal, on the whole science and technology

ranging generalists to ever narrower specialists, and

have been remarkably adept at offering widely

from personal participants in self-regulating com­

accepted solutions.

munities to anonymous members of large profes­ sional associations. (See also

BUREAUCRACY.)

A critical question, however, is whether this present social organization permits the kinds of

Historically, a number of factors have helped to

transformations in scientific and social thought as­

fuel this revolution. For example, the recognition­

sociated with pioneering scientists such as Coper­

particularly from early in the twentieth century -

nicus, Kepler, Galileo, Newton, Faraday, Snow,

that technology and science could be harnessed to

Darwin, Mendel, Pasteur and Einstein, or with

the production of weapons provided a stimulus to

Adam Smith, Marx, Durkheim, Weber and other

the revolution, and to a considerable extent steered

seminal social scientists.

its subsequent course. When scientists or engineers

As it becomes clear that the social organization of

studying the nature of matter or materials could

science and technology usually does not encourage

furnish expertise useful for designing war-winning

-indeed that it often discourages-truly innovative

weapons, little effort was required to convince gov­

work, a sobering thesis emerges. Put simply: as the

ernments to provide ample support. In addition,

human population - growing in numbers and in

the belief that science and technology could en­

material consumption -pushes ever harder against

hance considerably the wellbeing of nations, as

the limits of the carrying capacity of the planetary

defined in material terms and measured with eco­

ecosystem, serious problems appear and pressure

nomic indicators, has served as a further stimulus to

increases on science and technology to produce

the transformation of science and technology. (See

solutions. As a result of the scientific-technological

also

revolution of the twentieth century, mechanisms

ECONOMIC GROWTH.)

The result has been a science and technology that

translate this pressure into demands for greater

has received more financial support than ever

economic rationality - more accountability, more

before, in which research has been carried out in

efficiency, more productivity - in the use of re­

industrial or government laboratories to a much

sources allocated by society for research. Higher

greater extent than previously, often with its direc­

levels of scientific-technological productivity may

tion determined beforehand by organizational man­

result, as measured by contemporary performance

date, or in fulfilment of contractual obligations.

indicators, but so also do inevitably lower rates of

Research, inside universities as well as outside,

significant scientific discovery and technological

has become team research to a large degree, and

innovation. In the end, following the transform­

the scientific-technological enterprise justified in

ation in its social organization, science and technol­

terms of production ...of patents, of publications,

ogy cannot craft enough work of the quality needed

of personnel. The focus of research has shifted from

to sustain industrial society. In essence, modern

the scientific problem to the published paper or

society contains within its core values the seeds of

patent. Whereas in times past a scientist or tech-

its own demise.

582

SCIENTISM Lemaine, G., Darmon, G. and Nemer, S. 1982:

thinkers impelled by unconstrained curiosity, by

Noopolis: Les laboratoires de recherche fondamentale: De /'atelier d l'usine. Martin, B. M., et al. 1986: Intellectual Suppression: Australian Case Histories, Analysis and Responses. Merton, R. K. 1973: The Sociology ofScience: Theoretical and Empirical Investigations. Pirsig, R. 1974: Zen and the Art of Motorcycle Mainten­ ance: An Inquiry into Values. Szent-Gyorgyi, A. 1971: Looking back. Perspectives in Biology and Medicine 15, 1-5.

an interest in ideas for their own sake, by a passion

ALDEN S. KLOVDAHL

Viewed historically, the same rationality that made possible the industrial revolution in the West has spread from its initial-largely commercial - focuses to all other areas of society. No area has escaped its influence. Yet, pushed to its extreme, economic rationality leads to the consumption without replacement - of the very resource that made possible modern society: the contributions of the scientists, the engineers, the independent

to understand - or by similar 'irrational' motiv­ ations. Persons with these motivations have not

scientism

disappeared, but the twentieth-century revolution

the sixteenth and seventeenth centuries, its advo­

Since the rise of modern science in

in social organization-affecting corporate and gov­

cates

ernment laboratories, research institutes and uni­

status for its judgements and a universally bene­

have claimed

an especially authoritative

versities - defines most people with these kinds of

ficial outcome from its potential technical applica­

motivations as unproductive, unworthy of serious

tions. An early expression of this enthusiastic

consideration or financial support, and - at best­

optimism on behalf of science was Francis Bacon's

marginalizes them.

utopian text The New Atlantis. The subsequent

Ultimately, the question is whether the social

integration of science with the development of in­

organization of science and technology - and of

dustrial and military technology led to successive

the creation of knowledge more generally - will

waves of disillusioned hostility to science, in which

allow any effective contribution to the fundamental

its vision of nature was decried as impoverished

revolution in social thought and societal values that

and its practical project denounced as an exploit­

would be required for the long-term survival of the

ative, destructive, and self-defeating quest for

human species, with a reasonable quality of life,

mastery.

within its natural environment. As science and

The term 'scientism' figures in the verbal ar­

technology are ever more securely harnessed to

moury of the modern inheritors of this critique of

the production machinery of present-day capital­

science, but it is not exclusive to them. In its most

ism, as the critical capacities of individual scientists,

widespread usage, the term reproaches any exten­

engineers and - more generally - intellectuals are

sion of science or scientific method beyond its le­

increasingly anaesthetized (often by their own per­

gitimate

sonal ambitions for success, or needs for survival,

'legitimate scope' is, of course, deeply controver­

scope.

But just what constitutes this

within the present system), as societies around the

sial. For some, Western science as a whole is pro­

planet strive ever harder to emulate the mass con­

foundly suspect, embodying a form of rationality

sumption models of the materialist West, possibly

and an orientation to nature which is intrinsically

remaining windows of opportunity close. See also RATIONALIZATION; SOCIOLOGY OF SCI­ ENCE; TECHNOCRACY; TECHNOLOGICAL CHANGE.

destructive and oppressive with respect to both its natural and human victims. On this view, prevail­ ing patterns of social and cultural oppression are rooted in a projected domination of nature which is

Reading

implicit in the very rationality of science. Another

Bernard, C. 1865

approach (characteristic of the neo-Marxist writers

(1961): An Introduction to the Study of Experimental Medicine. Harre, R. 1981: Great Scientific Experiments: Twenty Ex­ periments that Changed our View ofthe World. International Sociological Association 1977: Scientific­ Technological Revolution: Social Aspects. Kanigel, R. 1986: Apprentice to Genius: the Making of a Scientific Dynasty. Kuhn, T. S. 1962: The Structure ofScientific Revolutions. Latour, B. and Woolgar, S. 1979: Laboratory Life: the Construction ofScientific Facts.

of the FRANKFURT SCHOOL of Critical Theory) rec­ ognizes a realm of legitimate application for the empirical-analytical methods of science, but de­ nounces as 'scientistic' attempts to subordinate such disciplines as psychology, sociology and cul­ tural analysis to this methodological regime. The wider political pertinence of this critique of 'scien­ tism' derives from the view, also widely shared among the Critical Theorists, that the forms of

SECT

583

reason associated with science, and the cognitive

which had a strong affinity with the spirit of capit­

authority conferred on it, have become the primary

alism in general and with the ethos of American

sources of legitimacy in modern industrial societies.

small

The appeal to expertise and the scientistic repre­

Troeltsch (1865-1923), preferred to emphasize

sentation of inherently controversial moral and pol­

the capacity of the sect-type of religious grouping

itical issues as matters for technical calculation are

to foster particular kinds of 'social doctrines' (1911

businesses

in

particular

(1948).

Ernst

associated with an ever-narrowing public sphere

(1931, 1981)) which were distinct from those of the

and the withering of democratic participation. At

church-type and mysticism. This focus on the

the same time the technical capacities of modern

interplay between the sociological, the doctrinal

industrial societies to 'deliver the goods' and to

and the ethical aspects of religious collectivities

manipulate the desires of mass consumers are

subsequently inspired many studies of the relation­

tending to render all opposition seemingly ir­

ships between the exclusivism of religious sects and

rational and nugatory.

the social background, cultural tastes and political

Opposition to science as an intrinsically totalitar­

dispositions of their members (see, e.g., Niebuhr,

ian form of social domination is also a widespread

1929; Wilson, 1961; Beckford, 1975). There have

theme in poststructuralist thought, and especially

also been attempts to explain the continuing popu­

in the work ofFoucault, who links the formation of

larity

the human sciences with distinctively modern

Mormons and Seventh Day Adventists, not only

forms of social power in institutions such as the

in Western Europe and North America but also in

of

such

sects

as Jehovah's

Witnesses,

prison, the asylum and the hospital. It is arguable

Latin America, Japan and sub-Saharan Africa in

that the critiques of 'scientism' mounted both by

terms of their offer of ethical and doctrinal certainty

Foucault and by the Critical Theorists fail to dis­

at a time of widespread religious indifference

tinguish between science, on the one hand, and the

(Wilson, 1976 and 1990) or in terms of their

utopian or dystopian projects of its propagandists,

strongly communal forms of organization and

on the other. If science is employed in a predomin­

activity.

antly oppressive and destructive way, this may be

By extension, the inner dynamics and the exter­

because it is employed in a society which is oppres­

nal relations of some extremist political organiza­ tions also show sectarian characteristics (O'Toole,

sive and destructive. See

also

SciENTIFIC-TECHNOLOGICAL REVOLU­

TION.

1977); and sectarian tendencies exist in some psy­ chotherapeutic groups (]ones, 1984). Thus, al­

TED BENTON

though the implicit contrast with the church-type and mysticism has lost much of its relevance in

sect

At the root of most uses of the term 'sect' is

secularizing societies, the concept of sect can still

the notion of a religious grouping which has chosen

serve as a useful point of reference in studies of

to separate itself from the mainstream of religious

exclusive religious, political and ideological organ­

or political ideas and which jealously preserves its

izations. The concept's usefulness has been further

social, cultural and ideological exclusiveness. The

enhanced by Wilson's (1970) specification of as

implicit contrast is usually with the more inclusive

many as seven subtypes of sect and by attempts to

and universalistic stance of churches, with denom­

understand the processes whereby only some types

inations representing a midpoint between the sect

of sect appear to lose their exclusivism and to

and the church. Church, denomination and sect,

become sufficiently pluralistic and tolerant to war­

with refinements such as established sect and cult,

rant the label of denomination (Yinger, 1970).

have formed the conceptual framework for numer­

There has been a tendency since the 1970s, how­

ous studies of the organizational and ideological

ever, to apply the terms 'cult' or 'new religious

dynamics of religious groups.

movement' to groups which depart from the reli­

Max Weber (1864-1920) emphasized the fact

gious mainstream without necessarily displaying

that membership of a sect was not only voluntary

high degrees of social, doctrinal or ethical exclusi­

but also conditional upon the display of specific

vism (see, e.g., Wallis, 1976; Stark and Bainbridge,

qualifications. He also analysed the role of charis­

1985). Nevertheless, in many advanced industrial

matic leaders in some religious sects and credited

societies where organized religion has lost much of

the sect-type of Protestant organization with the

its former power, the activities of dynamic, and in

capacity to instil the kind of this-worldly asceticism

some cases, intolerant sectarian groups have elicited

584

SECULARISM

hostile responses and strenuous efforts to control

Secularism as a doctrine was not atheistic, al­

sociological attention has

though some of its later success was due to its

focused on the negative ways in which the mass

associations with the antireligious movements of

media portray sect-like movements and on the di­

the late nineteenth century through the work of

lemmas facing state agencies that intervene in reli­

Charles Bradlaugh. In some ways it is better seen

them. In particular,

gious controversies (Beckford, 1985, 1993). This

as part of the disestablishment thesis springing

particular focus for studies of the sect-type weakens

from the reformation. There are close similarities

the concept's links with theology and ethics, as does

with the French concept of laicization arising from

the analysis of sects in terms of rational choice

the outcomes of the Enlightenment and the French

theory (Iannaccone, 1988).

revolution (Bosworth, 1962). Church and state

The concept of sect has also been applied to

became clearly separate entities, with the state

forms of religion other than Christianity, but the

holding a position of religious neutrality, rather

results are mixed. On the one hand, the concept can

than pursuing an antireligious philosophy.

serve as a useful short-hand summary of compli­ cated configurations of doctrines, ethics and forms

In

France,

the

constitutional

separation

of

church and STATE was only completed early in the

of organization. But, on the other hand, it illicitly

twentieth century. Religious instruction in state

smuggles Christian assumptions into the analysis of

schools had been abolished in 1882 and replaced

cultures that actually rest on very different founda­

by general ethical instruction. Similar occurrences

tions. So, while there are undoubtedly sectarian

took place elsewhere, notably in some 'Third

characteristics (e.g., separatism and exclusivism)

World' countries (Smith, 1971), Turkey (Beckes,

in some reform movements in Hinduism (Bhatt,

1964),Japan (Bellah, 1970), and of course the USA

1968) and Buddhism (Ling, 1980), it would be

(Parsons, 1958). Secularism seen as laicization is

misleading to suggest that they conformed in

therefore conceived of as a doctrine of complete

other respects with the ideal-type of a Christian

freedom and non-interference from religions. Elsewhere,

sect.

however,

secularism

was

more

closely associated with conscious attempts to re­ Reading

place religion with a reliance on human reason

Beckford, J. A. 1975: The Trumpet of Prophecy. A Socio­

and experience. This can be found, for example, in the work of Saint-Simon and Auguste Comte in

logical Study ofJehovah's Witnesses.

Wallis, R. 1976: The Road to Total Freedom. A Sociological Analysis of Scientology.

the late nineteenth century, who developed a new religion of humanity and saw society reorganized on

Wi1son, B. R. 1970: Religious Sects. JAMES A. BECKFORD

rational, positivist principles. Max Weber saw tech­ nological development as transforming not only the physical world of space and matter but human

secularism

The doctrine can be defined as the

beings themselves. This disenchantment of the

attempt to establish a body of principles concerning

world means that individuals come to master their

human behaviour based on rational knowledge and

environment without recourse to the supernatural.

experience rather than THEOLOGY or the supernat­

Such a process of rationalization is anti-religious,

ural. It essentially seeks to improve the human

an inexorable part of the development of a society

condition by material means alone, and achieved

rooted in the Judaeo-Christian tradition.

its greatest success in Britain in the nineteenth

Present-day society still has its unbelievers who

century following the passing of the 1832 Reform

fail to experience the sacred or to feel subject to its

Bill. It was a protest movement, espousing a posi­

authority. To what extent they stem directly from

tivistic theory of knowledge linked to a utilitarian

the secularist movement of the previous century is a

philosophy, and reacting against the hegemony of

more difficult question. Secular movements such as

wealth and established religion which prevailed in

communism, or humanism, have been cited as

the middle years of the century. Its major propon­

examples of modern manifestations of secularism

ent was G.J. Holyoake (1817-1906) who, although

(Glock, 1971; Campbell, 1971). However, the func­

brought up in a religious, artisan family, became an

tional similarity between such examples and the

Owenite 'social missionary' and avowed agnostic,

religion of which they are a secularized form make

with

close

associations

with the

Movement (Waterhouse, 1920).

Co-operative

it more difficult to decide whether irreligion and unbelief are truly the heirs to Holyoake's legacy.

SECULARIZATION See also RATIONALIZATION; SECULARIZATION.

585

tices, denominationalism, ecumenicalism and the liturgical movement. Religious practice is seen to

Reading

encompass such aspects of conventional Christian­

Campbell, C. 1971: Towards a Sociology ofIrreligion.

ity as baptism, confirmation, marriage, Sunday

Capora1e, R. and Grumelli, A. eds 1971: The Culture of Unbelief

School attendance, Easter Communicants, and church membership and attendance. These are

Ho1yoake, G. J. 1896: The Origin and Nature ofSecularism.

PETER E. GLASNER

used as indices to chart the overall decline in reli­ gious practice since the Industrial Revolution. De­ nominationalism, while possibly a sign of religious

secularization

As the concept is conventionally

revival at its inception, provides, at least in Britain,

defined, it describes ways in which religious think­

an example of a process of secularization starting

ing, practice and institutions lose their social sign­

with the Reformation. Since weak rather than

ificance (Wilson, 1966). Such a definition assumes

strong organizations seek amalgamation, the ecu­

that there existed a point in history when these

menical movement is a further example of the

aspects played a significant role in social life. It

secularization process, compounded by the call for

also implies that this is no longer the case. Many

a return to traditional, professional standards of

writers, particularly sociologists of religion, have

worship exemplified in the liturgical movement.

commented on the difficulties of using such a con­

Another form of secularization, based on institu­

cept, since it is necessarily closely related to defini­

tionally defined religion, relates to the dichotomy of

tions of religion and religious change over which

church and SECT first discussed by Max Weber

there is much disagreement. In fact, secularization

(1904-5) and Ernst Troeltsch (1931). The church

has come to be seen as a multidimensional concept

is defined in the limiting case as an integral part of

encompassing the variety of forms of religious in­

the existing social order. This is typically rejected

volvement in society within a unified, classificatory

by sectarian organization which strongly objects to

framework (Dobbelaere, 1981).

the necessary routinization which church organiza­

Most definitions of religion fall into one of three

tion implies. Later writers have extended this typ­

categories, institutional, normative or cognitive,

ology to suggest that sects are the least secularized,

which provide a basis for discussing the variety of

and churches and denominations the most secular­

meanings subsumed under the secularization pro­

ized forms of religious organization (Herberg,

cess. Thus an example of religion defined in pri­

1955).

marily institutional ways is that located in the

A more evolutionary view of the secularization

Judaeo-Christian tradition and called a church.

process sees it as a form of differentiation as society

Many of the mystic religions of the East, on the

develops and becomes more complex. It argues that

other hand, are based upon normative rules of

religious organization becomes less hierarchical as

behaviour. Cognitive definitions of religion allow

society becomes modernized, symbolism becomes

such concepts as the sacred to provide the basis for

more varied, individualism more significant, and

religious organizations. The processes of secular­

hence institutional religion finally atrophies (Bel­

ization which relate to these three different views of

lah, 1964). Underlying this discussion of societal

religion will also vary, providing one basis for an

evolution was the view that the social and religious

early plea to dispense with the concept altogether

communities, once identical, become differentiated

because of the confusion it engenders (Martin,

so that the secular aspects of life emerge with a new

1969). Another concerns the doubtful methodo­

order of religious legitimation.

logical underpinnings of the concept: idealization

A related view of the secularization process, de­

of the past; assumptions about religious homogen­

veloped from a definition of religion rooted in the

eity within society; and a preoccupation with

normative sphere, concentrates on the increased

the historical categories of religious experience

generality of the religious dimension in society

(Glasner, 1977). Several forms of secularization stem from a defi­

rather than its institutional differentiation. Thus religious norms and values are said to exercise

nition of religion in primarily institutional terms,

low-level specific prescriptions regarding social be­

including the conventional one of decline men­

haviour in traditional societies, when almost every­

tioned above. The major variables used to discuss

thing from details of the cosmetics used or the

the process normally include formal religious prac-

clothes worn by ordinary people was judged in

586

SELF -MANAGEMENT

religious terms. In modern, secularized, societies a generalized, overarching integrative system which recognizes differentiation and diversity is more ap­ propriate. Thus an all-embracing, unified church is replaced by a civil religion (Bellah, 1967) or, in America, a

tri-faith

system

of Protestant­

Catholic-Jew (Herberg, 1955). Other forms of overarching normative systems have been used to illustrate a process of seculariza­

Dobbelaere, K. 1981: Secularization: a multi-dimensional concept. Current Sociology 29.2. Fenn, R. K. 1978: Toward a Theory of Secularization. Glasner, P. E. 1977: The Sociology of Secularization: a

Critique of a Concept. Luckmann, T. 1967: The Invisible Religion: the Problem of

Religion in Modern Society. Martin, D. A. 1978: A General Theory ofSecularization. Wilson, B. R. 1976: Contemporary Transformations of Re­

ligion.

tion based on the transformation of religious values,

PETER E. GLASNER

grounded in divine power, to specifically worldly ones. The emancipation of capitalism from ethical

self-management

control is just one example, where the driving force

autogestion and the German Selbstverwaltung, this is

of the Puritan ethic gave rise to a sober and regu­

a form of self-determination of human beings as

The equivalent of the French

lated life devoted to the accumulation and invest­

autonomous and conscious beings depending on

ment of wealth (see PROTESTANT ETHIC THESIS). The

concrete social conditions; such conditions include

Protestant emphasis on individual liberty and inde­

a given structure of production, the social and

pendence of thought transforms religious authority

technological

over such aspects of life as morality, education,

stitutions, the level of culture, and the prevailing

work, into a secular state (Troeltsch, 1912).

traditions and habits of human behaviour. Self­

Secularization which stems from cognitively

management

division

should

of

be

labour,

political

considered,

from

in­

the

based definitions of religion is a process of change

philosophical point of view, as a process aiming at

using perhaps the most overworked distinction in

overcoming the alienation of human powers within

this area of social thought: society is seen to move

social relations.

from being primarily sacred in character, with as­

Self-management is a key notion for the theory

sociated elements of ritualism, tradition, commu­

and praxis of 'economic democracy' or INDUSTRIAL

nality and harmony, to being primarily concerned

DEMOCRACY. Applied more widely to global society,

with the secular or profane, where individuality,

it is at the basis of 'participatory democracy' (see

rationality and specificity reign. This distinction is

PARTICIPATION) or 'self-governing socialism'. In

Gemeinschafi to

the first case we are usually speaking of workers'

Gesellschafi (Tiinnies, 1887), mechanical to organic

self-management; in the second, of social self­

linked

to

a

continuum

from

solidary ties (Durkheim, 1912), and folk to urban

management. But in both spheres, productive and

society (Redfield, 1947). However, no single society

political, there is an increasing demand of the

exhibits either polar type to the exclusion of all else,

people for more control and power within social

so that different balances and mixes give rise to the

organizations, mostly in the form of the WORKERS'

empirical diversity found in world history.

COUNCIL or the citizen's council.

It is therefore clear that secularization is by no means a unitary concept in twentieth-century social thought. Its various manifestations arise both from

Workers' self-management

its relationship to different definitions of religion,

This means the full participation of the producers

and to the methodological limitations posed by

(workers and employees) in managing all essential

attempting to operationalize it. The careful use of

functions of the process of production within the

the term in a generic fashion based on a broad

enterprise (planning, execution, control and dis­

system of classification could, however, provide

posal of the products). The basic ideas of workers'

the basis for its continued inclusion by social scien­

self-management were elaborated by the utopian

tists in their conceptual armoury. See also EVOLUTIONARY PROCESSES IN SOCIETY; RATIONALIZATION; SECULARISM.

socialists (Robert Owen, Fran<;ois-Charles Fourier, Pierre-Joseph Proudhon), by Karl Marx, by an­ archists, guild socialists, the 'council communists' and others, and focused on the following themes:

Reading Bellah, R. N. 1970: Beyond Belief Essays on Religion in a

Post- Traditional World.

The idea of the withering away of the state and its replacement by a 'free association of the

SELF -MANAGEMENT

2

3

producers'; hence decentralization of product­ ive and political organizations; The idea of the 'expropriation of the expropri­ ators', the owners of the means of production (private owners as well as state capitalism), and direct control of workers' councils over the produced surplus value or surplus labour; The idea of abolishing the technological div­ ision of labour or 'fragmented labour' and the crippling of the workers' personality. In oppos­ ition to Taylorism and Fordism, democratic and socialist theories emphasize personality growth, the development of individual poten­ tial and efficiency, and mental health in the context of a work community.

Participation and industrial democracy

In the recent sociological and political literature the term 'industrial democracy' has come to be used as the standard term for all forms of company manage­ ment where the employers give greater importance to 'human relations', 'social climate' or 'human management', though often without affecting the system of relations based on rank and power distribution. It is concerned essentially with more democratic behaviour within the given formal or­ ganizational structure. But more precisely used, the term encompasses many different forms of partici­ pation of workers and employees in decision­ making within the firm. In 1967 an International Labour Office commis­ sion in Geneva noted that it was extremely difficult to arrive at a universally acceptable definition of participation. Concretely this notion makes it pos­ sible to estimate the influence of workers on the preparation, making and follow-up of decisions taken at the undertaking

level

in

various

matters

(such

as ...wages and conditions of work, discipline and employment, vocational training ... technolo­ gical change and organization of production, as well as their social consequences, investment and planning etc.), by methods as different as joint consultation and communications, collective bar­ gaining, representation of workers on managerial bodies and workers' self-management ... (ILO,

1981,

p. 6)

Many typologies have been elaborated concern­ ing different systems of participation, taking par­ ticularly into account:

2

3

4

587

Decisional machinery (the preparation, taking and implementation of decisions); Organizational arrangements (at the level of the individual job, workshop, firm, industrial sector, the economy); Production relations (general questions, social questions, organizational and technical matters, economic matters and so on); Legal status (collective contracts, laws, consti­ tution). For instance, German codetermination (Mitbestimmung) has been legally established in the constitution, but generally there are special laws or collective arrangements.

It is important to understand that all these typ­ ologies are founded on a historical process going from partial to full participation; that is, to full control of the productive process by workers' coun­ cils. But the process itself is controversial from the point of view of radical or reformist thinkers. The radicals claim that any form of 'participation' is a form of compromise with the class enemy and propose to replace it by the term 'workers' control' as conforming more closely with the sense of class struggle. But in practice they do not propose to abolish already achieved levels of participation. It seems that the new trade unionism ( Coates and Topham, 1975) is more adequate to the general movement of the actual working class when it speaks of reformist means with a radical goal, attaining self-management by different forms of participation, or 'revolutionary reformism' ( Gorz, 1980). Some confusion in the usage of the term 'in­ dustrial democracy' is possible if it is interpreted in the sense of codetermination, of equal rights of different organized parties or productive factors - employers, workers and the state and not as equal rights of every individual in­ volved in the productive process. It is only then - when the right of decision is extended to all those engaged in production as one of their basic human rights, and not simply as a result of the class struggle between labour and capital - that it is permissible to speak of self-management. Therefore G. D. H. C:o1e (1917) was right when he insisted that industrial democracy is a form of direct democracy, with active participa­ tion by all members of a social community in decision-making, while indirect democracy is an­ other form of slavery.

588

SEMIOTICS such as the Quakers, movements inspired by

Nationalization and socialization Decentralization is a means of attaining direct dem­ ocracy and replacing the controlling hierarchy by a coordinating hierarchy. Private property is a cause of hierarchical organization, but nationalization of the means of production is not always associated with the abolition of a hierarchical order. On the contrary, it can strengthen it, as is the case with state ownership in state socialism, which is highly cen­ tralized and hierarchical. Nationalization of the means of production by the state, regardless of whether the state is bourgeois or proletarian, means only the transformation of the state into a 'general capitalist' one, and, as Engels noted in a letter to August Bebel in

1891, even worse, the

concentration of 'political repression and economic exploitation of workers in the same hand'. Conse­ quently the theorists of workers' self-management

Gandhi, and diverse socialist, libertarian and an­ archist movements), to be implemented through group or community participation of autonomous individuals in a spontaneous manner. The motiv­ ation for collective projects must come from inside, and be a free identification and personal involve­ ment. Hence this form of participation necessarily transcends any kind of particular organization, since organization and institutions tend to foster functional, depersonalized relationships. Participa­ tory democracy could be considered as a method and as a deeper basis of democratic behaviour. It is an ideal and a doctrine intended to equip individ­ uals for a democratic way of life without external constraints or repression. Reading

ifies that the means of production belong to the

Self Governing Socialism. Szell, G. 1988: Participation, Workers' Control and Self Management. UNESCO 1986: Participate in Development.

society as a whole, to everybody and nobody. The

RUDI SUPEK

emphasize socialization of the means of production and not nationalization. Private or state ownership should be replaced by social ownership, which sign­

Horvat, B., Markovic, M. and Supek, R. 1975:

work community and workers' council are obliged to manage the production as 'good managers', enjoying the right of use and of appropriation of benefits, but not the right of abuse

(ius abutendi).

Social property represents a special type of property with distinct legal, social and economic characteris­ tics designed to make exploitation impossible, but in the light of experience in the former Yugoslavia, it has been widely discussed as being ambiguous and insufficiently precise in legal terms.

semiotics

The term was coined by John Locke

to capture a long tradition of Western thought about signification, going back to Greek philoso­ phy. In modern thought, semiotics refers specifi­ cally to twentieth-century theories of signs and sign systems, and their role in CoMMUNICATION. Although some include in semiotics the study of natural signs - zoiisemiotics for animal communi­ cation, and even phytosemiotics for networks of plants and connecting animals (see Sebeok,

Participatory democracy

1976;

Krampen, 1981; discussion in Deely, 1990, chs 5, 6)

human

Industrial democracy, like any other kind of dem­

- semiotics usually focuses on the study of

ocracy, is

communication systems. Semiotics in this respect

a

constitutional form

guaranteeing

human rights, in this instance the rights of the

gives priority to language, or the linguistic code,

producer. The constitution, in giving a right to

which is used as a paradigm for other nonlinguistic

the individual, protects him or her from abuse

signs of widely differing cultural micro- and macro­

from others, but does not, of course, guarantee

phenomena of a specific or a general nature. It thus

anyone the capacity to exercise that right. It estab­

crosses the boundaries between the arts and the

lishes formal standards and ideals of behaviour, but

social sciences, creating an overarching framework

it is left to the freedom of individuals themselves to

for the study of sign systems, which include, apart

turn these into reality. They must be in some way

from the linguistic, also, for example, the 'language'

educated for democracy, and that is the task of

of gestures, of dance, fashion, music, pictures,

participatory democracy. It is a broader concept,

traffic

rooted in a wide range of intellectual currents and

systems and so on (see, for example, the different

traditions (including small group democratization,

semiotic analyses ofRoland Barthes, Umberto Eco,

signs,

architecture,

cock-fights,kinship

concepts of group therapy and of individual partici­

Claude Levi-Strauss, Clifford Geertz and others).

pation and self-education, religious movements

Eco

(1976) differentiates between specific and

SEX

589

general semiotics. Specific semiotics aims at produ­

system and the way it is realized in language

cing 'the grammar of a specific sign system', 'a

(=text) or other semiotic signs.

given field of communicative phenomena, ruled by a system of signification'. General semiotics, in

A social reality (or a culture) is itself an edifice of

contrast, would attempt to find common systematic

meanings - a semiotic construct. In this perspec­

laws for all specific semiotics: 'A general semiotics is simply a philosophy of language which stresses the comparative and systematic approach to lan­ guages by exploiting the results of more local en­ quiries' (Eco, 1976, introduction). Currently there are three main trends in semiot­ ics, with considerable overlap, especially between

tive, language is one of the semiotic systems that constitute a culture; one that is distinctive in that it also serves as an encoding system for many (though not all) of the others ...'language as a social semiotic' ...means interpreting language within a sociocultural context, in which the cul­ ture itself is interpreted in semiotic terms - as an information system. (Halliday, 1978, p. 2)

the first two. Semiotics, in the tradition of the American philosopher C. S. Peirce, is part of logic and philosophy

Social semiotics traces the correspondence between

(see PRAGMATISM). Peirce and

social system and discourse/ text where the latter is

Morris (Morris, 1971) postulate a semiotic triangle

seen as the systematic realization of a 'meaning

of sign, object, and interpretant. Signs are differ­

potential' (see DISCOURSE). Social semiotics in

entiated as symbol (= a token for a type, such as a

recent years has been influenced by the work of V.

verbal utterance), index (for example: smoke as

Volosinov and his critique of 'abstract objectivism'

index of fire) or icon (a map or diagram, which has

(i.e. structuralism) which dates back to 1929, but

structural similarity to the object it represents). As

was only made available in English translation in

a total system, semiotics was to connect 'natural'

1973, insisting instead on the ideological nature of

and 'artificial' signs.

the sign (Hodge and Kress, 1988).

Semiology usually refers to a European tradition based on the work of the Swiss linguist Saussure

Reading

(see

ofSemiotics. U.1976(1984):A TheoryofSemiotics. Halliday, M. A. K. 1978: Language as Social Semiotic. Peirce, C. S. 1931-58: Collected Papers. Saussure, F. de 1906-11(1974): Course in General Linguis­ tics, ed.J. Culler. Volosinov, V.N. 1929(1973): Marxism and the Philosophy of Language.

LINGUISTICS;

STRUCTURALISM).

Saussure

postulated, though he did not himself develop, a new science of semiology that would study sign systems in society. (See the 1974 edition of Saus­ sure,

based

on

lectures from 1906

to 1911.)

To Saussure, semiology was thus part of social psy­ chology.

Deely, J. 1990: Basics

Eco,

The terms semiotics and semiology are often

ULRIKE MEINHOF

used interchangeably; both words are based on the Greek word for 'sign', semefon, though they differ in

sex

the prior role which Saussure, more than Peirce,

reactions, motives and behaviours and their cul­

gives to the linguistic paradigm in formulating the

tural representations (see also GENDER). In the

shared laws. Saussure's linguistic sign divides into

nineteenth century it was conceived as an instinct­

The term refers to sexuality, eroto-sexual

two parts: the 'signifiant' (usually translated as

ual drive rooted in reproductive biology and only

signifier I sound-image/ expression) and the signifie

externally regulated by social and cultural norms.

(translated as signified/ concept/content). Signs

Contemporary sexology is a multidisciplinary field,

are arbitrary, that is, the connection between sign­

a kind of equilateral triangle, uniting medicobiolo­

ifier and signified is unmotivated and based on

gical, sociocultural and psychological perspectives.

convention, not on any natural link between form

Different disciplines emphasize specific aspects of

and meaning (see FoRMALISM).

sex: physiological, evolutionary, anthropological,

Critique of the assumed independence of the

ethological,

socionormative,

cogmtlve,

motiv­

linguistic sign from its context comes especially

ational, semiotic and so on. These approaches are

from social semiotics, an Anglo-Australian develop­

complementary in spite of the old opposition be­

ment based on Hallidayan linguistics (see for

tween biological reductionism and sociological con­

example Halliday, 1978; Hodge and Kress, 1988).

structivism.

Social semiotics explores more strongly the role of

Human sexuality is not a simple biological given

context, the interconnection between the social

which can be explained in terms of reproductive

590

SEX

biology. Even among higher animals sex is a multi­

zation of marital relationships; new liberal attitudes

functional behaviour, presupposing some sort of

towards the body and emotions; a general increase

socialization, social learning, etiquette. Even some

in social tolerance for individual differences and

elementary sexual reactions like erection or penile

nonconformity; the weakening of parental, school

display may serve nonsexual purposes, signifying

and peer-group control over adolescent sexuality;

power relationships, aggression, friendliness and so

earlier sexual maturation of adolescents; the pro­

on. Human sexuality is a kind of sociocultural,

gress in contraceptive techniques, especially the

historical construct. Its forms and meaningful con­

invention of the birth control pill,

tent are comprehensible only in the context of a

women from the fear of unwanted pregnancy; the

socionormative

progress of sex research and education.

culture

as

a

whole,

including

liberating

gender stratification, stereotypes of masculinity

All these trends have a profound influence on

and femininity, the language of emotions, represen­

sexual attitudes and behaviour. In all industrial

tations of the hod y and rules of verbal decency. The

countries young people are now beginning their

distinction between eroto-sexual and nonsexual

sexual life earlier than did older generations. Atti­

motives and actions both on the individual and

tudes towards premarital sexuality have become

social level is conventional, depending on the gen­

more permissive, and in most cases such relation­

eral values of a society. The rigid opposition of

ships are considered socially and morally accept­

sexual and nonsexual attractions or of love and

able. Sexual satisfaction has become one of the most

friendship is to a considerable degree the function

important factors in marital success and stability.

of a traditional antisexual attitude, an attempt to

Sexual techniques are becoming more sophisticated

isolate the tabooed 'base' erotic feelings and experi­

and

ences from the other aspects of life. Not only can

demands, expectations and worries about the qual­

sexuality appear in nonsexual disguise, but 'it is just

ity of their sex life.

diversified;

people

demonstrate

higher

as plausible to examine sexual behaviour for its

The changes in women's sexuality are especially

capacity to express and serve nonsexual motives as

important. The age differences in the beginning of

the reverse' (Gagnon and Simon,

1973, p. 17).

sexual life for boys and girls have been considerably

Every society makes some kind of difference

reduced or have even completely disappeared.

between the 'right' and 'wrong' kind of sex. These

Women strongly object to the 'double standard' in

normative prescriptions are often formulated in

sexual morality. As a result of more liberal social

medicobiological language so that morally or so­

attitudes there is a continuous decline in the rate of

cially disapproved behaviour or orientation is

female sexual frigidity and anorgasmia. Sexuality is

labelled 'abnormal' and 'pathological'. But some

becoming an important aspect of the new female

behavioural patterns that are obviously dysfunc­

social and personal identity.

tional or incorrect in one context, for example the

The new tolerance is gradually changing the

context of reproduction or the maintenance of

social status of sexual minorities. Homosexuality,

family relationships, can be quite functional and

instead of being treated as a moral vice or, later, an

useful in another context (say, giving emotional

incurable illness, is now considered rather as a

satisfaction, a sense of wellbeing). Behind any nor­

specific lifestyle and, whatever the causes of this

mative definitions of 'right' and 'wrong' sexuality

sexual orientation may be, not to be used as a reason

relations of power are always hidden, such as the

for social or moral discrimination or legal prosecu­

social control of men over women, parents over

tion. In most European countries the laws against

children, the state over individuals. The struggle

homosexuals have been abrogated, and gay and

over these rules and definitions is the core of the

lesbian organizations, fighting for their human

whole history of sexuality.

rights, have emerged.

At present this struggle is particularly sharp.

Taken as a whole this process means individual­

The 'sexual revolution' of the second half of the

ization and personalization of sexuality, and a move

twentieth century was a result of several macroso­

from external social control to internal moral self­

cial trends, including the breakdown of a traditional

control. But these changes are not unilateral and are

system of gender stratification based on male dom­

very contradictory. Sexual scripts have important

inance; changes in masculinity/femininity stereo­

gender, cohort, ethnic, cultural and other vari­

types and corresponding sex role prescriptions and

ations. The weakening of the social regulation of

expectations; increased instability and psychologi-

sexuality combined with inadequate information

SLUMS and knowledge has several undesirable social and

591

apathy led to high levels of unstructured violence

psychological consequences: the rise in some coun­

and crime. Explanations of this behaviour ranged

tries of the rate of adolescent pregnancies and abor­

from attributions of individual moral weakness-to

tions,

be rectified by education and/or punishment- to

sexual

abuse,

epidemics

of

sexually

transmitted diseases. Commercialized erotica help

imperfections in the state of society, to be remedied

to manipulate human sexuality, and extensive con­

by social reform (Waxman,

tacts without love or emotional involvement are

of the intergenerational transmission of these be­

transforming sexual freedom into sexual alienation.

havioural

The dangers of unrestricted sex are strongly em­

Lewis's

characteristics

(1967)

1977). was

The inevitability popularized

m

concept of the 'subculture of pov­

phasized by the AIDS epidemic, which revitalized

erty'; he argued that in most conditions of PoVERTY

many old sexual anxieties and fears, provoking a

children were socialized at an early age into the

situation of moral panic. Conservative people con­

values of their parents; the concept of 'cycles of

sider sexual liberation as a state of total moral dis­

deprivation' suggested that the multitude of inter­

organization leading to the self-destruction of

linked problems faced by the very poor made their

culture and society. The alternative to these fears

escape from poverty almost impossible. Both of

is the development of moral self-regulation and the

these approaches have been widely criticized (see

promotion of an adequate sex education.

Leacock,

1970;

Coffield et al.,

1980).

As the nineteenth-century slum neighbourhoods Reading

have been cleared and redeveloped, they have been

Foucault, M. 1976 (1981): The History of Sexuality. Vol. 1: An Introduction. Freud, S. 1905 (1949): Three Essays on the Theory of Sexuality. Geer,J. H. and O'Donohue, W. T. eds 1987: Theories of Human Sexuality.

replaced by other forms of low-cost housing, high­ rise apartments and so on, which have in turn become labelled with the same stigmatizing charac­ teristics. This image of the slum generated by nineteenth­ century Western industrial development has not

Kon, I. 1985: Einfiihrung in die Sexologie. Money, J. and Musaph, H. eds 1977: Handbook of Sex­

proved entirely appropriate to the growth of the Third World in the second half of the twentieth

ology. Reiss, I. L. 1986: Journey into Sexuality: an Exploratory

century. Here annual growth rates of

10

per cent a

year have been common due both to massive in­

Voyage. Weeks,]. 1985: Sexuality and its Discontents.

migration from the rural areas and to a high birth I. S. KON

rate consequent on the youth of the migrants.

The movement of people into the towns in

property in inner-city areas, others in purpose­

Some of these migrants find homes in decaying slums

the early decades of the Industrial Revolution led to

built tenements. But the supply of such housing is

the creation of large areas of housing of poor con­

far exceeded by demand; the vast majority of recent

struction, lacking in essential services and grossly

migrants have been obliged to build their own

overcrowded. These slums contrasted with neigh­

houses in the city peripheries. These areas, desig­

bourhoods in preindustrial cities and rural villages

nated shanty towns, squatter settlements and by a

in that rich and poor were markedly segregated. As

multitude of local terms, now house a half of the

a result the pejorative connotations of the term were

total population of many cities.

transposed to the inhabitants of these slums. They

The shanty town population tends to be charac­

were portrayed, by the more affluent, as people who

terized by the more affluent of their society by the

had rejected the dominant norms and values of

same pejorative attributes cited above. Studies of

their society, rather than striven to uphold them.

these areas have however revealed very different

Thus the distinction emerged between the 'de­

attributes and have led to the distinction between

serving' and the 'undeserving poor' - the latter

'slums of hope' and 'slums of despair' (Stokes,

being termed also the 'disreputable poor' (Matza,

1962).

1966), the 'dangerous classes' (Chevalier, 1973) and

rural in-migrants aspiring to a better life, adhering

Typical of the former are those peopled by

'lumpenproletariat'.

as far as possible to the dominant social values, often

Stereotypical characteristics of the slum dwellers

engaged in vigorous community activity; contrasted

in

Marxist

literature

the

included the breakdown of family structure and the

are the latter, the home of those who see themselves

lack of community organization. The consequent

as downwardly mobile, having failed to cope with

592

SOCIAL CHANGE

the problems of urban life, and who evince those

tain ambivalence in the way in which change has

characteristics of apathy associated with this form of

been seen. At the back of the minds of most theor­

extreme poverty. The equation of shanty towns with

ists, on the one hand, has been the nineteenth­

slums of hope, and inner city areas with slums of

century Promethean expansion of collective power

despair is not necessarily valid; for as Turner (1967)

occasioned by the industrial revolution; this has led

has shown for some Latin American cities the typical

to an implicit assumption that change is 'good' and

in-migrant stays first in rented accommodation in

ever natural, such that social orders which do not

the inner city to establish a 'bridgehead' and then

allow it are seen as some how 'flawed'. But there

'consolidates' his position by building his own

have been a fair number of theorists, on the other

dwelling in a developing shanty town.

hand, who have doubted the virtue of change,

The sharp contrast between the degradation of

largely on the grounds that settled stability is a

the classic slum and the achievement orientation

value as much chosen and as worth defending.

often found in the shanty town is undoubtedly

This viewpoint has particularly appealed to those

overdrawn. Just as there have been many inhabit­

members of the modern intelligentsia who have felt

ants of the former who have not possessed the

displaced by the arrival of an age of mass literacy:

attributes stereotypically associated with extreme

the loss of prestige that has accrued has encouraged

poverty, so too are there many shanty town dwellers

romantic and naive longings for various types of

who do. Wide variations in success in finding urban

communitarian stability.

employment contribute to differential living stand­

Most work in the area of social change has sought

ards and social attitudes. Within the shanty town

to explain the causes, nature and direction of social

social differentiation is resulting from the commer­

change. Some indication of the most important

cialization of the housing market as successful early

debates can be given by looking first at key twenti­

residents become petty landlords, their tenants

eth-century theorists, then at recent theoretical ad­

then being unable to accumulate savings sufficient

vances and finally (and crucially) at social change

to build their own homes.

outside the advanced industrial world.

The lack of economic growth in most of the

Many concepts of social change were put for­

poorer developing countries in the past two decades

ward during the twentieth century; attention has

towns

variously been directed to acculturation, diffusion,

rendering industrial advancement more difficult to

technological innovation, DEMOGRAPHY and MI­

has certainly

impoversted

their shanty

achieve. But they have not become the 'flash points'

GRATION as key causes of social change. Some of

of civil unrest, as was so widely predicted in the late

these make undoubted sense, it being impossible,

1960s. But tensions arising from poverty, itself

for example, to understand the creation of Israel

manifest in poor housing, certainly exist, though

without an appreciation of migration or to predict

they are frequently diffused through political clien­

its future without paying attention to differential

tage, community organization and ties of ethnicity,

fertility rates. Nonetheless, the concept of social

rendering inappropriate the labelling of the major­

change is best approached by examining, in rough

ity of the urban poor as 'disreputable' or 'dangerous

chronological order, a handful of important general

classes'.

theories. The study of social change has been, and prob­

See also URBANISM.

ably continues to be, dominated by evolutionary assumptions. This is scarcely surprising given that

Reading Chevalier, L.

1973: Labouring Classes and Dangerous

much modern thought is the child of the Enlighten­ ment. In the optimistic liberalism of thinkers such

Classes.

Lloyd, P. 1979: Slums ofHope?

as L. T. Hobhouse and]. A. Hobson, the course of

Rutter, M. and Madge, N. 1976: Cycles ofDisadvantage. Waxman, C. I. 1977: The Stigma ofPoverty. PETER LLOYD

social evolution would guarantee peace, prosperity and the spread of rationality. These hopes were badly dented by the geopolitical conflicts of the period from 1914 to 1945. In contrast, Marxist

social change

The twentieth century saw mas­

ideas (which share much of liberal hopes with the

sive social change, and it is not surprising to dis­

key exception of presuming that peace and prosper­

cover

much

ity only ensue in tandem with the socialist mode of

modern social investigation. There has been a cer-

production) gained in credence for the first half of

that the

concept has dominated

SOCIAL CHOICE

593

the twentieth century, especially when periods of

Social change outside the European heartland

economic crisis seemed to suggest that the Soviet

and its cultural offshoots, that is, the search of

Union might be able to bring a prosperity that

Third World countries, especially since 1945, for

eluded capitalism. Marxism has an advantage over

development and security, is of unquestioned

most evolutionary theories in any case since it can

world historical importance. The establishment of

specify a mechanism, that of class conflict, by

such countries was the result of nationalism, prob­

means of which social change takes place. The

ably the most striking single force for change in the

interwar years also witnessed the emergence of

twentieth century- albeit the remarkable mainten­

another great revolutionary force, that of fascism.

ance of the borders established in 1945 is the result

In principle, this theory, especially in the work of

both of superpower stalemate and of generalized

Oswald Spengler, opposed social change- or, more

agreement

precisely, it regarded all change as merely cyclical,

Much discussion has taken place as to whether

on

the

norm

of

nonintervention.

without developmental, import. In practice, how­

the advanced economies control the Third World

ever, fascism was a reactionary modernism seeking

through informal economic means. That 'depend­

to combine preindustrial ideological certainty with

ency theory' cannot be true in any complete sense is

modern technology. This was a powerful and un­

clear given the remarkable rise of East Asian indus­

stable mixture.

trialism. But there is very much truth to this general

Intellectual life depends on geopolitical events.

view precisely because so few countries have

After 1945 the study of social change has been

escaped DEPENDENCY; the exceptions, whose extra­

dominated by American and by Marxist categories.

ordinary social portfolios are now being investi­

American

by Talcott

gated, prove the rule. Nonetheless, the economic

Parsons, allowed for incremental reform but had

weakness of most Third World states does not

little to say about (although much disapproval of)

mean that they will not effect large-scale social

fundamental social change. This led to the emer­

change. Such countries will soon possess nuclear

gence

of

thought,

various

as

exemplified

conflict

sociologies,

often

influenced by Marx but more generally indebted

weapons: this is bound to influence economic ar­ rangements.

to the work of Max Weber. However, the stability of the post-war era meant that no great advances were made in the study of social change.

Reading Collins, R. 1975: Conflict Sociology.

Conceptual advances are now being made. The

Gellner, E. 1983: Nations and Nationalism.

first advance concerns the impact of political forces.

Hoffer, E. 1963: The Ordeal of Change.

Social change does not, as both liberal evolutionists

Mann, M. 1986: The Sources ofSocial Power, vol. I, From

and Marxists presume, always emanate from socio­ economic conditions: rather, political events can

the Beginning to 1760 AD.

Smith, A. D. 1973: The Concept ofSocial Change. JOHN A. HALL

force society to change. Thus geopolitical defeat in the war led to the democratization of both Ger­

How do and how should govern­

many and Japan. More generally, we are beginning

social choice

to understand that the character of social move­

ments and other public agencies decide on their

ments often results from the regime with which

actions? There are various accounts of how govern­

they are in contact: there are few revolutions inside

ments make decisions (see BUREAUCRACY, CORPOR­

capitalism, but those there are, whether in agarian

ATISM,

or industrial circumstances, seem caused by polit­

GROUP), but it is a basic liberal democratic pre­

ical exclusion. The second advance concerns capit­

sumption that governments should act in the inter­

alism.

in

est of their citizens. The public interest, so as to

opposition to political economy, and sought to go

speak, cannot be defined independently of the

Most

social

thought was

produced

DEMOCRACY,

ELITE

THEORY,

PRESSURE

beyond it. But the speed of change within capital­

interests of the individuals from whom the govern­

ism and the extension of its social reach are ever

ment gains its authority. This democratic formula

more striking. The relations between capitalist so­

works smoothly enough when public action is in the

ciety and nation-states- the latter, crucially, having

interests of all. But inevitably there are situations

to find a way to live within the larger society of the

where the choice of action involves a conflict be­

former - constitute the agenda for study of social

tween the interest of one individual or group and

change at the present time.

another. It is these difficult cases that have set the

594

SOCIAL CHOICE

agenda for discussions in social choice. Unsurpris­

require a social choice utilitarian to countenance

ingly, with the rise of democracy and the growth of

torture if it yields more utility for the torturer

the public sector in various forms, these discussions

than disutility for the victim, it is still based on an

have rarely been far from the centre of debate in

ordinal utility representation of individuals and is

both politics and economics.

capable of generating a similar sort of problem

There have been three important modern ap­

because, notoriously, the majority could always

proaches to the origin of the principles which

vote to produce tyranny over minority groups.

should be used in the difficult cases. One involves

What seems to be lacking is an acknowledgement

an appeal to the ballot box. It constitutes a natural

that individuals are more than bundles of prefer­

extension of the ideas of individual choice found in

ences: minimally, that they have rights which need

economics (see

NEOCLASSICAL ECONOMICS and RA­ TIONAL CHOICE THEORY) to politics. It has also been

to be respected.

very influential in some discussions of how govern­

tarian approach to social choice. The hallmark of

ments actually make decisions (see, for instance, Down,

1957

and Riker,

1982).

Individuals are as­

These rights are central to the second, contrac­ contractarianism is an argument which justifies an outcome by showing how individuals, endowed

sumed to have preferences over the possible out­

with rights like basic liberties, would have agreed

comes (sometimes termed ethical preferences as

to such an arrangement had they started from some

they refer to the outcomes for society and can

hypothetical original contracting position. It is an

involve an ethical judgement as to whose interests

attractive argument because it seems there could be

should be favoured). A constitution then aggregates

little cause for complaint over government actions

them, via some mechanism of voting, to produce a

when it can be shown that individuals, had they been

social ordering of the possible outcomes. Thus, just

given the chance to negotiate, would have agreed to

as consumers acting on their preferences over com­

them. Nevertheless, its appeal can be deceptive. It

modities in markets produce a social valuation of

does not dissolve many of the fundamental contro­

different commodities in the form of a set of relative

versies in this area because there are various ways of

prices, so the individuals vote according to (ethical)

specifying the original contracting position and the

preferences and the ballot box produces a social

subsequent hypothetical agreements are extremely

ordering of outcomes and with it a judgement

sensitive to these specifications.

over whose interests to favour.

For instance, those who follow Rawls

(1971)

This is attractive because it offers a procedural

might suppose that social choice in the difficult

solution which avoids any commitment to the

cases where interests conflict involves a matter of

moral form of the good life. However, Arrow

justice, and since justice should be impartial, the

(1951)

result,

original position for the derivation of these prin­

which generalizes the famous Condorcet voting

ciples of justice should be characterized by a 'veil of

paradox, and which casts serious doubt on the

ignorance'. Individuals should decide on what

coherence of this approach to the problem. When

social outcome they

individual preferences satisfy the standard axioms

among other things, which individual position

demonstrated

of choice theory (see

an

impossibility

RATIONAL CHOICE THEORY)

then no system of aggregating these preferences

they

will

occupy.

prefer

Formally,

without knowing, individuals

must

decide under these conditions of uncertainty and

can guarantee to produce a social ordering which

Rawls argues that the appropriate decision rule is

satisfies a set of apparently minimal conditions.

maximin, once a condition of equal basic liberties

Specifically, it cannot avoid inconsistencies of the

has been satisfied. This means social outcomes are

form 'x is preferred to y and y is preferred to z but z

judged according to the welfare of the worst-off

is preferred to x', whilst at the same time satsifying

person, with a consequent presumption in favour

simple conditions like nondictatorship and Pareto

of equality. Indeed, individuals under this rule will

optimality.

only choose a social outcome where there is in­

This has been an immensely influential result for

equality when the worst-off member under that

democratic theory, but it has also been the object of

arrangement is made better off than would be the

sharp criticisms directed at its foundations in the

case under an outcome with greater equality. Thus,

1982).

a Rawlsian approach to justice when applied to

Although the Arrow approach explicitly rejects the

social choice often seems to sanction interventionist

interpersonal comparisons of utility which might

state activities designed to promote equality.

utilitarian tradition of economics (see Sen,

SOCIAL CONTRACT

595

This is a controversial implication. Firstly, it is

individuals to follow the rule and so the rule will

not obvious that maximin commends itself as the

spread (see Sugden, 1986). Of course, not all prob­

appropriate decision rule for conditions of uncer­

lems faced by governments are like traffic rules and

tainty. There is a stronger claim in the economics

it is not obvious that the conventions which might

literature for an expected utility maximization rule

be thrown up in more complicated cases will enjoy

(see RATIONAL CHOICE THEORY), and its use could

legitimacy. Nevertheless, this third approach sup­

restore a species of utilitarianism (see Harsanyi,

plies a salutary reminder that there is more than one

1955). Secondly, it presumes that governments

way to solve the 'problems of government'.

should decide whose interest to favour when con­

See also PUBLIC CHOICE.

flicts arise. In other words, it presumes that justice

SHAUN P. HARGREAVES HEAP

demands some type of state intervention, whereas it has been famously argued by Nozick (1974) that a

Reading

system of justice based on rights requires nothing of

Arrow, K. 1951

the sort. Nozick's original position is defined by a Lock­ ean state of nature (roughly a state where individ­ uals can enforce their rights to their property, including their labour, so long as this does not infringe another's rights); and he argues that indi­ viduals will contract with each other to form a state which upholds property rights, but no more. Spe­ cifically, any attempt by the government to follow a redistributive programme will contravene the fun­ damental right of individuals to dispose of their time and property as they see fit. It will upset or undo the actions which individuals have freely

(1963): Social Choice and Individual

Values. Buchanan, J. M. 1986:

Liberty, Market and the State. An Economic Theory ofDemocracy. 1986: E thics, Economics and the State.

Downs, A. 1957: Hamlin, A.

Harsanyi, J. C. 1955: Cardinal welfare, individualistic ethics and interpersonal compari sons of we lfare. Jour nal ofPolitical Economy 63, 309-21. Nozick, R. 1974: Anarchy, State and Utopia. Rawls, J. 1971: A Theory ofJustice. Riker, W. H. 1982: Liberalism against Populism. Sen, A. 1982: Choice, Welfare and Measurement. Sugden, R. 1981: The Political Economy ofPublic Choice. --1986: The Economics of Rights, Cooperation and Welfare.

SHAUN P. MARGREAVES HEAP

undertaken and thus constitutes an infringement of the rights of that individual. Thus, the contractarian approach has not settled

social contract

Any agreement between inde­

the disputes in social choice since its arguments can

pendent individuals concerning the basic institu­

license both an interventionist and a minimal state.

tional arrangements which are to determine their

Nevertheless, what has been revealed by the recent

social or political relationships constitutes a social

contractarian turn of argument is the sensitivity of

contract. The agreement may be between all rele­

social choice to both the presumed model of indi­

vant persons, or between one person (the potential

vidual decision making and to what is regarded as

sovereign) and all other persons, or it may involve

the relevant relationship between individuals in

agreements between pre-existing groups. The con­

some original position.

cept is used to explain, justify or deduce the posi­

The third approach begs the very question of

tive

rights

and

obligations

which

naturally

social choice. It is primarily associated with the

autonomous persons have in relation to each other

N EW RIGHT (and in particular the arguments of

within a society and/ or a state.

Hayek on spontaneous order). The nub of their

The idea of social contract exemplifies many of

argument is that many areas of putative govern­

the presuppositions of traditional liberal political

ment action can be resolved through reliance on

theory. Thus, a recent commentator suggests that

conventions which will emerge spontaneously in

social contract theory is vol untaristic (in that polit­

the course of repeated social interaction (see Evo­

ical authority 'depends on acts of human will'),

LUTIONARY PROCESSES IN SOCIETY). Thus a rule like

consensual ('the theory postulates a consensus of

'drive on the left' may be decided upon and en­

wills among all those subject to a given legitimate

forced by governments, but equally this is the type

authority'), individualistic ('grounding legitimate

of rule which could emerge spontaneously without

political authority on its acceptance by individuals')

government intervention through a process of evo­

and rationalistic (in that the individual wills which

lution. For instance, once a small group within

reach consensus are rational rather than wilful)

society starts to use such a rule, it will pay other

(Lessnoff, 1986, pp. 6ff. ).

596

SOCIALCONTROL

In the early twentieth century it was assumed

or not all or any actual individuals have made such

that social contract theory had rightly been dis­

agreements. In this way morality is analysed as a

carded because of its erroneous historical and

combination of long-term self-interest and impar­

sociological assumptions and on account of its

tiality or fairness. The practical implications of this

philosophical failure to provide an account of the

approach may be difficult to distinguish from those

basis of the foundational obligation to abide by

of classical utilitarianism (to which contract theory

the original social contract. Recently, however, the

is normally contrasted as giving more protection to

social contract approach has been revived in various

individuals and minorities). Further, the hypothet­ ical contract approach cannot easily explain why

forms. In a tradition stemming from the seventeenth­

people conform to the requirements of such moral­

century political philosopher Thomas Hobbes

ity when it is not in their (even long-term) interests

(1651) the social contract approach is once again

to do so (Gauthier,

being utilized as a way of reconciling egoistic indi­

why they sometimes have good reason to do so.

vidualism (according to which the rational person

1977), although it may explain

A more historically oriented form of hypothetical

seeks, or ought to seek, only his or her own welfare)

contract is set out by Robert Nozick

with the acceptance of defined and limited societal

follows Locke in accepting that individuals have

(1974) who

obligations (as being in the long-term interests of

some presocial natural rights, such as the right to

those involved). This transfers to the general social

life, and constructs a conjectural history depicting

and political sphere economic models relating to

what such individuals could have agreed to without

the free market, where contractual relationships

violating each other's rights. He concludes that

between individuals are central. In what is called

they would consent to a libertarian or minimal

collective choice theory, Buchanan and Tullock

state, but nothing beyond that. No contractarian

(1962) explore the decision procedures which are

(or other) justification or explanation is given for

relevant to the determination of when it is rational

the presupposed natural rights.

for egoistic individuals to accept the restrictions

Nozick's theory is characteristic of contemporary social contract theory in being justificatory or nor­

involved in collective action. In a less egoistic vein, derived from the Enlight­

mative rather than descriptive or explanatory, al­

(1690), Rousseau (1762)

though it is usually assumed that there is sometimes

and Kant (1977), the methodology of social contract

empirical overlap between the asocial situations in

enment theories ofLocke

theory has also been used to underpin a modern

which the contract is said to take place and the

liberal theory of JusTICE which combines a commit­

realities of actual social and political life. Hypothet­

ment to strong individual rights with extensive

ical contract theories do not avoid the epistemo­

redistributive mechanisms (Rawls,

logical problems which arise concerning our alleged

1971).

Modern social contract theorists accept that

knowledge of the content of the contracts in ques­

there was no actual historical contract predating

tion and the prescriptive outcomes of applying the

the origins of social or political life, and rely instead

social contract methodology tend to reflect the

on the idea of a hypothetical contract which is

values of their users.

explicated in terms of what rational (and perhaps well-informed and impartial) persons would have agreed to in specified circumstances. Rawls, for instance, postulates an imaginary 'original position' in which generally knowledgeable, free and equal individuals agree on the basic institutions of society without knowing their own personal characteristics

Reading

Social Contract. Social Contract. Macpherson, C. B. 1962: The Political Theory of Possessive Individualism. Rawls,J. 1971: A Theory ofJustice. Barker, E. 1947:

Lessnoff, M. 1986:

Scanlon, T. M. 1982: Contractualism and utilitarianism.

or what place they will occupy in such a society (the

In

'veil of ignorance') (Rawls,

liams.

1971, pp. 118-94). This

Utilitarianism and Beyond,

formulation abandons the idea that individuals have

ed. A. Sen and B. Wil­

TOM D. CAMPBELL

societal and political obligations only if they have The concept describes the cap­

actually made certain undertakings and substitutes

social control

for it the more nebulous idea that what would be

acity of society to regulate itself and the means by

agreed in certain circumstances determines or ex­

which it induces conformity to its own standards. It

plains what is obligatory independently of whether

rests on the belief that order is not maintained only,

SOCIAL CONTROL

597

or even mainly, by legal systems or formal sanctions

Howard Becker, for example, using Emile Durk­

but is the product of wider social institutions, rela­

heim's concept of social solidarity, argued in Out­

tionships and processes.

siders that institutions of social control create

Social control has, historically, been a central

'outsiders', be they criminals, the mentally ill, reli­

concern of sociology, arguably barely separable

gious or racial minorities who serve both as social

from the term sociology itself. The main issue for

scapegoats and also as the outer boundaries of 're­

social control theorists was how to achieve a social

spectable society'. This radical view was readily

order consistent with moral principles without im­

embraced by movements such as antipsychiatry,

posing an excessive degree of coercive control.

antimedicalization and deschooling.

According to this view, all social problems were at

Social historians, too, have been eager to em­

base problems of social control. This view was

brace the concept as a means of understanding the

developed in the 1950s by sociologists such as

mechanisms by which the working classes were

Paul Landis whose concept of social control derived

conditioned

from a highly conservative vision of society. Trad­

norms and conduct necessary to sustain the rapid

into

accepting

and

adopting

the

itionally, order in society was the product of a deep­

industrialization of society. F. M. L. Thompson,

seated consensus maintained without any conscious

for example, characterizes historians' understand­

effort on the part of any particular group in society.

ing of the term as the means by which 'a group or

As the bonds of traditional society such as church

class imposes its notions of what are suitable habits

and family weakened and the disintegrating forces

and attitudes for another class upon that class'

of modern industrial, urban life proliferated, con­

(Thompson, 1981, pp. 190-1). According to Marx­

sensus became increasingly fragile. Maintaining

ist historians, the aim of the middle and upper

continued stability through social control became,

classes

in Landis's view, 'the major problem of our time'.

members of the working class properly equipped

was

to

produce

obedient,

submissive

Seen in this way social control is barely distinguish­

for their inferior role in society, conditioned to

able from SociALIZATION.

respect law and order, and the authority, property

If socialization is the informal process by which

and persons of their superiors.

individuals come to learn and adhere to social

At its extreme, social control theory posits all

norms (see NoRMS), social control comes into play

state activities, however benign or progressive

when these means fail to ensure conformity. To

they appear, as camouflaged mechanisms of control

illustrate: socialization might entail internalization

and repression. Welfare, education and health pol­

of norms through peer group opinion, social pres­

icies are revealed to be 'really' mechanisms of social

sure or familial expectations. Social control, too,

control, indistinguishable in their aims from police,

may operate informally through family, church or

courts and prisons. Defined in this way, social con­

school or formally through the state, the legal

trol has limits as an explanatory tool. 'Casual usage

system, the police or other instruments of force.

of social control metaphors', argues the social his­

Mechanisms of social control, according to Talcott

torian Gareth StedmanJones, 'leads to non-explan­

Parsons, operate as 'secondary defences' to combat

ation and incoherence' (1983, p.

deviance which, if left unchecked, might dis­

tendency to see subjects of control as passive recipi­

rupt the social equilibrium (see also CR IME AND

ents,

DEVIANCE) .

strained) to reject, adapt, distort or counter the

A more negative usage of the term was adopted in

overlooking

their

42). It promotes a

ability

(however

con­

forces of conformity. It assumes a monolithic

the 1960s by radical sociologists seeking to explain

notion of power, unanimity of purpose among the

how authority is maintained in a conflict-ridden

'controllers', or simply buries questions of their

society. New sociologists of deviance inverted Par­

identity or aims within 'bourgeois hegemony'.

sons's premise that social control was a response to

Finally, such usage leaves unchallenged the efficacy

deviance, arguing instead that 'the reverse idea, i.e.,

of the mechanisms of social control, overlooking the

that social control leads to deviance, is equally

possibility that many may have quite other than

tenable and the potentially richer premise' (E.

their intended effects.

Lemert quoted in Donajgrodzki, 1977, p. 13).

Growing disillusionment with social control as

Social control was not merely a reactive or repara­

little more than 'a Mickey Mouse concept' (Cohen

tive force which came into play when other mech­

1985, p.

anisms failed but instead actively created deviance.

Sociologists like Stanley Cohen have chosen to

2) has led to rejection of its broader usage.

598

SOCIAL DEMOCRACY

restrict their understanding of social control to 'the

biological requirements, but crucially dependent

organized ways in which society responds to behav­

on premises of linguistic skills and ratiocination.

iour and people it regards as deviant, problematic,

However, Frederick Engels subsequently likened

worrying, threatening, troublesome or undesirable'

Marx's theory to Darwin's in method and import­

1985, p. 1). In this narrower, more specific

ance, and strove to link natural selection with the

(Cohen,

sense, social control remains a central tool of the

development of human productive skills. This li­

sociology of deviance.

censed a plethora of loosely formulated attempts

Reading

to historical progress with biological mechanisms of

within MARXISM to reconcile class struggle as a route Becker, H. 1963: Outsiders.

survival and extinction. However, the gap between

Cohen, S. 1985: Visions ofSocial Control.

a Darwinian theoretical premise of self-regarding

Cohen, S. and Scull, A. eds. 1983 (1985): Social Control and the State. Donajgrodzki, A. P. ed. 1977: Social Control in Nineteenth­ Century Britain. Landis, P. A. 1956: Social Control: Social Organisation and Disorganisation in Process. Ross, E. A. 1929: Social Control: a Survey of the Founda­

individual behaviour and a Marxist view that indi­ viduals must act purposively in a collective entity such as a social class has proved difficult to bridge. As a theoretical premise, the self-regarding indi­ vidual organism battling competitively for existence and for betterment represents a notion akin to that underlying the anti-Marxist philosophies of Fried­

tions of Order.

LUCIA ZEDNER

rich Hayek and Karl Popper. However, as theorists who extol the virtues of the market in goods and

Theories that social organ­

ideas, their arguments function at a level far above

ization is or is like a living organism, that societies

the simple biological mechanisms that a Darwinian

undergo developmental change, and that such se­

theory of society would require. In the late twenti­

quences of EvoLUTION are or can be progressive,

eth century SociOBIOLOGY emerged as a successor

social Darwinism

emerged in the mid-nineteenth century. The unin­

to social Darwinism. The consequences for the

tended or even biologically determined conse­

human collectivity of unintended behaviour, such

quences of individual actions, their aggregation

as genetically determined AGGRESSION, are concep­

into mechanisms such as competitive behaviour

tualized theoretically, though sociobiologists by no

and the market, and intentions on the part of the

means agree on the extent to which authoritative

theorist to draw normative and policy-oriented

action can or should interfere with these supposed

conclusions have distinguished twentieth-century

processes in society.

continuations of this trend. Evolutionary theories of transformation in terms of biological make-up and observable behaviour, and of human transformation in similar senses,

On the Origin of Species by Means ofNatural Selection (1859). How­ long preceded Charles Darwin's

ever, social Darwinism and its descendant theories are in contradiction in a number of respects with Darwin's original views.

Darwin rejected any

Reading Clark, S. R. L. 1999: The Political Animal: Biology, Ethics and Politics. Hayek, F. A. 1983: Knowledge, Evolution and Society. Ho1brook, D. 1987: Evolution and the Humanities. ]ones, G. 1980: Social Darwinism and English Thought. Peel, J. D. Y. 1971: Herbert Spencer. Singer, P. 1999: A Darwinian Left: Politics, Evolution and Cooperation.

notion of progress in the transformation of individ­

TERRELL CARVER

uals and the origin of species, and he was highly The political doctrines and

suspicious of attempts to draw conclusions from

social democracy

his work applicable to human society. NATURAL

action covered by this term can be clarified by

SELECTION

referred

to

nonpatterned

variation,

considering what social democracy is and what it

interaction with the environment and mere re­

is not. Germany, France, Britain, Austria, New

productive success, not to normative concepts

Zealand,

such as 'survival of the fittest'. This phrase was

Spain, Sweden and the other Scandinavian coun­

Australia,

Belgium,

the Netherlands,

popularized by Herbert Spencer, the chief theorist

tries all have strong social democratic traditions and

of social Darwinism, and mocked by Karl Marx.

parties (which may call themselves socialist, social

Marx's theory was evolutionary and progressive,

democratic, or labour parties; see SociALISM), and

sketchily rooted in a natural history of human

some of these parties have formed governments at

SOCIAL DEMOCRACY

599

various times, especially since World War II. Sev­

Social democrats still favour a strong democratic

eral generations of welfare programmes and legis­

state in sharp contrast to liberal political minimal­

lated social reforms have left permanent imprints,

ism. They still reject the market as sole arbiter of

affecting not only their state formation but prevail­

justice, and continue to elevate the public over the

ing attitudes about social responsibility. Russia also

private sphere. But they have distanced themselves

had an important social democratic movement at

from revolutionary socialism, and virtually all social

the beginning of this century, later suppressed by

democratic parties broke decisively with commun­

the Bolsheviks; and social democracy has been

ism after 1919. Since World War II many of them

influential to a lesser extent in countries as diverse

have come to accept, or even favour, markets over

as Argentina, Canada, Northern Ireland (the Social

planning, private over public enterprise, and a

Democratic and Labour Party), India and Japan

growth-first redistribution-later policy.

(where it remains strong despite the virtual mon­

Today, as the main alternative to social welfar­

opoly of power by the governing Liberal Demo­

ism, social democracy shares with the latter a belief

cratic Party, and receives considerable support

in pluralism whose model might be called the pol­

from women, as well as farmers and the middle

itics of a 'moving equilibrium', together with a

class).

politics of accountability, checks and balances, elec­

Originally socialist, trade unionist and anticapi­

tions and laws, and an interactive relationship be­

talist, social democracy shares a common origin

tween the private and the public; but it emphasizes

with other nineteenth-century working-class move­

continuous rebalancing between the economic and

ments fighting against different versions of state

political within the framework of a double market.

repression - Bismarckian, militarist, Bonapartist,

In social democratic theory, the economic market­

anti-Dreyfusard (see below), clerical (Catholic and

place is less a matter of private ownership than a

Protestant), or other (see WESTERN MARXISM) . The

mechanism providing

more successful they have been at the polls and the

which consumers and producers make choices

information

on the basis of

better organized as political parties, and as some

about material needs and wants. In turn the polit­

of the social changes for which they campaigned

ical realm functions to provide

were achieved in the WELFARE STATE, the more

the basis of which leaders can be selected according

social democrats have tended to move from left

to policy priorities, with choices made according to

to centre-left. Such flexibility is in part a result of

programmes and preferences. Since individual citi­

information

on

the hybrid of social democracy as a political doc­

zens are simultaneously consumers and voters, the

trine. Lacking a single founding father (a John

point of such a model is that inequities arising in

Locke, Adam Smith or Karl Marx), its pedigree

the first sphere may be compensated for in the

includes Marxism, utopian socialism, and that

second, the private sector serving to prevent con­

form of revisionism inspired by Engels's insight

centrations of power in the public, and the public

(in the 1890s) that evolutionary political action rely­

sector to prevent concentrations of wealth in the

ing on the franchise and parliament was more likely

private.

to favour working-class struggles than revolution­ ary means.

What separates social democrats from propon­ ents of the social welfare state (see SociAL WELFARE)

Early social democrats shared a common com­

is a higher priority placed on equality and the insti­

mitment to the proletariat as the class of the future,

tutional arrangements facilitating that goal. For

and they differed fromJacobins and revolutionaries

them a deficiency of the social welfare state is that

more in terms of method than principle. They

it results in ad hoc arrangements, temporary in

believed that the proletariat as a class would take

nature, consisting of improvised strategies and

both economic and political power by such means

legislative practices so grudging in character that

as universal suffrage, parliamentary democracy and

they are likely to fail. In short, social democrats

control over the executive branch of government.

see social welfare reforms as grafts on the liberal

Once the proletariat was in power, nationalization

state designed to ameliorate the worst effects of

and planning would eliminate the business cycle,

inequalities rather than eliminating their causes.

abolish war and end colonialism. With some doctri­

In contrast the social democratic agenda is, to one

nal variations, social democrats shared an egalitar­

degree or another, designed to alter or reduce sub­

ian, secular, scientific vision, a socially responsible

stantially concentrations of private wealth, industry

version of the Enlightenment tradition.

and capital. Indeed, according to social democrats,

600

SOCIAL DEMOCRACY

these are so powerful and the role of business so

How these principles work can best be illustrated

privileged that when compensatory and reform

perhaps by some cases. While there is neither a

programmes are established in a social welfare

definitive social democratic theory nor an exem­

state they prevent the double marketplace from

plary social democratic state, Germany, Austria, Sweden, Holland and certain other countries such

working very well. Social democrats, then, take a strong position on

as Australia can serve as models. The German case

egalitarianism and the need to eliminate the causes

illustrates particularly well the transformation of

of social inequities. They also believe that 'equilib­

social democracy from a left to a centre-left doc­

rium' will not be achieved without state interven­

trine. In the early 1860s liberal-inspired workers,

tion on behalf of those penalized or especially

educational associations and craft guilds began

disadvantaged, including minorities (ethnic, reli­

enlisting support for constitutional reform, national

gious, racial, linguistic) and classes. In recent

unification, universal male suffrage, trade-oriented

years, however, experience has shown that inter­

education, savings institutions, cooperative pro­

vention may bureaucratize the state, making it less

grammes and producers' cooperatives. The initial

politically responsive. Thus social democrats have

liberalism soon gave way to socialism, and two

become interested in experiments with multiple

major workers' associations emerged in the 1860s;

and pluralistic forms of representation, workplace

the General Association of German Workingmen,

democracy and self-management, hoping through

inspired and led by Ferdinand Lassalle, and the

such mechanisms to supersede competitive group

Social Democratic Workers' Party led by August

conflict and transform it into cooperation. Modern

Bebel and Wilhelm Liebknecht, who had close ties

pluralist theory and especially theories of participa­

with Marx and Engels (Guttsman, 1981, eh. 1).

tory democracy and polyarchy have developed the

A period of radicalization occurred in the after­

political side of social democracy in the last 30 years

math of the Franco-Prussian War. The two existing

(see, for example, Dahl, 1956, 1961; Polsby, 1963;

parties were united in 1875 as the Social Demo­

Bachrach, 1967; Pateman, 1970; Lukes, 1974;

cratic Party of Germany (SPD), which within two

Gould, 1988). At the same time social democrats

years had 12 members in the Reichstag and received

have recognized that equity claims need to be bal­

more than half a million votes. Like other socialist

anced with developmental needs, and Dutch, Aus­

and social democratic parties, in France and else­

trian, German, New Zealand and Scandinavian

where, it affirmed the priority of working-class

social democrats have shown considerable invent­

solidarity over national affiliations, and in 1878

iveness in their policies of low-cost housing,

workers' organizations were prohibited by the

workers' councils

and

novel educational pro­

grammes. Social democrats have been close to the green

Anti-Socialist Law. When the law expired in 1890 the SPD developed rapidly (Kocka, 1986, pp. 2783 51), gaining nearly one and a half million votes in

parties on environmental issues (especially in Ger­

the elections of that year and sending 3 5 deputies to

many) while dividing on matters of nuclear energy

the Reichstag (Braunthal, 1961, pp. 200-1). Its

and weapons (see GREEN MOVEMENT). Today, as

programme included Lassallean corporatism (as

membership and voting clienteles have become

embodied in the Gotha Programme of 1875) em­

more middle-class, some parties have also come to

phasizing state socialism, legal political means, uni­

moderate their programmes of public ownership,

versal suffrage, civil liberties and democracy, but as

and to emphasize the reform rather than circum­

a direct consequence of Bismarck's repressive legis­

scription of state welfare responsibilities (Hindess,

lation against working-class organizations it now

1971). Like the social welfare state, social democ­

also included a call to radical proletarian action, a

racy has been much influenced by KEYNESIANISM,

Marxist and revolutionary programme announced

though favouring those with a higher propensity to

in its 1891 Erfurt programme. However, its Marx­

consume than to save. In general, social democrats

ist doctrine had diverse strands, extending from the

favour the collectivization ofrisk while advocates of

revolutionary Marxism of Rosa Luxemburg and

the social welfare state favour the individualization

Karl Liebknecht, through the 'centrism' of Karl

of risk. For some social democrats the state acts as

Kautsky, to Eduard Bernstein's REVISIONISM.

an economic and political stabilizer, stimulating

All the social democratic parties in the Socialist

growth and preventing recession, as a form of crisis

International firmly opposed war, but despite such

management (Offe, 1984, p. 148).

opposition, regularly reaffirmed at its congresses,

SOCIAL DEMOCRACY

601

the French socialists in the Chamber of Deputies

shortlived premiership of Lean Blum and the

and the German SPD in the Reichstag voted

Popular Front government of 1936, declined there­

for war credits in 1914, setting the stage for a

after until the 1970s when it began to revive, largely

decisive split between socialists and social demo­

at the expense of the Communist Party. But it

crats, and revolutionary socialism and Bolshevism

remained out of power until the presidency of

(Braunthal, 1961, eh. 21). Revolutionary Marxism

Fran<;ois Mitterrand in 1981.

remained a powerful force in the SPD until 1920

Sweden has of course long been regarded as

when the left wing of the party broke away to form

an exemplary social democratic state, representing

the Communist Party (KPD). Relations between

the 'third' or middle way. Founded in 1899 under

the mainly revisionist SPD and the KPD became

the leadership of Hjalmar Branting (a fairly ortho­

increasingly bitter with the rise of National Social­

dox Marxist who became the first socialist prime

ism and the transformation of the KPD into a

minister) the Social Democratic Party quickly es­

Stalinist party (see CoMMUNISM). During the Nazi

tablished itself as a major political force. Like

period members of both parties were persecuted

German social democracy its original position was

and many of their followers killed or imprisoned.

on the far left, and it was chiefly responsible for

Reconstituted after World War II, a rejuvenated

establishing Sweden's permanent neutralism. Des­

SPD officially abandoned even a diluted version of

pite being favourably influenced by the Russian

Marxism at its Bad Godesberg congress in 1959,

revolution, successive social democratic govern­

accepting a liberalized market system. The SPD

ments (suffering only brief interruptions since the

now stands in the main for free economic competi­

1930s) have nevertheless preferred pragmatism to

tion, but in a 'social market' economy, and largely

ideology, and growth over equality (a very strong

rejects state ownership of the means of production

position on this matter was taken at the famous

(Lipset, 1990).

Zimmerwald conference of 1915). One conse­

One of the problems in discussing social democ­

quence is that while Sweden has long had the best

racy is that most social democratic parties use so­

social welfare programmes of any modern state, it

cialist labels. In France, for example, socialists have

has the lowest corporate taxes of all countries in the

made determined efforts to avoid social democracy,

OECD (Organization for Economic Cooperation

preferring the revolutionary pedigree and rhetoric

and Development), but also very high rates of

of an originalJacobin inheritance. Its left 'tendency'

income tax, social security and value-added tax

derived from the revolutionary Marxism of Jules

(Lipset, 1990). It continues to favour schemes for

Guesde which was opposed to the more reformist

worker participation in industrial decision-making,

or 'possibilist' programme of Paul Brousse. Where

though these have proved less successful than ori­

German social democrats favoured electoral means

ginally anticipated (Tingsten, 1973; Meidner, 1978;

to socialism, some French socialists favoured the

Olsen, 1992).

general strike, which they regarded as a weapon of

The Austrian Social Democratic party was per­

peaceful reform in contrast to revolutionary action.

haps more doctrinal. Formed in 1888, it had re­

Proudhonist, Marxist, Blanquist, Guesdeist, Sore­

ceived within ten years one-third of the votes cast

lian in origin, the Dreyfus affair of 1894 helped to

and had 87 members in parliament; and AusTRO­

bring various socialist groups together under Jean

MARXISM represented a significant alternative to

Jaures, so that by 1903 the socialists received

LENINISM. During World War I the party was

600,000 votes, elected over 50 deputies to parlia­

split between Victor Adler, the party leader who

ment, and made it possible for Alexandre Millerand

favoured supporting the Austrian proletariat rather

to become the first socialist minister. Guesdeists

than an international proletariat, and his son Fried­

reform

rich who took a militant antiwar position. After the

and obtained seats on numerous municipal coun­

war social democrats took office in several major

cils. Then came the inevitable split between social

cities, and Vienna in particular became a showcase

democrats

Congress

of highly successful programmes in education,

of Tours in 1919. Lean Blum, Jean Longuet

public health, provision of recreational facilities

paid particular

and

attention

to

communists

municipal

at

the

and Paul Faure reestablished the socialist party

and new designs for workers' housing. In the

around Longuet's paper Le Populaire, while the

1920s it was the largest opposition party, and after

communists organized around Jean Jaures' organ,

World War II became the most powerful national

L'Humanite. Social democracy, associated with the

party.

602

SOCIAL DEMOCRACY was

From its first paliamentary 'Lib-Lab' coalition of

formed in 1878 under the leadership of Romela

1906 the Labour Party was, compared with Euro­

The

Dutch

Social

Democratic

Union

Nieuwenhuis who by 1888 was elected to the States

pean social democrats, eminently practical and

General. The party registered steady success, with

pragmatic rather than doctrinal and ideological. It

membership expanding from 13,000 voters and

had rather a dismal record before World War II,

three parliamentary representatives in 1897 to

first coming to power under Ramsay MacDonald in

144,000 votes and 19 parliamentary representatives

the 'Khaki election' of 1924. But after the war social

a year later, but the party refused to enter a coalition

democracy became so successfully entrenched that

government on the grounds that this would mean

succeeding Conservative governments were unable

compromising with capitalism. Since World War

to alter it until the Thatcher government's pro­

II, Dutch social democracy has been responsible for

gramme of privatization and devolution in the

such elaborate welfare programmes and so greatly

1980s. From 197 5 on, political polarization between

concerned with the less advantaged that today one

left and right in the Labour Party intensified,

might call Holland (rather than Sweden) the proto­

leading in 1981 to a breakaway Social Democratic

typical social democratic state.

Party formed in alliance with the Liberal Party.

The British Labour Party is a different and

After some initial successes, however, this party

rather more puzzling case. Its origins differ sub­

declined without establishing a clear power base,

stantially from those of European social democratic

more of a 'media' party than anything else (Prid­

parties. Some trace its roots to authentic seven­

ham, 1988, pp. 229-56).

teenth-century evangelical radicalism (Levellers,

Social democracy has been extremely important

Diggers), some to the later Owenite, Chartist and

both in Australia and in Western Canada, in sharp

Chapel movements. Its most clearly working-class

contrast to the United States where it declined

organization was the Independent Labour Party

steadily after 1912 (Weinstein, 1967). In Russia,

under the leadership of Keir Hardie, which drew

after being the major radical influence before the

much of its original support from the coalminers. In

split between Bolsheviks and Mensheviks, social

a real sense, however, modern British social dem­

democracy was eliminated after 1922. Although

ocracy is best embodied in the Fabian Society.

the present Communist Party in Russia claims to

Founded in 1883, and officially unaffiliated to any

be social democratic it is not at all clear to what

party, the Fabians played a unique political role.

extent this is an effort to re-establish the party as an

The working papers they issued in considerable

instrument of 'nomenklatura socialism'.

numbers were based on extensive empirical re­

While varying widely in programmes and prior­

search, investigations into factory conditions, local

ities, virtually all the former communist parties in

government, public finance, housing, the condition

Eastern Europe now claim to be social democratic.

of the poor, education, colonialism and other simi­

However, while accepting a democratic framework,

lar matters (see FABIANISM). They significantly

competitive parties, elections, and market reforms

influenced Labour Party policies, and their pro­

most they tend to resist rapid privatization of major

gramme on Labour and the New Social Order,

public enterprises and remain wary of the impact of

published just after World War I, provided a basic

the market. They also remain committed to the

framework not fundamentally altered until rela­

provision of basic social services despite severe

tively recently. Much of it was enacted into law,

financial constraints. Generally speaking if, com­

including a national welfare minimum, nationaliza­

pared to Western social democracies, they favour a

tion of mines, railways, utilities and insurance, re­

stronger, bureaucratic, managerial and interven­

deployment of surpluses for the common good and

tionist state, not least of all as an alternative to the

a steeply graduated income tax.

economic chaos which, as a consequence of too

Less significant strands included William Mor­ ris's semi-anarchist Socialist League, and H. M.

rapid and poorly prepared marketization and pri­ vatization schemes, continues to prevail in Russia.

a

In contrast to its past, contemporary social dem­

Marxist body founded in 1885 whose aim was col­

ocracy today has no clear definition or ideology. It

Hyndman's

Social

Democratic

Federation,

lective ownership of the means of production, a

redefines itself according to the politics of the day,

democratic state, and social and economic equality

its policies fluctuating according to the support it

between the sexes; among its members being Karl

receives at the ballot box. It also defines itself in

Marx's daughter Eleanor (Beer, 1948).

terms of what it is not. France, Germany and the

SOCIAL DIFFERENTIATION Scandinavian countries, for example, have taken positions which differ markedly from that of the social welfare state prevailing in the United States, and to a lesser extent Great Britain, favouring social 'fairness', worker consultation in industry and the strong provision of social services. Today the spec­ trum of countries with social democratic govern­ ments is very wide, some fourteen of the nineteen

603

Meidner, R. 1978: Employee Investment Funds: an Ap­ proach to Collective Capital Formation. Miliband, R. 1989: Divided Societies: Class Struggle in Contemporary Capitalism. Offe, C. 1976: Industry and Inequality. Olsen, G. 1992: The Struggle for Economic Democracy in Sweden. Panitch, L. 1976: Social Democracy and Industrial Mili­ tancy.

countries of Western Europe falling under that

Pelinka, A. 1983: Social Democratic Parties in Europe.

rubric and constituting approximately 88 per cent

Ross, G., Hoffman, S. and Malzacher, S. 1987: The Mit­

of its population, and there is considerable division between the most centrist, particularly Great Brit­ ain, and centre-left, particularly France. How these different tendencies will play them­ selves out will of course be very much a matter of national politics. They are coming to a head in the

terand Experiment. Schumpeter, J. 1942 (1987): Capitalism, Socialism and Democracy. Tingsten, H. 1973: The Swedish Social Democrats. Weinstein, J. 1967: The Decline of Socialism in America, 1912-1925. DAVID E. APTER

European Union, where questions of what and which social regulations will be binding on member nations is a matter of continuing debate. Broadly

social differentiation

speaking, social democrats favour a 'social Europe'.

recognition, and the constitution as social facts, of

Their opponents fear bureaucratic rigidities, high

differences between particular groups or categories

The concept refers to the

social overhead costs and loss of local and individual

of individuals. Not all individual characteristics are

discretion. In these contexts such issues as national

distinguished in this way, but many are, in diverse

autonomy, as well as appropriate size, scale and

ways in different societies and with varying degrees

degree of local discretion, have become both polit­

of rigour, sometimes codified in law. Among the

ical and technical issues. The idea of public respon­

most significant types of differentiation are those

sibility and equity competes with fears that the

between the sexes (expressed in social terms as

more bureaucracy prevails at the centre, the less

gender differences), between age groups (especially

efficient, and the poorer, is the delivery of services.

important in early tribal societies), between ethnic

Insofar as healthcare, education and other basic

and linguistic groups, between occupational cat­

services have become exponentially expensive and

egories, and between status groups and classes.

less responsive to public need, it is also the case that

On a world scale, throughout history, the distinc­

such problems affect the larger social democratic

tions between tribal groups, separate political com­

states more severely than some of the smaller ones.

munities, empires and modern nation-states, as

Whatever else can be said about it, it is clearer than

well as between adherents of the major world reli­

ever that there is no

definitive

social democratic

gions or of the innumerable lesser creeds that have

experience. However, as it has moved towards the

grown out of them, have been a powerful force in

centre of the political spectrum, social democracy,

binding together human groups and at the same

the product of a long political evolution in Euro­

time separating them from, and frequently bringing

pean radicalism, has now universalized itself as the

them into conflict with, others.

main alternative to the social welfare state.

Although social differentiation within particular societies or types of society has long been a subject

Reading Braunthal,J. 1961,1963 (1966 , 1967): History ofthe Inter­ national1864-1914, 2 vols. Gould, C. 1988: Rethinking Democracy: Freedom and Social Cooperation in Politics, Economy, and Society. Guttsman, W. L. 1981: The German Social Democratic Party, 1875-1933 . Harrington, M. 1989: The Next Left: the History of the Future.

of comment by philosophers, religious teachers (for example, in accounts of the origins of the Hindu caste system, or of feudal ranks) and political thinkers, it was studied systematically only from the end of the eighteenth century, and more par­ ticularly in the nineteenth century, when it was increasingly associated with economic development and the specialization of occupations. Thus Adam

Judt, T. 1986: Marxism and the French Left.

Smith discussed not only the economic conse­

Lindblom, C. E. 1977: Politics and Markets.

quences of the expanding division of labour, but

604

SOCIAL DIFFERENTIATION

also its effects in determining the characteristics

division of labour began with the division of tasks

and lifestyles of individuals; and Herbert Spencer

between the sexes, which was the source of many

subsequently conceived the division of labour as the

later social and cultural differences, including male

primary element in social differentiation and traced

dominance of political life. In the new industrial

its development in the specialization of functions in

societies of the nineteenth century, women were

all areas of social life. Similarly, Karl Marx based

still denied many basic social and political rights,

his theory of classes on an analysis of the division of

and although these rights have been slowly ac­

labour in different modes of production, while dis­

quired in most modern societies, various forms of

tinguishing between a social division of labour in­

invidious differentiation persist (see

GENDER).

volving the ownership or non-ownership of means

Differentiation by race or ethnic origin is also an

of production, and a technical division of labour

important feature of modern societies, and similar

within the productive process (see MARXISM). From

distinctions occur in many post-colonial, multi­

another aspect Emile Durkheim (1893) emphasized

tribal societies of the Third World. In the industrial

the importance of the division of labour as the

countries, partly as a legacy of colonialism, but

source of the individualism characterizing modern

more particularly, in the post-war period, as a con­

societies.

sequence of large-scale immigration, such differen­

Undoubtedly, the type of economic system and

tiation is frequently associated with substantial

the division of labour are major factors in creating

economic and social inequality and with manifest­

social differentiation within societies, and in many

ations of RACISM. Differentiation in terms of gender

cases between them (as, for example, in the present

or race is connected with biological differences (as is

relationship between the advanced industrial coun­

that by age group), but the social distinctions that

tries and the Third World), but it is generally

are made arise independently, and where biological

recognized that they are far from being the only

factors are emphasized this is always intended to

factors. The writer who brought out most clearly

establish or reinforce some kind of inequality. Na­

the complexity of social differentiation in modern

tionality, in the sense of a distinctive language and

societies was Georg Simmel. In his volume of

culture, is an important differentiating factor in

Uber soziale Differenzierung (1890), and in

those nation-states which incorporate national mi­

other works, he considered the great variety of

norities, and in this case, too, often involves in­

influences that had contributed to the growth of

equality of treatment, but it is also a source of

individualism and the diversification of social

separatist movements.

essays

groups in the Western European countries during

The cases just considered reveal as one major

the nineteenth century: the rapid development of a

feature of social differentiation that it is almost

money economy, the growth of cities, the mobility

invariably associated with

of individuals and the emergence of new social and

Inequalities of power, wealth and social prestige, in

cultural interests. In particular, city life afforded

their diverse forms, are fundamental aspects of the

SociAL STRATIFICATION.

ELITE THEORY) and

the stimulus of diverse and competing intellectual

process of differentiation (see

and cultural outlooks, from which new kinds of

need to be considered in relation to the 'individual­

differentiation could again arise, while the increase

ism' of modern societies. In this respect, the analy­

in the number of associations and 'social circles' of

sis of social differentiation contributes greatly to

all kinds allowed individuals to develop specific

understanding the relation between the individual

aspects of their character and purposes.

and society. Individuals, with their array of per­

In the twentieth century these processes con­

sonal qualities, are not located in neutral and un­

tinued, while being affected in some degree by

structured positions in society, but are born into

opposing tendencies that arise from the develop­

particular, distinctive groups and categories which

MASS SOCIETY. At the same time two other

do much to determine their character and outlook,

kinds of social differentiation- those of gender and

opportunities and achievements. The extent to

of race, ethnic origin or nationality- have acquired

which each individual is able to fashion a personal

much greater prominence in social thought. In all

and fulfilling style of life depends very largely - as

ment of

human societies men and women have been treated

Simmel, Durkheim and Marx argued in their

differently (usually unequally), and many nine­

different ways - upon the system of social differ­

teenth-century

entiation and its changes, especially in the economic

social

scientists

(among

them

Marx and Spencer) suggested that the economic

sphere.

SOCIAL EXCHANGE THEORY each other (A

Reading Durkheim, E. 1893

(1984): The Division of Labour in

Society. Social Differentiation. Simmel, G. 1890: Uber soziale Differenzierung: Soziolo­ gische und psychologische Untersuchungen. Tonnies, F. 1887 (19SS): Community and Association. North, C. C. 1926:

TOM BOTTOMORE

+--+

605

B), generates mechanical solidar­

ity; whereas indirect (or gen eralized) exchange, in­ volving a network of several exchange, partners who do not give to those from whom they receive (for instance, A

---+

B

---+

C

---+

D

---+

A), promotes

organic solidarity (see Ekeh, 1974, pp. 37-77). In these studies, the unique individual is insignificant; it is groups, not individuals, that form exchange partnerships.

social exchange theory

Dealing with reciprocal

interactions that involve groups and persons ex­ changing items of social and symbolic value from

American reactions: individualism and social exchange

which they benefit, the theory originally developed

Rejecting the subordination of the individual to

from early

societal needs in Levi-Strauss's theory (Homans

French

sociological

concerns with

sources of social solidarity; it has also been elabor­

and Schneider, 1955), Homans (1961) launched an

ated in Anglo-American social science as ground for

individualistic social exchange theory in which

power differentiation in social relationships.

interactions are limited to direct reciprocities. This version of social exchange theory underscores

Origins in French sociology

the

significance

of

the

unique

individual

by

employing such key concepts in economics and

In a review of French sociology in the 1800s, Durk­

psychology as rewards, costs, punishment, profits

heim (1900) attributed the resurgence of the dis­

and investments, as well as the paired constructs

cipline in the nineteenth century to the crisis that

stimulus and response and demand and supply.

followed France's defeat in the Franco-Prussian

Homans's theory has provided the growth point

War of 1870. It led sociologists to search for solu­

for social exchange theory in the USA. While

tions in the societal order, 'the facade ...of the

Blau (1964) developed its economic aspects, up­

imperial [stateJ system [having] just collapsed'

grading it to statements of emergent macrostruc­

(p. 12). In the first decades of the twentieth century,

tural relationships (although he later doubted the

Durkheim and his disciples expanded their scope of

validity of such generalizations, see Blau, 1987), its

research to nonindustrial societies, which were

psychological viewpoints have been elaborated by

being opened up to scholarship by European im­

behaviourists who have linked them with Skinner­

perialism, in the methodological faith that the prin­

ian psychology (Burgess and Bushell, 1969; Chad­

ciples gained from discovering how such simple

wick-Jones, 1976).

societies cohered would shed light on the more

Social exchange theory in the USA has had its

complex value problems in the West (Durkheim,

main application in the interpretation of PoWER.

1912; Durkheim and Mauss, 1903). The social ex­

While this can be traced to Homans's preoccupa­

change perspective emerged as a grounded theory

tion with status differences in social interactions,

of social solidarity from these enquiries. (See also

Blau's extrapolation of power from small groups,

DURKHEIM SCHOOL.)

and extensions of Emerson's (1962) seminal essay

Using ethnographic data from various non­

on power-dependency relations to the exchange

Western societies, including especially Malinow­

situation, have been dominant in recent American

ski's (1922) documentation of Kula exchange in

discussions on this subject (see Cook, 1987). Their

the Trobriand Islands, Mauss (1925) combed for

central contention is that power and dependency

evidence of gift and exchange traditions that would

result from exchange relationships, with the greater

enable him 'to draw conclusions of a moral nature

giver being compensated with power and the lesser

about some of the problems confronting us in our

contributor embargoed with dependency. This

present economic crisis' (p. 2). Continuing in the

view of power has been attacked by political soci­

same line of research, Levi-Strauss (1949) dis­

ologists (such as Birnbaum, 1976) and political

covered a connection between exchange practices

philosophers (such as Lively, 1976) who argue

and social solidarity in his comparative studies of

that power has a wider basis in societal values and

kinship and marriage rules: direct (or restricted)

cannot be derived from the immediacy of the social

exchange, in which two groups give and take from

exchange situation.

606

SOCIAL HISTORY

Other uses Social exchange theory's versatility has enabled it to be used with similar theoretical perspectives in interpreting various other features of social rela­ tionships. The following two uses are particularly noteworthy. Social exchange and rational choice Rational choice denotes actions motivated by per­

and take in social interactions, with contrary behav­ iours tending to destabilize social relationships. This assumption is widely shared by the social and behavioural sciences, making social exchange theory appealing to many disciplines (Gergen et al., 1980). Its French and Anglo-American variants also help to illuminate the value premises that sep­ arate collectivistic social thought, dominant in France, from individualistic perspectives which are pre-eminent in Anglo-American social science.

sonal gains in the course of economic activities that constrain actors to make choices from scarce means.

Reading

From its beginnings, the Anglo-American brand of

Chadwick-Jones, J. K. 1976: Social Exchange Theory: Its

social exchange theory has used rational choice

Structure and Influence in Social Psychology.

arguments, borrowed from economics and game

Cook, K. S. ed. 1987: Social Exchange Theory.

theory, to conceptualize social exchange behaviours in Western and non-Western societies (Heath, 1976; Sahlins, 1965; see also RATIONAL CHOICE THEORY) . While reflecting the dominance of eco­

nomic reasoning in the USA and Britain, such reduction of social life to economic motivation con­ trasts sharply with the extra-economic conception of social exchange in French sociology.

Ekeh, P. P. 1974: Social Exchange Theory: The Two Trad­

itions. Emerson,

R. M. 1962: Power-dependency relations.

American Sociological Review 27, 31-41. Gergen, J. G., Greenberg, M. S. and Willis, R. H. eds

1980: Social Exchange: Advances in Theory and Re­ search. Gouldner, A. W. 1960: The norm of reciprocity: a pre­ liminary statement. American Sociological Review 25,

161-79.

Social exchange and justice

Heath, A. 1976: Rational Choice and Social Exchange. A

Critique ofExchange Theory.

Social exchange partners make judgements on their

PETER P. EKEH

contributions to, and benefits from, groups in which they participate. They also compare their costs and benefits with those of other persons with whom they interact (see Thibaut and Kelley, 1959). These attributes make JusTICE a central unit-idea of social exchange theory. Considerations of justice in social exchange may be along its two main variants identified by Barry (1989):justice as impar­ tiality, emphasizing the distribution of benefits on common grounds and thus discounting privileged status as a bargaining edge, and justice as mutual advantage, stressing shared benefits among ex­ change partners. However, following Homans's (1961, pp. 71-5) initial formulations, social ex­ change theorists have conservatively embraced status as the principal criterion of justice. Social exchange theory may also help to account for the justice of citizenship defined as the exchange of rights for duties in the individual's relationship with the state (Marshall, 1950). Conclusions As Gouldner's (1960) essay on reciprocity intim­

social history

This branch of history emerged

greatly strengthened as the professional study of history became more specialized in the twentieth century. It has been given many different defini­ tions ranging from 'history with the politics left out' to 'economic history with the politics put in'. At the beginning of the century the content of social history was often contrasted, sometimes fa­ vourably, sometimes unfavourably, with the con­ tent of constitutional, political and military history. Unlike them, it dealt, it was claimed, not with people of power or with acts of state or battles, but with 'ordinary people' and with their everyday ways of life. For critics, the past was being trivial­ ized: for spokesmen of such an approach to history, particularly British historians following in the wake of]. R. Green, it was right to substitute knives and forks for drums, trumpets and swords. The past lived most vividly when historians focused on the history of 'the people'. When G. M. Trevelyan published his bestseller Social History in the midst of war in 1942 he was more interested in describing

ates, the social exchange perspective derives its

scenes, in narrating, in recapturing moods and

significance from a basic human impulse to give

in inspiring readers, than in theorizing about or

SOCIAL HISTORY

607

explaining why society changed. The approach has

wide range of studies from family history to city

remained popular, particularly in English-speaking

history.

countries, where for 20 years history workshops

Whatever the ideology, economics as a subject,

have explored what E. P. Thompson and other

Marxist or non-Marxist, influenced economic his­

twentieth-century historians called 'history from

tory more than sociology as a subject influenced

below'.

social history. Indeed, part of the argument about

Social history is directly related to experience

the academic role of history, particularly in Ger­

and the perception of it and to communication.

many, concerned the relationship between history

Yet there were obvious varieties of approach as

and sociology, the former often being considered as

the search for evidence broadened to include land­

'idiographic', dealing with the particular and the

scapes, buildings, machines, artefacts and ephem­

unique, and the latter as 'nomothetic', dealing with

era as well as documents and literature, and as

the general and the repetitive. The distinction was

theory was injected into explanation. Some social

unhelpful since in practice social historians often

historians concentrated on limited, often local,

generalized, for example when they wrote about

themes. Others were prepared to draw comparisons

'feudalism', 'capitalism' or 'industrialism', while

across space and time. There was a contrast, there­

sociologists often particularized. Another theme in

fore, between 'micro' and 'macro' history.

the argument concerned the use of 'types' and

Already at the beginning of the twentieth cen­

'models'.

tury different strands had been evident in the prac­

Drawing dividing lines between social history

tice of the subject in different countries, and

and SociOLOGY proved less attractive for most

ambitious attempts had been made to theorize

practising social historians than seeking a working

and to explain. Karl Marx approached 'the science

partnership. It is difficult to distinguish between

of society' through history. This encouraged a view

historical sociology and social history. Yet the part­

of social history that conceived of it not in terms of

nership was never simply two-way. Other social

particular branches of history, what came to be

sciences were also drawn on in what came to

thought of with increasing specialization as subhis­

be thought of as a social science approach to his­

tories, but as synthesizing history. This was macro

tory. Anthropology and psychology, particularly

history with its theme the whole history of societies

the former, greatly influenced the operations of a

at different stages of development. There was a

large number of social historians from the 1960s

similar concern with major historical development

onwards.

in the writings of Max Weber. Marxist interpret­

In France geography had often done so in the

ations remained influential in the late twentieth

past; the ANNALES SCHOOL of social historians,

century in relation not only to working-class

formed in 1929 and named after its influential peri­

struggles as Marx identified them, but to more

odical, developed a consciously new history. This

general analyses of social structure and social

turned to the social sciences both for concepts

change.

and techniques, widened the repertoire of social

In both Marxist and non-Marxist approaches to

historians by spotlighting problems rather than

social history the subject was often bracketed with

events and states of mind as expressed in human

economic history, and the study of ways of life with

behaviour. The history of events was separated

the study of standards of life. How it was bracketed,

from the long-term movement of history, and

however, was a matter of argument which centred

efforts were made, notably by Fernand Braudel,

not only on content but on methodology and on

to reach new syntheses aspiring to present 'total

ideology. A distinction between substructure and

history'.

superstructure was basic to Marxist history as was

explored many periods of history and ransacked

the sense of struggle through phases. Yet there were

many kinds of evidence, history was a small conjec­

varieties of Marxism, and the influence of the Ital­

tural science.

Nonetheless,

for

Marc

Bloch,

who

ian Marxist Antonio Gramsci was considerable as

Outside France there were eager explorers of the

interest grew in the relationship between social

'whole past', notably Gilberto Freyre in Brazil, who

history and cultural history, including the history

integrated art and literature into his social history of

methodology

plantation and city but insisted that 'in dealing with

became more quantitative during the same period,

the human past room must be left for doubt and

with developments in DEMOGRAPHY influencing a

even for mystery'.

of popular

culture.

Non-Marxist

608

SOCIAL MOBILITY became increasingly technical, and isolated from

Reading

class analysis in mainstream sociology.

Historical Sociology. B1och, M. 1954: The Historian's Craft. Braudel, F. 1980: On History. Abrams, P. 1982:

Briggs, A. 1966: History and society. In A

After a gap of a generation, subsequent studies by teams at Oxford, Aberdeen and Essex Univer­

Guide to the

Social Sciences, ed. Norman Mackenzie. Burke, P. 1980: Sociology and History.

sities went some way to correcting this isolation. Each discovered higher rates of social mobility in Britain, including moves from the bottom to very

ASA BRIGGS

near the top of the occupational hierarchy. Among a number of ways of measuring mobility, a simple

People's changing memberships

count of mobile people, for example, shows 28 per

of social categories - typically movements between

cent upwardly mobile in the LSE study, 40 per cent

social classes- were first systematically conceptual­

in the 1972 Oxford study and 42 per cent in the

social mobility

Social Mobility

(1927),

1984 Essex study. The same studies respectively

although partly foreshadowed by Pareto's idea of a

report that professionals and managers (the 'ser­

circulation of elites (Bottomore, 1964). Sorokin's

vice' class) contained 19, 28 and 3 3 per cent re­

broader multidimensional vision was narrowed to

cruited from the sons of manual workers.

ised in Pitirim Sorokin's

its modern focus on class (occupation) and educa­

However, it has been argued - most notably by

tion by research at the London School of Economics

Goldthorpe and his associates- that a more import­

(LSE) later published as

Social Mobility in Britain

ant measure of mobility is not the

number ofmobile

(Glass, 19 54). This produced the empirical evidence

people

for several subsequent accounts of class boundaries, social hierarchies and lack of mobility between

bility) but the 'relative' chances ofmobility of people from different origins. Within the technical limits

(i.e. the quantity of mobility, 'absolute' mo­

classes, as well as stimulating comparable studies

imposed by reliance on cohort analysis, the latter

in other nations (see also CLAss; SociAL STRATIFICA­

measurement appears to show little change despite

TION; STRUCTURATION). However, after the next

increases in absolute mobility. Goldthorpe's pos­

generation of mobility studies in the early 1970s

ition reflects a prior concern with mobility as an

(see Goldthorpe 1980 (1987); Erikson and Gold­

expression of class relations, whereas the simpler

thorpe, 1992; Payne, 1987) relatively few new data

measurement showing increasing absolute mobility

have been collected, especially in Britain.

owes more to structural expansion of new white­

Glass and his colleagues were primarily con­

collar occupations characteristic of postindustrial

cerned with the occupants of powerful positions

societies. Goldthorpe argues that the historical ir­

in post-war society, such as senior civil servants.

regularities of the latter process are not amenable to

Their interest in the social mobility of the general

sociological explanation (Erikson and Goldthorpe,

population was therefore mainly as a context for

1992): it follows that a concentration on absolute

this analysis, and also for an evaluation of the effects

mobility rates cannot yield a satisfactory class an­

of educational reform (the 1944 Education Act) on

alysis. However, recent historical studies by Prandy

occupational opportunity in a period of rising im­

and Bottero (2000) and by Miles (1999) have raised

portance of educational qualifications for job entry.

doubts about some of Goldthorpe's suppositions.

Their mobility findings (now accepted as highly

While not ignoring the importance of social class,

implausible) showed that, despite considerable

others such as Saunders (1996), Noble (2000),

'short-range' movement, very few fathers in lower

Payne (1987), and in the US, Breiger (1990)

social classes had adult sons in the higher classes. Writers such as Tom Bottomore, Ralph Mili­

have focused on overall rates of change, arguing that mobility has also to be understood as a process

band, Frank Parkin, Anthony Giddens and John

worked

Westergaard went on to use the LSE results in the

the LABOUR MARKET: job availability, supplies of

out

in

the

concrete

environment

of

construction of models of the class structure con­

skilled labour, and organizational practices of re­

taining substantial blockages to upward mobility.

cruitment and promotion. Saunders has gone fur­

Abroad, new studies reporting higher rates of mo­

ther, to argue that rather than Britain being a

bility fuelled debates about the openness of Ameri­

relatively closed society, its mobility patterns ap­

can society compared with older European nations,

proximate what would be expected if 'ability' were

and the mobility patterns associated with social

differentially distributed between social classes, i. e.

democracy and liberal capitalism. Mobility analysis

a meritocracy. Paucity of contemporary mobility

SOCIAL MOVEMENT data has inhibited proper discussion of Saunders's

609

America and Europe - women's, ecological, anti­

claim, although this may remedied if proposed new

nuclear and peace movements, and movements for

studies come to fruition.

regional

These studies will need to come to terms with a

autonomy.

Elsewhere,

fundamentalist

movements arose, emphasizing cultural specificity.

rising number of social changes that have rendered

China, in 1989, experienced a democratization

traditional mobility analysis increasingly problem­

movement which was suppressed; and in Eastern

atic. Whereas earlier studies could concentrate on

Europe popular movements overthrew the com­

men in full-time employment, it is no longer ad­

munist regimes. Many social movements challenge

equate to ignore women as workers with separate

institutional structures, ways of life and thinking,

occupational careers and class identities, when a

norms and moral codes. In fact, social movements

large majority of married women are in paid em­

are closely linked to social change, and several fea­

ployment (Payne and Abbott, 1991). More people

tures of contemporary societies are likely conse­

work part time; more men 'retire' in their fifties;

quences of the actions of social movements.

more of the workforce is from minority ethnic

From a theoretical point of view, too, social

groups; more of the youngest age groups are in

movements stand in the centre of social scientific

government training schemes, or higher education,

discussion. Herbert Blumer (1939) claimed early on

instead of either secondary school or work as

that collective behaviour and social movements are

before. The expansion of white-collar work has

core concepts of sociological theory, as does Alain

accelerated in the last two decades. Regional vari­

Touraine today. That the current use of the term is

ations have increased, with the south-east dominat­

quite loose, even in the professional literature,

ing the British economy, while parts of 'the north'

might be largely due to the excessive variety of

have high rates of long-term unemployment. If it is

empirical phenomena to which the notion poten­

true that 'jobs for life' have disappeared, what does

tially applies. Are all the diverse movements just

this mean for measuring social mobility on the basis

mentioned to be covered by the same concept? To

of father's job and son's job as indicators of social

employ the notion on a descriptive level is very

class (or of course, for class analysis as a whole)?

convenient,

The adequacy of answers to these questions will

use is to be recommended. Like most notions in

but a more restrictive conceptual

determine how far sociology can contribute to cur­

the social sciences, social movement does not de­

rent public debates about social inequality and

scribe part of reality, but is an element of a specific

equality of opportunity in modern society.

mode of constructing social reality.

Reading

may be considered under different headings. Be­

The theoretical paradigms of social movements Erikson, R. and Goldthorpe, J. 1992: The Constant Flux. Goldthorpe, J. 1980 (1987) Social Mobility and Class Structure in Modern Britain.

Payne, G. 1987: Mobility and Change in Modern Society. Payne, G. and Abbott, P 1991: The Social Mobility of Women.

sides the neo-Marxist paradigm, theoretical ap­ proaches dominant until the early 1970s are the interactionist conception of collective behaviour and social movements of the Chicago school, and the structural-functional model. This latter paradigm with its many variants was the most widely shared

Saunders, P. 1996: Unequal but Fair? GEOFF PAYNE

perspective on social movements at that time. In the 1970s resource mobilization theories propose a neo­

social movement

Most social theorists agree

utilitarian, rationalist approach to the study of social

that this mode of collective action involves a specific

movements. They are, however, severely criticized

type of socially conflictual relationship. The clas­

by

sical type is the workers' movement that marked

which attempt to conceptualize what is new in new

more

hermeneutically

oriented

approaches

nineteenth- and early twentieth-century industrial

social movements. And the sociology of action ap­

society. More recently, in the 1960s, most Western

proach adds a comprehensive theoretical perspec­

countries experienced important social movements,

tive to the study of social movements.

such as the STUDENT MOVEMENT, civil rights move­ ments and peace movements, while in Third World countries, national liberation movements emerged.

Neo-Marxism

During the 1970s and early 1980s a multitude of

The

social movements proliferated throughout North

neo-Marxist approaches to the study of social

important

influence

of

Marxist

and

610

SOCIAL MOVEMENT

movements is well known, and will be discussed

Marxism in its analytical mode, albeit proposing a

here only briefly (see MARXISM; NEW LEFT). Marxist

quite dissimilar vision of social life.

theory asserts that, in industrial society, social

Mass society theories postulate the atomized indi­

movements and revolution spring from the central

vidual (Kornhauser,

structural

rapid social change, urbanization and loss of trad­

contradiction

between

capital

and

1959).

Uprooted

through

labour. The main actors in social movements -

itional bonds, isolated from group relations and

antagonistic

normative reference groups, the individual in

social

classes

-

are

defined

by

this fundamental systemic contradiction. However,

mass society is both free and prone to participate

they are also considered as historical actors, and

in new kinds of social groups, such as social move­

as such they must become conscious of their histor­

ments, which therefore find in mass societies an

ical role and destiny. For this reason, social re­

easy breeding ground.

searchers are not only required to study the

Structural stress theories see the main cause for the

objective conditions, but also to account for more

emergence of social movements in the distorted

subjective processes through which social move­

equilibrium of social systems (Smelser, 1962).

ments arise.

Noncorrespondence between professed values and actual practices of society, blocked institutional

Interactionism

Der Streit (conflict) was understood by Simmel (1908) as a process of interaction. In the 1920s, theorists of SYMBOLIC INTERACTIONISM of the Chi­ cago school adopted a similar approach to the study of collective behaviour and social movements. Starting out from the assumption that individual persons and groups of people act on the basis of shared understandings and common expectations, they maintained that social movements arise in non-structured situations. These are situations where shared cultural guidelines are lacking or have broken down and must be newly (re)defined. Social movements are the expression of such col­ lective reconstructions of social situations, they are 'collective enterprises to establish a new order of life' (Blumer, 1939). The symbolic interactionist approach to the study of social movements suffers from the fact that its theoretical paradigm remains insufficiently developed. Overall, the approach is still receiving increasing attention, for it stresses such social­ psychological features of collective action as emo­ tion, feelings of solidarity, expressive behaviour and communication, on the one hand; while on

functioning, dysfunctional elements challenging the survival of the system, are all features that can put the social system out of balance, provoke structural strains that, in turn, trigger off social movements. Theories of relative deprivation are a sort of social­ psychological variant of stress theories. The stress is not objectively given by structural discrepancies, but is a subjectively felt condition: people feel de­ prived relative to their expectations. Expected and actual need satisfaction do not correspond. Im­ provement of economic and political conditions, entailing growing expectations in some groups, are particularly favourable to the emergence of social movements, when reality seems not to keep pace with expectations. Dissatisfaction and frustra­ tion will follow, leading to the formation of social movements. Despite the fact that the structural-functional model claims to provide a causal theory of the emergence of social movements, it does not give any precise explanation of how the passage from isolation, stress and frustration to the action of the movement occurs. This passage cannot be assumed to be automatic.

the other hand, it places the emergence of social movements within an ongoing process of social relationships and interactions. Structural functionalism

Resource mobilization Neo-utilitarian approaches to the study of social movements appeared in the 1970s, and have expanded rapidly since then. Their basic assump­

Three variants may be distinguished within the

tion is that social movements develop in the wake of

structural-functional model of social movements.

conscious organizational activity - if they succeed

Although very different in its basic approach from

in mobilizing material and symbolic resources

the logic of social movements based on interaction,

available to them, such as money, people's time

it is however not as far away as it may seem from

and

legitimacy.

Social

movements

are

thus

SOCIAL MOVEMENT

611

accounted for in terms of opportunities, strategies,

ments, is that they have gained enhanced awareness

modes of communication, sophisticated organiza­

of their capacity to produce new meanings and new

tional forms, and competition with groups and au­

forms of social life and action. A systematic outline

thorities having opposing interests. Such reasoning

of this increased reflexivity of social movements

adds some evidence to the comprehension of how

can be found in the paradigm of communicational

social movements arise, but hardly suffices to eluci­

rationality.

date the meaning collective social mobilizations

rationalization of the life-world is posited here as a

may bear.

The

process

of

communicational

conspicuous feature of modernity, running parallel

The different variants (Olson, 1965; Oberschall,

to systemic rationalization processes (Habermas,

1973; Tilly, 1978) within the resource mobilization

1981). Within this theoretical framework, social

perspective share a common logic: they think that

movements are placed in a double perspective. As

social movements employ strategic-instrumental

the expression of communicational rationalization,

reasoning, cost-benefit calculations, and pursue

the new social movements call in question the val­

their goals and interests rationally. They share

idity of existing patterns of the life-world, such as

still another important point: for them social move­

norms and legitimacies, and subsequently enlarge

ments are not abnormal occurrences but part of

public space. Simultaneously, as defensive move­

normal social life, which is seen as full of potential

ments, they offer resistance to the pathological en­

conflicts. For this reason, they reject the idea

croachment on the life-world, which is being

that stress or discontent can account for the

colonized by systemic economic and political ra­

emergence of social movements; on the contrary,

tionalization mechanisms that abrogate communi­

it is social movements that focus stress and

cational processes.

discontent. Whether a movement is able to do this will depend, however, on its organizational capacities.

Sociology ofaction An elaborate and complex theoretical perspective

New social movements

on social movements is put forward by the soci­ ology of action which aims at integrating various

Several social theorists currently use the term 'new

approaches into a general representation of social

social movements' to refer to the great variety of

life defined as conflictual self-production (Tour­

protest movements during the 1970s and early

aine, 1973). In this view, the very centre of social

1980s in the West. Broadly speaking, these move­

life is the permanent struggle over the use of

ments form a loose network of contestation and

new technologies and the social control of society's

alternative life styles, but they have also entered

own transforming capacities. For this reason, social

official politics (see GREEN MOVEMENT). What makes the newness of the new social move­

movements, considered as essential agents of con­ flict, are of major concern to social scientists.

ments? Most theorists conceive them in terms of

Hence, social movements are conceptualized as

conflictual collective behaviour that opens up new

social actors involved in a conflict for the social

social and cultural spaces. They are seen as politi­

control of the main cultural patterns, which are

cizing institutions of civil society, thereby redefin­

knowledge, investment and ethics. Three compon­

ing the boundaries of institutional politics (Claus

ents, I (identity), 0 (opponent), T (totality), pro­

Offe); as offering through their own existence a

vide the paradigm describing analytically the

different way of naming the world and challenging

conflict field, which is therefore understood in

the dominant cultural codes on symbolic grounds

relational terms. That is to say that the adversaries

(Alberta Melucci); as creating new identities com­

opposing each other (I-D), nevertheless share a

prising non-negotiable demands Gean L. Cohen);

common cultural field consisting of what is at

as expressing evolutionary collective learning pro­

stake in their conflict (T). In other words, social

cesses (Klaus Eder); as being new social articula­

conflict must not be separated from cultural orien­

tions that crystallize new shared experiences and

tations in the analysis of social movements.

common problems, in the wake of a general disinte­

Moreover, it is necessary to differentiate between

gration of experience based on economic class

various kinds of social conflicts, and to place them

(Ulrich Beck). The overall significance that the

on different levels of analysis. Movements that ad­

above formulations confer on the new social move-

vocate economic demands act on an organizational

612

SOCIAL PLANNING

level; political pressure groups and movements

planning mean 'designing a system whereby society

defending minorities act on a political level; the

can rationally weigh the costs and benefits of alter­

highest level is that of the system of historical

native[s] ... '(Owen and Schultze, 1976, p.10). In a

action, on which social movements act by both

sociological perspective the rationality of planning

contesting and creating cultural patterns.Historical

depends, however, on the nature of the target and

action, or historicity, then, is the capacity of societies

of the society in which the plan operates. 'Planning

to develop and alter their own orientations, to gen­

is about power' (Dear,

erate their normativity and objectives by means of a

making in societal matters is a political process in

central social conflict, of which social movements

which the often conflicting values and interests of

1981). A spe­ cific method of sociological intervention has been

the participants play a predominant, if not always

are the main expression (Touraine,

2000, p. 119). Decision

open role. The realization of the plan is also a social process,

developed to assess these different meanings that ment, and to appreciate to what extent a given

inten­ tions of the planners.Various social actors operating

movement can be considered as a social movement

on other levels of intentionality participate in these

defined in the above terms.

processes. The divergence between the plan and the

are always combined in a concrete empirical move­

which is seldom, if ever, fully guided by the

outcome depends on a number of factors. Some of the most important are, according to Sztompka

Reading Hobsbawm, E. J. 1959: Primitive Rebels.

(1981) the complexity of the target system; the

Nelkin, D. and Pollak, M. 1981: The Atom Besieged.

internal

Oberschall, A. 1973: Social Conflict and Social Movements.

components of the target system; the impact of

contradictions

and

conflicts

between

Scott, A. 1990: Ideology and the New Social Movements.

outside (such as natural) forces; or the stochastic

Tilly, C. 1978: From Mobilization to Revolution.

nature of intrasystemic links in a society. Thus

Touraine, A. 1984: Le retour de l'acteur.

unplanned actions and so-called unintended conse­

Turner, R., H. and Killian, L. M. 1957: Collective Behavior. Zald, M. N. and McCarthy,J. D. eds 1979: The Dynamics ofSocial Movements.

KARIN D. RENON

social planning

quences will inevitably occur. But the outcome will ultimately depend on the relative strength of the actors. The power of the stronger groups impacts not only on the decisions but also on their imple­ mentation.

There exist many interpret­

ations of planning in general, and social planning in particular. Planning may be defined in different ways.A widely accepted approach has been for long that ofH.J. Gans:

History ofplanning and social planning The history of planning in market societies and in the (former) state socialist societies form two differ­ ent stories. In market societies it was an instrument

In its generic sense, planning is a method of deci­ sion making that proposes or identifies goals or ends, determines the means or programs which achieve or are thought to achieve these ends, and

to correct inadequacies and failures of the market, to intervene in some ways in the market. In state socialism it was meant to replace altogether the market by political will.

does so by the application of analytical techniques

In state socialist systems, macrolevel plans elab­

to discover the fit between ends and means and the

orated by the central organs predominated through

consequences of implementing alternative ends

the time of their existence (see also NATIONAL ECO­ NOMIC PLANNING). Plans initiated from below, or

and means. (Gans, 1968, p. 129)

the idea of participatory will-formation, did not This definition is flexible enough to accommodate

exist. In conformity with ideological tenets, the

the various levels and techniques of planning. It

market was abruptly replaced by central planning.

reflects the basic idea of planning - that rationally

The first five-year plan started in the Soviet Union

devised intervention in various social processes is

in

feasible.Rationality is inherent in planning (see also

plans became the hallmark of all satellite countries.

1928, and after 1945 yearly, three- and five-year

technocratic ap­

Planning proposed to eliminate altogether the

proach to planning, rationality and calculation are

spontaneous operation of the market or any other

of prime importance. Sensible policy making and

institutions, and to replace by 'central rationality'

RATIONAL CHOICE THEORY). In the

SOCIAL PLANNING

613

all other initiatives and rationalities in all the fields

inasmuch as it was the instrument that forced an

of social life. Planning was mainly understood as

exclusively political rationality on all social subsys­

economic planning.

tems, harming thereby economic rationality and

The exclusive role of central planning was ques­

efficiency and the tenets of political democracy.

tioned several times by economic reformers from

After the collapse of the system one reaction to

the early 1920s on. The reform ideas about a 'so­

the former practices was that all forms of planning

cialist, regulated market economy' had some suc­

fell (at least for a while) into oblivion.

cess from about the 1970s. The severity of central

In market (capitalist) societies planning has

planning was somewhat softened through elements

emerged as an answer to various market failures. It

of bargaining between the firms and the state, and

remained for a long time partial or oriented to spe­

through the replacement of direct commands by

cific programs, as illustrated by city planning, which

means of fiscal and other regulators. This method

appeared in some countries at the end of the nine­

was followed by countries which, like Hungary

teenth century. Broader objectives, macrolevel -

from 1968 on, had accepted a market that was

four-year or five-year - plans appeared after the

supposed to be regulated by the plan. In reality,

world crisis of 1929 in some, mainly nondemocratic,

under the given political conditions, the market

capitalist societies, such as Nazi Germany in 1933.

remained a 'simulated' market, and could not pro­

There were intense debates at the time about the

duce the expected result. As for the social dimen­

possibilities of democratic planning for instance in

sion of planning, only quantitative social indicators

England, with the left (for instance Barbara Woot­

could be built into the plans. There was an ideo­

ton) searching for democratic solutions, while

logical assumption about the quality of society. It

Hayek (1944) maintained that planning was neces­

was assumed and declared that economic develop­

sarily totalitarian. More comprehensive planning

ment would automatically entail social progress and

has developed since World War II. The first post­

the achievement of socialist objectives such as the

war period (1945-60) was one of the reconstruction

growth of people's wellbeing, improvement of the

and rebuilding of societies through massive state

style and quality of life, reduction of social differ­

intervention, with plans as one of the instruments.

entiation between classes and groups, and, finally,

Planning offices were created at a high administra­

the emergence of all the conditions to create the

tive level, dealing mainly with issues of economy

'socialist man'. The political dictatorship based on

and land use. In the years of collective optimism and

the abolition of private ownership could enforce

economic growth planning seemed to be a successful

some ideological tenets such as fewer income and

way of social reconstruction.

wealth inequalities, an economy operating with full

Between 1960 and 1980 the conception of plan­

employment, or low wages supplemented by rela­

ning was influenced by many trends. The new

tively widespread social benefits, all under condi­

scientism and the spreading of systems theory

tions of economic growth. The assumptions about

influenced both the economy and the social sci­

the automatic realization of socialist objectives

ences. It suggested that plans could be based on

proved, however, to be entirely false. Once the

'scientific' methods such as econometric models.

new social structure was consolidated inequalities

The models were perforce restricted to economic

started to grow and be transmitted, even if the

issues. Emerging social movements put social plan­

structure remained repressed. The main political

ning in a large sense on the political agenda. There

or structural reason of the failure of the social

appeared a liberal left movement advocating a

project was, though, the political system itself.

'transactive-creative',

Civil, political, social and economic rights were

planning, and a strong critical and radical left advo­

participative approach

to

curtailed or absent in the totalitarian systems.

cating the amelioration of society. The radical,

Democratic participation in, and control of plan­

often Marxist thought remained on a very abstract

ning was therefore unimaginable, and planning

level and had little impact on the practice of plan­

could only represent the 'dictatorship over needs'.

ning (Dear, 2000). Meanwhile the WELFARE STATE

The absence of political democracy delegitimated

was gradually consolidated, and comprehensive

planning and its outcomes even if the standard

issues going beyond the economy, and beyond

of living or its components were objectively im­

land-use planning, were incorporated in prospect­

proving. The collapse of state socialism in 1989-

ive thinking. In the most developed countries na­

90 can be partly attributed to central planning

tional planning was gradually extended to social

614

SOCIAL PLANNING

and cultural affairs, sometimes with a separate spe­

On the national level, social planning used to

cialized planning office. In this case social planning

have broad ambitions to shape society. It was then

had to deal with the process of developing, imple­

often termed societal planning: 'Societal planning is

menting and evaluating social policies, its essence

concerned with evaluating social goals and develop­

being the determination of social priorities. In other

ing in broad outline the kinds of programs to

words, social planning had to be concerned 'with

achieve the goals chosen' (Gans, 1968a, p. 129).

the distribution of welfare and the shaping of struc­

Regional and spatial planning on a subnational

3). Despite

level may form strategies for instance to decrease

broad and often radical social goals, and despite the

regional inequalities, or may have more practical

discourse of the need for democratic planning,

objectives, such as the regulation of the use of land.

social

narrowly

The smallest unit of social planning we are con­

bureaucratic, centralized, unresponsive to need

cerned here with is the local community. The con­

and subordinate to economic policy and planning

cept is increasingly used in that sense.

tural relationships' (Walker, 1984, p.

planning

has

often

remained

(Walker, 1984). The belief in rationality and in the

Planning on subnational levels, spatial or re­

possible success of macrolevel plans has been

gional planning, city or urban planning, commu­

weakening from the last decades of the twentieth

nity planning, or the planning of welfare projects,

century all over the world. The reasons are com­

have long been the main forms of social planning.

plex. The decline and fall of the command econ­

This type of planning has been discussed from

omies has certainly played a major role. There were

the late sixties on, including the problems of coord­

also disastrous 'state failures' in capitalist societies

ination, the competition for funds, and the machin­

(Hall, 1981 ).J. C. Scott (1998) attributes the failures

ery

of for instance urban renewal or the resettlement of

many common elements with the early approaches.

of planning. The recent definitions have

peasant farmers to too much state coercion, a

The main relatively new element as compared

misplaced faith in high modernist ideals, and the

to the sixties is the emphasis on interactive, partici­

weakness of civil society. The ascent of neoliberal­

pative planning. Information, dialogue, the in­

ism, the ideology of free markets as a solution to all

volvement of citizens or residents in planning the

problems, and the antirational ideology of postmod­

future of the community are by now often inte­

ernism have together almost fatally undermined

grated in the discourse of, and in some countries

the belief in the possibility of rational intervention

also in the practice of planning. The nongovern­

in social matters in general, and social planning in

mental organizations and their networks, and some­

particular. Yet some forms of social planning have

times the

survived or have been revived.

and political instances have an increasing role in

partnership

between

civil networks

this process.

Levels and actors ofplanning Theoretically all social actors may take more or less

Types ofplanning

rational decisions about their own future action and

There are stricter and milder ways of planning,

behaviour. Thus plans may be made by households,

more 'imperative' or more 'liberal' forms of plan­

firms and other organizations, local communities

ning (Rostow, 1962, p. 22). In the practice of state

and self-governing units, up to the bodies of na­

socialism,

tional or international decision makers. We are not

inant for a long time. The inputs, outputs and all

planning by direct commands was predom­

concerned here with the planning of households or

the conditions of activity of all the units were cen­

organizations (firms, public or nongovernmental

trally set. From about the 1970s

organizations, etc.).

has appeared. This still meant centrally defined

indirect planning

Social planning is almost tautologically planning

targets, but the direct commands were replaced by

applied to society or social matters. However, soci­

regulators supposed to shape the behaviour of the

ety may be understood in many different ways, and

firms. In democratic capitalist societies

this understanding is changing with time. Social

and

planning may refer to macro-, mesa- or microlevel

perative planning means administrative ordering

imperative indicative planning are often distinguished. Im­

objectives. It may cover planning for an entire social

and some form of coercion. This type of dirigism

system or may relate only to the planning of spe­

is increasingly unacceptable. Probably the only ex­

cifics of a project in a social service agency.

ception is land use and related issues in countries

SOCIAL PLANNING with a strong commitment not only to private, but

615

the definition and the measurement of the costs and benefits. The difficulty is that the methods are

also to public interests. Indicative planning has always meant 'broad ob­

geared to cover what is easily quantifiable and rela­

jectives and loosely defined policies, which are

tively easily available. Meanwhile many substantive

expected to move them in the general direction

costs and benefits are not easy to measure or to

44). From the last decades

capture. Qualitative evaluation methods are then

of the twentieth century it has become the only

developed, but they rarely capture macrolevel de­

acceptable form of macrolevel planning. Its key

velopments. All the techniques, new areas of study

sought' (Kahn, 1969, p.

concepts are alternatively or together research, an­

and instruments (managerialism, evaluation stud­

alysis and follow-up of the economic and social

ies, cost-benefit analysis) seem to be useful in the

situation; the preparation of scenarios, prognoses,

case of well-circumscribed partial projects. They

forecasts or possible trajectories; clarification of the

may be less well adapted to comprehensive, macro­

perspectives and frameworks of probable develop­

level programs because of risk of losing sight of the

ments.

complexity of substantive issues. It has to be always

A new phenomenon is the emergence of private

remembered that techniques, however sophisti­

planning alongside public planning (Dear, 2000).

cated, cannot solve the political problem of value­

Plans have been for long - almost by definition -

conflicts and divergent interests. Meanwhile the

made by public agencies: they were financed by

developments in communication and information

public money, and were supposed to serve just the

technology are of increasing importance also for

public good, not any private interests. Privatization

planning. If access and computer-literacy spread,

of planning was first noted in urban and regional

these technologies offer at least in theory a new

planning. The personnel is increasingly in the pri­

vehicle for the democratization of planning on all

vate sector, and well-packaged and well-marketed

levels.

planning services are offered for sale. The practice will probably spread. The privatization of planning makes increasingly difficult interactive and partici­

The future of social planning

pative planning, and the adjustment of various

The rejection of planning may intensify the short­

interests.

comings of a completely liberated global market entailing the unchecked growth of inequalities, and the unforeseeable consequences of new tech­

Techniques of planning

nologies such as information or gene technology.

The stages of planning may be defined as policy

Environmental risks, insecurities surrounding all

development, policy implementation and policy

walks of life, the changing nature of work, in short

evaluation (Rein, 1968). Since the early 1970s man­

a 'risk society' (Beck, 1986) would call for new,

agement and the evaluation of projects have at­

coordinated defences. This applies to the inter­

tracted a great deal of attention and funding. This

national level, too.

trend resulted in managerialism, the almost exclu­

At present three forms of social planning seem to

sive concern with financial efficiency and correct

have survived the disenchantment with too san­

formal procedures at the expense of substantive

guine projects and dirigist methods. In many de­

issues. One of the techniques is the planning-pro­

veloped countries there are still units at a relatively

gramming-budgeting system (ppbs), which serves

high government level that are explicitly called

goal setting and evaluation simultaneously (Kahn,

planning agencies. (The highest ranking office is

1969, p.

43). Evaluation studies have become a prac­

probably the French Commissariat du Plan subor­

tically

autonomous

research.

dinated directly to the prime minister.) These

Handbooks presenting 'Principles, Methods, and

branch

of

social

agencies have lost much of their former adminis­

Strategies Useful in the Planning, Design, Imple­

trative power. They are emphatically not engaged

mentation and Evaluation' of various fields of

in planning in the traditional sense of setting ob­

public policy abound. Since the end of the 1970s

jectives and regulating their implementation but in

cost-benefit analysis, a method based on the logic of

analysis, research, prognosis or forecasting, and

is increasingly used in deci­

sometimes in setting priorities and formulating

sions about social projects and in the assessment of

policy recommendations. The second form of plan­

their outcomes. There are intensive debates about

ning is spatial or urban planning that has remained

WELFARE ECONOMICS,

616

SOCIAL POLICY

a combination of imperative and indicative plan­

ways. There are conflicting views about the object­

ning. In most countries the spatial planning agen­

ives, the scope, the methods of public intervention.

cies

to

In the case of objectives, at one extreme the object­

implement the decisions. Spatial planning seems

ives of social policy are limited to alleviate extreme

to have regained legitimization even in countries

poverty of those who cannot help themselves, and

have

some

administrative

authority

where at the height of neoliberalism it was largely

the role of the state is seen only as a last resort if

abandoned (the UK for instance). The third form is

everything else fails. At the other extreme social

community planning, which has become probably

policy is an instrument to improve the quality of

the most widespread and best accepted form of

society, to eradicate poverty, to reduce the inequal­ ities of physical and social life chances, to promote

planning. The question remains open whether the plans prepared by democratic participation at the local

social justice and social integration (Beck et al.,

1997).

levels may be brought together democratically to shape basic national or global priorities. The legit­ imacy of social plans or projects will depend on whether societies will be integrated enough to in­ volve citizens in those processes - whether, in short, they can build up a planning system from below. This currently seems rather improbable.

Descriptive approaches Social policy refers both to an academic discipline and to what social policies do. The description of activities follows an administrative logic. The core areas of social policy where public redistribution gradually acquired a major role include income maintenance programmes, health, education, hous­

Reading Beck, U. 1986 (1992): The Risk Society. Towards a New Modernity.

ing, and personal social services. Equating social policy with the formal administrative division of

T. A. ed. 1979: Planning for Welfare.

state services is the dominant tradition of British

Dear, M. J. 2000: The Postmodern Urban Condition.

social administration and is often qualified as the

Booth,

Gans, H. J. 1968a: P eople and Plans.

'textbook definition' of social policy. This static and

Hall, P. 1981: Great Planning Disasters.

fragmented description is increasingly criticized,

Hayek,

F. 1944: The Road to Serfdom.

and a more flexible and more holistic approach is

Himmelstrand, U. ed. 198lb: Spontaneity and Planning in Social Development. Kahn,

A. J. 1969: Theory and Practice of Social Planning.

Marris, P. 1982: Community Planning and Conceptions of Change.

R. H. 1972: Social Planning and Social Change. C. ed. 1982: Critical Readings in Planning Theory. Scott, J. C. 1998: Seeing Like a State: How Certain

Mayer, Paris,

Schemes to Improve the Human Condition Have Failed. United Nations 2001: POP IN Dictionary Walker,

erations should also permeate legal policy (for in­ stance the treatment of crime or legal aid), labour market policies (for instance job creation), some aspects of economic policy (for instance price regu­ lations). Social policy is connected to fiscal policy via the centralization and redistribution of re­ sources, or through tax allowances that may in­ crease welfare expenditures in an invisible way

A. 1984: Social Planning.

(Kvist and Sinfield,

Wootton, B. 1935: Plan or No Plan. --

proposed. It is suggested that social policy consid­

1997). Moreover, traditional

social policy has focused always on individual

1945: Freedom under Planning.

needs and individual welfare, while the quality of ZSUZSA FERGE

life of communities is affected also by public inter­ ventions such as communal services or the protec­

social policy

tion and shaping of the environment.

Broad and restricted definitions

The functionalist approach

There is no universally accepted definition of social

The functionalist view focuses on the problems

policy. In a neutral and by and large consensual

which at any given time have disturbed the smooth

approach social policy is understood as deliberate

reproduction of social systems, especially since the

public intervention in the (apparently) spontaneous

advent of capitalism. According to George and

mechanisms of a market economy in order to pro­

Wilding

mote social wellbeing. Each of the components of

system upset the equilibrium prevailing among

the above approach may be interpreted in divergent

the various parts of the social and economic system

(1976, p. 7), 'Changes in the industrial

SOCIAL POLICY

617

with the result that social policy measures become

European countries between a third and a half of

necessary to restore stability and balance.' The flaw

the population (Flora, 1987). World War II created

in this approach is the underlying assumption that

a divided Europe. The WELFARE STATE implement­

the normal state of affairs is social equilibrium, and

ing much of the Beveridge project developed in

that instability and imbalances are signs of social

Western market economies. It has transformed

disorganization and deviance. It is helpful, though,

many of the former selective or corporative welfare

in viewing social policy as a systemic element oper­

provisions into universal services. Systems of

ating in the context of social and economic repro­

public health and public education largely replaced

duction, and in bringing home the point that all

market or means-tested solutions. Societies have

societies have had 'social problems', and hence that

accepted on a large scale the right to a social min­

they have all had some sort of social policy.

imum. In the 1970s economic growth slowed down and unemployment reappeared as a major problem. Global competition strengthened, and apparently

Historical periods

the welfare consensus weakened. The crisis of the

The social policy of precapitalist societies in

welfare state and of traditional social policy seemed

Europe has not been systematically studied, but

to be imminent. The consequences include, in

there are many useful analyses of the different insti­

many countries, cuts in the welfare budgets,

tutions of social help such as the Catholic church

hardening access conditions to social benefits and

(Troeltsch, 1912) or feudal institutions (Bloch,

services, privatized and marketized services. Quasi­

1940), or of the treatment of poverty in general

market solutions appear on a large scale. A 'Third

(Mollat, 1978). There is more accord on the stages

Way' is advocated that accepts the primacy of

of development following the advent of the market

markets and globalizing tendencies. It accepts

society. It is generally agreed that the state started

therefore to use market instruments in implement­

to intervene after the disintegration of feudal and

ing public objectives. It also emphasizes the equi­

local networks, and that its intervention served

librium of rights and duties, advocating work-fare

simultaneously policing and helping purposes.

as a condition of social welfare rights. Yet public

The multiplication of migrants and vagrants called

support of state social policy has remained strong.

for some official help particularly in case of those

Until the late 1990s at least there were no significant

thought 'deserving' (the sick, the infirm, the old).

cuts in the social spending of the OECD countries.

Their increasing number and visibility, often con­

They spent 20 to 35 per cent of their gross domestic

nected with the growing danger of criminality

product on state social welfare, usually slightly

strengthened the punitive functions (Geremek,

more than in the 1970s. In Central and Eastern Europe under autocratic

1987). This politics of PovERTY remained dominant by

'state socialist' countries social policy was largely

and large until the mid-nineteenth century. Urban­

built into the operation of the economy by means of

ization,

trade

formal full employment, subsidized prices and so

called for some proactive public action. The danger

forth. Social provision considerably expanded.

of contagion in early crowded towns requested at

Social policy played an important role in reducing

industrialization

and

expanding

least some public health measures; the needs of

prewar massive poverty, and in assuring basic se­

industry and of a more complex public adminis­

curity to a huge majority, but the absence of demo­

tration prompted the beginnings of public educa­

cratic

tion (Swaan, 1988). In the last third of the

arrangements vulnerable. The system change in

nineteenth century the workers started to organize.

1989 helped the creation of a democratic political

legitimization

made

the

social

welfare

The political and social movements rejected trad­

system, the rule of law, and a market economy.

itional charity, and pressed for public action against

However, the collapse of state socialism coincided

new miseries and new uncertainties. The most im­

with the ascent of neoliberalism. The transform­

portant welfare institution created at that time (first

ation was followed by an economic crisis, the sign­

in Bismarck's Germany) was social insurance,

ificant drop in the GDP and in personal incomes,

which combined the insurance principle with soli­

the emergence and rapid growth of unemployment

darity. Social law and labour law transformed char­

and poverty, and also a new social agenda. The

ity

into

rights

(Caste!,

1995).

Social

policy

provisions spread considerably covering in most

withdrawal of the state, the cuts in social expend­ itures,

the

privatization

and

marketization

of

618

SOCIAL POLICY

former public services, the weakening of universal­

and contribution, and creates the institution of

ism and social insurance, the spreading of targeted

social insurance; and finally the institutional redis­

social assistance that appear almost everywhere are

tributive type, which is defined as a model based on

progressing particularly rapidly in most transition

citizens' right.

countries. The reason is not only economic scarcity, but also the pressure of supranational monetarist agencies, the structural changes, the absence of

Issues and debates

former democratic legitimization, and the weakness

One of the important debates is concerned with the

of civil society.

relationship between social policy and the econ­ omy. Social policy may be differentiated from the

Ideological and theoretical constructs Conflicting values and ideologies shape the percep­

economy, or it can be more or less integrated with it (Mishra, 1981). In this case an 'embedded econ­ omy' may assure the prevalence of social interests.

tion of social policy and of its institutional bases. In

However, a substantive economy concerned essen­

the 1990s the liberal, conservative and social demo­

tially with the satisfaction of needs has remained up

cratic labels have become widely used to distinguish

to now only a theoretical possibility (Polanyi, 1944).

between types of welfare state regime types (Esp­

In market societies the social and the economic

ing-Andersen, 1990). These types take into account

interests may limit each other, acquiring by and

the historical and structural forces shaping social

large an equal footing as in case of the developed

policy outcomes. A liberal regime is characterized

welfare states. Otherwise the economic interests

by the predominance of means-tested assistance

may become dominant. At the

heavily targeted towards the poor, and weak social

twenty-first century no supranational authority

dawn

of the

rights. The 'conservative' regime-type is described

has the power to intervene in global market trans­

as marked by a historically evolved statist-corpor­

actions or to enforce taxes. This reduces the cap­

atist legacy preserving status differentials, by a lack

acity of nation states to shape their own social

of emphasis on rights, and by a conservative com­

policy.

mitment towards the Church, the traditional family

The traditional welfare state paid scant attention

and the traditional role of women. 'Social demo­

to the interest of women, ethnic minorities or

cratic' social policy is based on the principle of

other minorities such as the disabled. There are

universalism extending social rights to all citizens,

many efforts to reconceptualize and reshape social

and on the principle of decommodification. The

policy in these directions. The realization of new

objective is not just to assure minimal standards

risks, the emergence of a risk society (Beck, 1986)

for the needy, but to offer services of a decent

offers new challenges for social policy. Whether

level to all.

the new social, technological and environmental

From the perspective of public responsibility there is a classic distinction made by Wilensky

risks should or could be handled individually is debated.

and Lebeaux between 'two conceptions of social

The pluralization of welfare is often put on the

welfare ...the residual and the institutional. The

agenda as a new issue. There are many arguments

first holds that social welfare institutions should

for and against replacing the withdrawing welfare

come into play only when the normal structures of

state by market or quasi-market solutions, by the

supply break down. The second, in contrast, sees

nongovernmental or voluntary sector, or simply by

the welfare services as normal, "first line" functions

the family.

of modern industrial society' (1965, p. 138). Wel­ fare policy is understood in this American text as

Growing

global

and

national

inequalities

entailing poverty and social exclusion have become

social policy: the two terms have become practically

a major concern. There is a search for social policy

interchangeable over time. Richard Titmuss (1974)

instruments to handle the many forms of social

redefined and completed the above-mentioned

exclusion. One possible solution that is increasingly

types of social policy. He distinguished the residual

advocated is the 'basic income', a guaranteed uni­

model, which is characterized by very restricted

versal benefit for all (van Parijs, 1995).

public responsibility with means-tested assistance

The pragmatic and functionalist approaches

as the core instrument; the industrial achievement

largely left out of consideration the social processes

model that introduces entitlement based on work

which trigger the changes of social policy. Social

SOCIAL PROBLEM policy has always been shaped by social struggles (Miller and Riessman, 1968). The conflicts cover all the phases of making social policy. There are con­ flicts over the definition of risks to be handled and needs to be covered; of the individuals and/ or groups to benefit from public redistribution; over the mode and scope of the extraction of resources (taxation); over the level of need satisfaction, whether the level should be the bare minimum or adequate. There are fights about the instruments of social policy (cash, kind or services; selective, em­ ployment-related or universal benefits) and over the definition of the conditions of access to the

619

Kvist, J. and Sinfield, A. 1997: Comparing tax welfare states. Social Policy

Review 9, 249-74.

Miller, S. M. and Riessman, F. 1968:

Social Class and

Social Policy. Mollat, M. 1978

(1990): The Poor in the Middle Ages. Real Freedom for All. What ifanything canjustify Capitalism? Pol:inyi, K. 1944: The Great Transformation. Swaan, A. de 1988: In Care of the State: Health Care, Education and Welfare in Europe and the USA in the Modern Era. Titmuss, R. M. 1974: Social Policy, an Introduction. Troeltsch, E 1911 (1931, 1981): The Social Teaching ofthe Christian Churches. Parijs P. van 1995:

ZSUZSA FERGE

various benefits. All these struggles may be seen as aiming to broaden the scope of social policy to societal policy improving the quality of society

social problem

(Ferge, 1979).

as a harmful condition identified by a significant

A social problem can be defined

Since neoliberalism had become the dominant

number of people and recognized politically as

ideology the chances of societal policy diminish.

needing improvement (Beeghley, 1999). Harm

The power relations are changing in favour of

comes in many forms: people's economic interests,

market forces. Privatization deeply affects the tax­

political interests, moral values, the environment

ation capacity of states, and the acceptance of public

and countless other phenomena can be damaged.

redistribution. 'The extent to which the welfare

To be expressed as a social problem, the harm must

policies of the twenty-first century succeed in meet­

usually be a factual situation whose international

ing citizen needs will, in part, be determined by the

and historical dimensions can be systematically

influence which those whose interests

extend

observed. The facts are important because they

beyond competitiveness, labour market and eco­

provide a realistic basis for action. Moreover, ig­

nomic growth exert on the policy agenda' (Taylor­

norance can be costly, since what people do not

Gooby in Baldock et al., 1999, p. 559).

know can still harm them (Merton, 1961). None­

See also SociAL PLANNING.

theless, merely showing the harmfulness of a phe­ nomenon is not, in itself, sufficient to identify a

Reading Baldock, J. et al. eds 1999:

social problem. Conditions involving little harm,

Social Policy.

Bartlett, W., Roberts J. and LeGrand, J. eds 1998:

A Revolution in Social Policy. Qyasi-market Reforms in the 1990s. Beck, U. 1986: The Risk Society. Towards a New Modern­ ity. Beck, W., Maesen, van der L. and Walker, A. 1997: The Social Qyality ofEurope. Beveridge, W. H. 1942: Social Insurance and Allied Ser­ vtces. Bloch, M. 1940 (1961): Feudal Society. Caste!, R. 1995: Les Metamorphoses de la question sociale. Une chronique du salariat. Ferge, Z. 1979: A Society in the Making. Hungarian Social and Societal Policy, 194S-197S. Flora, P. and Heidenheimer, A. J. eds 1990: The Develop­ ment of Welfare States in Europe and America. Geremek, B. 1987 (1997): Poverty. Giddens, A. 1998: The Third Way. The Renewal of Social Democracy. Kamerman, S. B. and Kahn A. J. eds 1989: Privatization and the Welfare State.

such as deaths from drug use (about 4,000 yearly in the USA), are often defined as social problems, while conditions involving greater harm, such as deaths from car accidents (about 45,000 yearly), are not so defined. In addition to harm, a significant number of people must identify a social problem and debate it. While controversy about how many is 'signifi­ cant' has occurred, this issue can be resolved by noting the feedback between the number of people who claim a condition is harmful and their location in society. Sometimes a situation is identified as harmful, whether by citizen groups, victims or influential individuals, and others respond by taking up the issue politically. Alternatively, some­ times research reveals a condition that prompts public outcry and politically significant advocates take up the cause. For purposes of identifying a social problem, it does not matter who originates concern about it or their motives.

620

SOCIAL PSYCHOLOGY

Yet people's motives are important, since no

constructed (Berger and Luckmann, 1961). In this

scientific criteria exist for deciding that one harmful

case, the goal is to understand how and why one

condition is a social problem and another is not.

harmful condition rather than another is identified

Public life, at least in democratic societies, is a

as a social problem. Spector and Kitsuse ( 1987)

competitive process in which individuals and

proposed a model for the study of this process

groups vie for the attention of policy makers and

that focuses on the claims people make about the

ordinary citizens. The task involves transforming

harmfulness of some condition and the political

the harmful dilemmas experienced by individuals

debate that follows. The second perspective is that

as private troubles into public issues (Mills, 1959).

of S ociAL

This political process means that social problems

with one another, influence groups to which they

change over time, often without reference to

belong, and are influenced by groups. The goal here

changes in the extent of harm.

Sometimes a

is to understand how individuals' personal charac­

known condition accepted at one point becomes

teristics and experiences influence them to use

unacceptable subsequently and, hence, a social

drugs, commit homicide, or engage in any action

problem. For example, the inequality that is intrin­

identified as a social problem. For example, a

PSYCHOLOGY:

the way people interact

sic to traditional marriages became a social problem

person might become poor due to lack of job skills

beginning in the 1960s. Sometimes a known condi­

or loss of a job. The third angle of vision is in terms

tion defined as harmful at one time becomes accept­

of S ociAL

able later; suicide among those in great pain may be

and values connecting people to one another and to

an example. Finally, a previously unknown harmful

the society (Beeghley, 1999). In this case, the goal is

condition can become salient due to new scientific

to understand how context affects action (Durk­

data or media attention, and thereby become a

heim, 1895). The explanatory variables will refer

social problem, such as global warming. The

to rates of behaviour and will differ from those

STRUCTURE:

the networks of relationships

examples suggest the dynamism underlying iden­

explaining individual acts. For example, the high

tification of social problems.

rate of poverty in the USA compared to other

This continuing activity reflects a belief in the

Western nations reflects the impact of macroeco­

possibility of improvement. In Western culture,

nomic policies designed to increase unemployment

people tend to be optimistic, to have a sense that

in order to control inflation, among other factors

their lives and the society in general can be better

(Beeghley, 1999). More generally, it is possible to

and to believe that progress has occurred (Nisbet,

show how the social structure influences the rate of

1969). Social science can be helpful in this context,

drug use, homicide or any issue defined as a social

since it can provide reasonably objective analyses of

problem. A structural approach to a social problem

the dimensions of a harmful condition, assess the

is useful as a means of discovering its hidden di­

potential consequences for individuals and societies

mensions, especially the distribution of conflicting

of various strategies for solving the problem, and

interests and benefits in a society (Merton, 1949).

suggest possible side effects of actually reducing the

When the insights from all three angles of vision are

harm (Weber, 1904). Wisdom, however, does not

taken together, then a relatively complete picture of

necessarily follow from knowledge and social scien­

a social problem emerges.

tific analyses do not always (or even often) lead to improvement in a social problem. This is partly

Reading

because many harmful conditions are unintended

Beeghley, L. 1999: Angles of Vision: How to Understand

results of historical progress and partly because they often provide benefits to certain segments of

Social Problems.

Merton, R. K. 1968: Manifest and latent functions. In

the population. Hence, people disagree over what

Social Theory and Social Structure, ed. R. K. Merton.

'improvement' means and, depending on their eco­

Spector, M. and Kitsuse, J. I. 1987: Constructing Social

nomic interests or moral values, one person's (or

Problems. LEONARD BEEGHLEY

group's) solution is often another's problem (Mer­ ton, 1961). A social problem can be studied from at least

social psychology

In broadest terms the central

three angles of vision, each of which explains differ­

task of social psychology is the systematic study of

ent aspects of it. The first is the S ociOLOGY

OF

the relation between individual and collective phe­

the process by which reality is socially

nomena. This daunting task overlaps with that of

KNOWLEDGE:

SOCIAL PSYCHOLOGY other

social

sciences,

particularly

SociOLOGY.

Mainstream social psychology, however, clearly

621

attributes of the in- or out-group. (See also GROUP.)

bears the stamp of its origin in psychology. Like

A second strand of concerns developed under the

its parent discipline it views science as a hypothe­

powerful influence of Kurt Lewin: the study of

ticodeductive enterprise; it interprets its central

small groups. Group dynamics investigated the

task psychologically as the study of individuals

influence of leadership styles on the productivity

under the influence of the actual, implied or im­

and cohesion of groups, identified communication

agined presence of others. Its phenomenal rise in

patterns, compared individual judgements with

productivity began in the 1930s when the geo­

group decisions, documented the regular emer­

graphical centre of all psychology had shifted

gence of informal roles in continuing groups and

from Europe to the United States. There the con­

other structural aspects. The repeated experimen­

centration on individuals was further strengthened

tal demonstration that group pressure can induce

by the ideological individualism of American cul­

individuals to deny the evidence of their senses

ture.

(Asch, 1952) made conformity a much studied sub­

From its very beginning mainstream social

ject. For a time, interest in the experimental study

psychology adopted a cognitive orientation. The

of group functioning receded, although the appli­

central concept of the discipline is 'attitude', recog­

cation of what had been learned flourished in group

nized already in 1935 as indispensable for social

training and group therapy. Now interest has re­

psychological thought (Allport, 1935). Attitude is

vived in the study of leadership and in two previ­

defined as a combination of beliefs, feelings and

ously neglected issues: the polarization of opinions

intentions to act vis-a-vis aspects of the external

in a group (in contrast to the earlier emphasis on

world or the self. While all social sciences use this

group consensus); and the power of a determined

concept, it is social psychology that clarified it,

minority to influence the majority.

made it measurable and studied it in its own right, not just as an adjunct to other concerns.

Because of mainstream social psychology's com­ mitment

to

hypothetico-deductive

procedures,

Because attitudes to minority groups, particu­

work on these major and many minor strands is as

larly colour prejudice and anti-Semitism, were so

a rule guided by middle-range theories, designed

disturbing a feature of the social scene not only in

specifically for social psychological topics, although

the USA but also in the totalitarian regimes in

the major theories of general PsYCHOLOGY- behav­

Europe, their study became, and continues to be,

iourism, learning theories, gestalt psychology and

one focus of social psychological research. The

psychoanalysis - have also provided hypotheses.

structure of attitudes, their origin, influence on

The dominant social psychological theories have

behaviour, proclivity and reluctance to change

two common features: their subject matter is the

have been fully documented. The best known sub­

striving for equilibrium when confronted with dis­

stantive contribution to the study of prejudicial

cordant information; and second, their common

attitudes is The Authoritarian Personality (Adorno

origin lies in the seminal work of Fritz Heider

et al., 1950). This influential but also much criti­

(1958), who analysed commonsense psychology

cized work conceived authoritarian attitudes as

and found there a tendency to avoid contradictions

manifestations of personality, not just as surface

and asymmetrical relations. Several models of the

opinions, not innate but bred in authoritarian fam­

striving for consistency, balance, conformity and

ilies which, in turn, reflect aspects of the social

symmetrical exchanges exist which differ from

scene.

each other more in terminology than substance.

Current thinking in this field has broadened the approach in two directions: there is a growing

Dissonance and attribution theory have created the most voluminous body of experimental work.

realization that aspects of the social structure within

Dissonance theory (Festinger, 1957) proposes

which such attitudes are held must form part

that when confronted with two mutually contra­

of their explanation (Hewstone and Brown, 1986).

dictory items of information people feel uncomfort­

Secondly, identification with the in-group and

able and hence strive to eliminate the discomfort by

consequent in-group and consequent in-group

either disregarding one item or minimizing its sign­

favouritism has been put on a broader basis. Henri

ificance. Numerous ingeniously designed experi­

Tajfel ( 1981) has postulated that this is a universal

ments have shown that this is indeed the case for a

cognitive predisposition, whatever the defining

majority of experimental subjects.

622

SOCIAL PSYCHOLOGY

Attribution theory (Kelley, 1967) concerns the

propose find adherents, particularly in Europe but

manner in which people analyse social events and

also in the USA, and give rise to much discussion

attribute reasons or causes for them. This is

and controversy. As a rule they take off from a

currently the dominant theoretical approach; it is

critique of mainstream social psychology and pro­

continuously developing and is used in the investi­

ceed to programmatic formulations.

gation of a large variety of topics. It owes its pos­

Kenneth Gergen (1973) argues that the main­

ition in the field to the relatively high level of

stream is insensitive to the passage of time; theories

abstraction at which it is formulated. More specific

are formulated as if they pointed to timeless regu­

theories, like that of the 'just society' which ex­

larities, but the empirical observations which sup­

plains the tendency to blame the victim, or the

port them are inevitably tied to the time of

theory of 'learned helplessness', can easily be sub­

investigation and cannot claim transhistorical val­

sumed under the attribution of causes or reasons for

idity. According to Gergen, social psychology is

any given state of affairs.

therefore a historical and not a scientific discipline.

The progressive refinement of attribution theory

This is in sharp contrast to the parental discipline

was in part stimulated by dissident voices within

which aims at discovering universals in the func­

the discipline which arose not only in the United

tioning of human and animal organisms.

States but also in Europe. After the middle of the

Just like unconcern with time, others maintain,

century these voices acquired momentum and

so unconcern with culture is in need of correction;

initiated a critical self-examination on both contin­

American social psychology, in particular, is often

ents. Mainstream social psychology, it was pointed

accused of a parochialism that mistakes itself for a

out in this wide-ranging debate, had emphasized

culture-free enterprise. Once again it is a question

predominantly individual cognitive processes and

of whether social psychologists could aim at dis­

had neglected the social context; it had relied too

covering universals or have to make do with spe­

exclusively on experiments in laboratory settings,

cifics.

thus restricting the social side of the discipline, and

From different quarters comes the demand for

had assumed cultural and temporal universality for

changing the manner of theorizing in the discipline.

its findings. The events at most universities during

Originating in the Frankfurt school, the construc­

the late 1960s added strength to the demand for

tion of critical theory (termed 'generative' in the

reorientation.

USA), that is a theory not about what is but about

By and large this self-criticism was salutary.

what could be, is being advocated; in the Frankfurt

Mainstream social psychology has become much

version for all social sciences, in the American for­

more relevant to the understanding of everyday

mulation by and for social psychologists.

life and broadened its repertoire of methods. Sub­

The widely recognized relative neglect of the

stantive matters are now less often based on hypo­

social context in mainstream social psychology is

thetical social situations, more often studied where

now being challenged in a variety of ways. Some

they are actually experienced. Attribution theory

social psychologists are finally bridging the gap

now guides research in a wide array of circum­

between the psychological and the sociological

stances with people from many walks of life. The

branches of the discipline. The study of social

distinction between the biological concept 'sex' and

representations, that is the shared ideas, values

the social psychological one of 'gender' is produ­

and rules in a group or culture which are so power­

cing a necessary corrective to research results.

ful that they are taken for granted by individuals,

Some areas of investigation that had always been

has become the centre of a new approach. Perhaps

studied in their natural setting, such as the social

the most widely shared social representations are

psychology of illness and health, or employment

encapsulated in a common language; modern stud­

and unemployment, have received new impetus.

ies have demonstrated that grammatical and seman­

Parallel to this flourishing mainstream, radical new thinking about some fundamental issues in social psychology is now taking place. While most

tic language habits can explain some psychological phenomena. Another

approach

to

the

study

of

social

of these contemporary approaches have still to

influences on attitudes and behaviour distinguishes

prove their mettle by contributing substantive

levels of explanation, each of them legitimate in its

knowledge about the two-way interaction between

own right, but yielding full understanding only

individuals and the social world, the ideas they

when all levels are considered. Psychological phe-

SOCIAL STATISTICS the

advent

of

nomena can be explained on at least four levels: by

America,

personal attributes, by the actual situation in which

brought renewed interest in systematically collect­

the psychological phenomenon is studied, by refer­

ing economic and vital statistics to guide govern­ policy. Centralized

industrial

623

state

capitalism

ence to people's social position and by the ideologies

ment

or belief systems to which they adhere. How com­

established to coordinate the collection of what

agencies

were

plementarity rather than conflict between explan­

are now known as official statistics. For example,

ations on these levels can be achieved in empirical

the General Register Office for the civil registration

work is still an open question.

of vital statistics was established in London in

Even though these and other recent develop­

1836 (Nissel, 1987). (It is now known as the

ments are not necessarily compatible with each

Office of National Statistics, ONS, and is part of

other, they have common features and common

National Statistics, http://www.statistics.gov.uk.)

functions. All of them transcend a narrow defini­

OtherWestern countries instituted similar agencies

tion of social psychology; all of them require that

during

their proponents be versed in one or more neigh­

decennial censuses were initiated over the same

the

nineteenth

century,

and

national

bouring disciplines, above all sociology and cogni­

period.

tive psychology, but also ANTHROPOLOGY, politics,

In addition to state records, social statistics

philosophy or linguistics; all of them contribute to

may be collected by means of a SociAL SURVEY.

the intellectual vitality of the field in all its

Surveys have often been the tools of social reform­

branches. Whether the debate among them will

ers. For example, the nineteenth-century bour­

lead to a more unified social psychology or to

geoisie in several countries, concerned about the

greater separateness only time will tell.

fate of the newly urbanized industrial working

Reading

formed statistical societies. The purposes of these

Brown, R. 1986: Social Psychology, 2nd edn. Israel, J. and Tajfel, H. 1972: The Context ofSocial Psych­ ology.

were to organize large-scale surveys and publish

class and about their own position in society,

MARIE JAHODA

learned journals in support of the reforms they believed would stabilize society. A second phase of privately sponsored social surveys began in Eng­ land during the economic depression at the end of

social science, philo sophy of

See PHILOSOPHY

OF SOCIAL SCIENCE

the nineteenth century, with the aim of the docu­ menting

the

levels

of poverty

among

urban

dwellers. Charles Booth's survey of the London social statistics

Compilations of quantified in­

poor, conducted at the turn of the century, is the

formation about people, populations, property and

best known of these (Booth,

so forth go back a long way. Counting and

followed by many more, which gradually became

1892-7). It was

recording features of the social world began in

more technically sophisticated in both the use of

ancient times and there are notable examples

sampling and inferential STATISTICS to generalize

throughout history. In the Middle Ages there was

the results to the wider populations from which

the Doomsday Book, a catalogue of the ownership

the samples were drawn, and the use of multivariate

of land in England, made for tax purposes by order

techniques to establish the magnitudes of relation­

ofWilliam the Conqueror in 1086. In the sixteenth

ships between the factors investigated, such as the

century, vital statistics, describing baptisms and

influence of age and sex on voting. In Britain, the

burials, began to be recorded in the registers of

state too began to undertake wide-ranging social

parish churches in Britain and France. In the

surveys, with what is now National Statistics

early seventeenth century, the spread of merchant

emerging out of the Wartime Social Survey set up

capitalism fostered systematic empirical enquiry

during World War II.

and stimulated the gathering of demographic and

Criticisms of social statistics are of two sorts.

economic facts in order to inform government

First, there are technical criticisms of the quality

policy, for example, by determining the human

of the data recorded and of the way in which it is

and material resources available for the military,

presented. For example, should measures of peo­

and by estimating the cost of poor relief. In the

ple's incomes be based on their tax returns if there

early nineteenth century in Britain and France

is a substantial black economy of undeclared earn­

and the late nineteenth century in Germany and

ings, and should average income be presented

624

SOCIAL STRATIFICATION

using the mean or the median? Second, there are criticisms that spurious scientific or objective

Forms ofstratification

status is accorded to social statistics simply because

It has been conventional among contemporary

they are numbers (Irvine et al., 1979). Such criti­

theorists to distinguish between modern 'class

cisms contend that just because social statistics

systems' and the 'estates' or 'cases' originally

are quantitative, it must not be forgotten that

found in advanced agrarian societies (see Mayer

they are social products, influenced by the pro­

and Buckley, 1970; Svalastoga, 1965). The table

duction methods and interests of their producers

defines these forms of stratification in terms of

like any other social creation. Numerical informa­

their underlying assets (column 1), their most im­

tion is no more neutral and free from political

portant social groupings (column 2) and the struc­

3).

opinion than more qualitative accounts of the social

ture of their mobility opportunities (column

world.

should be kept in mind, of course, that the fore­

The lesson to be learned from these criticisms is

It

going systems are best seen as 'ideal types' rather

that it is easy to lie with social statistics (Huff, 19 54)

than descriptions of existing societies (Weber,

and they must therefore be assessed carefully by

1921-2). Indeed,

asking how the features of the social world that they

human societies are complex and multidimen­

record were defined and measured.

the

stratification

systems

of

sional, if only because the institutional forms of their past tend to 'live on' in conjunction with new and emerging forms (see Wright, 1985, for a

Reading Abrams, P. 1968: The Origins ofBritish Sociology. Bulmer, M. ed. 1985: Essays on the History of British

Sociological Research. Lazarsfeld, P. F. 1961: Notes on the history of quantifica­ tion in sociology: trends, sources and problems. Isis 52,

related typology; also, see Lenski, 1966; Runciman, 1974). The first line in the table lists some of the basic principles underlying ethnic castes (see CASTE ) . As indicated in column 1, the cases of India can be ranked on a continuum of ethnic purity, with the

277-333. Levitas, R. and Guy, W. eds 1996: Interpreting Official

highest positions in the system reserved for those castes which prohibit activities or behaviours that

Statistics. Oberschall, A. ed. 1972: The Establishment of E mpirical

Sociology: Studies in Continuity, Discontinuity and Insti­ tutionalisation. Shaw, M. and Miles, I. 1979: The social roots of statistical knowledge. In Demystifying Social Statistics, ed. J. lrvine et al..

PETER HALFPENNY

are seen as 'polluting' (such as eating meat, scaven­ ging). In its ideal-typical form, a caste system does

not

allow for individual mobility of any kind (see

line 1, column

3); the newborn child is permanently

assigned to the caste affiliation of its parents. Al­ though a caste system of this form is often seen as the 'limiting case' of stratification, it should be noted that feudal systems (see FEUDALISM ) are also

social stratification

In all complex societies,

based on a rigid system of quasi-hereditary groups

the total stock of valued resources is distributed

(see line 2, column

unequally, with the most privileged individuals or

feudalism is the institution of personal bondage

3).

The distinctive feature of

families enjoying a disproportionate amount of

(Bloch, 1940); that is, serfs were obliged to live on

property, power or prestige. Although it might be

a manor and pay rents of various kinds (for in­

possible to construct an exhaustive rank-ordering

stance, 'corvee labour'), since the feudal lord held

of individuals based on their control over these

the legal rights to their labour power. If a serf took

resources, the approach taken by most scholars is

flight to the city, this was nothing less than a form of

to identify a set of 'social classes' or 'strata' that

theft; the serf was stealing that portion of his labour

reflect the major cleavages in the population. The

power which was owned by his lord (Wright, 1985,

task of stratification research is to specify the shape

p. 78). It might be said, then, that 'labour power'

and contours of these social groupings, to describe

was one of the principal assets in a feudal system

the processes by which individuals are allocated

(see line 2, column 1).

into different social outcomes (see SociAL MOBIL­

The most striking development of the modern

ITY) and to uncover the institutional mechanisms by

era has been the rise of egalitarian ideologies (see

which social inequalities are generated and main­

line

tained.

lutions of the eighteenth and nineteenth centuries,

3).

This can be seen, for example, in the revo­

SOCIAL STRATIFICATION where

the

ideals

of

the Enlightenment were

625

occupations. This 'motivational problem' might

directed against the privileges of rank and the pol­

be addressed in a variety of ways, but the simplest

itical power of the aristocracy. In the end, these

solution is to fashion a hierarchy of rewards (such as

struggles eliminated the last residues of feudal priv­

prestige, property, power) that privileges the in­

ilege, but they also made it possible for new forms

cumbents of functionally important positions. As

of inequality and stratification to emerge. It is usu­

noted by Davis and Moore (1945, p. 243), this

ally argued that a 'class system' developed in the

amounts to setting up a system of institutionalized

early industrial period, with the major strata in this

inequality (a 'stratification system'), with the occu­

system being defined in largely economic terms.

pational structure serving as a conduit through

There is, of course, considerable controversy over

which unequal rewards and perquisites are dis­

the contours and boundaries of these economic

bursed. It follows that the stratification system

classes (see below). As indicated in line 3, a simple

might be seen as an 'unconsciously evolved device

Marxian model might focus on the cleavage be­

by which societies insure that the important pos­

tween

capitalists and

workers,

whereas

other

models represent the class structure as a continuous gradation of 'monetary wealth and income' (Mayer

itions are conscientiously filled by the most qua­ lified persons' (ibid.). This approach has been criticized for neglecting

and Buckley, 1970, p. 15). The important point,

the

however, is that these positions in a class system are

(Wrong, 1959, p. 774; also see Huaco, 1966, for a

'power

element'

in

stratification

systems

allocated in a formally competitive fashion (see line

comprehensive review). It has long been argued

3, column 3). Although the results from contem­

that Davis and Moore failed 'to observe that ...in­

porary surveys indicate that occupations are fre­

cumbents [of functionally important positions J

quently 'passed on' from parents to children

have the power not only to insist on payment of

(Goldthorpe, 1980), this reflects the operation of

expected rewards but to demand even larger ones'

indirect mechanisms of inheritance (socialization,

(Wrong, 1959, p. 774; also see Dahrendorf, 1957).

on-the-job training and so on) rather than legal

In this regard, the stratification system might be

sanctions that directly prohibit mobility.

seen as self-reproducing: the workers in important positions can use their power to influence the dis­ tribution of resources and to preserve or extend

Sources ofstratification

their own privileges. It would be difficult, for in­

The foregoing sketch makes it clear that a range of

stance, to account fully for the advantages of feudal

stratification systems has emerged over the course

lords without referring to their ability to

of human history. The question that naturally

their claims though moral, legal or economic sanc­

enforce

arises, then, is whether some form of stratification

tions. According to this line of reasoning, the dis­

is an inevitable feature of human societies. In ad­

tribution of rewards not only reflects the 'latent

dressing this question, it is useful to begin with the

needs' of the larger society, but also the balance of

functional analysis of Davis and Moore (1945),

power among competing groups and their members

since here we find an explicit effort to understand

(Collins, 1975).

'the universal necessity which calls forth stratifica­ tion in any social system' (p. 242; also see Davis, 1953; Moore, 1963). The starting point for their approach is the premise that all societies must

The structure ofmodern stratification The recent history of stratification theorizing is in

devise some means of motivating their most com­

large part a history of debates about the contours

petent workers to fill the important and difficult

of inequality in advanced

industrial societies.

Principal assets, major strata and mobility process for three forms of social stratification

Stratification system

Principal assets (I)

Major strata (2)

Mobility process (3)

Caste system

Ethnic purity

Castes

Hereditary

2

Feudal system

Land and labour power

Kings, lords and serfs

Hereditary

3

Class system

Means of production

Capitalists and workers

Competitive

626

SOCIAL STRATIFICATION

Although these debates have been waged on a wide

proletarianized, since 'capital subjects [non-manual

variety of fronts, it will suffice for our purposes to

labourJ . . . to the forms of rationalization character­

distinguish

istic of the capitalist mode of production' (Braver­

between

'Marxist'

and

'Weberian'

models of inequality. It is probably fair to say that

man

most contemporary theorists can trace their intel­

that the working class may gradually expand in

1974, p. 408). This line of reasoning suggests

lectual roots to some combination of these two

numerical size

traditions.

power. At the other end of the continuum, Pou­ lantzas

Marxists and neo-Marxists

and

thereby

regain its

earlier

(1974) has argued that most members of the

The debates within the

new intermediate stratum fall outside the working

Marxist and neo-Marxist camps have been espe­

class proper, since they are engaged in 'unproduct­

cially contentious, not only because they are fre­

ive labour' of various kinds (see Wright,

quently embedded in wider political disputes, but

comprehensive review of these positions).

1985, for a

also because the discussion of class within Capital (Marx,

1894) turns out to be fragmentary and un­

Weberians and neo- Weberians

The rise of the 'new

systematic. At the end of the third volume of Cap­

middle class' turns out to be less problematic for

ital, we find the now-famous fragment on 'the

scholars working within a Weberian framework. In

1894, pp. 885-6), but this breaks

fact, the class model advanced by Weber suggests a

off at just that point where Marx appeared ready to

multiplicity of class cleavages, because it equates the

classes' (Marx,

advance a formal definition of the term. It is clear,

economic class of workers with their 'market situ­

nonetheless, that his abstract model of capitalism

ation' (Weber,

was resolutely dichotomous, with the conflict be­

implies that wealthy property-owners are in a priv­

tween capitalists and workers constituting the

ileged class situation; indeed, members of this class

1921-2, pp. 926-40). This model

driving force behind further social development.

can outbid workers for valued goods in the com­

This simple two-class model was designed to cap­

modity market, and they can also convert their

ture the 'developmental tendencies' of capitalism;

wealth to capital and thereby monopolize entrepre­

however, whenever Marx carried out concrete ana­

neurial opportunities. However, Weber empha­

lyses of existing capitalist systems, he recognized

sized that skilled workers are also privileged under

that the class structure was complicated by the

modern capitalism, since the services that they pro­

persistence of transitional classes (such as land­

vide are in high demand on the labour market. The

owners), quasi-class groupings (peasants), and

end result, then, is that a new middle class of skilled

class fragments (the 'lumpenproletariat'). It was

workers intervenes between the 'positively privil­

only with the progressive maturation of capitalism

eged' capitalist class and the 'negatively privileged'

that Marx expected these complications to disap­

mass of unskilled labourers (ibid., pp.

pear as the 'centrifugal forces of class struggle and

the same time, the stratification system is further

crisis flung all dritte Personen to one camp or the

complicated by the existence of status groupings,

other' (Parkin,

1979, p. 16).

927-8). At

which Weber saw as forms of social affiliation that

The recent history of modern capitalism sug­

often competed with class-based forms of organiza­

gests that the class structure will not evolve in

tion. Although an economic class is merely an ag­

such a precise and tidy fashion. Of course, the old

gregate of individuals in a similar market situation,

middle class of artisans and shopkeepers has de­

Weber defined a status grouping as a community of

clined in relative size, but at the same time a 'new

individuals who share a 'style of life' and interact as

middle class' of managers, professionals and non­

status equals (the nobility, an ethnic caste, and so

manual workers has expanded to occupy the newly

on). Under some circumstances, the boundaries of a

vacated space. The last

50 years of neo-Marxist

status grouping might be determined by purely

theorizing might be seen as the 'intellectual fall-out'

economic criteria, yet Weber notes that 'status

from this development, with some commentators

horror need not necessarily be linked with a class

932). The nouveaux riches, for

seeking to minimize its implications, and others

situation' (ibid., p.

putting forward a revised mapping of the class

example, are never immediately accepted into 'high

structure that accommodates the new middle class

society', even when their wealth clearly places them

in explicit terms. Within the former camp, the

in the uppermost economic class (pp.

principal tendency is to claim that the lower sectors

implication, then, is that the class and status systems

of the new middle class are in the process of being

are potentially independent forms of stratification.

936-7). The

SOCIAL STRUCTURE This approach was elaborated and extended by

social structure

627

Although this is one of the most

sociologists seeking to understand the 'American

important concepts in the social sciences, since

form'

most social scientists do not define terms precisely,

of

stratification. During

the

post-war

decades, the Marxist model of class was typically

it is often difficult to distinguish it in its use from

dismissed by American sociologists as overly sim­

such alternative terms as social organization and

plistic and one-dimensional, whereas the Weberian

social system. The first explicit use of the term

model was seen as properly distinguishing between

social structure was probably made by Herbert

the numerous variables which Marx had conflated

Spencer (1858). However, the concept of social

in his definition of class (see, for instance, Barber,

structure dates to a much earlier period and is

1968). In the most extreme versions of this ap­

central to Ibn Khaldun in his book Muqadimmah

proach, the dimensions identified by Weber were

written in the late fourteenth century.

disaggregated into a multiplicity of stratification

Structure may be defined as an organized body of

variables (such as income, education, ethnicity),

mutually connected parts. In social structure the

and it was then shown that the correlations between

parts are relationships among persons and the or­

these variables were weak enough to generate vari­

ganized body of the parts may be considered to be

ous forms of 'status inconsistency' (that is, a poorly

coincident with the society as a whole. Also implicit

educated millionaire, a black doctor, and so on).

in the concept of social structure is that there is

The overall picture that emerged suggested a 'plur­

some degree of permanence over time. Here, em­

alistic model' of stratification; that is, the class

phasis will be placed on theorists whose profes­

system was represented as intrinsically multidi­

sional careers began or ended in the twentieth

mensional, with a host of cross-cutting affiliations

century. However, twentieth-century thought is

producing a complex patchwork of internal class

indebted to the thinking of persons who lived in

cleavages. It should be noted that the competing

previous centuries. Their contributions cannot be

forces of ETHNICITY and GENDER appear to be espe­

ignored. In what follows I shall focus on two basic

cially important in undermining class-based forms

questions about the nature of social structure that

of solidarity (see Hechter, 1975; Firestone, 1970).

have been of paramount importance to social theor­

Indeed, given the rise of feminist and nationalist

ists. Concerning each of these questions scholarly

movements throughout the modern world, it could

agreement has not yet been reached.

well be argued that ethnic and gender-based groups

The first question concerns the extent to which

have become more effective than economic classes in

social structure is based primarily on consent or on

mobilizing their members to pursue collective

coercion. In 1858 Herbert Spencer paired the term

goals.

structure with the term function. In doing so, he invoked a metaphor of society as similar to the

Reading Bendix, R. and Lipset, S. M. eds 1966: Class, Status, and Power. Bottomore, T. B. 1965 (1991): Classes in Modern Society. Dahrendorf, R. 1957 (1959 ): Class and Class Conflict in Industrial Society. Giddens, A. 1973: The Class Structure of the Advanced

human organism. This analogy implies that all parts of society are integrated and that each serves to uphold the existing whole. Since there is no room for conflict in such an analogy, it also follows that the basis of societal existence is CoNSENSUS and not CoERCION. Karl Marx's theory(1845-6; 1848), ad­

vanced in the mid-nineteenth century, is in direct

Societies. Goldthorpe, J. H. 1980 (1987 ): Social Mobility and Class Structure in Modern Britain, revised edn. Lenski, G. E. 1966: Power and Privilege. Ossowski, S. 1957 (1963): Class Structure in the Social Consciousness. Parkin, F. 1979: Marxism and Class Theory: A Bourgeois Critique. Weber, M. 1921-2 (1978): Economy and Society, vol. 2 (2vol. edn). --1946: Class, status, and party. In From Max Weber: Essays in Sociology, ed. H. H. Gerth and C. W. Mills.

opposition to this view of society. For Marx each existing form of society (such as feudalism or cap­ italism) was based on the coercion exercised by the dominant class on subordinate classes. Neverthe­ less, in Marx's theory, conflict would disappear after the proletarian revolution and the establish­ ment of socialism. Among twentieth-century the­ orists, the importance of consensus was emphasized heavily by EmileDurkheim(1893), A. R. Radcliffe­ Brown (1952), and Talcott Parsons (1951). On the other hand, a conflict view of society is presented in

Wright, E. 0. 1985: Classes.

DAVID B. GRUSKY

the work of RalfDahrendorf(1957). Unlike Marx,

628

SOCIAL SURVEY

Dahrendorf has emphasized that conflict will be

production. Spencer was also very much interested

present in both socialist and capitalist societies.

in stages of human evolution, particularly with

Most sociological theorists have believed that social

respect to the family, the state, and religion (Spen­

structure is partly based on consensus and partly on

cer,

coercion. Twentieth-century theorists of this ilk

1876-96). 1911 Franz

In

Boas criticized attempts to make

(1922), Vilfredo Pareto Merton (1949). Merton's

excessively precise descriptions of the evolution of

term dysfunction explicitly denotes that certain

influence, during the remainder of the first half of

elements of the social structure may work against

the century, scholarly interest in how social struc­

have included Max Weber

(1916-19),

and Robert

social structure (Boas, 1911). Perhaps because of his

ture might evolve over time waned. Interest was

the maintenance of the other elements. All social theorists have recognized that change

revived after World War II, particularly following

in social structure occurs over time. However, the

the publication of a book by Waiter Goldschmidt detailing five stages of society as dependent

nature of such change has been debated. Some

(1959)

theorists have viewed change in social structure as

on levels of technology, and in one of his last works,

cyclical. Others have argued that social change

Parsons

occurs in a linear direction and have espoused the­

structure in terms of the process of differentiation

examined the evolution of social

of both structure and function in a manner remin­

ories of evolution. Ibn Khaldun

(1966)

(1377)

was the first of the cyclical

theorists. Based on his empirical observations of

iscent of Spencer. See also STRUCTURALISM.

Arab societies in medieval North Africa, he postu­ lated the existence of two types of society, a no­

Reading

madic herding society in which social solidarity was

Leach,

strong, and an urban society with a relatively low level of social solidarity; he pictured a cycle in which the herding society conquered the urban and established a new state. However, decreasing social solidarity in the urban society gradually led to its disintegration and finally to its conquest by another herding society. In the twentieth century the two most prominent cyclical theorists have been Oswald Spengler

(1937-41).

(1918-22)

and P. A. Sorokin

Spengler, in a work published shortly

E. R. 1 968: Social structure: the history of the

concept. In International Encyclopedia ofthe Social Sci­ ences, ed.

D. L. Sills, vol. 14.

L6pez, J. and Scott, J. 2000. Social Structure.

E. 1963: Social Change. K. P. and Wallerstein, I. 1978: Precapitalist social structures. Annual Review ofSociology 4, 259-90. Smelser, N. J. 1988: Social structure. In Handbook of Sociology, ed. N. J. Smelser. Udy, S. H. 1968: Social structure: social structural analy­ Moore, W. Moseley,

sis. In International Encyclopedia of the Social Sciences, ed.

D. L. Sills, vol. 14. DAVID M. HEER

after the end of World War I, rejected the idea of progress and saw civilization as a continuing cycle of growth, decay, and death; in particular, contem­

social survey

porary Western civilization was seen as moribund.

century, this referred to large-scale collection of

In the earlier part of the twentieth

Sorokin, in a work published shortly before World

social data, by any or several means, usually about

War II, saw society as passing through a cycle with

a single community treated as a unit. It was espe­

three stages, ideational (religious), idealistic, and

cially associated with studies of the poor and a

sensate. According to his principle of immanent

desire to improve social conditions. Nowadays it

change, each type laid the seeds of its own destruc­

has come to mean the collection of standardized

tion and the transition from one stage to another

data on a relatively large number of cases by asking

was accompanied by war and social crisis.

questions, either in an interview or by a self­

The idea that change in social structure moves in

completion schedule. It is no longer normally

a single direction was first advanced by Henri de

about a community, and the method is no longer

Saint-Simon early in the nineteenth century, and it

associated with any particular topic. While the

was elaborated by his protege Comte

(1830-42),

change in usage did not take place at any one

who postulated three stages in the development of

point in time, World War II may be treated practic­

social structure: the theological, the metaphysical,

ally as the dividing line. Marsh

and the positive. Marx also believed that change in

redefined 'survey' to mean any social investigation

social structure evolved in a single direction, the

where systematic measurements are made on a set

driving force being change in the mode of economic

of cases, and the covariation across cases is analysed

(1982,

p.

6)

SOCIAL SURVEY for patterns. This redefinition directs attention to

629

survey data made possible the invention of the

the structure of data and how they can be analysed,

data archive, where other researchers could reuse

and away from the means by which they were

the data for their own purposes, and this contrib­

collected, which are seen as less important. That

uted importantly to the growth of internationally

stimulates useful thought, but is unconventional.

comparative work.

The earlier social survey was an integral part of

The stereotypical modern social survey is based

Anglo-American movements for social reform. In

on a large representative sample of individuals, and

the USA it was part of the Progressive movement

collects its data by a questionnaire with a few 'open­

and the social gospel, while in Britain it fed discus­

ended' questions (where the respondents answer in

sion of 'the condition of England question'. Major

their own words) and more closed ones (with a fixed

British contributions were made by the great pov­

set of alternatives to choose from); the question­

erty studies: Booth's massive Life and Labour ofthe

naire is completed by an interviewer, who will have

People of London (1892-7) and Rowntree's first

received some technical training; the answers will

York study (1901). Bowley, a social statistician,

be quantified, with those to open-ended questions

also did important work applying the theory of

being 'coded' (classified into categories) to make

sampling to surveys, and showing that information

this possible, and analysed on a computer. In prac­

about a smaller number of people, if they were

tice there are many variations from this stereotype.

systematically chosen by an appropriate method,

A whole population may be studied, and samples

could give a good estimate of the figures for a

are frequently not designed to be representative of

(Bowley and Burnett-Hurst,

individuals or areas; the units may be organizations

1915). In the USA, a 'social survey movement'

or families, and the sample may focus on particular

whole population

developed in which the model was for communities

groups. The 'questionnaire' may have so many

to study themselves in order to devise a plan for

open-ended question that its character converges

collective civic improvement (see Elmer, 1917).

with intensive unstructured interviewing. (There

By the 1930s, that movement was no longer

is, of course, no right answer to the question of

important, though some similar studies still con­

where 'survey' ends and other types of research

tinued to be carried out in rural areas. This had by

begin.) Telephone and computer-assisted methods

then, however, become one of the strands which

of interviewing are increasingly common. There is

eventually combined to produce the developing

recurring controversy between those who empha­

modern survey. These strands included political

size the importance of standardizing interviewing

polls, market research, and the Census and other

to offer the respondent a uniform stimulus, and

data collection by government (Converse, 1987).

those who encourage interviewers to play a more

The institution of the survey research agency, avail­

active role in interpreting the research intentions.

able to carry out surveys for anyone able to pay,

The method has been much criticized. A funda­

began to emerge. Whatever it was called, the survey

mental criticism is that most surveys provide

was thus becoming professionalized. During World

reports of behaviour rather than direct observation

War II, both British and American governments

of it. However, this fact is not likely to create

found it expedient to collect survey data on their

serious problems for every topic - and sometimes

civilian populations, on such issues as the response

the interview conversation is in itself treated as the

to rationing. In America there was also large-scale

behaviour of interest. It must also be borne in mind

study of the armed forces, and some of the results of

that a report may be better than no information, and

this were later published in the famous American

that direct observation - especially of a large or

Soldier volumes (Stouffer et al., 1949-50).

representative sample - is often impracticable, and

As a result of all this activity, significant technical

has its own problems. Surveys have also been criti­

advances were made, many of them associated with

cized as 'positivistic', often as part of a general

P. F. Lazarsfeld's programme of development and

attack, of a kind which became fashionable in the

codification of method. The post-war expansion of

late 1960s, on all quantification. Feminists have

the social sciences, and American hegemony within

seen this as making the method peculiarly unsuit­

it, meant that the survey could and did become

able for appropriate interviewing of women. Marsh

institutionalized within most social science discip­

(1982 , eh. 3) has responded to such criticisms.

lines, as well as in government and commercial

Here, it is merely noted that surveys can differ so

research. The availability of large quantities of

considerably from each other that it is not helpful to

630

SOCIAL WELFARE

treat them as all the same. Moreover, enormous

discipline of social choice

technical advances have been made, on aspects

normative rationale for social decisions in societies

theory,

or the pursuit of a

ranging from statistical techniques to the qualita­

where individuals have different preferences about

tive nuances of question wording. Critics of the

the use of available resources. To that end, this

method in general have seldom taken the range

discipline is concerned with the aggregation of in­

into account, or shown familiarity with recent

dividual interests, preferences or welfares into no­

standards of good practice.

tional aggregates of social interest, preference or welfare. And this has developed at least theoretical methods of measurement and comparability whose

Reading Maser, C. A. and Kalton, G. 1971:

Survey Methods in

Social Investigation.

subtley and ingenuity can only be admired; they cannot even be summarized here (for a short ac­

Rossi, P. et al. eds. 1983:

Handbook ofSurvey Research.

count, see Sen,

JENNIFER PLATT

1987;

see also

SociAL CHOICE).

Yet,

for all its undoubted sophistication, social choice theory remains bound by the logical possibility

social theory, Christian

See CHRISTIAN SOCIAL

THEORY

of different aggregation exercises depending on exactly what is aggregated (interest, preferences, welfares, or even moral judgement about those

social theory, Hindu

See HINDUISM AND HINDU

SOCIAL THEORY

three); and on what is deemed to be a proper con­ clusion from the exercise itself, whether simple measurement or active alteration (for example, to­

This term is the definition of

social welfare

the wellbeing of society as a whole. As such, it is a concept which assumes (however weakly) the

wards equality of welfare), as a result of that exer­ cise (see Sen,

and

1977

1986).

Similarly, social choice models, as axiomatic

possibility of measuring personal welfare, of com­

models of resource allocation and preference, tend

paring individual welfares, and of establishing the

to assume (for the most part) the possibility of full

relationship between those (comparable) individ­

but not intrusive information on behalf of the deci­

ual welfares and the sum of welfare of society as a

sion-maker,

whole. In its most ambitious form, it has assumed

methods of decision-making in pursuit of maxi­

the guise of a

and

the

legitimacy

of

dictatorial

an idea most

mized social welfare as a result of those calculations.

closely associated with two economists, Bergson

In this respect, perhaps the most intriguing devel­

model,

opments in the discipline have resulted from the

effectively an exercise in transposing so-called

systematic study of voting procedures, not merely

'individual preference scales' on to a 'social pref­

as models for the theoretical calculation of aggre­

(1938),

and

social welfare function, Samuelson

(1947).

Their

erence scale' (presumed to be the sum of individ­

gated social preferences, but as pointers to the pos­

ual

total

sibility of their practical calculation at some point in

wellbeing of society as a function of its resource

the future; alternatively, there may be something to

allocation. This model was criticized by Arrow,

be said for Barry's

who argued that any function or rule which

of social (and individual) welfare from the assump­

sought to map individual preference orderings

tion of collective provision altogether.

preferences)

sought

to

define

the

on to a social preference scale, and which obeyed minimal conditions of Universal (that

all

the

logically

possible

See also

(1991) plea to remove the notion

WELFARE ECONOMICS; WELFARE STATE.

Applicability variations

of

Reading

individual preferences be accommodated), Inde­

Arrow, K. J. 1951:

pendence of Irrelevant Alternatives (that no un­

Barry, N. 1991:

necessarily detailed information violating personal privacy be required), and a Weak Pareto Principle (that at least someone be better off and no-one worse off) must admit a dictator, that is, an indi­ vidual whose strict preferences were imposed on society. Various efforts to transcend Arrow's so-called 'impossibility theorem' have led to the modern

Social Choice and Individual Values. Welfare.

Bergson, A. 1938: A reformation of certain aspects of welfare economics.

{htarterly Journal of Economics 52,

310-34. Samuelson, P. A. 1947:

Foundations ofEconomic Analysis.

Sen, A. K. 1977: Social choice theory: a re-examination.

Econometrica 45, 58-89. --1986: Social choice theory. In

Handbook of Math­ ematical Economics, vol. 3, ed. K. J. Arrow and M.

lntriligator.

SOCIALISM --

1987: Social Choice. In The New Palgrave: A vol. 4, ed. J. Eatwell et al.

631

Dic­

with regard to economic crises, the polarization of

S. J. D. GREEN

account particularly the growth of the middle

tionary ofEconomics,

classes and the intensity of class conflict, taking into classes and the general rise in standards of living.

Socialist ideas, in various forms, were

The division of opinion on these issues led in due

expressed in earlier centuries but socialism as a

course to a differentiation of two main tendencies,

socialism

distinctive doctrine and movement emerged only

labelled 'reformist' and 'revolutionary' (though

in the 1830s, when the term itself first came into

there

general use. It then spread rapidly in Europe,

notably by Kautsky and the Austro-Marxists),

were

also

some

'centrists',

represented

particularly after the revolutions of 1848, and by

which became more clearly marked after the emer­

the end of the century large socialist parties had

gence of Bolshevism as a separate tendency at

developed in several countries, notably in Germany

the second congress of the Russian Social Demo­

and Austria, while socialist thought had been

cratic Labour Party in 1903. In Britain, a mainly

widely diffused throughout the world.

reformist and gradualist socialist doctrine, strongly

In continental Europe MARXISM was the main

influenced by Fabian ideas, prevailed when the

intellectual foundation of socialism, combining a

Labour Party (calling itself at first the Labour

theory of society which explained the development

Representation Committee) was founded in 1900,

of modern CAPITALISM, the division of society into

while in the USA the socialist movement never

two main classes, and the emergence and growth of

established itself as a major political force (Som­

the socialist movement itself, with a sociopolitical

bart, 1906), reaching its peak in the vote for the

doctrine concerning the organization, aims and

Socialist Party of America in the presidential elec­

tactics of socialist parties. Eleswhere, however,

tion of 1912 and declining steadily thereafter

and especially in Britain and North America, Marx­

(Weinstein, 1967; Laslett and Lipset, 1974).

ism had less influence and alternative conceptions

World War I had a profound effect on the whole

of socialism were formulated, for example by the

socialist movement. Internationalism had been a

Fabian Society (1889, see Shaw ed., 1931). Never­

central feature of socialist doctrine particularly

theless, there were common elements in all the

since the founding of the First International (Inter­

versions of socialist thought: opposition to capitalist

national Working Men's Association) in 1864, and

individualism, embodied in the very term 'social­

by the end of the century, in face of the growing

ism' which emphasized community and the well­

threat of war between the major imperialist powers,

being of society as a whole; a commitment to

the socialist parties had also become antimilitarist.

equality and to the idea of a future 'classless soci­

When war broke out, however, most of the Euro­

ety'; and an assertion of the character of the socialist

pean parties were overwhelmed by the tide of

movement as a continuation of the democratic

nationalist

movement of the eighteenth and nineteenth cen­

governments, though small minority groups main­

fervour

and

supported

their

own

turies. All the European parties, indeed, were par­

tained an antiwar stance. Lenin and the Bolsheviks,

ticularly active in the campaigns for universal

on the other hand, were vigorous opponents of the

suffrage, which they were largely instrumental

war from the outset, and after the Russian Revolu­

in achieving, and some of them adopted the

tion in 1917 they became the major force in an

name 'social democratic' to express their aim of

alternative revolutionary socialist movement. The

proceeding beyond political democracy to establish

division between this movement and the old social

economic or industrial democracy.

democratic parties of the Second International was

By the beginning of the twentieth century, how­

then consolidated in an organizational form by the

ever, with the continuing development of capital­

foundation

ism, a greater diversity of socialist ideas had

national in 1919, and the creation of separate com­

of

the Third

(Communist)

Inter­

manifested itself, and differences had emerged be­

munist parties in many countries.

tween the socialist movements in various countries.

From that point the development of socialist

In the European Marxist parties a fierce contro­

ideas and movements was dominated by the div­

versy erupted about REVISIONISM, following the

ision and antagonism between Bolshevism and

publication of Bernstein's (1899) study in which

SociAL DEMOCRACY, which passed through various

he argued that the later development of capitalism

phases and generated many new problems. The

made necessary a reassessment of Marx's theory,

attempt to establish a socialist society in Russia

632

SOCIALISM

took place in circumstances never imagined by

which has avoided some of the problems of the

Marx, by most later Marxists (including Lenin

Soviet economy, while still resisting a democratiza­

and other leading Bolsheviks, who themselves had

tion of the political system.

doubts about whether it could be successful with­

In Western Europe the influence of socialist

out a revolution in one or more of the developed

parties, and in some countries communist parties,

capitalist countries), or by socialists generally: in a

also increased greatly, and in Britain the Labour

mainly agrarian country with a very small industrial

government elected in 1945 with a large majority

working class and a vast peasantry; devastated by

began the construction of a WELFARE STATE, at the

war, a protracted civil war, and foreign interven­

same time extending public ownership and con­

tion; lacking an efficient bureaucracy or experience

tinuing some elements of wartime planning. In

of democratic institutions; and surrounded by hos­

varying degrees such changes took place thoughout

tile states. The overwhelming need was for eco­

Western Europe, bringing into existence a new type

nomic reconstruction and rapid industrialization,

of welfare capitalism which was successful for more

which came to be identified with socialism. These

than two decades in achieving exceptionally high

conditions, together with some of the traditions of

rates of economic growth, full employment and

the Bolshevik party, provided fertile ground for the

steadily rising standards of living.

emergence of dictatorship and a totalitarian system,

These post-war changes did not, however, over­

which Stalin finally implemented in an extreme

come the division in the socialist movement be­

form.

tween Bolsheviks and democratic socialists. On

The later development of a socialist economy in

the contrary,

although

the Bolshevik

regimes

the Soviet Union, with highly centralized planning

slowly became less harsh and terroristic after the

and comprehensive public ownership, also raised

death of Stalin in 1953, the monopoly of power by

questions which socialists had largely neglected

communist parties and the basic features of To­

about whether such an economy could actually

TALITARIANISM continued, provoking a series of

function effectively in practice; and these issues

popular

were central in the debate about SociALIST CALCU­

and

LATION of the 1920s and 1930s. During the 1930s,

1980s. Social democratic socialists continued to

however,

this

controversy

came

to

be

over­

uprisings

large-scale

in

the

opposition

1950s

and

movements

1960s, in

the

voice their criticism of these regimes, reaffirming

shadowed by the largely successful industrializa­

their view that

tion of the Soviet Union, reflected in very high

democracy, and that it can only be attained through

socialism gradual

is inseparable from

rates of economic growth, at a time when the capit­

a democratic and

alist world was suffering a severe depression; and by

in which the creation of a welfare state represents

process of change,

the rise of fascism, which constituted a new danger

a new stage in the extension of a wide range of social

both for the Soviet Union and for the democratic

rights to all citizens. Such criticism of the East

capitalist countries. World War II itself created a

European regimes, and of their monolithic ideol­

more sympathetic attitude to the Soviet Union as

ogy, took a distinctive form in the broad current of

an ally and a major contributor, at the cost of

thought that came to be known as WESTERN MARX­

immense sacrifices, to the defeat of Nazi Germany;

ISM, much of which was assimilated to some extent

and communist parties in the West benefited from

by the internal opposition movements.

these changed perceptions.

The collapse of the Bolshevik regimes since 1990

At the end of the war the Soviet Union emerged

has removed from the political and intellectual map

as the second industrial and military superpower,

a form of socialist thought and practice which for

able to impose a totalitarian system on the countries

more than 70 years profoundly divided the socialist

of Eastern Europe, and to increase substantially its

movement, and in the view of most socialists dis­

influence in world politics. Partly as a consequence

torted beyond recognition many of the fundamental

of this Soviet influence, socialism also became an

ideas of socialism. But this collapse itself has posed

important force in some newly independent and

many new questions for socialist thought. Since the

developing countries: in India and several African

Bolshevik regimes were identified with extensive

countries in a mainly social democratic form, in

state ownership (as a specific form of social owner­

China in a communist form but with its own dis­

ship) and central planning, which most of the suc­

tinctive variations, including the introduction over

cessor regimes have been abandoning in favour of

the past decade of a more liberal economic system

some form of capitalist economy (while sacrificing

SOCIALIST CALCULATION at the same time some of the important social rights which were a more positive achievement of their predecessors), discussion about the basic principles of a viable socialist economy (Nave, 1983; Breiten­

633

Kolakowski, L. and Hampshire, S. eds 1974: The Socialist Idea: A Reappraisal. Schumpeter, J. A. 1942 (1987): Capitalism, Socialism and Democracy, 6th edn.

TOM BOTTOMORE

bach et al., 1990) has become more intense. Earlier criticisms, formulated in the 'socialist calculation' debate, have been renewed (Lavoie, 1985), while

socialism, market

See MARKET SOCIALISM

the ideas of MARKET SOCIALISM - involving some combination of planning and markets, and a mixed

socialist calculation

economy of private and public enterprise - which

ence to controversies of the 1920s and 1930s about

A term used with refer­

aroused much interest and support in the 1970s and

whether, in an economy characterized by extensive

1980s, both in Western and Eastern Europe, have

public ownership and central planning such as was

been subjected to a more critical scrutiny (Brus and

being constructed in the USSR, rational economic

Laski, 1989).

calculation would be possible. The debate was ini­

Present-day socialist thought is thus beset by a

tiated by Ludwig von Mises (1920) who argued that

great deal of uncertainty. For some thinkers, earlier

in a developed, complex economy such calculation

socialist ideas of an egalitarian, collectively planned

requires a free market which establishes the ex­

and self-directing society are impossibly utopian- a

change value of all goods. The planning authority

beautiful dream, but still only a dream - ignoring

in a socialist state, he claimed, can determine what

the limitations of human nature and such realities as

consumption goods are most urgently needed, but

bureaucracy, power-seeking and corruption. The

it cannot establish a precise valuation of the means

real possibilities of socialism are then reduced to

of production, so that investment decisions would

the implementation of a more advanced kind of

depend at best upon 'vague estimates'; and he con­

welfare state within a basically capitalist economy.

cluded tersely that 'where there is no free market,

These thinkers also observe that post-war economic

there is no pricing mechanism; without a pricing

growth in the capitalist countries has created more

mechanism, there is no economic calculation.' The

prosperous, mass consumption societies, and a very

argument was then pursued by F. A. Hayek (1935)

different class structure in which earlier class op­

in a volume of essays which included von Mises's

position and conflict has substantially diminished

article, and by others.

(see CLASS) , in a process to which Bernstein (1899)

The major response to this critique came from

perhaps only prematurely drew attention. Against

Oskar Lange, with contributions from Abba Lerner

these views others have argued that fundamental

and Fred M. Taylor (Lange and Taylor, 1938). At

problems and deficiencies of capitalism - the cyc­

this time Lange argued for a form of MARKET so­

lical character of economic development, with

CIALISM in which there would be a genuine market

phases of expansion succeeded by depression and

for consumer goods and labour services, but no

large-scale unemployment, massive inequalities of

market for capital goods and productive resources

wealth and income, and a general instability and

other than labour, whose prices would simply be

uncertainty - persist, and will continue to generate

indices of alternatives available, fixed for account­

conceptions of an alternative economic and social

ing purposes. The debate then petered out at the

order in which they might be overcome. It remains

end of the 1930s, with both sides being able to claim

to be seen whether the present disagreements

a degree of success. Hayek conceded that rational

within socialist thought and socialist movements

economic calculation in a planned socialist econ­

will eventually be resolved in some new and coher­

omy was not in principle impossible, through

ent formulation of socialism for the twenty-first

the use of 'accounting prices', but maintained that

century. See also LENINISM.

it was a practical impossibility because of the great mass

of

(constantly

changing)

data

involved;

to which Lange replied by expounding a 'trial Reading Brus, W. and Laski, K. 1989: From Marx to the Market: Socialism in Search ofan Economic System. Cole, G. D. H. 1953-60: A History ofSocialist Thought, 5 vols.

and error' method of establishing such prices. Hayek (1940) later argued, however, that what he called the 'competitive solution' for the organiza­ tion of a socialist economy abandoned 'much of the original claim for the superiority of planning'

634

SOCIALIST ECONOMICS

in so far as the planned society would now rely to a

there were 'communists' such as Karl Marx and

great extent on competition for the direction of its

Friedrich Engels, who by and large eschewed such constructions in favour of an examination of con­

industries. This debate, or at least one side of it, revived

temporary capitalism. Both schools understood a

strongly in the 1980s, especially in Britain and the

socialist economy as one characterized by social,

USA, as an important element in the social and

rather than private, ownership and control of the

political doctrines of the NEW RIGHT extolling the

means of production. Since such an economy only

virtues of private enterprise and free markets. The

existed in theory rather than in practice in the

original debate itself was reinterpreted (Lavoie,

nineteenth century, socialist economics was basic­

1985) in terms of the notion of 'economic rivalry',

ally speculative, and Marx called those who tried to

which gives prominence to alertness to new oppor­

construct blueprints for socialism 'utopian ideal­

tunities, futurity and knowledge dispersal, and con­

ists', arguing that socialism could only evolve out

ceives the function of rivalry as being to disperse

of specific historical circumstances which could not

decentralized information and then marshal it,

be predicted in advance. His own remarks about

through market prices, to achieve overall coordin­

socialism were generally confined, first, to polemics aimed at what he saw as the false ideas of other

ation of the economy. The collapse of the East European communist

political programmes; and second, to remarks made

regimes at the end of 1989, and the economic prob­

in the course of his analysis of capitalism which

lems of the former USSR (which were also strongly

emphasized the historical transcience of capitalism

affected,

together with the potentialities exhibited for the

however,

by

various

noneconomic

factors), and in another direction the economic

further development of the productive forces if

difficulties of Britain and the USA in particular,

privatized relations of production were socialized.

have given a new importance to the issues raised by

With the Bolshevik Revolution of 1917, such

this debate, especially with regard to the role of

approaches were no longer sufficient. But while

NATIONAL ECONOMIC PLANNING, the MARKET and

the organization of a socialist economy became a

CoMPETITION in promoting economic development

matter of practical importance, approaches to the­ orizing the basis of such organization differed

and diffusing its benefits and costs.

according both to the extent of sympathy with the Reading

socialist project and to the degree of identification

Bottomore, T. 1990: The Socialist Economy: Theory and Practice.

Brus, W. and Laski, K. 1989: From Marx to the Market: Socialism in Search ofan Economic System.

Hayek, F. A. ed. 1935: Collectivist Economic Planning: Critical Studies on the Possibilities ofSocialism. --

1940

(1948): The competitive solution. In Individu­

alism and Economic Order.

Lange, 0. and Taylor, F. M. 1938 (1964): On the Economic

This was particularly marked in an important debate begun in 1920 by Ludwig von Mises. He argued that if the means of production were no longer in private ownership, but owned and con­ trolled collectively in some sense, then there could be no markets on which to trade means of produc­ tion, for without an assignment of property rights

Theory ofSocialism.

Lavoie, D. 1985: Rivalry and Central Planning: The So­ cialist Calculation Debate Reconsidered.

commonwealth.

In

Collectivist

to individuals, buying and selling becomes impos­ sible. Hence there could be no prices for means of

Von Mises, L. 1920 (1935): Economic calculation in the socialist

of the socialist project with the organization of the post-1917 Soviet economy.

Economic

Planning, ed. F. A. Hayek.

TOM BOTTOMORE

production. This in turn implies that costs of pro­ duction cannot be calculated, and von Mises con­ cluded that rational economic calculation in these circumstances was impossible. The socialist project was in principle doomed because of the inevitable

socialist economics

In the nineteenth century,

lack of economic criteria for rational use of the

there were two broad schools of thought regarding

means of production, and von Mises interpreted

how a socialist economy would function. First there

the chaos of civil war in Russia in the immediate

were 'utopian socialists' such as Robert Owen and

postrevolutionary years as some evidence for his

William Morris, who tried to construct detailed

argument.

elements of what a new society could look like by

That von Mises was wrong was implicit in earlier

appeal to reason and to socialist principle. Second,

writings of Vilfredo Pareto and Enrico Barone, but

SOCIALIST ECONOMICS

635

it was not until the mid-1930s that the theory

would be based on economic justice determined by

underpinning these writings was used explicitly to

labour performed together with a social dividend.

counter his argument. This was achieved by Oskar

Thirdly, prices would genuinely reflect opportun­

Lange (1936-7). He assumed that people could

ity costs, thereby enabling a solution of environ­

exercise free choice in consumption and occupa­

mental problems which market prices reflecting

tion, so that consumer goods markets and labour

only private costs cannot manage. And fourthly,

markets would operate freely. As regards means of

the wastes of imperfect competition and monopoly

production, he developed an iterative algorithm of

inherent in capitalism would be avoided.

price determination in the following manner. Man­

Lange's model of 'market socialism' was soon

agers of production units would be instructed to

criticized from both 'right' and 'left', although in

choose that combination of inputs which minim­

some respects the criticisms had a common theme.

ized the average cost of any given output, and

For while the market socialist model was based on

produce that quantity of output at which marginal

the standard microeconomic theory of optimum

cost (the addition to costs of producing one more

resource allocation, much of the criticism centred

unit) equalled price (the addition to revenue of

on whether any sensible account of dynamics could

producing one more unit). Cost minimization is

be incorporated within this static framework.

the criterion for technical efficiency in production.

From the left, Dobb (1939) doubted whether the

Marginal cost pricing is profit maximizing, and as

decentralized allocation of investment resources

long as prices accurately measure opportunity costs

was compatible with the achievement of any desired

(the costs of the best alternative use of the resources

growth rate. For suppose the supply of investment

in question), marginal cost pricing is socially

funds is determined by the profitability of con­

efficient in the sense that no other use of resources

sumer goods production. Then as investment

could yield a more desirable outcome. The prices

goods industries expand, the supply of consumer

underlying these computations would be deter­

goods falls, which drives their price up (since

mined by the market in the case of labour input

demand has not fallen), which makes them more

and consumer goods output, and by a Central Plan­

profitable, which increases the rate of investment;

ning Board (CPB) in the case of means of produc­

the ensuing cumulative process would make it im­

tion whether as input or output. That is, the CPB

possible to equalize the demand and supply of

would announce a set of prices, the various calcula­

investment funds at the rate of interest previously

tions would be performed, and input and output

assumed. The only way out would be to tax the

quantities determined and communicated to the

excess profits of consumer goods industries; but

CPB. The CPB would then raise (lower) the prices

this would require a very fine differentiation of

of goods in excess demand (supply), announce a

taxes between different production units which

new set of prices, and the procedure would con­

would be very complicated indeed to administer

tinue until prices were found at which demand

with the degree of precision required. Dobb con­

equalled supply for each good. Von Mises's argu­

cluded that rather than attempt indirect influence

ment was thus wrong, confusing price determin­

over production managers via the rate of interest

ation

and taxes (and subsidies, for the cumulative process

by

markets

with

the

(shadow)

price

determination implicit in the trade-offs which are

can also work in reverse), it would be preferable for

embedded in any set of consumer preferences and

the CPB to allocate investment funds directly.

production technologies. Because the CPB mimics

This, however, runs quite counter to the decentral­

the (perfectly competitive) market mechanism,

ization of Lange's model. Such a dynamic was part

Lange's approach became known as the 'competi­

of a more general argument by Dobb (reflecting on

tive solution'. But Lange claimed advantages for his

the Soviet experience) that a static optimum alloca­

approach over the freely competitive economy.

tion of resources will in general conflict with typical

First, the rate of investment and hence growth

postrevolutionary efforts to transform the socio­

would be determined socially, rather than in the

economic structure and to achieve increases in

anarchic pursuit of private profit, thereby eliminat­

growth. Further, the rationale for using a decentral­

ing a major cause of business cycles. Secondly,

ized mechanism, as in Lange's model, is to reduce

income distribution would not be tied to the in­

the burdens on the CPB, which would otherwise be

equality inherent in the ownership of or exclusion

faced with an enormous number of complicated

from the means of production, as in capitalism, but

alternatives; but Dobb argued that this misrepre-

636

SOCIALIST ECONOMICS

sents the situation. The CPB would not typically be

incompatibilities of central planning as it actually

faced with an impossibly large number of small

existed in the USSR.

problems, but would rather have to choose between

While the 'socialist controversy' was debated in

a small number of technological alternatives involv­

the West, the USSR after 1929 was developing a

ing input requirements not subject to marginal

highly centralized hierarchical command system of

variation. Particularly in societies requiring major

planning. This was interpreted by supporters and

structural

some opponents alike as an attempt (in admittedly

transformation

in

which

economic

growth is prioritized, Dobb concluded that a cen­

adverse conditions) to put into practice classical

tralized planning mechanism was likely to be super­

Marxist principles. Thus the division of labour

ior to any decentralized variant.

was regulated ex ante; input coefficients were deter­

The most important criticisms from the right

mined directly; supply and demand were equated in

were made by Hayek (1940, 1945). These revolved

physical units; savings and investment decisions

around the issues of institutional structure, infor­

were centralized; and distribution was determined

mational burden, dynamics, and incentive compati­

according to centrally determined wage rates to­

bility. First, Hayek questioned whether production

gether with a social dividend in kind (cheap hous­

units could maintain any sort of independence from

ing, education, medical care etc.). Yet this was

the centre if there were strong central preferences

crudely

(for example, for growth maximization) that they

system set in place by Stalin and his bureaucracy

to

caricature

classical

Marxism.

The

act in a particular way. And he identified a further

managed an industrialization process that ruth­

institutional problem in the lack of specificity as to

lessly transformed peasant labour into factory

who was to bear responsibility for the consequences

workers on the basis of a massive replication of

of decisions that turn out unexpectedly. Secondly,

US and German capital equipment imported in

if the CPB were to behave like a perfect market, it

the

would have to solve millions of equations in mil­

of labour were enforced, inequalities of access to

early 1930s.

Traditional factory divisions

lions of unknowns, a computational burden so

individual and collective consumption goods estab­

heavy and requiring so much accurate information

lished, traditional bourgeois freedoms (of associ­

that rational economic planning -while possible in

ation,

principle - would be impossible in practice. With

abolished, and a vast repressive state apparatus

speech,

publication,

organization

etc.)

the development of computer technology, the force

established with an ideology of emancipation and

of this argument concerning computational burden

a practice of the cultivation of oppression. With

is obviously less today than it was in the mid-twen­

traditional socialist aspirations thereby rendered a

tieth century, and the focus of the criticism has

cruel joke, opposition to the status quo generally

shifted more towards the difficulty of obtaining

took inspiration either from the USA or from pre­

the requisite information on which to base the

revolutionary Tsarism, and was thereby easy to

calculations. Hence thirdly, Hayek pointed to

represent as counter-revolutionary. But the eco­

the absence of incentives for reducing costs of pro­

nomic system established was extremely inefficient.

duction at plant level, and for introducing techno­

Productivity was low relative to other economies at

logical innovations. And as regards the centre he

similar levels of development. Queuing was a per­

questioned whether any CPB could

react to

vasive form of rationing consumer goods in peren­

changing conditions with the speed and accuracy

nial short supply, in limited assortment, and of poor

required for the mechanism to work. While these

quality. The quality of housing, education and

arguments about the economic inefficiency of so­

healthcare was poor by international standards. In­

cialism were embedded in more general themes

novation rates were low with long gestation periods

concerning the incompatibility of any sort of plan­

for investment projects such that equipment was

ning with individual freedom, the economic argu­

often obsolete by the time it was installed. And

ments concerning incentive structures assumed

there were common and ridiculous biases in both

increasing importance with the passage of time.

quality and quantity of output according to the

For in Lange's model there is nothing to motivate

particular measurement units used in the plan.

production managers to obey the rules of the itera­

From 1962, reform proposals were allowed to be

tive (shadow price) game which it proposed, and

discussed openly in the USSR. These generally

this theoretical absence paralleled the increasing

involved either more sophisticated methods of

focus from the 1950s onwards on the incentive

data collection and processing or the decentraliza-

SOCIALIST ECONOMICS tion of significant areas of decision making to the

637

by Nave were the Hayekian problems concerning

production unit. But few reforms were actually put

the acquisition of information and the organization

into practice, for too many interest groups within

of incentives. In particular Nave emphasized that

the bureaucracy had a vested interest in the status

economic linkages in a centrally planned system

quo. In particular, any partial decentralization

were necessarily vertical and hierarchical, and

tended to pit production units against the central

argued that only the horizontal linkages established

planners,

by

thereby

encouraging

recentralization

market

relations

(in

however

regulated

a

measures as the planners sought to regain the con­

manner) were compatible with democracy. While

trol which the reforms had forced them to cede. By

this was denied by, for example, Mandel (1986,

the early 1980s, Soviet economic performance had

1988), other socialists addressed the challenge pre­

worsened markedly, to such an extent that there

sented by Nave's reflections on the Soviet experi­

was widespread recognition that the existing system

ence in a different manner. Building on elements of

could not continue, coupled with little consensus as

Lange's model, Devine (1988) sought to preserve

to what to do. The intelligentsia was advocating

the socialist vision through procedures of adminis­

virtually complete decentralization to a market

tered coordination between different democratized

economy, whether in the Lange framework or

levels of the planning hierarchy, decisions being

along the lines of Scandinavian social democracy;

implemented by the use of the market mechanism.

Stalinist bureaucrats were reluctant to contemplate

And Elson (1988) began to theorize how the market

the dismantling of their raison d 'etre; workers were

itself could be socialized by freeing labour power

opposed to the widening of wage differentials im­

from commodity status. Both of these attempts

plicit in a greater reliance upon market forces; but

were motivated by the realization that Lange's

all were agreed upon the necessity for improving

market socialism provided few of the benefits of

living standards. Considerations deriving from

planning that socialists had traditionally advocated.

classical Marxism all but disappeared in what

While the challenge remains to embed these ben­

seemed a triumphant vindication of all that the

efits within a framework of genuine socialist dem­

critics of socialism had said all along.

ocracy,

the collapse of

Stalinist authoritarian

The only dissent came from those who had

planning in the late 1980s and early 1990s paradox­

always opposed Stalinism from the left, primarily

ically provides the context for more creative

from the Trotskyist tradition. Socialist revolution

thought than has been possible in this area since

in such a backward economy as Russia in 1917

the late 1920s.

could only be considered a viable project according to classical canons of historical materialism if the

Reading

revolution were internationalized. With the failure

Bergson, A.

of this latter by 1923, there was no way in which an

1966:

Socialist economics. In

Essays in

Normative Economics. --1967: Market socialism revisited. Journal

tization envisaged by Marx in his reflections on

ofPolitical Economy 75, 655-73. Devine, P. 1988: Democracy and Economic Planning. Dobb, M. H. 1939 (19SS): A note on saving and invest­ ment in a socialist economy. In On Economic Theory and Socialism. Elson, D. 1988: Socialization of the market. New Left Review 172, 3-44. Gregory, P. R. and Stuart, R. C. 1994: Soviet and Post­ Soviet Economic Structure and Peiformance.

the Paris Commune of 1871 and endorsed by

Hayek, F. A. 1940: Socialist calculation: the competitive

isolated economy in a hostile environment could achieve levels of productivity surpassing those real­ ized in an international capitalist world order. That bureaucratic dictatorship emerged out of the isolation of the USSR was tragic (and fatal for millions) but it did not vitiate the socialist project. What was required for the implementation of the latter was the sort of revolutionary democra­

Lenin in 1917 in his State and Revolution, together with its international extension. But this was anath­ ema to Soviet bureaucracy and Western capitalism alike. Whether anathema or not, an influential polemic by Nave (1983) also asserted that this combination of central planning and far-reaching participatory democracy could not work. The reasons adduced

solution.

Economica, new series, 7, 125-49.

--1945: The use of knowledge in society.

American Economic Review 35, 519-530. Lange, 0. 1936-7 (1964): On the economic theory of socialism. In On the Economic Theory of Socialism, ed. B. E. Lenin, V. I. 1917 (1969): State and Revolution. Mandel, E. 1986: In defence of socialist planning. New Left Review 159, 5-38.

638

SOCIALIZATION

1988: The myth of market socialism. New Left Review 169, 108-21. Nove, A. 1983: The Economics ofFeasible Socialism. 1987: Markets and socialism. New Left Review 161,

--

--

98-104. Nove, A., and Nuti, D. M. eds 1972: Socialist Economics. Trotsky, L. 1937 (1972): The Revolution Betrayed. V on Mises, L. 1920 (1972): Economic calculation in the socialist commonwealth. In Nove and Nuti, 1972. SIMON MOHUN

mary socialization in the family. In small, isolated cultures and in large complex societies, patterns of childrearing were investigated and used as explan­ ation for similarities in social behaviour among people exposed to the same practices. There exists at Yale University a culture file which contains among other matters descriptions of the childrear­ ing practices in about

300

cultures. Studies based

on this material (such as Whiting and Child,

1953)

have established systematic relations between these The processes by which human

socialization

practices and the projective systems (religion, cos­

beings are induced to adopt the standards of behav­

mology) of these cultures; they have also pointed to

iour, norms, rules and values of their social world

similarities in psychological functioning (for in­

are termed socialization. They begin in infancy and

stance, willingness to take responsibility). In com­

continue through life. Socialization is a learning

plex societies considerable variety exists in primary

process that relies in part on explicit teaching and

socialization in various subcultures, particularly

in part on latent learning - that is, on the inadvert­

social classes; this has been linked to systematic

ent absorption of taken-for-granted ways in relating

variations between them of, for instance, class-spe­

to others. While everybody is exposed to socializing

cific toleration for frustration, or differences in time

influences, individuals vary considerably in their

perspectives.

deliberate or unwitting openness to them, from

These studies demonstrate that early socializa­

chameleon-like change in response to every new

tion is inextricably interwoven with personality

situation to complete inflexibility.

formation, though they are conceptually distinct

Early in the century the systematic study of these

processes: the former is concerned with the acqui­

processes concentrated on infancy and childhood.

sition of shared patterns, the latter with individual

Psychologists, social anthropologists and sociolo­

differences. The conflation of the two processes led

gists were forced by the nature of the process

at one time to now rejected explanations of national

to borrow each others' concepts and approaches,

differences entirely in terms of primary socializa­

but

tion.

maintained

their

specific

points

of

view. pro­

In mid-century Talcott Parsons's influential but

cesses, particularly in mother-child relations; social

controversial approach to socialization kept this

anthropologists concentrated on the transmission

distinction in mind by defining socialization as the

of culture in small, relatively homogeneous soci­

process by which people learn to fill the roles pre­

Psychologists

emphasized

the

interaction

and sociologists studied institutions and

scribed by the social system. Implicit in his thought

subcultures in complex societies as agents of social­

is a normative component: achieved socialization

eties;

ization. The differing intellectual traditions of these

into a given social system is always positively evalu­

disciplines are one reason why there exists no uni­

ated (Parsons et al.,

tary theory of socialization, though many studies

Merton

under each disciplinary label were, until about the

of ANOMIE: socialization to the dominant success

19 55). In this respect Ro bert K. (1949) went beyond Parsons in his analysis

middle of the century, much influenced by psycho­

goals of a society is dysfunctional for that part of the

analytic theory. More recently socialization studies

population to which institutional means for the

have expanded to processes in adulthood and are

pursuit of the goals are denied.

guided by less global theories and use a large variety

The difficulty of distinguishing between person­

of approaches. Another reason for the absence of a

ality formation and socialization leaves the question

unifying theory is the very broadness of the

of the extent to which the results of early socializa­

term, which encompasses such diverse processes

tion can be undone or reversed,

as child-rearing, schooling (see also EDUCATION

Where early influences have resulted in individu­

unanswered.

AND SOCIAL THEORY) , the acquisition of an occupa­

ally or socially destructive behaviour, the helping

tional or workplace ethos, propaganda and brain­

professions have applied their range of methods

washing.

with widely varying results in efforts to reverse

The early dominance of psychoanalytic thought

early acquired habits; it is never an easy undertak­

led to some agreement on the great power of pri-

ing (see CRIME AND DEVIANCE) . There is no doubt,

SOCIALIZATION OF THE ECONOMY however, that later influences can add to a person's

639

by Karl Marx in the manuscripts of the Grundrisse

(1857-8) and of the third volume of Capital (1861-

repertoire of social beha viour. After the family the major socializing agencies in

79, published 1894). In the Grundrisse Marx related

Western societies are: the school and peer groups,

socialization to the rapid progress of science and

entry into economic life, exposure to mass media,

technology and the advent of automated produc­

foundation of a family and marriage, participation

tion, arguing that the creation of real wealth had

in organized community life, and finally retirement

come to depend, not on labour time, but on the

conditions. A vast number of studies have dealt

application of science to production, and that in this

with the influence of each of these agencies. Other

transformation it is the human being's

studies have started from the end product of social­ ization, for instance, high achievement motivation

understanding of nature and his mastery over it by

(McClelland, 1961) or gender identity, and have

virtue of his existence as a social entity- in a word

searched for agencies that could produce such

the development of the social individual - which

results. Yet other studies have looked at the recipi­ ents of socialization pressures as active agents who make deliberate choices. Willis (1977), for example, has demonstrated that active, clever and rational resistance to the goals of school socialization led a group of underprivileged schoolboys to contribute actively to their socialization into unskilled and unsatisfying jobs. This study and its interpretation by Anthony Giddens (1984) exemplifies current trends in so­ cialization studies: they deal predominantly with adults and are often set in work situations. The once widely accepted notion of an all-powerful process resulting in 'organization man' is now re­ placed by studies of interaction processes and con­ flict

between

individual

needs

and

external

pressures with the aim of identifying possible changes in the socializing agency rather than in individuals (see Bailyn, 1989). The study of socialization and socializing agen­ cies bears on such major controversial issues in the

now appears as the great foundation of production and wealth.

In this process, 'general social knowledge has become a direct force of production' and 'the con­ ditions of the social life process have been brought under the control of the general intellect' (1857-8, pp. 704-6). In Capital (vol. 3, chs 23 and 27) Marx emphasized another aspect in his observation that 'money capital assumes a social character with the growth of credit' while 'the mere manager performs all the real functions of the investing capitalist as such', and he concluded that this 'is the abolition of the capitalist mode of production within capital­ ist production itself ' (see also MoDE OF PRODUC­

TION). Marx's conception was

later

elaborated

by

Rudolf Hilferding (1910, p. 366), who argued that finance capital puts control over social production increasingly into the hands of a small number of large capitalist associations, separates the manage­

social sciences as the nature of human nature, the

ment of production from ownership, and social­

nature/nurture debate and the place of values in

izes production to the extent that this is possible

social research. No amount of empirical evidence

under capitalism.

can finally solve these perennial questions; but evi­ dence can and does illuminate the variety of pro­

Subsequently (1927) he analysed the 'organized

cesses that induce people to share rules and norms

capitalism' of the period after World War I as a

with some, but not with others. Socialization is a

'planned and consciously directed economy' which

key concept in understanding the vast diversity of

'supports to a much greater extent the possibility of

the social world.

the conscious action of society' through the state. It

Reading

adopted this conception.]. A. Schumpeter (1942,

Giddens, A. 1984: The Constitution ofSociety.

p. 219), influenced no doubt by Hilferding as well

was not only Marxist thinkers, however, who

Graumann, C. F. ed. 1972: Handbuch der Psychologie, vol. 7, pp. 661-1106.

MARIE JAHODA

as by Marx, observed that a large part of his argu­ ment about the development of capitalism 'may be summed up in the Marxian proposition that the economic process tends to socialize itself'

This conception

After World War II the idea of a gradual social­

of the development of capitalism was first outlined

ization of the economy received a new impetus from

socialization of the economy

640

SOCIETY

the accelerating growth of large corporations, the

Taking different forms, and conceived in diverse

enhanced role of financial institutions, a more thor­

ways in social thought, the idea of a progressive

of the capitalist

socialization of the economy has also been rejected,

economy and a new wave of scientific and techno­

or excluded from consideration, by those who em­

oughgoing

internationalization

logical innovation, all of which were accompanied

phasize individual action and the unplanned evolu­

by

tion of society through accumulated experience

more

extensive

state

involvement

in

the

1973-9).

economy, including various forms of economic

(Hayek,

planning, and a much higher level of social expend­

that any process of socialization thus far has not

What is evident, at all events, is

iture in the new 'welfare states'. To a degree quite

created on a large scale a public awareness of the

unknown in earlier periods, living standards and

economy as a

general wellbeing came to depend on public ex­

corresponding with such an awareness, although

penditure and to be matters of public debate and

this may perhaps be changing as a result of increas­

policy making.

ing concern about the human environment.

These

developments

could be

social enterprise,

or forms of action

regarded, as they were by Schumpeter, as tending towards a socialist economy, and they were also

Reading

compatible with broader views of what Touraine

Habermas, J. 1973 (1976):

(1973) called the

Hi1ferding, R. 1927

'self-production of society'- that

is to say, the conscious recognition that societies are

Legitimation Crisis. (1978): Die Aufgaben der Sozia1demokratie in der Repub1ik. Trans. in Austro-Marxism, ed. T. Bottomore and P. Goode.

'the product of their labour and social relations'. But the socialization of the economy itself may have very different outcomes depending on the

Panitch, L. 1980: Recent theorizations of corporatism.

British Journal ofSociology 31. TOM BOTTOMORE

context of social relations and political action in which it takes place. Hilferding argued that organ­ ized capitalism prepares the way for a socialist econ­

society

omy in which the major economic decisions would

word today is in reference to the totality of human

Probably the most frequent use of the

be made by the democratic state, while Schumpeter,

beings on earth together with their cultures, insti­

analysing the 'obsolescence of the entrepreneur' as

tutions, skills, ideas and values. But a considerable

the functions of innovation and entrepreneurship

diversity of usages has reached the twentieth cen­

are increasingly taken over by a rationalized, bur­

tury. For example: animal society, primitive soci­

eaucratic form of management, envisaged the prob­

ety, civil society, national society, political society,

able emergence of a socialist system in which control

Society for the Prevention of Cruelty to Animals,

over the means of production and the production

high society, and so on. There is also the common

process would be in the hands of a central authority.

use the intent of which is to stress the opposition

During the twentieth century, however, the growth

between individual and society, which often comes

of large corporations, state intervention and at­

down to conflict between the genetic and the social

tempts to create centrally planned socialist econ­

or cultural. The common denominator of most uses

omies

of the word society is the fact of sociation, animal or

have

produced

very

diverse

types

of

economic system. Among these are what has been described as 'corporatism' (Panitch,

1980),

charac­

terized by a mixture of public and private produc­

human. There is a society of amoebae but not a society of rocks. In the social thought of the twentieth century

agreement

two uses of the word were distinctive. In one,

between the state, the large capitalist corporations

society has a negative, even pejorative cast; in the

and the trade unions; a totalitarian state economy

other, laudatory. In the first, society is contrasted

such as came into existence in the USSR and the

deprecatingly with CoMMUNITY. In the second,

countries of Eastern Europe; a new kind of capital­

society is counterposed to the political state's sov­

ism in which the role of the state in economic

ereign power.

management is limited so far as possible to main­ prise while ensuring a basic level of social welfare;

Ferdinand Tiinnies's book of 1887, Gemeinschafi und Gesellschafi, translated commonly as Commu­ nity and Association, was based on the first use.

tion,

regulated

by

negotiation

and

taining the conditions favourable to private enter­ and, on a small scale, attempts (as in Yugoslavia) to

Community is made to represent relationships

combine central planning with the self-manage­

which are close and cohesive, rooted in family,

ment of enterprises.

place and tradition. Society on the other hand

SOCIETY

641

connotes relationships which are heavily economic

groups in the social order - and only secondarily

and contractual in character, loose, impersonal,

in terms of individual versus state. 'More and

generally urban, and both mobile and individual­

more', wrote Figgis in

istic. The distinction between community and so­

mere individual's freedom against an omnipotent

1911, 'it is clear that the

ciety as made by Tiinnies and others is more than

State may be no better than slavery; more and more

classificatory; it is also the basis of a historical and

it is evident that the real question of freedom in our

developmental

day is the problem of the smaller unions to live

typology. Tiinnies,

Sir

Henry

Maine, Fustel de Coulanges, Graham Wallas,

within the state.'

John Dewey and Waiter Lippman all presented

When totalitarianism burst upon the twentieth­

Western society in terms of the crisis involved in

century scene defying older phrasings of despot­

the spreading replacement of old and traditional

ism, monarchy or dictatorship, such writers as

community ties by the new, more impersonal and

Ortega y Gasset, Hermann Rauschning, Emil

segmented ties of industry, city, mass democracy

Lederer and, somewhat later, definitively, Hannah

and secular individualism. In his The Great Society

Arend t saw the essence of the total state as the

(a book dedicated by its author Graham Wallas to

political state's absorption to its own sovereign

the young American Waiter Lippman) Wallas

power of all the authorities composing society

made the contrast between community and the

such as family, church, local community, trade

'great society' an invidious one, implying that the

union, etc. It is worth emphasizing that Edmund

latter contained within it the seeds of social break­

Burke in some measure, Alexis de Tocqueville

down or erosion because of its lack of social ties

more sweepingly, foresaw the despotic potential­

deeply and closely felt.

ities of popular democracy very much in these

In America, John Dewey, in The Public and its Problems

(1927), proceeding from Wallas, wrote:

terms; that is, the state's progressive swallowing up of society in its traditional forms. Perhaps the

'Our concern at this time is to state how it is that

most famous chapter in Tocqueville's Democracy in

the machine age in developing the Great Society

America is 'What sort of despotism democratic

has invaded and partially disintegrated the small

nations have to fear'. His answer is: the slow, re­

communities of former times without generating a

lentless

Great Community.' That theme has been a power­

through the state's supersession and then assimila­

bureaucratization

of

human

existence

ful one in literary and philosophical works of the

tion of all social authorities.

twentieth century, beginning in particular strength

In the former Soviet Union and such Eastern

immediately after World War I. Utopian thought in

European countries as Poland, Hungary, East Ger­

the twentieth century has overwhelmingly taken

many and Czechoslovakia, the idea of society, or

the route of celebration of the cohesions and inter­

civil society, came to the fore. These are nations in

personal mutualities of family society in contrast to

which, under the auspices of socialism or commun­

the larger, impersonal and heterogeneous relation­

ism, society - including economy,

ships of the city, factory and other characteristic

church, family and other component units of soci­

education,

ties of the modern Great Society. The quest for

ety - was calculatedly weakened, even at times

community that we find in so much political and

destroyed. The question of the hour is: can the

social thought of the century is one in which 'soci­

Eastern European countries and those of the former

ety' is made the adversary. Side by side with the pejorative meaning of 'so­

Soviet Union so strip themselves of pervasive and bureaucratized political power that a return to civil

ciety' is to be found another in twentieth-century

society and its inherent mechanisms and authorities

thought that focuses on the differentiation between

is made possible?

the STATE and society and on the vital necessity of keeping the latter as free as possible of encroach­ ments by the state, in the interest of the freedom alike of individual and social group. In the writings of pluralists from Johannes Althusius down to Maitland and]. N. Figgis, the problem of freedom has been cast first of all in terms of the relationship

See also CiVIL SOCIETY. Reading Hayek, F. A. 1960: The Constitution ofLiberty. Jouvenel, B. de 1948: On Power. Maine, H. 1861: Ancient Society. Mertz, J. T. 1914: History of European Thought in the

Nineteenth Century, 4 vols. Vol. 4: On Society.

between state and society- the latter word made to

Nisbet, R. 1953: The {htest for Community.

embody particularly the smaller associations and

Pol:inyi, K. 1944: The Great Transformation.

642

SOCIOBIOLOGY

Tiinnies, F. 1887 (19SS): Community and Association.

delivery of benefits to kin other than offspring at

Tocqueville, A. de 1854 (1955): The Old Regime and the

personal cost to the donor. Hamilton formalized the

French Revolution.

ROBERT NISBET

conditions under which a gene that was needed to generate such a behaviour pattern could spread from

society, affluent

See AFFLUENT SOCIETY

being

uncommon

to

being

widespread.

When the conditions are satisfied, any character that improves the chances of kin surviving can

society, civil

increase in frequency because the relatives are likely

See CiVIL SOCIETY

to carry the genes necessary for the expression of society, consumer

See CONSUMER SOCIETY

the character.

society, corporate

See CoRPORATISM

repaired what looked like a defect in Darwin's evo­

Hamilton's ideas were important because they lutionary theory. Darwin proposed a process which society, evolutionary processes in

See EvoLU­

involved some individuals surviving or breeding

TIONARY PROCESSES IN SOCIETY

more readily than others. If the ones that survived

society, industrial

the character, the character would be more strongly

or bred most easily carried a particular version of See INDUSTRIAL SOCIETY

represented in future generations.

Hamilton's

society, mass

See MASS SOCIETY

theory of kin selection explained how the outcome

society, open

See OPEN SOCIETY

social cooperation. In truth, it was an extension of

of the competitive evolutionary process is often the intuitively obvious point that animals often society, postindustrial

See PosTINDUSTRIAL so­

CIETY

put themselves at risk and do things that are bad for their health in the production and care of offspring.

sociobiology

A major change of emphasis in

Another evolutionary explanation for cooper­

behavioural biology took place in the mid-1970s.

ation, developed by modern sociobiologists, is that

Most obviously, the shift was marked by the publi­

all the participants benefit directly. Cooperating

cation of E. 0. Wilson's Sociobiology: The New

individuals are not necessarily related, but each

Synthesis (1975), which brought together the in­

one is more likely to survive and reproduce itself

sights derived from ecology and population biology

if it works with others. In many species, individuals

with those obtained from ETHOLOGY and compara­

clean each other. Mutual assistance may be offered

tive psychology. In the previous decade the fruits of

in hunting so that all get more to eat; for instance,

numerous field studies of animals had begun to

cooperating members of a wolf pack will split into

suggest coherent explanations for the ways in

those that drive reindeer and those that lie in

which social behaviour might be related to eco­

ambush. Emperor penguins huddle to conserve

logical conditions. With the increasingly powerful

warmth. Cattle press tightly together to reduce

use of Charles Darwin's evolutionary theory, a mass

the surface exposed to biting insects. Robert Tri­

of seemingly unrelated and even contradictory evi­

vers (1971) suggested that in highly complex

dence made sense and the subject looked exception­

animals, aid may be reciprocated on a subsequent

ally promising.

occasion. Indeed, if one male baboon helps another

The term 'sociobiology' has been in use since

to fend off competition for a female on one day, the

the late 1940s; indeed the present-day Animal

favour will be returned on a later occasion. Both the

Behaviour Society in the United States grew out

males benefit by working together.

of a section of the Ecological Society of America

The emphasis on the necessary genetic condi­

and the American Society of Zoologists called

tions for the expression of social behaviour, which

'Animal Behaviour and Sociobiology'. However,

was explicit in Hamilton's work, gave rise to the

the most important influence on the birth of

most famous parable in modern biology, namely

modern sociobiology in 1975 was probably the pub­

that of the selfish gene. In the work of Richard

lication a decade earlier of an elegant theory by W.

Dawkins (1976) evolution was thought about in

D. Hamilton (1964). This explained the evolution

terms of genes with intentions to do the best for

of self-sacrificial behaviour and, more generally, the

themselves. Undoubtedly, this way of approaching

SOCIOBIOLOGY

643

evolution helped a great many people to understand

mixtures of aggressive, hawk-like behaviour and

the complex dynamics of evolution.

docile, dove-like behaviour. The simple models

The genetic emphasis also lay behind many of

showed that stable combinations of evolutionarily

the other classic proposals which were made by

stable strategies (ESS) could be formed. If one type

those who came to be known as sociobiologists.

of behaviour became more frequent than the opti­

Robert Trivers (1972) proposed that, in sexually

mum by chance, the other type would be at an

reproducing species, the genetic composition of an

advantage and, in the course of further evolution,

offspring is not identical to that of either of its

would return to its former proportion at the opti­

parents which are also genetically different from

mum. John Maynard Smith was the most promin­

each other. On this basis, offspring would not be

ent figure in these theoretical developments. These

expected to harmonize their behaviour with those

models made very substantial simplifying assump­

of their care-giving parents since the offspring

tions, such as asexual reproduction and discrete

stand to gain from continued care whereas the

either/or behavioural repertoires, but helped to

parent may be in a position to maximize its repro­

clarify thought about the ways in which behaviour

ductive success by saving its efforts for other

might have evolved.

offspring. For this reason a parent might start to

Search for optimal solutions to foraging activity

withdraw its care of an offspring at a time when

has been a major concern of behavioural EcoLOGY,

the offspring could still benefit from such care.

a subject which has come to be closely associated

Modern empirical evidence from mammals sug­

with sociobiology. What, for instance, should an

gests that behavioural conflicts around weaning

animal do after having eaten steadily in one place

are less pronounced than had been expected from

when the food in that patch starts to run out? At

the theory of conflicting interests. This may be

what point does the likely benefit of searching for a

because it is crucial to their own development that

much better stocked patch outweigh the steadily

offspring monitor carefully the state of their care­

diminishing benefit of staying where it is? The well­

givers.

focused nature of the problem has brought with it

Trivers (1974) developed similar arguments to

an abundance of mathematical modelling. The

those used in his theory of parent-offspring conflict

models had the great virtue of providing precise

to explain sex differences in parental behaviour.

expectations about what animals should do. These

Each parent might be expected to employ different

could then be tested against what the animals do in

methods of maximizing its reproductive success so

practice. Doing a good job in engineering terms

that while one was still delivering intense care to its

depends on the availability to the animal of appro­

offspring, the other pursued opportunities for

priate information about its environment, on its

mating again. Once more the explicit idea was

computational ability and on the time available for

introduced of a trade-off between conflicting re­

performing the necessary computations. Also, of

quirements to care for existing offspring and pro­

course, the models assume that the biological func­

ducing more, the optimum being different for the

tion of the behaviour is known.

two sexes. Even on this argument, however, a

It is perfectly possible for models which are very

balance may be struck between enlightened and

different in character to generate the same result.

naked selfishness. In many species of birds, in

So, even though scientists may think they have

which both sexes normally care for the young

specified the right design requirements, the ani­

and one parent dies or disappears, the remaining

mal's behaviour may well be adapted to a rather

parent increases the time and energy it devotes

different job. The least plausible model in biological

to caring for the young. This suggests that each

terms may give the best fit in mathematical terms.

bird strikes an optimal balance which maximizes

In the long run, there will really be no substitute for

its own reproductive success. The cooperation

good biological intuition and the theorists have to

observed when both parents are present is best

work hand-in-hand with people who are good ob­

explained in sociobiological terms as enlightened

servers of animals.

self-interest.

Sexual behaviour, as always, continues to be a

Optimality arguments played a central role in

subject of absorbing interest. What do animals look

many other developments in sociobiology. One

for when choosing mates? What does mate choice

was the introduction of game theory to explain,

do to the dynamics of evolution? Why have sexes at

for instance, the mixture of seemingly incompatible

all? These are evolutionary questions that continue

644

SOCIOLINGUISTICS

to excite and tease people and are likely to go on doing so well into the next century. Direct evidence from history is usually lacking for behaviour, so biologists typically begin with attempts to distin­ guish

between

hypotheses

about

--1974: Parent-{}ffspring conflict. Amer ican Zoologist, 14, 249-64. --1985: Social Evolution. Wilson, E. 0. 1975:

Sociology: The New Synthesis. PATRICK BATESON

current use.

Whether or not an answer will be a substitute for history is a moot point, since a behavioural system

sociolinguistics

adapted to some other use might be coopted for its

areas of study which connect language with society.

As its name implies, this covers

present function. Nevertheless, deductions about

As an interface between two such enormous fields

current use provide one indirect way for drawing

of enquiry, with theoretical and methodological

conclusions about the shaping role of Darwinian

concerns arising from a whole range of disciplines,

evolutionary processes on behaviour in the past.

including linguistics, sociology and anthropology,

Another indirect approach has been to use com­

sociolinguistics cannot yet be defined in any strictly

parative knowledge of the many different species

theoretical fashion. Nor is there much agreement

and their habitats to analyse the ways in which

as to the various demarcation lines between differ­

different characters evolved, the order in which

ent exponents of sociolinguistic theories and meth­

they emerged and the functional significance of

odologies.

the evolutionary change.

nature, and disagreement about its theoretical

This

uncertainty

about

its

precise

In the book which gave modern sociobiology

status has not, however, diminished its popularity

both its name and its character, E. 0. Wilson at­

as an academic subject. Publications which refer

tempted to incorporate a broad sweep of research

directly or in their subtitle to 'sociolinguistics'

on behavioural biology under a single banner. Im­

have been plentiful in the last three decades,

aginations were captured by the revitalizing of Dar­

with the content differing substantially according

win's great evolutionary theory and by the ways in

to the author's view of the nature of the discip­

which studies of behaviour had been attractively

line.

married to population biology. Even so the new

Some writers draw a dividing line between 'two

subject was born in controversy, partly because

large subdivisions in the field' of sociolinguistics,

the study of the development and integration of

and assign one to LINGUISTICS and the other to

behaviour, which had been central concerns of eth­

sociology. In this context, the first of the su bdiv­

ology and comparative psychology, were deemed to

isions 'starts with language, and social forces are

be irrelevant or uninteresting to the new approach.

seen as influencing language, and as contributing to

Opinion was particularly polarized by the attempt

an understanding of language,' whereas the latter

to inject a particular brand of biology into the social

'takes society as the basic starting point and lan­

sciences and moral philosophy. The lacerations

guage as a social problem and resource (Fasold,

resulting from the ensuing academic and political

1984, introduction). Such a division echoes what

conflict took a long time to heal and, for many years,

other writers would see as a split between sociolin­

'Sociobiology!' was either a battle cry or a term of

guistics proper with largely linguistic aims and a of

language'

(Fishman,

1968) with

abuse. The claims were gradually moderated and

'sociology

the disputes have died down. As this has happened

largely sociological ones. The former would cen­

the agenda for sociobiology has merged with behav­

trally comprise work by and in the style of one of

ioural ecology and is now little different from the

the key figures in the development of sociolinguis­

subjects it was supposed to have displaced.

tics, William Labov, who has shown how variation in the linguistic system in a particular speech com­ munity is functionally related to the SociAL STRATI­

Reading Dawkins, R. 1976:

The Selfish Gene.

Hamilton, W. D. 1964: The genetical evolution of social behaviour. I, 11. Journal

of Theoretical Biology, 7, 1-52.

Trivers, R. L. 1971: The evolution of reciprocal altruism.

Qyarterly Review ofBiology, 46, 35-57.

FICATION of that same group. The isolation of 'sociolinguistic variables', as for example, the class stratification of final and pre-consonantal (r) in the

1966 1970), which is perceived as prestigious in that

speech of native New York adults (cf. Labov, and

1972: Parental investment and sexual selection. In

community, allows predictions, formulated as vari­

Sexual Selection and the Descent ofMan, 1871-1971, ed.

able rules, about the likely occurrence of this form

B. G. Campbell.

according to the attention that speakers pay to their

--

SOCIOLINGUISTICS

645

speech. There is thus both social and stylistic

example, disagreement as to whether the standard

differentiation: the more attention a speaker gives

variety of a language counts as a dialect on a par

to speech (as for example in the reading of word lists

with

rather than in spontaneous speech) the more likely

governed regional and social varieties, and whether

the

other

equally

systematic

and

rule­

is the occurrence of the prestige variable. Labov

a simple division into standard and dialect is

infers from this an interdependence of 'functional

enough to cover the many different levels of re­

varieties' of speech and 'cultural levels' such as

gional and social variation in different countries

norm perception (Labov,

1970, p. 190). He also

takes the existence of style shifts between more or

(see Trudgill, eh.

1974; Barbour and Stevenson, 1990, 5). The definition of a 'language' as that over­

less prestigious forms, and the accompanying

arching entity which contains dialects that are mu­

'hyper-corrections' of lower-class speakers trying

tually comprehensible is equally problematical

to adjust to the more prestigious form, as evidence

if one considers the mutual comprehensibility

of conscious change in progress (Aitchison,

existing between speakers of 'different languages'

1981,

4). This example makes clear why even at the

such as Norwegian and Danish, or local dialect

most microlinguistic level of sociolinguistics the

speakers at the Dutch/German border (Trudgill,

eh.

demarcation to the macrolinguistic concerns of a

1974), as against the lack of such comprehensibility

'sociology of language' has to be blurred, since the

between speakers of several German dialects. Con­

latter crucially involves speaker attitudes to lan­

troversies also surround Labov's generalizations on

guage varieties, and how this influences language

the basis of the empirically unreliable abstraction of

choice, language loss or maintenance, and language

a 'speech community' (Romaine,

planning, though here the emphasis lies more at

1982).

Apart from these concerns with defining its own

societal level. Apart from class and region, other

objects of study, sociolinguistics is centrally con­

key sociolinguistic variables include most notably

cerned with methodology. In contrast to work in

researchers often

linguistics, which accepts and often relies on

pointing up controversies in the interpretation of

speaker or researcher intuition about questions of

the correlation between linguistic and sociological

grammaticality of a particular form or sentence,

gender,

race and

age,

with

category (for excellent discussions of this in respect

sociolinguistics is firmly based on observation of

of gender, see Cameron,

actual, preferably spontaneous, speech behaviour.

1985; Coates, 1986).

Obvious sociolinguistic concerns at macro level

A great deal of sociolinguistic methodology is thus

include inter alia: (a) the categorization of societies

concerned

or nations as bilingual or multilingual according to

obtaining such data.

with

overcoming the difficulties of

the number of different languages spoken within

In the light of the broad areas of interest in the

their boundaries, irrespective of the official recog­

interrelation of language and society and the range

nition of these languages as national languages; (b)

of methods employed, some writers prefer to see

the political and social role of minority languages;

sociolinguistics as defined post hoc, by the topics

(c) the study of'diglossia', which refers to the strict

and areas of enquiry which linguists, anthropolo­

functional differentiation of language varieties

gists, sociologists, social psychologists conduct at

within a speech community according to a high

the various intersections between language and so­

(H) or a low (L) variety which usually corresponds

ciety (Fasold,

to public (H) and private (L) domains - famous

sociolinguistics for the moment of a rigorous theory

1990, introduction). This deprives

examples include diglossia between classical and

of its own, but has the advantage of not constraining

vernacular Arabic, standard German and Swiss

the range of productive lines of enquiry to a par­

German, but also the switch between Spanish (H)

ticular set of methods. It does not preclude

and Guarani (L) in Paraguay (see Ferguson,

Hymes's conception of sociolinguistics, namely as

1959; Fishman 1967; for summary Fasold, 1984, eh. 2);

(d) the definition and study of 'pidgins' and 'creoles' (Fasold, son

1990, eh. 7; Barbour and Steven­

'an attempt to rethink perceived categories and assumptions as to the bases of linguistic work, and as to the place of language in human life' (Hymes,

1974, p. vii), but instead could be seen as a stepping

1990, eh. 7).

The analysis and description of the sociolinguis­

stone towards such a theory. An alternative ap­

tic situation in a particular speech community, so­

proach towards a unified theory of the place of

ciety or nation naturally depends on the way certain

language in social life and social process which

crucial

would

categories

are

defined.

There

is,

for

no

longer

be

part

of

a 'hyphenated'

646

SOCIOLOGY

sub-branch of linguistics, with its emphasis on rule­ governed behaviour, or a subset of sociology, can be found in Halliday's work on systemic grammar (Halliday, 1978, 1985, 1987), embedded in a general social semiotic. See also DISCOURSE. Reading Fasold, R. 1984:

The Sociolinguistics ofSociety. The Sociolinguistics ofLanguage. Giglioli, P. P. ed. 1972: Language and Social Context. Holmes, J. 2000: An Introduction to Sociolinguistics. Trudgill, P. 1974 (2000): Sociolinguistics. Trudgill, P. and Cheshire,]. eds 1998: The Sociolinguistics Reader

--

1990:

ULRIKE MEINHOF

sociology

A latecomer among the academic social sciences, sociology nevertheless had its origins in the eighteenth century, in the philoso­ phies of history, the early social surveys, and the general ideas of the Enlightenment. In its early stages, and notably in the writings of Auguste Comte, who gave the new science its name, soci­ ology had a generally evolutionist and positivist orientation, and these characteristics persisted through much of the nineteenth century in the works of Herbert Spencer, and in quite a different fashion in those of Karl Marx, connecting the dis­ cipline in various ways with Darwinian theory (see S ociAL DARWINISM) , with theories of progress, and with projects of social reform or revolution. To­ wards the end of the century, however, sociology assumed a different form, and slowly established itself as an academic discipline, through the writings of two major thinkers, Max Weber and Emile Durkheim, who can be regarded, together with Marx, whose work gave rise to a distinctive Marxist sociology (see MARXISM) , as the founders of the modern subject. Although they differed widely in their ideas and approaches, these thinkers had in common a new and more precise conception of 'society' as an object of study to be clearly distin­ guished from the state and the political realm, from the particular histories of 'peoples', 'states' or 'civ­ ilizations'; and they set out to define and demon­ strate the principles and methods of this new 'science of society'. They also concentrated their attention primarily on the specific problems of the structure and development of modern Western capitalism, responding to the profound changes in social life which it brought about, the growth of the

working-class movement, and the spread of socialist ideas. Marx's analysis of the capitalist economy and class structure had a profound influence on both Durkheim and Weber, especially the latter whose concepts and interpretations were elaborated to a large extent in critical opposition to Marxism (Liiw­ ith, 1932). More generally, a considerable part of European sociological thought in the early decades of the twentieth century came to be centred on a confrontation between Marxist and other theories. At the same time, however, sociology also had very marked national and regional characteristics. In the first place it was largely confined to Western Europe and North America, that is, to those regions where industrial capitalism had developed most rapidly, but within these regions it also assumed a different character in particular countries. In the USA some early sociologists, especially W. G. Summer, were strongly influenced by Spencer's ideas of individualism, laissez-faire, and the sur­ vival of the fittest (Hofstadter, 1955), but an oppos­ ing view and a reorientation of social thought emerged at the turn of the century (White, 1957): sociologists such as Lester F. Ward, E. A. Ross, Albion Small and Thorstein Veblen, influenced to some extent by Marxist ideas, reasserted the asso­ ciation of the discipline with social reform move­ ments and advocated increased state intervention, an outlook which was particularly evident in the work of the sociology department at the University of Chicago, created by Small, which dominated American sociology for two decades up to the mid-1930s (see CHICAGO SOCIOLOGY) . In Britain, Spencer's evolutionary theory was refashioned by L. T. Hobhouse into a more collectivist and reform-oriented scheme of thought, associated with a theory of progress (Collini, 1979), which continued to dominate the subject until after World War II, largely through the work of Morris Ginsberg. Sociology, however, had a very minor place in British universities, while the influence of Marxism as an economic or sociological theory was also minimal, and it was only in the second half of the century that the discipline became firmly estab­ lished, in forms that were largely influenced by American and European ideas. The situation in some continental European countries was very different. In Germany and Aus­ tria, Marxist social theory, developing at first mainly outside the universities, retained a major place from the beginning of the century until the early 1930s and had a strong influence on the work

SOCIOLOGY of other sociologists. The principal themes of Weber's sociology - the origins of modern capital­ ism, the problems of historical interpretation, econ­ omy and society, class and status, political power­ all arose directly out of his encounter with Marxist thought. But in the course of his reflection on Marxism, and influenced by wider debates about the nature of social analysis and explanation, Weber also raised more general questions concerning his­ torical explanation, the problems of objectivity in relation to value orientations, and the role of causal explanation, as against interpretive understanding, in sociology and other social sciences (Outhwaite, 1975). Not only Weber's methodological writings, but his critique of Marxism and above all his con­ ceptualization of the development of modern soci­ ety as a process of rationalization of the world (Brubaker, 1984) have had a pervasive influence on later sociology. Raymond Aron and C. Wright Mills both adopted, though in the context of differ­ ent political orientations, Weber's distinction be­ tween class structure and the system of political power, and Aron, in particular, elaborated a scheme of thought in which the role of elites (see ELITE THEORY) was analysed in relation to social stratifica­ tion, and undertook comparisons between the plur­ ality of elites in Western societies and the unified elite in the Soviet Union (Aron, 1950). More gen­ erally, he developed a historical sociology which owed much to Weber, in his conception of the emergence of modern industrial society as a unique, initially Western, phenomenon which marked a radical break in the evolution of human societies (Aron, 1967). More recently, Weber's central theme of rationalization has been critically re­ examined by Habermas (1981) in a comprehensive study of different theoretical approaches to the subject, which he concluded by distinguishing two main types of rationalized society in the present­ day world, organized capitalism and bureaucratic socialism. In France, Durkheim's sociology was also de­ veloped partly in opposition to Marxist theory, in his account of the division of labour and class rela­ tions (1893), his lectures on socialism (1928) and his rejection of historical materialism in his study of the social causes and functions of religion (1912), but it was greatly influenced too by positivist and neo-Kantian conceptions of science and by his crit­ ical view of Comte's evolutionist philosophy. But Durkheim, like Weber, also raised larger questions about the scope of sociological theory (Lukes, 1973;

647

Nisbet, 1974), expounded most systematically in his book on sociological method (1895) where he set out a scheme of causal and functional analysis, and notably separated sociological explanation very sharply from psychological explanation. His socio­ logical conceptions were widely diffused in France in the interwar years through the journal which he founded, L 'Annee sociologique, around which a DURKHEIM SCHOOL was formed, and they also became influential elsewhere, notably in British social anthropology and in a different form in American sociology, as a major factor in the devel­ opment of the functionalist school, which took as a principal aim of sociology the analysis of the ways in which differentiated institutions and groups con­ tribute to the integration and persistence of a whole society (see FUNCTIONALISM) . Elsewhere in Europe the most influential contri­ butions were made by Vilfredo Pareto (1916-19) and Gaetano Mosca (1896), particularly in their elite theories, developed in opposition to Marxist class theory, which gave rise to enduring controver­ sies about elites and democracy, and the relation between elites and classes (Bottomore, 1964). Par­ eta's work also had a more general influence through the distinction he made between 'logical' and 'non-logical' action (dealing with some of the same issues that Weber raised in his analysis of the types of social action), and his argument that by far the greater part of human action is non-logical, the outcome of impulses and sentiments which he called 'residues', often camouflaged in doctrines and theoretical systems, termed 'derivations' (see IDEOLOGY; S OCIOLOGY OF KNOWLEDGE) . There had also been an early interest in sociology in Russia, and after the revolution Bukharin (1921) ex­ pounded a Marxist 'system of sociology', but Sta­ lin's rise to power put an end to such developments and sociology was replaced by an official doctrine of historical materialism, presented for the most part in the form of a crude evolutionary theory that was insulated from any kind of critical reflection or empirical testing. By the 1930s sociology had become established in diverse forms in many of the leading industrial countries. In the USA, where the subject was most widely taught in universities, it had a predom­ inantly empirical and reform-oriented character, exemplified in the work of the Chicago school, but was increasingly influenced by European theories, which provided the starting point for a major the­ oretical work by Talcott Parsons (1937), although

648

SOCIOLOGY

the theory of social action which he expounded

social world by its members as active, purposeful

there had its greatest influence after the war. In

and creative beings (Dawe, 1978).

Austria sociology was strongly

For two decades, however, Parsons's systems

influenced by Weber, but also by the work of

theory (also referred to as structural-functional­

Georg Simmel (1908) whose conception of the dis­

ism), modified in various ways by R. K. Merton

Germany

and

cipline as a new approach which involved analysing

(1949), provided to some extent, and more particu­

the 'forms' of sociation or interaction as distinct

larly in American sociology, a dominant paradigm

from the historical content was elaborated by Lea­

for sociological theory. But it was always contested

paid von Wiese (1933) into a general 'systematic

from other perspectives, not only by those who

sociology', and by a Marxist sociology that was

attributed greater importance to human agency,

most rigorously formulated in AusTRO-MARXISM.

but

But this varied and vigorous development was

Marxist or Weberian, by many who continued to

by

more historically minded

sociologists,

brought to an end after 1933 by the National So­

work in a positivist-empiricist framework, and by

cialist regime. In France, the discipline was domin­

radical thinkers who criticized what they saw as the

ated by Durkheimian conceptions, though these

political conservatism implicit in it.

were challenged by Marxist critics, and some of

The decline of the functionalist paradigm began

Durkheim's followers - Halbwachs (1938) in his

in the 1960s when a great transformation of soci­

studies of social classes, and Simiand (1932) in his

ology took place. International conflicts, and espe­

economic sociology - came closer to Marxist soci­

cially the Vietnam war, the emergence of new social

ology in emphasizing the primary importance of

movements, the growth of dissent and opposition in

economic phenomena.

Western countries and in Eastern Europe, the

Only after World War II, however, and particu­

widening gap between rich and poor nations, pro­

larly in the 1960s, did a rapid expansion of sociology

voked a radical reorientation of social thought.

take place and the subject become established as a

Social change and conflict, instead of social integra­

major academic social science, for the first time on a

tion and the regulation of social life by shared

truly international scale. Initially the influence of

norms or a presumed 'common value system',

American sociology, because of the scale of the

now became central issues for analysis. As Weber

discipline in the USA, the level of development of

had written in his essay on objectivity (1904): 'a

empirical research, and the availability of research

time comes when the atmosphere changes ... The

funds, was paramount in the revival of sociology in

light of the great cultural problems has moved on.

Western Europe and its extension to other parts of

Then science too prepares to change its standpoint

the world, and this was manifest in two different

and its conceptual apparatus.' In this new intellec­

directions: in a rapid growth of more sophisticated,

tual climate sociology flourished, while the influ­

and also comparative and cross-national, empirical

ence of Western Marxist thought (see WESTERN

research, and in the impact of Parsons's theory of

MARXISM) rapidly increased, even spreading sign­

action on sociological thought, which was all the

ificantly into Eastern Europe as Stalinist orthodoxy

greater because Parsons drew extensively on earlier

disintegrated.

conceptions, in the work of Pareto, Durkheim and

This reorientation and expansion of the discipline

Weber, in constructing his own theory. This

was accompanied by increasing specialization and a

theory, in its original version, raised, among other

proliferation of new or redefined areas of research­

questions, and attempted to resolve, the longstand­

for example, into the social context of economic

ing issue of the relation between individual action,

growth, new forms of imperialism, the role of force

or human agency, and the encompassing social

in social life, gender, ethnic groups, and social

structure, as it had been posed by Simmel and

movements - many of which brought sociology

Weber; but in Parsons's later work the emphasis

into a closer relationship with other social sciences,

came to be placed on the analysis of social structure,

especially economics, anthropology and political

or the 'social system' (1951) and of processes of

science.At the same time, however, the multiplicity

social evolution (1966), and his mature theory was

of paradigms also tended to increase, and the div­

regarded by some critics as belonging clearly to the

ision of the discipline into competing schools of

category of a (deterministic) sociology of social

thought, which has always existed, became more

systems as opposed to a sociology of social action

pronounced. Marxist thought, which might have

which would emphasize the construction of the

been supposed capable, during the period of its

SOCIOLOGY greatest influence, of fostering some degree of the­

649

rejected altogether the possibility or relevance of

oretical unification, itself became more differen­

historical explanation, thus coming into conflict

tiated as a result of manifold reinterpretations and

with sociological theories of social change and de­

reconstructions of Marx's ideas, the extreme pos­

velopment, whether these were Weberian, Marxist

itions being represented by Louis Althusser's struc­

or evolutionist. In the case of Marxist theory the

turalist Marxism (see STRUCTURALISM) and the

problem might perhaps be resolved by invoking the idea of'structural contradictions' (Godelier,

critical theory of the FRANKFURT SCHOOL. There are, to be sure, controversies of long

1972),

but the general tendency of structuralist thought

standing in all the social sciences about fundamen­

was to question the value of historical explanations

tal theoretical approaches, but in sociology, which

and to see them as more or less arbitrary ideological

claimed, and with greater or lesser conviction still

constructions. Goldmann

claims, to formulate the principles of a general

lined a 'genetic structuralism' and argued that

(1970),

however, out­

social science, they have always been exceptionally

from this standpoint the structures which consti­

acute and sharply expressed. Three main issues are

tute human behaviour are not 'universally given

involved. The first concerns the relative import­

facts', but 'phenomena resulting from a past gen­

ance in social life of social structure - established

esis' whose transformation foreshadows 'a future

patterns of behaviour, formal institutions -and the

evolution' (see also Piaget,

conscious, intentional actions of individuals or

1968).

The third major issue, overlapping with the

groups of individuals: whether, and to what extent,

other two, concerns the general nature of socio­

society should be conceived as a resultant of these

logical explanation and in particular the notion of

actions, or whether, on the contrary, individual and

CAUSALITY in social life. Here there is a broad

group intentions and possibilities of action should

division between the adhrerents of causal explan­

be seen as the product of society. The problem has

ation, in positivist or realist forms (see PosiTIVISM;

been posed and debated from the origins of the

REALISM), those committed to explanation in terms

(1852)

of end-states (functionalism), and those who, dis­

in his observation that 'human beings make their

tinguishing sharply between the natural sciences

own history, but they do not make it just as they

and the social sciences, reject the idea of any causal

please'; by Simmel (1908) in his formulation of'two

explanation of social processes in favour of inter­

discipline up to the present time: by Marx

logically contradictory characterizations' of the

pretations of the meaning of human action (see

human being as 'a product and content of society'

HERMENEUTICS). All the major sociologists have

and as 'an autonomous being'; by Berger and Luck­

grappled with this question: Marx, in whose work

mann

some have discerned a 'latent positivism' (W ellmer,

(1966) in their statement of three

fundamen­

others a realist or dialectical (see DIALECTIC)

tal aspects of social life, 'Society is a human

1969),

product. Society is an objective reality. Man is a

or phenomenological method; Weber, whose com­

social product'; and by many recent sociologists

plex view of the nature of sociology juxtaposed

who are committed to social determinism in struc­

causal explanation and the understanding of mean­

turalist or other versions or on the contrary to

ing, both being necessary for a full comprehension

conceptions of individual action (in particular ra­

of social life; and Durkheim, who advocated both

tional action; see RATIONAL CHOICE T HEORY) and the

causal and functional explanation, though the latter

interpretation of interaction among individuals in

predominated in his actual studies.

see also PHENOMEN­

Despite these fundamental problems and dis­

OLOGY), or who attempt to transcend this oppos­

agreements, sociology has had a profound influence

everyday life (Wolff,

1978;

ition through such conceptions as 'destructuration'

on modern social thought; indeed, partly because of

and 'restructuration' (Gurvitch,

see STRUC­

this preoccupation with the nature and first prin­

of

ciples of a social science, it has become a focal point

TURATION), (Touraine,

1958;

or the 'self-production

society'

for debates which, if they have not resolved the

1973).

A second major issue is that concerning the rela­

problems, have undoubtedly illuminated in many

tion between social structure and historical change.

ways the specific difficulties of generalization and

The kind of structuralism introduced into social

explanation in the realm of social events and pro­

anthropology by Levi-Strauss

cesses (Outhwaite,

(1958)

and after­

1987).

But sociological thought

wards diffused in sociology, partly in a Marxist

has also been influential in other respects by

version, was generally unhistorical and frequently

conveying

into

more

specialized

disciplines

a

650

SOCIOLOGY OF KNOWLEDGE

sense of the broader social context. Many of the

a fresh impact on social thought and on the forms

most interesting sociological studies have been

of social life.

made in conjunction with other disciplines: for example, in economic sociology where an earlier

Reading

tradition of political economy has been revived

Abercrombie, N.et al. eds 1984: The Penguin Dictionary of Sociology. Aron, R. 1965, 1968: Main Currents in Sociological Thought, 2 vols. Bottomore, T. and Nisbet, R. eds 1978: A History of Sociological Analysis. Giddens, A. 1971: Capitalism and Modern Social Theory. Nisbet, R. 1966 (1967): The Sociological Tradition.

and such investigations as those of Weber and Schumpeter

(1921)

(1942) have been reassessed as a

starting point for new studies; in political sociology where the accounts of formal political institutions have been greatly extended by studies of parties, elections, pressure groups and social movements, as well as by analyses of such concepts as democracy,

TOM BOTTOMORE

bureaucracy and citizenship; in the considerable expansion of research in social history, in some cases conceived as a history of social structures (Burke,

sociology, Chicago

See CHICAGO SOCIOLOGY

1980); and in numerous studies of Third

World development in which sociologists, anthro­

sociology,

pologists, economists and political scientists have

SOCIOLOGY

comparative

See

CoMPARATIVE

participated and sometimes cooperated. In another The nature of know­

domain sociology has also had some impact on

sociology of knowledge

post-war economic and SociAL POLICY, through

ledge has been a central problem of philosophy

research on the development of the welfare state

since Graeco-Roman times. Plato, for example, in

1970) and

Theaetetus adopts a scientific approach to know­

subsequently in newly independent industrializing

ledge and cognition, and his dualistic ontology

countries, and on the nature of social problems and

rests on epistemological foundations. The philoso­

in the industrial countries (Marshall,

the effectiveness of measures to deal with them

phers of the French and Scottish Enlightenments

(Wootton,

recognized that all social differences had social

1959; Merton and Nisbet, 1961).

The achievements of sociology in these different

origins and were thus subject to human control.

spheres are real and substantial, in extending the

They were aware that a wide range of social, eco­

range of a systematically ordered knowledge of

nomic and political factors shape the genesis, struc­

social life, and in providing to some extent an

ture and content of human consciousness, thereby

empirical and rational basis for policy-making.

anticipating one of the major propositions of the

Nevertheless, there is a pervasive dissatisfaction

sociology of knowledge proper.

with the continuing divisions and fragmentation within a discipline which seems to range at will

In general,

however,

philosophers have at­

tempted to demonstrate that a sociology of know­

over a vast field, from the philosophy of science to

ledge is neither possible nor desirable. Kant thus

the most detailed microscopic investigation of some

argued that while there cannot be perception with­

bizarre form of human activity which may or may

out conception, the constitutive components of

not shed light on the general human condition. It

cognition remain a priori. Similarly, empiricists of

remains an open question whether a more unified

various persuasions have maintained that (scien­

and intellectually coherent discipline will eventu­

tific) knowledge is warranted by direct experience

ally emerge, fulfilling some part of the original hope

unaffected by social conditions. At most, these

and promise of a single paradigmatic science of

philosophies concede that extratheoretical factors

society, or whether increasing specialization will

influence the genesis of ideas but not the structure

be accompanied by a further proliferation of models

and the content of thought. Otherwise quite differ­

and intensified disputes between the proponents

ent philosophies of thought have shared an often

of alternative theories. For the foreseeable future

explicit rejection of sociological RELATIVISM and

the latter seems more likely, but the consequences

attempted to overcome doubts by placing know­

are not all to be deplored; controversy will at least

ledge on a firm foundation, even outside the realm

help to ensure that sociology remains a lively and

of sociohistorical experience.

critical discipline, not a celebration of the status

The sociology of knowledge, by contrast, investi­

quo, and new ideas may emerge that will have

gates the interconnections between categories of

SOCIOLOGY OF KNOWLEDGE thought, knowledge claims and social reality - the

651

social processes and structures that pertain to intel­

Seinsverbundenheit (existential connectedness) of

lectual life and to modes of knowing (Scheler), and

thought (Karl Mannheim). Marx was a significant

as a theory of the existential connectedness of

precursor of the field, with his theory that under

thought (Mannheim). Both orientations distance

certain historical conditions economic realities ul­

themselves from the Marxist critique of ideology

timately determine the ideological 'superstructure'

which sees ideologies as mystifying representations

by way of socioeconomic processes. This concep­

of social reality and as disguises of the interests of

tion remains a central issue in the sociology of

powerful groups in society. The sociology of know­

knowledge, and it has directly inspired some exem­

ledge, by contrast, is concerned with intellectual

plary analyses of problems of cultural production,

and spiritual structures as inevitably differently

for example in the works of Gyiirgy Lukacs.

formed in different social and historical settings

Emile Durkheim, too, is an important pioneer of the sociology of knowledge, even though he failed

(Mannheim). It was Max Scheler who first introduced the term

process. He argued, especially in

Wissenssoziologie (sociology of knowledge) in Problems of a Sociology of Knowledge (1926) provided a first systematic intro­

basic categories which order perception and experi­

structure

ence (space, time, causality, direction) derive from

identifying different 'real factors'

the social structure, at least in simpler societies.

which, he believed, condition thought in different

to develop a general model of the classificatory

The Elementary Forms of the Religious Lift (1912) and in Primitive Classification (1903, with Marcel Mauss), that the

the early 1920s, and in

duction. He extended the Marxist notion of sub­ (see

BASE

AND

SUPERSTRUCTURE)

by

(Realfoktoren)

Durkheim, Mauss and also Lucien Levy-Bruhl,

historical periods and in various social and cultural

examined the forms of logical classification of

systems in specific ways. These 'real factors' have

'primitive' societies and concluded that the basic

sometimes been regarded as institutionalized in­

categories of cognition have social origins. But they

stinctual forces, and as representing an ahistorical

were not prepared to extend this kind of analysis to

concept of substructure. Scheler's insistence on the

more complex societies. Their basic assumptions

existence of a realm of eternal values and ideas

have been heavily criticized, but much sociological

limits the usefulness of his notion of 'real factors'

work continues to take as its starting point the

for the explanation of social and cultural change.

Durkheimian proposition that the classification of things reproduces the classification of people.

It was Karl Mannheim who provided the most elaborate and ambitious programmatic foundation

The sociology of knowledge owes its decisive

for a sociological analysis of cognition. Like Sche­

development to the work of Max Scheler and Karl

ler, he extended the concept of substructure,

Mannheim in the 1920s. It may be seen as the

suggesting that biological factors, psychological

symptomatic intellectual expression of an age of

elements and spiritual phenomena might take the

crisis, and the recognition of its own rootedness in

place of primary economic relations in the sub­

social structure and determination by social factors

structure, but (just like the dominant theory of

is perhaps its most characteristic trait. The mood of

science) he did not think that scientific and tech­

the German historical and social sciences during

nical knowledge could be subjected to sociological

the period in which the sociology of knowledge

analysis. He conducted research into the social con­

developed in Germany may be described as one

ditions associated with different forms of know­

of 'tragic consciousness'. Georg Simmel's view of

ledge, and some of his studies are still considered

the 'tragedy of culture' as well as Max Weber's

first-rate examples of the kind of analysis of which

assertion that an inescapable process of rationaliza­

the sociology of knowledge is capable. In addition to

tion leads to the disenchantment of the world and to

Ideology and Utopia (1929) these include his studies

new forms of bondage are symptomatic expressions

of competition as a cultural form, of conservative

of a period in which historians, philosophers

thought, of the problem of generations, and of

and especially social scientists argued intensely

economic ambition.

about the issues raised by historicism, relativism,

Mannheim believed that the sociology of know­

philosophical scepticism and the pervasive distrust

ledge was destined to play a major role in intellec­

in

Geist.

tual and political life, particularly in an age of crisis,

It is in this period that the sociology of know­

dissolution and conflict, by examining sociologic­

ledge emerges as analysis of the regularities of those

ally the conditions giving rise to competing ideas,

652

SOCIOLOGY OF SCIENCE

political philosophies, ideologies and diverse cul­

research on the 'manufacture' of natural-scientific

tural products. He persistently pursued the idea

knowledge has led to a reassessment of traditional

that sociology of knowledge is central to any strat­

assumptions about the unique rationality of scien­

egy for creating a rapprochement between politics

tific knowledge. Seen through the lens of the

and reason, and this pursuit connects his various

'strong programme' of the sociology of knowledge,

essays in the sociology of knowledge. Throughout,

scientific knowledge and everyday knowledge are in

he believed that such a sociology has an important

fact extraordinarily similar in certain respects (see

transformative effect on its practitioners: sociology

SOCIOLOGY OF SCIENCE).

of knowledge calls intellectuals to their vocation of

Knowledge has no doubt always played a sign­

striving for synthesis. It changes their relationship

ificant role in human life. Human action has to a

to the parties contending in society, giving them

greater or lesser extent always been scered by know­

distance and overview. But Mannheim's concep­

ledge. Power, for example, has never exclusively

tion of the specific ways in which such a sociology

been based on brute physical force, but frequently

might affect the state of political knowledge fluctu­

also on a knowledge advantage. At present, how­

ated and changed. There are three main versions:

ever, knowledge is assuming a greater significance than ever before. Advanced industrial societies may

Sociology of knowledge as a pedagogical but also

2

even be regarded as 'knowledge societies'. A thor­

political mode of encountering and acting on the

oughgoing scientization of all spheres of human life

other forces making up the political world;

and action, the transformation of both traditional

Sociology of knowledge as an instrument of

structures of domination and of the economy, as

enlightenment, related to the dual process of

well as the growing impact and influence of experts

RATIONALIZATION and individuation identified

are all indications of the rapidly increasing role of

by Max Weber, and comparable to psycho­

knowledge in the organization of modern societies.

analysis, acting to set men and women free for rational and responsible choices by liberating

Reading

them from subservience to hidden forces they

Berger, P. and Luckmann, T. 1966:

cannot control; 3

Sociology of knowledge as a weapon against prevalent myths and as a method for eliminat­ ing bias from social science, so that it can master the fundamental public problems and guide appropriate political conduct.

The sociology of knowledge has recently experi­ enced a reorientation in the direction of an analysis

The Social Construc­

tion ofReality.

Latour, B. 1999:

Pandora's Hope. Essays on the Reality of

Science Studies.

Mannheim, K. 1929 (1936): Ideology and Utopia. Meja, V. and Stehr, N. eds. 1990: Knowledge and Politics: The Sociology ofKnowledge Dispute.

--eds. 1999: The Sociology ofKnowledge. International Library of Critical Writings in Sociology. 2 vols. Stehr, N. 2001: The Fragility ofModern Societies. Know­ ledge and Risk in the information Age.

VOLKER MEJA AND NICO STEHR

of everyday life and of natural scientific and tech­ nical knowledge (both neglected by the classical sociology of knowledge). Peter Berger and Thomas

sociology of science

This branch of study ex­

The Social Construction of Reality

plores the social character of science, with special

(1966), written in the tradition of Alfred Schutz's PHENOMENOLOGY and Arnold Gehlen's philosoph­

reference to the social production of scientific

ical anthropology, represents a clear departure from

sent-day society, the term 'science' has great po­

the preoccupation of the classical sociology of

tency. Not only is 'science' more or less equivalent

knowledge with issues of epistemology and meth­

to 'valid knowledge', but it also merges with 'tech­

Luckmann's

knowledge (see

SOCIOLOGY OF KNOWLEDGE). In pre­

odology. Everything regarded as knowledge in so­

nology', that is, the useful application of knowledge

ciety is now accepted as a legitimate subject matter

(see

for sociological investigations.

Consequently, those people known as 'scientists'

Inspired by developments in the history of sci­

SCIENTIFIC-TECHNOLOGICAL

REVOLUTION).

are widely regarded as the purveyors of a superior

ence, the sociology of knowledge has also turned in

kind of knowledge which represents the real world

the direction of empirical analyses of the social

with a degree of precision and reliability that makes

construction of scientific facts, frequently by way

possible extensive control over its natural processes.

of ethnographic studies of laboratory life. Such

In such a context, to be deemed 'unscientific' is, in

SOCIOLOGY OF SCIENCE

653

the realm of ideas, to be dismissed as intellectually

traditional assumption that scientific knowledge is

inept and also as irrelevant to the paramount world

largely independent of social influences. Kuhn's

of practical affairs. Sociology itself emerged and

analysis enabled sociologists to envisage the possi­

developed as one small part of the scientific move­

bility of furnishing a social interpretation of cogni­

ment in modern society. Despite many reservations

tive change in science. Furthermore, from the late

and differences of opinion among its practitioners,

1960s onwards, there was an influx of scientifically

sociology has largely adopted the conception of

trained investigators into the discipline who were

knowledge that has come to be associated with the

able to cope with the intellectually demanding tech­

'advanced' physical and biological sciences. As a

nical culture of science. These intellectual migrants

result, the sociology of science necessarily has a

contributed significantly to the series of detailed

self-referential element; that is, the practice of soci­

studies of specific areas of natural science which

ology falls within its scope and its general conclu­

were completed during the 1970s, using interviews

sions concerning the social process of knowledge

and documentary sources. These case studies were

production must be taken to apply also to sociology.

followed by a wave of anthropological investiga­

The sociology of science is a critical area of analysis,

tions of the minutiae of scientists' laboratory prac­

therefore, not only because it deals with the domin­

tices, based on extended periods of participant

ant form of knowledge in our society, but also be­

observation.

cause its findings may have important implications

As a result of this body of research, the trad­

for its own discipline and for other realms of social

itional sociological model of scientific knowledge

investigation.

and of the METHODOLOGY of science was radically

During the last three decades, sociologists have

revised. Scientific knowledge was seen to derive,

looked in ever-greater depth at the social produc­

not from the impartial application of clear technical

tion, and application, of scientific knowledge. They

criteria of adequacy, but from such factors as prac­

concentrated initially on the most advanced phys­

titioners' rhetorical skills and from their socially

ical sciences such as physics and radio astronomy.

negotiated allegiances. Careful observation of sci­

Subsequently, much attention has been given to the

entists at work seemed to show that scientific know­

biological sciences. These unequivocally scientific

ledge is not an objective, detached representation of

disciplines were chosen for study partly because

an independent natural world, but an active, en­

they appeared to be the least amenable to a fully

gaged creation of that world in the course of social

fledged sociological analysis. It has, of course, long

interaction. The conclusions of science are socially

been accepted that many aspects of science are

contingent formulations that have been deemed to

obviously social in character: for instance, its form

be adequate by specific groups in particular cultural

of organization, its patterns of communication, its

and social situations.

internal hierarchy and its allocation of symbolic

By the 1980s, it had become clear that the previ­

awards, with its emphasis on scientists' collective

ous failure to understand the social processes of

commitment to particular intellectual frameworks.

science was bound up with scientists' flexible use

But sociologists' own acceptance of the belief that

of language. In publicly accessible settings, scien­

science is a privileged form of knowledge led them

tists tend to use forms of discourse that depict their

to exempt the intellectual products of science from

actions and beliefs as a neutral medium through

their investigations. When sociologists eventually

which the realities of the world make themselves

took up the challenge of attempting to give a socio­

evident. In more private contexts, however, which

logical account of the content of scientific know­

have only recently become visible, they often

ledge, it seemed advisable to take what appeared to

employ repertoires which allow them to furnish

be the hardest cases first. For if the most advanced

much more socially and personally contingent ac­

sciences were to prove susceptible, all other discip­

counts of the activities of science. In the last few

lines would follow automatically.

years, some authors have tried to explore the impli­

The sociological analysis of scientific knowledge

cations of such findings for the textual practice of

received much of its initial impetus from outside

sociology. They have argued that the univocal texts

the discipline. Thomas Kuhn's (1962) historical

of the social sciences, modelled on the conventional

thesis concerning the occurrence of revolutionary

forms of the scientific literature, are unsuitable for

upheavals in science (see Merton, 1973) was par­

expressing the interpretative diversity of the social

ticularly important in freeing sociologists from the

world. They have maintained that the unitary !an-

654

SPACE

guage of sociological analysis hides away the social

a spatial focus to activities, a sense of the difference

contingency and contextual dependence of its own

between homeland and foreign territory, is so ubi­

representations of the world; and that this kind of

quitous that it is easily taken for granted in social

textual subterfuge is inappropriate in a discipline

theory. Nonetheless,

committed to a fully sociological perspective. They have begun to devise new, multivocal formats

Everybody, even the exiled, the drifting, the dia­

which are intended to give greater voice to the

sporic, or the perpetually moving, lives in some

interpretative multiplicity of the social world and

confined and limited stretch of ... 'the world

to place sociologists in active dialogue with the

around here.' The sense of interconnectedness

subjects of their studies. This new form of analysis

imposed on us by the mass media, by rapid travel,

is an attempt to find an alternative language with

and by long-distance communication obscures

which to escape from the restrictions of the domin­ ant worldview of science in our approaches to the social realm.

spaces, the standardization of so many of our products, and the routinization of so much of our da ily existence. The banalities and distractions of

Reading Ashmore, M. 1989: The Reflexive Thesis: Wrighting the Sociology of Scientific Knowledge. Knorr-Cetina, K. D. 1981: The Manufacture of Know­ ledge: an Essay on the Constructivist and Contextual Nature of Science. --

this more than a little. So does the featurelessness and interchangeability of so many of our public

the way we live now lead us, often enough, to lose sight of how much it matters just where we are and what it is like to be there. The ethnography of place is ... more critical for those who are apt to imagine that all places are alike than for those who, listening to forests or experiencing stones, know

1999: Epistemic Cultures.

better (Geertz, 1996, pp. 261-2).

Latour, B. 1987: Science in Action. Mulkay, M. 1985: The World and the World: Explorations

Debated under the slogan 'space matters' (Sayer,

in the Form of Sociological Analysis. Woolgar, S. ed. 1988: Knowledge and Reflexivity: New

19 85), this sentiment is echoed in a number of social theories over the last 25 years. During this time,

Frontiers in the Sociology of Knowledge.

MICHAEL MULKAY

many social science theorists have taken a 'turn to space'. The result has been an interest in place and

sociology, political

See POLITICAL SOCIOLOGY

localities, in the relationship between territory, community and identity, in the locally contingent

space

The role and position of space in social

forms of general social qualities such as class, and

theory are questions of both basic ontology and

even in the globalization of social phenomena

empirical subject matter. For example, are spatial

through processes of what Anthony Giddens has

relations recognized or taken for granted?

Is

called time-space distanciation. During this time,

'the social' seen to have geographic variations and

the spatial aspects of social phenomena have been

if so, at what scale? Furthermore, are specifically

proclaimed as new. However, as Jens Tonboe and

spatial aspects of human life taken into account?

others have pointed out, spatial aspects of social

Examples might include the human attachment to

relations and economic organization have often

place, or the tendency of the social life of places to

been explicit and extensive

exhibit some degree of local specificity. This entry

From Marx and Engels's discussion of cities as

mixes the treatment of space per se in theory with

the crucible of capitalism and of working-class

(1993). These run

the way in which social theories account for geo­

slums as evidence of its destructive character;

graphic variation, notions of place and sense of

through Durkheim's discussion of sacred space;

spatiality.

Simmel's incisive illustrations of the importance

All social life takes place in TIME and space.

of status distinctions between the local and the

These basic ontological dimensions apply even to

foreign; and Max Weber's study of The City (see

social processes that have a physical form per se, and

below). However, the social sciences through the

to those which neither can be literally 'placed' nor

twentieth century adopted the universalist stance of

can be linked to a single event (for example, the

modern EuroAmerican society, chronicling the

experience of community, class or ethnicity). Such

progress and development of social organization

phenomena nonetheless manifest themselves in

and forms of interaction. Attention to the spatial

specific places and times. Some sense of place and

context and spatial aspects of social processes were

SPACE

655

largely treated as a matter of resources and climate.

and more as a commodity in the form of rent.

The physical environment was to be mastered and

Thus Marx does not develop an analysis of the

rendered unobtrusive. Accepting this as the basis of

spatial and geographical assumptions and bases of

its own practice rather than an object of investi­

capitalism, such as property law. Nor does he ar­

gation, the environment, questions of context and

ticulate an ecological perspective on capitalism

the spatial aspects of social action were excluded

beyond seeing the importance of the slums of the new capitalist cities as the sites in which a new

from social analysis. The basic forms in which spatiality appears in

political perspective might emerge.

social theory begin with observations of an environ­

Lenin's studies of imperialism and European

ment or context. Spatial patterns are described in

colonialism are based on the importance of the

terms of their extent, density, commonality across

expansion of capitalism as a 'spatial fix' for the

social groups, tempo and rhythm. Even when

excessive competition and falling rate of profit of

selecting a narrow focus, studies often compare

the mid-nineteenth century. Colonies provided

places prior to generalizing. However, social theory

undervalued sources of raw material, cheap labour

relies on often unacknowledged spatial assump­

and new, unsatisfied markets. Neo-Marxist analysts

tions. In making the particular a sign of the general,

later developed these insights beyond the bounds of

theoretical generalization is by definition a reifica­

Marxist orthodoxy, which continued to neglect the

tion of local context, a paradox that continually

spatial (see below).

unsettles social theory as anomalous cases are later

The value-laden character of sacred places is

discovered. In theoretical writing, spatial meta­

developed in Durkheim's Elementary Forms of the

phors and the rhetoric of places with a clear local

Religious Life, in Mauss's anthropological work,

character or the sites of historical events serve as a

and in Halbwachs's sociology of the religious and

conceptual shorthand. Even when the spatial is

moral symbolism of place. Durkheim and Mauss

completely missing in social theory it may reappear

consider spatial aspects of the division of labour in

in the place-names after which various'Schools' are

terms of 'social morphology'. Density (crowding),

named - the Chicago school or the Vienna circle,

size and area are important but they neglect space as a differentiating, individuating and localizing factor

for example. In their early works, Marx and Engels are spe­

in their quest for identifying social facts, structures

cifically aware of the importance of the urban en­

and laws. The laws sought are structural, modelled

vironment.

working-class

on Cartesian notions of universal validity. The

neighbourhoods which accompany industrializa­

boundaries of France and of Europe mark out the

The

overcrowded,

tion and the urbanization and concentration of the

spatial area of their theories. The specificity and

workforce to serve in factories is one aspect of the

contingency of places is excluded from the analysis.

creation of a new spatial organization by capitalism.

Durkheim and Mauss 'sociologize' space; that is,

Cities are reorganized on an industrial production

only the social aspects of geography at the scale of

and transportation basis. Before this European

the nation are important in the approach to explan­

cities were constructed to give priority to religious

ation by formulating sociocultural laws.

and political spaces and marketplace squares which

Simmel argues that space is the contingent, ex­

served local and regional economies. In The Condi­

ternal form of social life. Space does not have social

tion ofthe Working Class in England, Engels analyses

consequences, because it is dissolved into the

the social consequences of the urban spaces created

spatial relations of social agents and structures. A

by industrial capitalism. His method is observa­

section of his Soziologie is dedicated to space. How­

tional, comparative between places and times and

ever, Space itself is treated as an a priori perception,

critical in its analysis of the dominant role of eco­

in line with Kant's philosophical position. In other

nomic logic and the low levels of inhabitants' polit­

studies Simmel shows how different social activities

ical organization.

overlap in time and space, the impact of'Strangers'

In later works however, space is taken for granted

on the tone of local social interaction. Such repre­

as an aspect of the material basis of labour and a

sentatives of distant regions and places or foreigners

capital in the form of land. Space is necessary

who have settled locally who are thus neither in­

'materiel' in the sense of an open space for the

siders nor outsiders, strictly speaking. Simmel uses

development of factories. Theoretically, space is

striking local and urban examples, contrasting the

'annihilated by time' as it becomes treated more

tempo of late-nineteenth-century Berlin and other

656

SPACE

metropolises with earlier cities and the countryside.

key contributors, Park, Thomas, Mead and Small,

In his essay 'The Metropolis and Mental Life'

studied in Germany and imported Weberian and

Simmel identifies the overstimulation of the city

Simmelian approaches which were mated with the

as the cause of withdrawal into the disinterest and

concerns of urban journalism, such as the life of

distance of the urbanite. But this 'blase attitude' is

immigrants, and with the pragmatist philosophy of

ultimately the result of modernity, an epoch. It is

Pierce andJames. This produced a series of famous

not a result of the city as a site nor as a spatial

empirical studies of community forms at a range of

system.

spatial scales from the street corner to the ghetto

Waiter Benjamin, a neo-Marxist writer who de­

and small town. Burgess and McKenzie developed

velops one of the first forms of cultural sociology,

a model of concentric spatial zones in the American

uses both sites and the city of Paris as exemplary

city, modelled on Chicago. This zoning repre­

cases of more generalized social phenomena, such

sented the area! differentiation of status, wealth

as consumption, changing attitudes, cultural values

and ethnicity, with new immigrants located in the

and stereotypical 'figures' of modernity. His in­

urban core. Using a descriptive approach, little

complete 'Passagenwerk', translated as The Arcades

predictive power was sought. Social relations are

Project, consists of clippings, anecdotes and frag­

not reduced to spatial relations or geography, but

ments of analysis on the glass-enclosed arcades or

are understood to be embedded in their ecological

passages of Paris. The arcades as social spaces are

context of first, biological, then economic and cul­

the location in which key technological develop­

tural forces. This approach was formalized as

ments in materials, architecture and planning

'Human Ecology' with the work of Louis Wirth.

come together to facilitate a space, which was im­

However, from the late 1940s the trend was toward

agined to be the ultimate example of those aspiring

empirical and analytical studies influenced by

to nineteenth-century ideals of bourgeois public

Durkheim. The result was a neglect of the political

interaction and consumption. In some cases, mid­

economy of class divisions as a factor in the shaping

nineteenth-century Arcades of Paris such as the

of society and its spatial arrangements, a critique

Passage des Panoramas actually were the sites of

strongly made by Gottdiener in the early 1980s.

permissive overconsumption of colonial goods, and

By contrast, Talcott Parsons explicitly rejects a

of promiscuous social interaction which prefigure

role for space. He cut key chapters on Simmel from

both the positive and negative aspects of twentieth­

his books and abstracts to an analysis of time and

century norms of public behaviour and social

action. Parsons's methodological individualism and

exchanges in public space such as the pavement

macrostructural model of social action excludes the

and the shopping mall amongst men, women and

spatial setting of social life other than as objects and

children.

as environmental obstacles. Writers in the struc­

In The City and other works, Max Weber treats

tural-functionalist school later attempted to theor­

space as a factor whose importance depends on

ize communities' reliance on a sense of locality.

social attitudes and technological dependence on

Merton calls for a more complete theorization of

land and area. The 'City' is an ideal type as well as

space. Michelson provides an attempt from the

an empirical context. It is a political and social form,

perspective of urban planners. Nonetheless, the

abstracted from both its empirical and theoretical

limits of this formulation prevent the empirical

spatial properties. That is, it is neither a specific

observations of spatial differentiation and signifi­

location nor place, nor is it the concrete manifest­

cance from being integrated within the theory, and

ation of 'centrality' or people coming together, as

lead to a gradual divorce between structural-func­

Henri Lefebvre later argues (see below). In his

tionalist theory and untheorized positivistic re­

studies of industrial production, the planning and

search in specific spatial contexts.

spatial arrangements of the city are tied to product­

In planning, this results in instrumental ap­

ivity and the conditions of capitalist exchange. But

proaches in which space is to be planned or reno­

it is neither determining nor causal. Max's brother,

vated for human purposes. The social qualities of

Alfred Weber, was one of the founders of human

space are seen as epiphenomenal. Space tends to be

geography. Spatial location is given causal power as

significant only as distance, shrinking into the

a determining feature of societies.

mathematics of range, and the metaphors of the

The Chicago school is the sociological approach

cost and time of transportation as 'the friction of

most strongly identified with spatial analyses. Its

distance'. Once again, 'space is annihilated by

SPACE

657

time'. Local material and cultural contingencies are

lots are exchangeable and in which national terri­

dispensed with in favour of efficiency at the scale of

tories are patrolled and organized such that capital­

the social system. This is provided by technological

ist

interventions whose effectiveness is described in

smoothly or 'competitively'. Thus space has a his­

terms of universal social laws. These laws may be

tory, which Lefebvre examines as periods correl­

social psychological and anthropological relating to

ated with historical modes of production.

production

and

consumption

take

place

territoriality and interpersonal space, or they may

Lefebvre theoretically expands production to in­

be the laws of regional science, such as the math­

clude the production of space and the creation of

ematical formulation of rules of industrial location.

works such as cities. The production of space is at

The result is a tendency to suppress local variation

one and the same time the reproduction of the

and hence the significance of space and to promote

capitalist society and economy. He theorizes space

homogenization.

as a dialectic of commonsensical social practices;

From the 1960s, a paradigm shift has occurred.

professional technical theories and interventions

First, neo-Marxists strongly critiqued the instru­

(such as planning, road building and so on); and

mentalism and neoclassical economism of positivist

artful moments of 'fully lived' engagement with

approaches. The work of the French philosopher,

and re-imaginings of the logic of one's space. This

Henri Lefebvre is a key inspiration, rendered into

three-part 'dialectic of triplicity' extends Hegel's

English by authors such as Manuel Castells, David

and Marx's studies of the dialectic.

Harvey and Mark Gottdiener. From the 1950s,

In response to Lefebvre's work in the late 1960s,

Lefebvre and other theorists of the post-World

Castells pursues The Urban Question as a core issue

War II transformation of European rural environ­

for capitalist society.

ments make an analysis of the physical structure

deeply felt humanism of mysticism from an Althus­

and exclusionary zoning of cities the basis of their

serian perspective. He concentrates on the politics

He criticizes

Lefebvre's

social critique of inequality. French urban soci­

of urban planning. The spatial is not analytically

ology established the importance for capitalism of

separated from the social. Castells works at a struc­

spatial conventions, such as the accepted under­

tural level of technology, politics and economics to

standing of the landscape as divisible into private

analyse the rise of technopoles and a global system

lots. That is, in contrast to noncapitalist societies,

of production and exchange which dominates the

private property includes the ownership of places,

locally bound traditions of people in places. In his

areas and even environments as well as artefacts.

later work, a determinism of either global econom­

This modern capitalist spatialization was analysed

ics or technologies predominates over the contin­

in terms of routine practices and commonsensical

gencies of space and place. The result is a form of

attitudes, the various political-economic discourses

structuralism, in which agents are almost wholly

and professional notions of geographic space, and

absent. In contrast, the Canadian school, ranging

its status as generalized framework in which all

from McLuhan to Kroker and to Jane Jensen,

other social action was imagined to take place.

champion the articulation between local commu­

By the 1960s Lefebvre argued that the city, in­

nity and broader political economies.

cluding its slums and suburbs, parks and 'red-light

David Harvey and Edward Soja describe the

districts', is the essence of the social form which

significance of space in terms of a social-spatial

capitalism takes. In it, the importance of everyday

dialectic and the focus on the collective struggles

life and of community is repressed in favour of

over space as a corrective to the extreme positivism

exclusionary neighbourhoods founded on class­

and individualism of Human Ecology and other

based speculation on the value of land as a com­

perspectives. While Castells's early work describes

modity. Space is 'parcelized' into property, public

the organization of space as a political manifestation

and private space, zoning, problem ghettos and

of capitalism, David Harvey sees it as an economic

gentrified historical districts, consumption and

and aesthetic component. His work ranges between

production areas, protected natural areas and cul­

extending Lefebvre's argument that real estate is an

tural enclaves. It is split up into the domains of

important, second circuit of capitalist accumula­

various disciplines and professions and can be

tion, to studies of the aesthetics of consumption.

misrepresented and misunderstood. Yet capitalism

Nonetheless, Harvey does not provide a social

depends on a particular spatial order and system, or

theory of space: even when he discusses modernity

'spatialization' of society and the world in which

as a social formation, he turns to describing a

658

SPACE

core-periphery geography post-Fordist accumula­

other studies, UK academics' interest in locality

tion. In this, the Marxist maxim of the annihilation

studies represents a convergence on the importance

of space by time, or the compression of space,

of the spatial forms and context of social action. In

prevails.

the spatialization described by all of these texts, not

The second part of the paradigm shift lies in the

only capital and data but people are mobile travel­

'turn to space' itself as a contingent component

lers bringing places into new relationships (one

of social structure. In France, Pierre Bourdieu

factor inspiring a new interest in Simmel, above).

treated social spaces and milieux as essential elem­

Anthony

ents for social theory. Bourdieu's work is anchored

theory' in which space and time are important

Giddens proposes a 'STRUCTURATION

by the twin concepts of 'habitus' and 'field'. Other

dimensions of social interaction. Theoretically,

writers, such as Maffesoli, adopted a social anthro­

space as a resource is part of the structure which

pological approach in which the qualitative nature

agents take up in action. Space is also important as

of different physical settings, such as sacred sites,

'space-time distanciation', which describes the

took a central place in their analyses. While Durk­

geographic extension and 'disembedding' of social

heim is a key influence, this approach derived in

relations. 'Locales' describe the material and spatial

part from Bergson and Bachelard; social theorists

context of action. Loss of trust and a sense of risk

from Georges Ea taille and Rene Callois to Deleuze,

are the result of this mixture of the place-bound and

Guattari and Baudrillard in the 1970s made exten­

foreign which is analysed more explicitly than by

sive use of spatial and geographical metaphors (e.g.,

Simmel.

'territorialization') in theories which responded to

These UK contributions depend on forms of realist epistemology. Causality is analysed into ne­

the contradictions of their time. In the mid- and late-1970s, Michel Foucault

cessary and contingent relations. Space matters,

combines Durkheim's structuralism with the phe­

but only contingently. It does not initiate or cause

nomenology of Canguilhem and Bachelard and

action but functions as an intervening variable - as

critical extensions of Hegel and Marx to describe

an essential ingredient which always figures in caus­

the history of the institutions which shaped the

ation but in locally specific or unpredictable ways.

identity

The picture becomes clouded, however, when the

of

modern

individuals.

The

spatial

arrangements and allocations of bodies and objects

qualitative, symbolic aspects of space are included.

to space are essential to his analysis. Space is under­

As an aspect of dominant religions, ideologies and

stood as a structuring and disciplining force. The

worldviews, space can pass over to the side of

politics of the shaping of space and of the spatializa­

necessary relations. Empirical research is thus

tion of social action is acutely analysed beyond

essential.

merely being a context of action. This tends to a

Space continues to attract theoretical investiga­

form of structural determinism, but Osterberg

tion and inspire critical appraisals of past theory

argues that it only represents the inert and the

and practice. The role of place and spatial assump­

past which are quickly and suddenly transcended

tions concerning fieldwork have been critiqued in

when social relations shift (1998). De Certeau adds

anthropology. Arjun Appadurai notes that the

that everyday life is dominated not by the 'strategic'

status of the 'native' is never directly investigated

production and control of space but by momentary,

but constructed and naturalized via the description

'tactical' appropriations and manipulations of the

of a locale to which natives are indigenous. Others

dominant order. This is the key to the subaltern

have extended the materiality of space into virtual

production of habitable space in the midst of

'cyberspace'. This has attracted critiques of the a­ spatiality of cyberspace, despite its function as a

oppression and violence. In the UK, one may identify a 'Lancaster school'

medium which relates geographical places. In geog­

beginning from the early 1980s collective work

raphy, the tensions between the global and the

Place,

Gender,

Class.

The

analysis

of

spatial

local have inspired the re-emergence of scale as a

conditions is extended to symbolic manipulations

clearly stated problematic in key journals such as

of space and place. Tourism and others forms of

Society and Space: in feminist theory, the spatial

movement consume space while being correlated

limits of the body have been examined; Australian

with the production of an interconnected global

historians and cultural theorists have highlighted

spatial system. Tourists also consume images of

the way in which the continent was not only

space in the form of photographs. Together with

discovered but constructed as a space which did

STALINISM not conform to European expectations and per­ ceptions.

As early as 1924, the year of Lenin's death, Stalin's political doctrine began to display distinct­

Hotly debated attempts have been made to de­ scribe

659

this

paradigm shift from

instrumental

ive characteristics. He insisted that LENINISM was not merely a version of Marxism applicable to a

and positivist theories of space to critical, complex

peasant country, but was of worldwide validity in

theories of spatialization in terms of a shift from

'the era of imperialism and the proletarian dictator­

modernity to postmodernity. In North America,

ship' and he emphasized the authoritarian charac­

capitalist restructuring and globalization (whether

teristics of a Leninist political party. In the same

theorized under the labels of late capitalism or

year he declared, against Trotsky's bitter oppos­

postmodernism) have been marked by new spatial

ition, that it was possible to complete the building

arrangements.

of SociALISM in the Soviet Union without a socialist

'Post-urban',

multinodal

urban

regions strung along automobile freeways are

revolution elsewhere (see TROTSKYISM).

more 'network' or 'corridor' cities than suburban

As the Soviet Union embarked on forced indus­

'edge cities'. In them, public spaces are commer­

trialization and the collectivization of agriculture at

cialized,

the end of the 1920s, Stalin modified Leninist doc­

interiorized

within

shopping

malls,

themed and franchised. Service-sector and infor­

trine in major respects. In 1928 he argued that the

mation or 'knowledge-economy' production activ­

class struggle would not die away but would

ities are clustered in multifirm industrial parks or

become intensified during the transition to social­

regions. In the UK, a similar multicity network

ism, and two years later he declared that owing to

emerged in the wake of the industrial restructuring

the capitalist encirclement of the USSR the state

of the 1980s. These dramatic shifts in the social

would not wither away but become stronger during

arrangement of space support the thesis of a

this transition.

changing, globalized spatialization which has been

In the early 1930s the Soviet definition of'social­

both the product and enabling medium of late­

ism' was also changed. The Bolsheviks, following

twentieth-century socioeconomic changes.

Marx, had assumed that socialism would be a moneyless

Reading Dear, M. and Flusty, S. 2002: The Spaces ofPostmodernity. Geertz, C. 1996: Afterward in Sense Place eds S.Feld and K. Basso. Osterberg, D. 1998: Arkitektur og sosiologi i Oslo- en socio­ materiell fortolkning. Sayer, A.

1985:

J.

without

commodities

or

held that the personal plot of the collective farmer, the free market for some peasant products, and an inegalitarian wage system within industry were all part of the socialist economy, which must remain a money economy.

The difference that space makes. In Social

Relations and Spatial Structures, eds D. Gregory and Urry.

Tonboe, J.

economy,

trade; but from the mid-1930s Soviet Marxists

Stalin accordingly announced in December 1936 that socialism had been established 'in principle' in the Soviet Union. At this time he also developed his

1993: Rummets Sociologi. ROB SHIELDS

doctrine that there were no antagonistic contradic­ tions within socialist society, so that all hostile actions and beliefs (which in practice meant all

soviet

See WoRKERS' COUNCIL

criticism of Stalin) were due to the influence of the hostile capitalist world. This provided an ideo­

Stalinism

IosifVissarionovich Stalin (real name

logical justification for the repressions of 1936-8.

Dzhugashvili) (1879-1953) was a ruthless polit­

In the last years before his death he conceded,

ician,

however, that even within socialist society certain

who

presided

over

the

transformation

of peasant Russia into an industrial superpower,

contradictions might develop, and stressed the

the horrors of famine and purges in the 1930s

value of a 'clash of opinions'; but this change in

and Russian resistance to the Nazi invasion of

doctrine did not lead to any softening of his harsh

1941-5. He is often portrayed as a man of mediocre

despotic rule.

intellect, but his pervasive ideology, which became

In 1956 Khrushchev launched his attack on the

known as 'Stalinism', played a major part in

'cult of the individual', and rejected Stalin's doc­

shaping the Soviet regime and the world commun­

trine of the intensification of the class struggle

ist movement in his lifetime and for some decades

during the transition to socialism. But the Soviet

beyond.

definition of socialism remained sacrosant, as did

660

STANDARD OF LIVING

the principle that the system must be controlled by

comparison with others. However, GNP was not

a single united party.

originally constructed as a welfare indicator. It rep­

After the appointment of Gorbachev as party

resents aggregated activity in the formal economy

General Secretary in 1985, the existence of a dis­

(that of wages and commodity exchanges), and fails

tinctive ideology of'Stalinism' was officially admit­

to deal with informal economic production, with

ted in the Soviet Union for the first time, and

environmental sustainability, social EQUALITY AND

Stalinism was subjected to far-reaching criticism

INEQUALITY and a number of other equally import­

as a distortion or betrayal of socialism. Features of

ant aspects of welfare. Efforts to quantify standard

Stalinism strongly condemned as erroneous or out­

of living and, more recently, quality of life, attempt

dated included its emphasis on the power of the

to overcome some of these limitations.

state and on state property as the highest form of

'Standard of living' can be used either to refer to

social property; the replacement of democracy

the aspirations, or, more commonly, to the empir­

by bureaucracy; and the establishment of what

ical circumstances of populations and social groups.

Gorbachev termed an 'administrative-command

Relevant statistics seek to index these circum­

system of state-party management of the country'.

stances directly - rather than infer them from eco­

Following the collapse of Soviet communism in

nomic activity. Such SociAL STATISTICS are typically

August 1991, Yeltsin's close associates at first

obtained by direct enquiry through household

argued that Stalinism was essentially a continuation

surveys and censuses. Conventionally they are con­

of Leninism and even of Marxism, and rejected the

cerned with such issues as household income, hous­

whole course of Soviet development since October

ing conditions (for instance, whether there is access

1917. From the mid-1990s, Yeltsin and his succes­

to a toilet, and if so whether it is indoor or out­

sor Putin took a more accommodating attitude to

doors), material possessions (such as ownership of

the nationalist aspects of Stalinism.

household appliances) and consumption practices (including the foodstuffs consumed). Many such statistics are produced routinely and frequently in

Reading Carr, E. H. 1958: Stalin. In Socialism in One Country,

1924-1926, vol. I. Davies, R. W. 1989: Soviet History in the Gorbachev Revo­

lution, chs 3-8. --

1997: Soviet History in the Yeltsin Era, chs 11-17.

Lewin, M. 1985: The Making ofthe Soviet System: Essays

in the Social History ofInterwar Russia, especially chs !I and 12.

1972:

The

Essential

Stalin:

Major

Theoretical

Writings, ed. B. Franklin. --

--

for instance, access to clean running water rather than toilets, sufficiency of calorie intake rather than the precise composition of the shopping basket.) 'Standard of living' is not only used to refer to

1995: Stalin's Letters to Molotov, 1925-1936. 2001:

The

Stalin-Kaganovich

Nations expert committee recommended that'level of living' be used for this purpose, with 'standard of living' referring to people's aspirations or expect­

Correspondence,

1931-1936. Tucker, R. C. 1973: Stalin as Revolutionary, 1879-1929: A

ations for their living conditions. Relatively few studies employ this distinction. However, statistical studies may well contrast actual levels of income with those required to meet particular requirements

Study in Personality and History. --

poorer regions of the world. (In the latter, the specific questions posed may be rather different -

actual living conditions. In the mid-1950s a United

Stalin,Joseph V. 1952-5: Works, vols 1-13. --

most industrialized countries, and less often in

1991: Stalin in Power: the Revolution from Above,

1928-1941.

for food, shelter, and so on. Likewise, consumption levels are frequently contrasted with a given stand­

R. W.

DAVIES

ard- typically a minimum level, or a reference level based on an average or benchmark level.

standard of l iving

Economic growth is gener­

It is common for 'standard of living' to be re­

ally seen as a desirable objective because it will

stricted to material wellbeing, and for this to be

improve the welfare of the population at large.

indexed in terms of possession of commodities

Levels of economic activity and growth are assessed

and access to basic amenities. There have also

by such measures as Gross National Product

been many attempts to develop sets of indicators

(GNP). The comparison of GNP or per capita

that encompass wider aspects of living circum­

GNP levels has become established as the primary

stances - such as access to education and health

indicator of a countries' progress over time and in

services, life expectancy, mobility and even cultural

STATE

661

facilities. Terms such as 'quality of life' have been

prime goal, that of security, is normally made ne­

introduced to cover such wider concerns, espe­

cessarily incomplete because of the presence of

cially, in the last decades of the twentieth century,

larger societies which it cannot control. One such

environmental circumstances such as exposure to

society is that of the system of states, present for a

pollution and environmental degradation. 'Quality

thousand years in European history and now char­

of life' is often counterposed to 'standard of living'

acteristic of what is genuinely a world polity. A

to explicitly underline the point that there is more

second such society is that of CAPITALISM, which

to life than the accumulation of commodities (see

clearly has laws of motion all of its own. Much

CONSUMER SOCIETY). Substantial work has been

interesting and important work is now being done

undertaken to develop wider sets of social and en­

in modern social science on the interrelations of

vironmental indicators, capturing broad features of

capital and the state, both domestically and inter­

changing ways of life. The issues preoccupying

nationally.

conventional studies of standard of living are still represented in such compilations. After all, the fundamental importance of material welfare in our

Contesting the state

lives has not diminished, even if environmental

The nature of the state has been the subject of

damage and other contemporary sources of concern

intellectual debate and of power politics in the

may themselves impact on material welfare.

twentieth century. Two principal opposing camps

Reading

liberalism and of a looser school best dubbed that

Darling, D. and Simpson, S. eds 1998: Statistics in Soci­

of Germanic realism.

can be identified, namely those of Anglo-Saxon

While there are many versions of liberalism,

ety.

Ekins, P. and Max-Neef, M. eds

1992: Real-Life

Economics.

most show suspicion towards the activities of the state. All that is virtuous is seen as residing in

United Nations Development Program, annual, Human Development Report.

!AN MILES

society, with state forces being seen as obstacles needing to be diminished. The most active role for the state envisaged by some liberals is that of a nightwatchman, protecting a framework within

state

There is a great deal of agreement among

which market forces can then operate according to

social scientists as to how the state should be

their own logic. This is the philosophy of LAISSEZ­

defined. A composite definition would include

F AIRE;

three elements. First, a state is a set of institutions;

state-centred because no fundamental reality is

these are manned by the state's own personnel. The

accorded to the polity. Liberalism's view of inter­

its explanations are society-based rather than

state's most important institution is that of the

national relations is as strikingly dismissive of state

means of violence and CoERCION. Second, these

power. The 'Manchester school' of laissez-faire

institutions are at the centre of a geographically

liberalism hoped that nothing less than peace

bounded territory, usually referred to as a SociETY.

would be assured by the growing interdependence

Crucially, the state looks inward to its national

of the world economy; as importantly, trade rather

society and outwards to larger societies in which it

than territorial conquest was now held to be the

must make its way; its behaviour in one area can

route to progress and prosperity. Other liberals,

often only be explained by its activities in the other.

following the lead of Immanuel Kant, have sug­

Third, the state monopolizes rule-making within

gested that the era of peace will depend not just

its territory. This tends towards the creation of a

on trade but on other states recognizing the prin­

common political CULTURE shared by all citizens.

ciples of nationalism and of democracy.

It must be stressed that statehood is often an

Germany was created as the result of the actions

aspiration rather than an actual achievement. On

of its state, and it is scarcely surprising that a greater

the one hand, most historic states have had great

appreciation was shown of the reality of state

difficulty in controlling their civil societies, and

PoWER. Internally, this tradition sees the state as

in particular in establishing their own monopoly

an actor in its own right, able to represent the

of the means of violence; and what was true of

general interest. Externally, the state is seen as the

feudal states is as true of present-day Lebanon.

guarantor of survival. This recognition of the logic

On the other hand, the search by a state for its

of the 'asocial' world of state competition came

662

STATE

especially easily to Germans. Social thought in gen­

extent of the state's arbitrary powers, that is, the

eral was massively influenced by the long peace

polar opposition between despotic and constitu­

between 1815 and 1914 in which the brute social

tional regimes. However, studies of agrarian states

transformation of industrialization did seem all-im­

show that claims to universal power were more

portant. But Germans achieved statehood in part

pretension than reality since the state had relatively

because of war, and it is scarcely surprising to find

few servants to penetrate and organize social life.

that thinkers such as Max Weber, Ludwig Gum­

Hence, a second dimension of state power deserves

plowicz, Gustav Ratzenhofer, Otto Hintze and

the appellation infrastructural.

Franz Oppenheimer all lent great weight to the

A paradox results from this. State strength is

impact of geopolitical transformation on social life.

often the result of the extent to which it can cooper­

Germany started two world wars and the Anglo­

ate with groupings in civil society, and such cooper­

Saxon powers emerged victorious. This meant in

ation is often ensured by some limitation on a state's

consequence that for a long period a concern with

despotic powers. Thus in the eighteenth century,

the state was ruled out of court. Since the 1970s,

the absolutist French state may have been autono­

however, this has thankfully changed. One source

mous in the sense of being 'free from' parliamen­

of such change has been modern WESTERN MARX­

tary constraint, but it was nonetheless weaker - as

ISM. To fight an enemy influences one's own mind,

the test of warfare showed -than its constitutional

and Marxism in the last analysis resembles liberal­

rival, Great Britain. In that state, agreement be­

ism - with which it shares, albeit with a different

tween the upper classes and state actors allowed

time-scale in mind, hopes both of universal peace

for higher levels of taxation and greater general

and of the 'withering away' of the state-in proffer­

efficiency: the British state was 'free to' do much

ing society-based rather than state-centred explan­

more. This paradox applies equally well to the

ations. Nonetheless, the attempt to specify the way

modern world: the war mobilization of Great Brit­

in which a 'relatively' autonomous state could serve

ain in World War II exceeded that of Germany,

the interests of capital by providing it with a neces­

while recent scholars of the Japanese state have

sary infrastructure led to questions being asked that

stressed that its great strength results from a 'polit­

rapidly escaped the Marxists' own paradigm. More

ics of reciprocal consent'.

generally, historical perspective is now such that no-one can deny that the history of economic de­ velopment beloved by liberals was rudely inter­

States and markets

rupted by geopolitical conflict between 1914 and

A much clearer picture, drawn in comparative per­

1945, or that this period profoundly changed social

spective, is now available of the role of the state in

life. The different organization of social class in

the emergence of the capitalist economic dynamism

East and West Germany, to give but a single

of north-west Europe that allowed Europe to dom­

example, was the result of geopolitical settlement

inate the world. Two theoretical points are of espe­

rather than of any logic internal to class in its own

cial importance.

right. All in all, there is no doubt but that 'the state is

First, it is necessary to distinguish between different types of state in the preindustrial world.

back'. Social science has, however, a regrettable

Very roughly speaking, Oriental civilizations had

habit of delighting in new approaches rather than

states which were at once too powerful and too weak

of ensuring that they really do help us understand

-that is, despotically powerful but infrastructurally

the world. Happily, renewed interest in the state has

weak-to allow for the emergence of any capitalist

led to advances in our knowledge; the specification

dynamic. Such states sought to control all social

of some of these comprises the remainder of this

forces that had the capacity to mobilize people, on

entry.

the grounds that any independent force could rap­ idly undermine their own rule; this led to the

The paradox ofstate power We have come to understand, in part because of the

blocking of capitalistic forces time and again. On the other hand, such states tended not to cooperate with their upper classes, and were thereby pre­

work of Michael Mann (1988), that there are two

vented from gaining significant tax revenues; this

faces or dimensions to state power. Traditional

meant that they had insufficient funds to provide a

theory concerned itself, indeed was fixated by, the

framework of rational expectations in matters of

STATE

663

money and justice from which emergent capitalism

probable cost of the development of the Third

would have benefited. In contrast, Occidental civil­

World. One important theory about these matters,

ization saw the emergence of states which were

on which history has not yet sat in final judgement,

powerful and weak in the 'right' places for the

suggests that capitalist society needs one leading

emergence of capitalism. Limits to arbitrariness

state to order capitalism as a whole - that is, to

meant that the state could not finally control capit­

provide a key currency and to insist on free trade.

alist actors, while the greater state revenue that

Certainly, the United States performed this role,

classes

although it is doubtful that Britain ever did. But as

working through parliaments allowed for the pro­

important a question for the twenty-first century as

vision of regularized justice and, with time, of

the liberalization of state socialist societies (see

resulted

from

cooperation

with

upper

SociALISM) is the extent to which American decline

decent money. This European pattern is partly explicable, sec­ ondly, as the result of forces external to any single

may lead to renewed conflict between the leading capitalist powers.

state. European states were long-lasting, and in consequence engaged in endless competition with each other. In these circumstances, it became ra­

States and politics

tional not to kill the goose that laid the golden egg­

As noted, political developments internal to na­

that is, rulers eventually realized that predatory

tional societies often result from geopolitical forces.

behaviour towards their capitalists would lead to

What was true of changes in class behaviour is as

their flight and consequently to an increase in the

true of social revolution. Revolutions tend to occur

tax revenue of their geopolitical rivals. A large meas­

in regimes which have been debilitated by excessive

ure of decent behaviour towards nascent capitalism

participation or actual defeat in war. State break­

is explicable by means of the simple statement that

downs give revolutionary elites their chance.

capitalism had states: had Europe reverted to im­

In addition, social scientists increasingly realize

perial rule after the fall of Rome, there would have

that the form of 'social movements' often results

been nothing to prevent rulers again preferring

from the characteristics of the state with which they

control over the social mobilization that resulted

interact. Two examples deserve to be noted. First,

from allowing civil society a certain autonomy.

working classes tend to be militant when a state

These patterns of state power are equally useful

excludes them from participation in civil society,

in understanding the ways in which states prosper

that is, workers take on the state when they are

economically in the industrial era. It seems increas­

prevented from organizing industrially and arguing

ingly the case that the ability of a nation-state to

with their immediate capitalist opponents. Thus a

swim within capitalist society is related to its ability

liberal state with full citizenship sees no working­

to cooperate with national capitalists and to provide

class revolutionary movement, whereas authoritar­

educational

ian and autocratic regimes see the emergence of

training and of class compromise that allows for

Marxist-inspired workers: this principle helps ex­

a

massive

social

infrastructure

of

flexibility in the face of changing patterns of inter­

plain the difference in working class behaviour in

national trade. Thus the state in many East Asian

the United States and Tsarist Russia at the end of

countries is relatively (and increasingly) despotic­

the nineteenth century. The same principle- that

ally weak but infrastructurally very powerful: that

political exclusion breeds militancy - seems, sec­

the opposite tends to be true of Latin America helps

ondly, to explain the incidence of revolution in the

explain its poorish record of economic develop­

Third World since 1945. Central American soci­

ment. Furthermore, it is now quite evident that

eties share a mode of production, but only a few

socialist planning works only at the stage of initial

witness revolutions. The possibility of participation

industrialization; the further economic success of

in Costa Rica diffuses social conflict; its absence in

socialist

Nicaragua under Somoza led to the creation of a

societies

seems

to

depend

on

them

changing their patterns of state control.

revolutionary elite with popular support.

One final point is worth making about inter­ national markets. Such markets are geopolitically

Reading

created. This was particularly true after World War

Aron, R. 1962 (1966): Peace and War.

II when an 'American system' was created whose

Gi1pin, R. 1981: War and Change in World Politics.

institutions stabilized the advanced world, at the

Hall, J. and Ikenberry, J. 1989: The State.

664

STATISTICS

Katzenstein, P. 1985: Small States in World Markets.

and the Bishop of London and thinkers like Charles

Maier, C. 1988: In Search ofStability.

Babbage and T. R. Malthus. They were united in

Mann, Michael 1988: States, War and Capitalism. Poggi, G. 1978: The Development ofthe Modern State. Skocpo1, T. 1979: States and Social Revolutions. Tilly, C. ed. 1975: The Formation of National States in Western Europe.

their concern to provide reliable factual informa­ tion about all aspects of society. This movement grew to include public and private studies of such matters as the condition of the poor as outlined in Bartholomew

Waltz, K. 1959: Man, the State and War. JOHN A. HALL

(1988)

(see also SociAL STATISTICS).

Most of these early studies would now be clas­ sified as descriptive statistics, their principal aim having been to condense and present the salient

state, welfare

See WELFARE STATE

features of a large mass of figures in a form, often tables or charts, where their import could be readily

statistics

Statistics is the science of handling

grasped. This has remained the backbone of official

quantitative information. It is concerned with how

statistics but the methodological aspects languished

data should be collected and with how they should

until the advent of powerful computers. These

be analysed and with what conclusions can legitim­

enabled very large quantities of data to be handled

ately be drawn from the analysis. It is especially

and made it possible for the first time to explore the

relevant where the basic patterns in the data are

interrelationship of many different variables. This

obscured by extraneous variation arising from un­

is now sometimes regarded as a distinct activity

controlled factors, poor measuring instruments or

called data analysis.

the effects of sampling. Statistical methods thus

The second main strand of modern statistics has

find a role in almost all branches of human enquiry

its origin in problems of dicing and gaming which

though their importance depends upon the degree

gave birth to probability theory in the seventeenth

of uncertainty present and the extent to which is

century (see also GAME THEORY). Its relevance to

possible.

the interpretation of data is that it gives formal

The word 'statistics' itself has several other spe­

expression to the inevitable uncertainty which

cific meanings. It is often used, for example, as a

attends any attempt at generalization. A simple

somewhat pretentious synonym for 'figures'. In the

and familiar example of what this means is provided

singular it refers to any number, such as an average,

by opinion polling. Suppose we are told that a poll

calculated from the members of a sample. It is also

of about 1,500 people shows that

associated with a large number of qualifying adjec­

those questioned would vote for the return of

48 per cent, say, of

tives indicating fields of application of which agri­

the present government if an election were called.

cultural, biological, actuarial, business and medical

We are implicitly invited to believe that much the

are typical examples. Mathematical statistics is that

same percentage of the whole population of voters

branch of mathematics which formalizes statistical

would behave like this sample. The purpose of

ideas and procedures and it is particularly con­

inferential statistics is to provide a framework

cerned with determining 'best' procedures.

within which such generalizations can be made

Statistics in the modern sense did not anse

and justified. It is the formal equivalence of the

readymade but is woven from a number of different

throwing of dice and the drawing of members of a

strands which began to coalesce about the end of the

sample which enables the mathematical description

nineteenth and beginning of the twentieth century.

of the one process to be applied to the other. (See

One strand traces its origins to early attempts in

also SOCIAL SURVEY.)

biblical times to 'number the people' for military

The recognition that probability theory was the

or other purposes. As functions of government

key to inference effected the link between the de­

became more centralized and complicated the

scriptive tradition and inference, transforming the

need for good quantitative information about the

former into a tool of scientific inference. Sir Ronald

(1890-1962),

'condition of the people' became more pressing. In

Fisher

the nineteenth century this led to the formation of

cian of all time, exemplifies this synthesis. He was

perhaps the greatest statisti­

statistical societies, notably in 1834 of the Statistical

able to build on the work of those like Sir Francis

(1822-1911) and Karl

Pearson

(1857-1936)

Society of London, later to become the Royal Stat­

Galton

istical Society. Its founders included people emi­

who sought to quantify the biological processes of

nent in public life like the Marquis of Lansdowne

natural selection and heredity which had been

STRATEGIC STUDIES

665

thrown into prominence by Charles Darwin's evo­

permeated scientific work of all kinds, the influence

lutionary theory. This work had an important influ­

of statistical thinking in Western culture, more

ence on the eugenics movement between the wars.

generally, is still limited. Schools teach elementary

The greater part of the twentieth century in

statistics but often in a narrow technical manner

statistics has been taken up with working out the

which fails to inculcate the modes of thinking

implications of these seminal ideas in an ever

needed for life in a highly uncertain world. The

expanding range of applications. A shift of em­

desire for certainty and the deeply ingrained belief

phasis associated especially with Abram Wald

in a deterministic mode of operation of the world

(1902-1950) and Jerzy Neyman (1894-1981) saw

are difficult to eradicate. Nevertheless, some change

inference as a matter of decision-making in the face

is discernable. It is rare nowadays for anyone to say,

of uncertainty and sought to incorporate the conse­

as the television journalist Malcolm Muggeridge

quences of the action to be taken into the evaluation

once did, that it is absurd to suppose that the replies

(See also DECISION

of a few hundred people can tell us what millions

of strategies of inference.

THEORY.) L.]. Savage (1917-1971) in his Founda­

think. Experience, if not theory, has taught us that

tions of Statistics again shifted the ground from

there is a measurable link between what we find in a

objective probabilities expressed as frequencies to

sample, properly drawn, and the population from

personal probabilities seen as guides to consistent

which it comes. Scientists frequently despair that,

behaviour in the face of uncertainty. His work

though the fruits of scientific research are every­

found its inspiration in a theorem of the eight­

where enjoyed, the manner of thinking which gives

eenth-century

Thomas

rise to them is still foreign to the vast majority - as

Bayes (1702-1761) whose name is now given to

the prevalence of superstition and interest in the

Presbyterian

minister

this school of inference. If the introduction of probability ideas into stat­ istics marked the first revolution in the subject, the

occult demonstrates. Statisticians are in no better case and society is the poorer for failing to grasp and propagate the insights which it yields.

second is unquestionably the result of the power of the computer. This has not simply allowed much larger data sets to be handled more speedily but has had a far-reaching effect on what analysis is done and on who does it. It has enabled researchers to investigate the interdependency of many variables and hence to construct more realistic models of real phenomena, especially in the social sciences. Now that libraries of computer software are widely avail­ able, researchers can carry out their own analyses without recourse to expert advice. This has proved a mixed blessing since it not only leads to inappropri­

Reading Bartholomew, D. J. 1988: 'Social statistics'. In Encyclo­ paedia ofStatisticalSciences, vol. 8, ed. S. Kotz et al. --1995: What is Statistics? Journal of the Royal StatisticalSociety A, 158. Federer, W. T. 1991: Statistics and Society, 2nd edn. Pearson, E. S. ed. 1978: The History ofStatistics in the Seventeenth and Eighteenth Centuries.

Stigler, S. M. 1986: The History ofStatistics: The Meas­ urement of Uncertainty before 1900. Wright, D. B. 1996: UnderstandingStatistics: An Introduc­ tion for the SocialS ciences.

ate analyses being done but encourages the prolifer­

D.

J. BARTHOLOMEW

ation of poorly designed studies and consequent waste of scarce resources.

statistics, social

See SociAL STATISTICS

Many biological and social systems evolve in time with a marked degree of internal randomness.

stereotype

See LABELLING

Such things as mutation and competition in popu­ Concerned with the role of

lations of organisms or the free choice of individuals

strategic studies

in such matters as purchasing or voting make the

military power in international politics, strategic

evolution of such systems a highly uncertain affair.

studies can focus on microquestions related to the

The theory of stochastic processes has been de­

development of armed forces, their choice and pro­

veloped to deal with systems of this kind and the

curement of equipment, and also on macroques­

provision of statistical methods for such systems is

tions such as the efficiency of military as compared

one of the most difficult and challenging areas of

with economic and diplomatic means in achieving

current research.

the objectives of states. The major focus is on the

In spite of the ubiquity of uncertainty and vari­

distribution and employment of military means to

ability and the extent to which statistical ideas have

achieve the ends of policy. This includes deterring

666

STRUCTURALISM

war, strengthening alliances and engaging in arms

precision-guided weapons and information tech­

control negotiations as much as the conduct of war.

nologies led to claims of a 'revolution in military

It involves looking not only at what military activ­

affairs'.

ities might naturally support particular objectives

A series of more complex conflicts in the Balkans

but also at how the ends might need to be altered to

and Africa, in which the basis for Western involve­

come in line with available military means, and also

ment was often uncertain, led to a greater focus on

at unintended consequences.

issues of legitimacy and the role of the media. In

Strategic studies has an interdisciplinary charac­

terms of the conduct of war the relevant concepts

ter and in the post-war period has benefited from

were derived less from recent writings on great

contributions from economics and engineering as

power warfare and more from the distinctive and

well as the more expected contributions from his­

vigorous tradition of theorizing on GuERRILLA

tory and politics. It also has an unavoidably applied

WARFARE, including such figures as T. E. Lawrence

character in that much, although by no means all,

and Mao Zedong.

work in this field has been deliberately undertaken to influence or support national policy. The intellectual starting point for most thinking on strategy is the classic work On War by Car! von Clausewitz, who stressed the importance of viewing war as a continuation of politics. S ince then many others have followed his attempt to develop a sys­ tematic theory to underpin the development of

Reading Aron, R. 1962 (1966): Peace and War. Baylis, J. et al. 1987: Contemporary Strategy, 2 vols. Clausewitz, C. von 1832 (1976): On War, trans. M. Howard and P. Paret. Freedom, L. 1989: The Evolution ofNuclear Strategy, 2nd edn. Gray, C. and Barnett, R. W. 1989: Seapower and Strategy.

strategy in practice. A leading twentieth-century

Liddell Hart, B. H. 1967: Strategy: The Indirect Approach.

theorist was Basil Liddell Hart. Until the nuclear

Paret, P. ed. 1986: Makers of Modern Strategy: From

age there was little scholarly work in this area. The

Machiavelli to the Nuclear Age.

LAWRENCE FREEDMAN

challenge posed to traditional concepts of military power by the arrival of means of mass destruction at a time of severe East-West antagonism proved to be

stratification, social

a spur to the intellectual development of strategic

TION

See SociAL STRATIFICA­

theory. Much of this was undertaken in the USA, This method of enquiry or para­

including work in 'think tanks' such as the RAND

structuralism

Corporation; there was work at the International

digm became prominent and influential during the

Institute of Strategic Studies in Britain, and also

1960s and 1970s, although it had several antece­

important studies by individual scholars, among

dents in earlier periods. In sociological analysis the

them Raymond Aron (1962).

concept of structure, in various formulations, has

Given the need to avoid a catastrophic total war,

long had a central place (Bottomore and Nisbet,

the critical concept became 'deterrence'. Theories

1978, eh. 14), and a number of commentators (Pia­

of deterrence addressed such questions as whether

get, 1968; Kolakowski, 1971; Schaff, 1974) have

it was possible to deter through the mere threat that

noted that the concept was a major element in the

a conflict could get out of hand through 'escalation'

general philosophical and scientific outlook of the

or whether any deterrent threats must be backed by

1930s, reflected in the influence it acquired in such

credible military options and, if this was the case,

fields as mathematics, biology, linguistics and

whether punitive nuclear strikes could ever be

gestalt psychology. The more recent structuralist

credible when the enemy could retaliate in kind.

movement, however, made larger claims, empha­

The analysis of these issues initially made substan­

sizing the paramount importance of identifying and

tial use of such methodologies as GAME THEORY. By

analysing the 'deep structures' that underlie and

the time the Cold War came to a close in 1989 it had

generate observable phenomena, in which respect

become apparent that there were no technical fixes

it has affinities with the modern realist philosophy

to the basic dilemmas of nuclear deterrence, and

of science (Bhaskar, 197 5); and extending the struc­

that many of the critical strategic questions were

turalist approach more widely into the social and

essentially political in nature. For a while, largely as

human sciences. Originating in linguistics, where

a result of the 1991 Gulf War, there was a revival

its beginnings are to be found in the theses outlined

in interest in conventional war. The impact of

by the Prague Linguistic Circle in 1929 (Robey,

STRUCTURALISM

667

1973, Introduction), it then made its way into liter­

antiempincJst, in the same sense as the realist

ary criticism, aesthetic theory and some of the social

philosophy of science, by virtue of its insistence

sciences - particularly anthropology, through the

on the causal efficacy of a deep structure underlying

work of Claude Levi-Strauss, sociology, mainly in

the immediately given,

the form of Louis Althusser's structuralist Marx­

events. This aspect was set out clearly by Godelier

ism, and history, where the idea of 'structural his­

(1973, p. 3 5) in his criticism of 'classical empirical

surface appearance of

tory' in the work of the ANNALES SCHOOL was

functionalism', which, he argued, 'by confusing

related, in some respects, to more general structur­

social structure with external social relations ...is

alist conceptions

condemned to remain a prisoner of appearances

(Review, 1.3-4, 1978).

As a broad theoretical approach in the social

within the social system studied, and there is no

sciences, structuralism can be distinguished by its

possibility of uncovering any below-surface logic'.

opposition to humanism, historicism and empiri­

One of the salient features of the structuralist

cism. It is antihumanist in the sense that the con­

movement was its close connection with Marxism.

scious, purposive actions of individuals and social

Levi-Strauss considered Marx the point of depart­

groups are largely excluded from analysis and its

ure for his own thought, and structuralism became

own explanatory propositions are conceived in

the main vehicle for conveying a significant Marxist

terms of'structural causality'.This view was clearly

orientation into anthropology (Godelier, 1973;

expressed by Maurice Godelier (1966) when he

Bloch, 1975; Seddon, 1978). In sociology, as well

distinguished two kinds of conditions for the emer­

as in anthropology, Althusser's structuralist Marx­

gence, functioning and evolution of any social

ism, very close to the general orientation of struc­

system - intentional activity and unintentional

turalist thought but focusing attention on those

properties inherent

relations - and

elements that were central in Marx's theory - the

assigned a decisive importance to the latter, arguing

modes and relations of production, the relations

in

social

that the ultimate reason or basis for social trans­

between different levels of social life (economic,

formations is to be found in the compatibility or

political and ideological) and structural contradic­

incompatibility between structures and the devel­

tions - had a wide influence, notably on studies of

opment of contradictions within structures. The

different forms of society, social classes and the

humanist/structuralist opposition is also evident

state.

in the contrasting discussion of 'dialectical' and

The structuralist approach was criticized at an

'analytical' reason by Claude Levi-Strauss (1962,

early stage by adherents of other methodological

eh. 9), and by Jean-Paul Sartre (196 0), whose meth­

standpoints in the social sciences (for instance,

odological investigations were designed to clarify

Leach, 1967), and in its Marxist form by thinkers

the relation between structural conditions and the

belonging to other schools of Marxist thought. By

intentional actions- the 'projects'- of individuals,

the late 1970s its influence was waning and in the

and to introduce into a sclerotic Marxism some­

following decade it was overshadowed by the rise of

thing of the individualistic and humanist outlook of

poststructuralism, or postmodernism (see MoD­ ERNISM AND POSTMODERNISM) , in which the idea of

existentialism. Antihistoricism is manifested in the work of

a fixed and objective structure of meaning or of

Levi-Strauss by a general preference for synchronic

social relations is abandoned (Eagleton, 19 8 3, eh.

rather than diachronic investigations, with the aim

4). In a less extreme way, other social theorists have

of discovering the universal structural characteris­

reintroduced into methodological discussion those

tics of human society and, more remotely, relating

questions about the relation between structure and

these characteristics to universal structures of the

human agency, or structure and historical change,

human mind; and here structuralism shows its very

which have been recurring themes of social thought.

close affinity with modern linguistic theory (Lyons, 1970, p. 99). Some Marxist structuralists, notably Hindess and Hirst (1975, Conclusion), expressed an antihistoricist view with particular force, deny­ ing that Marxism is, or could be, a science of history, since all attempts to formulate historical explanations

emerge

as teleological

not scientific theories. Structuralism

doctrines, was also

Reading Bottomore, T. and Nisbet, R. eds. 1978:

A History of Sociological Analysis. Caws, P. 1988: Structuralism. Eag1eton, T. 1983: Literary Theory. Leach, E. ed. 1967: The Structural Study of Myth and Totemism.

668

STRUCTURATION

Levi-Strauss, C. 1958 (1963): Structural Anthropology.

produced

Lyons, J. 1970: Chomsky.

Structural tensions and contradictions made mani­

Piaget, J. 1968 (1970): Structuralism.

fest as widespread problems in social practice lead

Robey, D. ed. 1973: Structuralism: an Introduction.

structural properties of social groups.

to more or less rapid and extensive sequences of

Schaff, A. 1974: Structuralism et Marxisme. TOM BOTTOMORE

change. What Giddens terms the

duality ofstructure

refers to the sequential appearance of cultural codes and resources of power as both the initial means and

structuration

structuration

Contemporary originate

in

definitions

Anthony

of

Giddens's

then the resultant outcomes of processes of repro­ duction or revision in social practices.

(1976, 1979, 1984, 1991) ontological theory of social

In structuration theory individuals are 'decen­

life. Giddens's structurationist ONTOLOGY pro­

tered' as agents who enact social practices. Though

poses that all elements of social life are constituted

acknowledging the potential for improvisation and

in the skilful enactment of social practices. Con­

revision in practice, Giddens proposes that all social

trary to presuppositions identifiable in classical

actors are unconsciously tied to at least some famil­

ontologies (Thomas Hobbes, Adam Smith, Jean­

iar elements within everyday routines via an uncon­

Jacques Rousseau), functionalist theories (Talcott

scious psychic need for

Parsons), and teleological theories of evolution

eh. 2). This is one of two psychological levels on

(Emile

which the individual is tied to social praxis. The

Durkheim,

Karl

Marx),

structuration

ontological security (1991,

theory postulates no transhistorical inevitabilities,

second is

social contracts, systemic needs or mechanisms of

tacit knowledge of skills actors need to enact prac­

change. It is strictly an ontology of potentials

tices in a competent way. Giddens allows for fully

practical consciousness, which refers to the

focused perception, reason and meaningful inter­

(Cohen, 1989). These potentials begin with the basic human capacity to reproduce or revise social practices. Indeed, while several varieties of material and social

pretation on a third psychological level he terms

discursive consciousness. Writing in swiftly

changing epistemological

constraints shape social reproduction (Giddens

times, Giddens has opted to provide no full-fledged

1984, eh. 4), almost all practices require some

methodology for structuration theory, a gap that

degree of unscripted contextual improvisation as

has begun to close in recent years (see especially

well, although more improvisation is possible in

Stones, 1996). For methodological purposes it is

some circumstances than in others. In Giddens's

crucial to notice that no substantive or empirical

writings on MoDERNITY (1991), loosely structured

content is spelled out in Giddens's concepts.

practices that require far more improvisation than

Indeed, when Giddens turned to writing his theory

restrictive practices in earlier epochs create both

of modernity in the 1990s, he found it necessary to

characteristic opportunities and difficult problems

stipulate how his own substantive ideas made use of

in the mainstream of contemporary Western life. Structuration theory disputes the ontological validity of the deeply entrenched division in social thought

between

collectivist

and

his own more generic ontological concepts (see also Kaspersen, 1995

(2000). Since the structurationist analytical

ontology embraces social life at large,

individualist

brackets that screen off some elements of social

presuppositions. Social practices rather than entire

situations (e.g. the local enactment of practices)

groups

the

while making others the subject of substantive the­

most basic forms of social life. The collective

oretical conjecture and empirical research (e.g. the

morphologies of networks and systems are con­

collective structural or morphological changes in

or

individual

actors

are

seen

as

ceived as concatenated chains of praxis reproduced

historically

many times over by many different individuals

methodological means to manage investigations of

across years, or decades, or multigenerational

substantive themes.

specific groups)

provide

necessary

epochs. The collective substantive properties of

Structuration theory additionally expands theor­

social groups are conceived as cultural codes and

etical horizons with a new relational concept of

resources of power that are reproduced via social

power,

praxis, often in a tacit manner, in all sorts of groups

alization of

from formally bounded organizations to informally

practices as the basis of collective social morph­

bounded cultures and civilizations. These codes

ology. However, as with many theorists of praxis

and resources are conceived as the continually re-

(see Cohen, 2000), the existential meaning of social

the dialectic ofcontrol, and a novel conceptu­ the time and space distanciation of social

STUDENT MOVEMENT action is a problem in Giddens's ontological work.

669

demonstrated in support of national liberation

In particular, Giddens emphasis on ontological se­

movements in the Third World. In France, the

curity is a weak foundation from which to infer

government of de Gaulle was replaced in the after­

basic human emotions (Craib, 1992). Giddens also

math of the student movement of May 1968. Else­

provides no conceptual root for the human impulse

where, in London, Rome, West Berlin, Tokyo,

to form social attachments, an impulse extensively

student protest often played a key role in political

documented by psychologists such as Winnicott

and social life and embodied major forms of cultural

and Bowl by. Perhaps because of these weaknesses,

renewal. Student movements, however, were sup­

Giddens has yet to provide even the rudiments of a

pressed or disintegrated after a decade of protest,

theory of SociALIZATION, a major shortcoming in

and since that time they have not impinged on society in the same conspicuous way. Nevertheless,

his ontology at large. Though Giddens has turned his attention else­

they laid the foundations on which future move­

where in recent years, the constructive and critical

ments of the 1970s and 1980s were partially to build

reception of his structurationist ontology shows no

(see SOCIAL MOVEMENT) .

sign of slackening. But, like earlier terms such as

Social theorists and student actors alike have

solidarity, legitimacy and social role, the idea of

offered differing interpretations of student protest,

structuration currently is making the transition to

which has been conceived as expressing both crisis

becoming a generic sociological concept. This

and conflict.

process has now reached the point where it is increasingly common to see the term, defined simply as the construction of social life through social practices without citations to any source at all.

The crisis ofthe university Functionalist analysis looked for an explanation of the emergent student movement primarily in terms of an institutional crisis of the university. The

Reading

changing function of universities, from elite educa­

Bryant, C. G. A. and Jary, D. eds 1996: Anthony Giddens:

tional institutions to mass production and profes­ sionalism (Jencks and Riesman, 1968), entailed

Critical Assessments. 4 vols. Cohen, I. J. 1989: Structuration Theory: Anthony Giddens

and the Constitution ofSocial Life.

cline of the academic community, which were held

Giddens, A. 1984: The Constitution of Society: Outline of

the Theory ofStructuration. -- 1991: Modernity and Self Identity: Selfand Society in the Late Modern Age. IRA J. COHEN structure, social student

See

While

recent

to explain the student unrest. Students criticized the university establishment for its large-scale tech­ nocratic structures and impersonal bureaucracies which were hardly bent on satisfying the concerns of education and research- for its intellectual man­ darinate and its undemocratic attitudes (Lipset and

SociAL STRUCTURE

movement

internal university problems, dysfunctions, and de­

Wolin, 1965). On the whole, the crisis of the uni­

student­

based movements emerged in close relation to in­ ternal university problems, they soon focused crit­ ically on more general features of society. During the 1960s, student movements became a massive

versity was seen as being provoked by a moderniza­ tion process of higher education.

The social significance ofstudent protest In the 1960s much heated discussion, among both

social phenomenon. The Free Speech campaign in

students and social theorists, related to the question

1964 on the Berkeley campus in California set off

of what kind of social actors students were. Had

the movement and student unrest and activism

they to be considered in terms of social class? Were

spread across universities throughout the United

they revolutionary subjects? These controversies

States, Europe, the Far East and Latin America.

profoundly marked the so-called New Left in the

Student movements developed new forms of pro­

student movement. By some, students were seen as

test: sit-ins, mass picketing, sit-down strikes, hap­

an

penings and mass meetings were almost daily

the student movement gained their self-awareness

ally of the workers' movement.

Large sections of

occurrences. Students became deeply involved in

from neo-Marxist theoretical analysis which con­

the black civil-rights movement, organized huge

sidered them as revolutionary actors engaged in

meetings opposing the

an anticapitalist,

war

in

Vietnam,

and

antistate, and anti-imperialist

670

SUBURB

struggle. The student movement did not supplant the workers' movement, but acted as its avant­ garde, becoming the custodian of proletarian con­ sciousness, and deriving its social significance from the fact that it was fighting in the name of the proletariat, aiming at a total break with bourgeois institutions and culture. Others saw students as a potentially revolutionary fringe element. The as­ sumption

of

critical

theory

(see

FRANKFURT

SCHOOL) was that, due to science and technology, social misery had been largely reduced and the conditions that objectively motivate revolution had faded away. Highly integrated, manipulated and dominated by large-scale technocratic struc­ tures, advanced capitalist society allowed critical potentials to originate only at the fringes of the integrated system. This could be students, hippies, sexual minorities or other marginal social groups. Escaping to some extent total domination, their subjective refusal of existing need structures and dependencies rendered them potentially revolu­ tionary categories (Marcuse, 1964). Criticizing the above interpretations, the student movement was placed, instead, in the symbolic realm, in the sense that it was seen as creating new sensibilities and enlarging public space. Student protest was understood to be highly significant on symbolic grounds, provided it remained non­ violent and student activists did not misunderstand themselves as being directly revolutionary actors (Habermas, 1969). Finally, student protest was interpreted as a social movement. This theoretical approach main­ tained that modern societies were entering a post­ industrial stage, where it was no longer the factory, but cultural areas such as education, health, mass media, information, which were becoming the cen­

The student movement as cultural criticism Several theorists considered the student movement as countercultural protest opposing certain cultural and structural features of contemporary societies. In this way, a new political culture was seen to be initiated by the student movement of the 1960s. Direct democracy became a key word. Being per­ sonally concerned, engaging in grass-roots partici­ pation, were essential mechanisms on which the new political culture was based. By means of extra­ institutional forms of action, like sit-ins, civil disobedience and solidarity, student movements attempted to democratize social and political life by capturing public attention. They were commit­ ted to new ways of making politics outside institu­ tionalized channels. The new political culture was closely related to cultural protest denouncing authoritarian attitudes and social structures. The student movement at­ tempted to alter existing social relationships in everyday life. The many criticisms that were lev­ elled at the oppressive nature of authoritarian family structures, sexual repression, the subordin­ ation of women, the values of work and industrial society, were often psychoanalytically founded. The anti-authoritarian protest wanted to break with the patriarchal model of culture that gave prominence to masculine societal values and hier­ archical social structures. Furthermore, the student movement claimed that universities should recognize their social re­ sponsibility and must not lose interest in the social applications of scientific knowledge; and they criti­ cized the illegitimate appropriation of the univer­ sities by the state, the military establishment and large-scale organizations.

tral locus of social conflict. It is this perspective that conferred a potentially central social significance on student movements. Student protest was therefore examined to discover in it the possible presence of a new social movement, that is to say, to ask whether it involved conflict between social adversaries over the control of a cultural field. Close analysis of data on the May movement in France showed, however,

Reading Bergmann, U. et al. 1968: Rebellion der Studenten oder die neue Opposition.

Flacks, R. 1967: The liberated generation: an exploration of the roots of student protest. Journal of Social Issues 23, 52-75. Keniston, K. 1965: The Uncommitted Alienated Youth in American Society.

that the student movement retained a multiple

Morin, E. et al. 1968: Mai 68: la briche.

significance. It did not satisfy the conditions of a

Touraine, A. 1972 (1974): The Academic System in Ameri­

social movement in so far as it did not designate

can Society.

KARIN

technocracy as its main opponent, did not develop a

D.

RENON

clear view of its own identity, and did not consider It is a kind of settlement which lies on the

knowledge produced in universities as a principal

suburb

stake of the conflict (Touraine, 1968).

outskirts of a city and is made up mainly of housing

SUBURB and shops and separated from industrial zones.

suburbs by

Suburbs are generally inhabited by homogeneous

blocks (with some exceptions like the famous

social groups and in the main are either middle- or

'towers'

upper-class in Anglo-Saxon countries or working­

working-class suburban settlements constructed

class in continental Europe.

on the outskirts of metropolises are very similar in

These kinds of settlements already existed in preindustrial times, as the French term

banlieue

of

discouraging the

Bronx

large

671

in

multiapartment

New

York

kind and have the same problems. The

City),

banlieue

of

Paris, the new settlements on the peripheries of

suggests; it refers to the space beyond the medieval

Moscow, New York and south of London all dis­

city walls but under the jurisdiction

of the

play the consequences of high-density cheap build­

city. Subsequently, the wave of industrial urbaniza­

ing, the lack of services or their inadequacy and, in

tion and the development of transport and commu­

general, of social and family life marked by all the

(ban)

nication networks stimulated a vast expansion of

forms of urban deprivation. These range from ano­

suburbs, a process of 'suburbanization' (Walker,

nymity and the difficulty of socialization to high

1981).

costs, congestion and pollution and they are not

The first systematically built suburban settle­

compensated for by the usual advantage of living

ments go back to the second half of the nineteenth

close to the centres of quality services and of eco­

century in England (suburbia, with the variation of

nomic, financial and political power. In addition, as

the 'garden cities'), but they became widespread in

cities have grown in size the difficulty of commut­

the United States in the twentieth century (Mum­

ing has increased because public transport systems

ford,

have not been modernized and traffic has become

1966).

These were settlements for the middle

and upper classes and represented a compromise

seriously overcongested. Hence the word 'suburb',

between the need to live near the industrial city, the

originally positive in meaning, has now taken on a

place for work and high-quality services, and an

decidedly negative connotation, particularly in con­

Arcadian

tinental Europe, as synonymous with 'deprived

culture aiming

to reproduce certain

aspects of rural life: single family dwellings sur­ rounded by private gardens and public parks far from urban chaos. As Ruth Glass

periphery'. The most recent socioeconomic trends involving

(1955) has noted,

decentralization of factories and offices, declining

the development of these suburbs is linked to the

employment in manufacturing industry; economic

influence on lifestyles and town planning of English

and technological restructuring leading to flexible

and American anti-urban culture.

employment, and new waves of immigration, as

Since World War II, urbanization (see URBAN­

well as the impact of all these trends on urban

has greatly altered the original suburb. Settle­

systems (Scott, 1988; Soja, 1989), are further modi­

ISM)

ments for workers and middle- and low-income

fying the significance of suburbanization. Like the

groups have sprung up, particularly in continental

decaying inner-city districts in the British and

Europe, where high-income groups with their

American tradition and the ghettoes of the urban

strong urban traditions have mainly stayed in the

poor, some suburbs are now the segregated loca­

old city centres. An exception to this model of

tions for the most deprived part of the urban popu­

suburbanization were the residential districts for

lation (above all, minorities and new immigrants

young well-off families with children built between

subject to discrimination), cut off from normal op­

1945 and 1970, the period of maximum influence of

portunities and life-chances. The spatial and social

the American way of life. These developments have

concentration of disadvantages in these areas is

radically changed the suburban lifestyle, especially

usually defined in contemporary literature as a

in the working-class peripheries, which are densely

form of social exclusion (Mingione,

1996).

populated 'dormitories' lacking services and green spaces. In many industrialized countries, working-class suburbs contain mainly public housing while in others, above all the United States, private building has predominated (see Ball et al.,

1988).

Despite

this and other differences, and the fact that in the

Reading

Ball, M. et al.

1988: Housing and Social Change in Europe

and the USA.

Glass, R. 1955 (1989): Urban sociology in Great Britain. In Cliches of Urban Doom. Mingione, E. ed. 1996: Urban Poverty and the Underclass:

United Kingdom and the United States anti-urban

a Reader.

culture has influenced the type of housing in

Mumford, L.

1966: The City in History.

672

SUICIDE

Scott, A. J. 1988: Metropolis: From the Division ofLabor to Urban Form.

Phenomenological

or subjectivist approaches

have tended to explore how individuals come to

Soja, E. W. 1989: Postmodern Geographies: the Reassertion of Space in Critical Social Theory. Walker, R. 1981: A theory of suburbanization. In Urban­ ization and Urban Planning in Capitalist Society, eds M. J. Dear and A. G. Scott.

ENZO MINGIONE

construct 'suicidal' meanings for themselves or for others. The latter concern has been developed into a critique of official data that goes beyond a trad­ itional concern with the 'accuracy' of the statistics. Douglas (1967) argued that the ideas that different cultures and subcultures have about suicide deter­ mine what officials finally classify as 'suicide'. De­

suicide

Emile Durkheim's work (1897) remains

veloping Douglas's ideas, Atkinson (1978) and

the most complete, comprehensive and influential

Taylor (1982) have shown that a suicide verdict

social theory of suicide. Durkheim argued that the

will only be brought in if officials can find evidence

consistency of suicide rates was a social fact, ex­

consistent with accepted cultural ideas about why

plained by the extent to which individuals were

people kill themselves and how they go about doing

constraining

it. Thus both the regularity of suicide rates and

moral forces of collective life. Egoistic and altruistic

their consistent correlation with factors such as

suicide arose from the respective under-integration

isolation and loss may both be functions of the

and over-integration of the individual by society,

way in which the data are collected.

integrated

and

regulated

by

the

while anomic and fatalistic suicide were caused by

Subjectivists

have

argued

that

attempts

to

under-regulation and over-regulation. Durkheim

understand suicide must be based on the meanings

used correlations between suicide and various

that suicidal actors give to their own actions (Doug­

rates of external association to demonstrate the

las, 1967; Baechler, 1979). Douglas, for example, in

validity of his key concepts. For example, Catholic

rejecting statistics in favour of ethnographic data,

populations had lower suicide rates than Protestant

refers to the latter as 'concrete and observable'.

ones because Catholic society bound the individual

However, in assuming some kind of direct access

more tightly to the collectivity. According to Durk­

to the world through observation, he is coming very

heim, increasing egoism and ANOMIE were causing

close to the positivist tradition he is criticizing.

the steadily rising suicide rates of Western societies.

Psychoanalytic theory on suicide, stimulated ini­

However, egoism is not a necessary consequence of

tially by Wilhelm Stekel and Alfred Adler, has

industrial society. Iga (1986) has shown how most

focused on displaced aggression as an unconscious

suicides in modern Japan result from individuals'

motive

shame at failing to meet the demands of the group.

mourning with melancholia, argued that, in the

for

suicide.

Freud

(1917),

comparing

Post-Durkheimian sociological works, while ap­

latter, the free libido becomes withdrawn into the

proving of Durkheim's pioneering efforts in defin­

ego which establishes an identification with the lost

ing the suicide rate as an object of enquiry and

object. If animosity towards the part of the ego with

correlating it with a range of social variables, tended

which the lost object is identified is great enough,

to be sceptical of his attempt to explain both in

the ego acts to destroy that identification and

terms of 'real but invisible' moral forces inclining

thereby destroys itself. Freud's later hypothesis in

individuals towards suicide. For these empiricist­

Beyond the Pleasure Principle that suicide represents

orientated sociologists, Durkheim's notion of a sci­

a precocious victory of the death instinct has been

ence of moral phenomena was an impossibility.

less

Thus most later sociological work, while appearing

However, the idea was developed in a celebrated

influential,

even

amongst

psychoanalysts.

to support Durkheim's 'findings', has confined

book by Menninger (1938), who interpreted a range

itself to the relationship between suicide rates and

of damaging and potentially damaging behaviour as

external social factors. From this perspective some

partial, or chronic, suicides. For full suicide, the

of the best-known studies have positively linked

individual not only had to have the wish to die, but

suicide to, for example, urbanization and isolation

also the wish to kill and be killed.

(Halbwachs, 1933; Sainsbury, 1955; Cavan, 1965),

Durkheimian and Freudian theories have a lot

lack of status integration (Gibbs and Martin, 1964),

more in common than is often realized. Both use

lack of external restraint (Henry and Short, 1954;

theoretical analysis to try to reveal the underlying

Maris, 1969) and imitation following media cover­

causes of human action, both explain suicide in

age (Phillips and Carstensen, 1988).

terms of the normal development of individuals

SURREALISM

673

and societies, and both explore the tensions arising

implications for defining and theorizing about

from the precarious relationship in persons be­

suicide. Stengel ( 1973) has defined suicide as 'any

tween the 'animal' and the 'social being'. In con­

deliberate act of self damage which the person

trast, modern 'suicidology' (now a discipline in the

committing the act cannot be sure to survive'.

United States, with its own association and journal)

Perhaps the key question for current research is

tends to be informed by an empiricist epistemology

not, why do people kill themselves, but why do so

with

many more (possibly as many as 100,000 a year in

'theories' of particular trends in suicide

England and Wales) risk their lives in what Stengel

'emerging' from the data. Psychological and biological theories of suicide

has likened to a medieval ordeal?

tend to search for the 'factors' which characterize,

The ethics of suicide tend no longer to focus on

or are more prominent in, the suicide-prone indi­

the attempter's moral culpability. Modern thought

vidual. Cognitive psychology has, for example, sug­

sympathizes with the suicide, but puzzles over the

gested the suicidal are characterized by more

mystery of what drives individuals to seek to detach

polarized, less imaginative and more constricted

themselves from the good society. In the twenty­

thought processes (Neuringer, 1976). A range of

first century, with an ageing population and dimin­

social psychological studies have identified suicidal

ishing resources, the re-emergence of suicide as a

individuals scoring higher on scales of, for example,

social responsibility, even a duty, cannot be dis­

'hopelessness',

counted.

'hostility'

and low

self-esteem.

However, lack of consistency and difficulties in making comparisons arise from the fact that such

See also DEPRESSION; PSYCHIATRY AND MENTAL ILLNESS.

context-bound scales are not 'measures' in any ob­ jective sense. Biological and genetic factors offer potentially

Reading Douglas, J. 1967: The Social Meanings ofSuicide.

more objective indicators. For example, a number

Durkheim, E. 1897 (1963): Suicide: a Study in Sociology.

of studies have found links between suicidal behav­

Freud, S. 1917 (1957): Mourning and Melancholia.

iour and low levels of the serotonin metabolite

Lester, D. ed. 1990: Current Concepts ofSuicide.

5-hydroxy-indoleacetic acid (5-HIAA) in the cere­

Menninger, K. 1938: Man Against Himself

brospinal fluid (Brown et al., 1982). However,

Stengel, E. 1973: Suicide and Attempted Suicide. STEVE TAYLOR

attempts to explain this relationship, rather than merely document it, are faced with the problem of relating increasingly sophisticated biological meas­

superstructure

See BASE AND SUPERSTRUCTURE

ures to crude psychometric scales. Korn et al. ( 1990) argue that without improved 'measurement'

surrealism

of psychological functions, 'the biological revolu­

ment, which aimed at effecting nothing less than a

tion in psychiatry may indeed appear chaotic'.

A revolutionary socio-artistic move­

change in society through revelation of the marvel­

Defining suicide has not generally been seen as a

lous behind the everyday, and the methodical ex­

problem. Suicide is intentional self-killing. How­

ploitation of the resources of the unconscious. The

ever, research into the nature of suicidal acts, fatal

poet Guillaume Apollinaire described his play Les

and nonfatal, has challenged the conventional

Mamelles de Tiresias (of 1917) as a 'drame surrea­

notion that all 'genuine' suicidal deaths are aimed

liste', and the word was adopted by a number of

at death and can thus be distinguished from a

younger poets associated with the magazine Littera­

variety of 'false' suicidal acts, such as 'cries for

ture, notably Andre Breton, Philippe Soupault,

help', where the intention is to live. Stengel was

Louis Aragon and Paul Eluard, from 1922 onwards.

one of the first to show that most suicidal acts,

Breton became the undisputed leader and theoret­

including the majority of those which end in

ician of the group, which in time acquired the

death, are manifestations of risk-taking behaviour,

apparatus of a political party, with membership,

undertaken with ambivalent intent and character­

trials, expulsions and heresies, and even its own

ized by uncertainty of outcome (Stengel and Cook,

dictionary.

1958). Some researchers have used the term 'para­

Deriving initially from the nihilistic, anti-art atti­

suicide' to describe behaviour which, while falling

tudes of the Dada movement, surrealism took over

short of a full suicide attempt, is more than a mere

from it the demonstrations, manifestos, shock

manipulative gesture. These observations have

tactics and desire to 'epater les bourgeois', and added

674

SYMBOLIC INTERACTIONISM

a profound interest in the discoveries of Sigmund

Oppenheim and others found themselves through

Freud. The surrealists took their preoccupation

the movement. Surrealism reached its apogee in the

with chance- 'hasard objectif'- from the elegant,

great exhibitions in London (in 1936) and Paris (in

philosophical anti-artworks of Marcel Duchamp, a

1938), though it carried on until the death of Breton

member of the Dad a group, and its aesthetic method

in 1966, and has had a continuing influence, notably

from a much-quoted phrase from Les Chants de

on 1960s Pop Art.

Maldoror (of 1869) by Isidore Ducasse, Comte de Lautreamont: 'as beautiful as the unexpected meet­ ing, on a dissecting table, of a sewing machine and an umbrella'. This juxtaposition of contrasting or con­ tradictory realities to reach a new, surreal state was associated by Breton with Hegel's DIALECTICS, and was facilitated in particular by the relatively new idea of collage, the sticking together of printed or

See also SOCIOLOGY OF ART . Reading Aliquie, F. 1965:

The Philosophy ofSurrealism. Surrealism: Permanent

Cardinal, R. and Short, R. S. 1970:

Revelation. Jean, M. 1970:

The History ofSurrealist Painting. The History ofSurrealism.

Nadeau, M. 1968:

ADRIAN HENRI

photographic elements. The do-it-yourself nature of this technique

See S ociAL SURVEY

survey, social

accorded with another maxim of Lautreamont: 'poetry must be made by all'. Collage, the serious

symbolic interactionism

use of children's paper games such as 'conse­

can sociology, this is an offspring of CHICAGO SOCI­

quences' (known as cadavres exquis from the first

OLOGY. For decades it was a 'loyal opposition' to the

A branch of Ameri­

two words obtained by this method), the use of

dominant theory ofTalcott Parsons (see FUNCTION­

dream and trance material and automatic writing,

ALISM) and to the more quantitative empirical ap­

and later the discovery of 'found objects', made for

proaches.

a theoretically democratic movement. New media

interactionism became almost a fashion, and it was

In

the

1960s interest in

symbolic

like photography (with Man Ray) and film (with

connected, in an unclarified way, with phenomeno­

Luis Bufi.uel) seemed particularly well adapted to

logical and other approaches. Today, this theory

the production of contrasting realities. Primitive

continues, on the one hand, relatively unbroken,

and naive art, cheap thrillers and early Hollywood

while on the other hand there are tendencies, first,

movies were discovered and acclaimed. It is ironic,

to overcome the concentration on microsociological

in view of all this, that the surrealists are now

phenomena and, second, to gain a historical under­

largely perceived as an elite group of poets and

standing of itself.

painters. During their years of peak activity in the 1930s,

The term 'symbolic interaction' was coined by Herbert Blumer in 1937. It denotes that this branch

at the time of the Popular Front and antifascist

of sociology and social psychology focuses on pro­

activity generally, they persistently tried to ally

cesses of interaction - immediate reciprocally

themselves with the French Communist Party,

oriented social action- and that it has an underlying

with predictably tragi-comic results; such free

concept of interaction which stresses its symbolic­

spirits, however sincere, had no place in a rigid

ally mediated character. One should not think here

party hierarchy.

of social relations in which action is a mere actual­

Though they regarded themselves as anything

ization of pregiven rules, but of those in which

but an art movement, it is also ironic that surrealism

common and reciprocal definitions of the relation

is best known today as the breeding ground of a

are proposed and established. Social relations, then,

number of exceptional painters: Max Ernst, Andre

do not appear as fixed once and for all, but as open

Masson, Rene Magritte, Salvador Dali; their vary­

and depending on constant common approval. This

ing nationalities testify to the international spread

basic principle of symbolic interactionism explains

of the movement.

its methodological affinity with so-called qualitative

Love- !'amour fou- and Woman provided the

methods, particularly the participant observation

inspiration. Violently anticlerical, it is as if the

approach and the use of biographical data. On the

surrealists took metaphysics and replaced divine

level of content, processes of family interaction,

love with physical love. A considerable number of

processes of emergence and definition of deviant

their 'muses' became artists in their own right:

and subcultural behaviour were opened up as fields

women such as Eisa Triolet, Lee Miller, Meret

of research.

SYNDICALISM

675

However, it would be insufficient to describe this

worked out and was not even recognized for a long

approach only by a vague characterization of its

time. This coherence has to be understood as

basic assumptions. Above all it should be noted

resulting from, first, a conception of social order

that Blumer's programme is a more or less simpli­

which is guided by democratic ideals; second, the

fying condensation of the complex theoretical work

primacy of sociality derived from a theory of action;

of G. H. Mead, read with a social psychological

and third, the concept of action developed by prag­

interest. Without using the term, Mead elaborates

matism. But one has to admit that the analyses of

the concept of symbolically mediated interaction in

social problems in the United States at that time

the framework of an anthropological theory of com­

produced - for example in R. E. Park's work - a

munication, for instance, in a comparison of animal

dualism of two types of social order: one dominated

and human modes of communication and sociality,

by competition, the other dominated by CoMMUNI­

emphasizing the meaning of self-perception and

CATION.

anticipation of behaviour and showing how these

It is an important point for the reconstruction of

transform mere vocal gestures into meaningful

the

symbols. On this basis he introduces a changed

whether this dualism was dissolved or merely

history of symbolic interactionism to see

view of personality structure and a new concept of

covered by restricting research to the second type,

mind. The ability of the individual to indicate

the communicatively created social order. The pro­

something to itself and to interact with itself is

ductiveness of this tradition- beyond microsocio­

central in both cases. Then follows an analysis of

logical phenomena- has been shown in the analysis

the onto- and phylogenetic origin and development

of the division of labour in the case of professional

of self, reflexive thinking and intentional action.

organizations and in the analysis of collective behav­

Mead considers the integration of individual be­

iour and social movements. This might be reason

haviour into group activity by means of mutual

enough to give this sociological approach, which has

anticipation of behaviour instead of fixed biological

for decades suffered from a lack of theory, a coherent

patterns as the characteristic feature of human so­

theoretical self-understanding, which would con­

ciality.

tribute to current theoretical debates.

Criticism of symbolic interactionism is mainly directed

against Blumer's methodological pro­

gramme, asserting (a) an alleged reduction of social phenomena to forms of immediate interpersonal relationships; (b) a neglect of power and domin­ ation; (c) a conceptualization of macrosocial pro­ cesses in terms of mere horizons for life-worlds; (d) a complete disregard of the human domination over nature and the increasing independence of social

Reading Becker, H. 1963: Outsiders: Studies in the Sociology of Deviance. Blumer, H. 1937: Social psychology. In Man and Society, ed. E. P. Schmidt. --1969:

Symbolic

lnteractionism:

Perspective

and

Method. Glaser, B. and Strauss, A. 1967: The Discovery ofGrounded Theory: Strategies for Qyalitative Research.

processes from the intentions and orientations of

Hughes, E. 1971: The Sociological Eye: Selected Papers.

individual and collective actors. Many of these ob­

Joas, H. 1985: G. H. Mead: a Contemporary Re-examin­

jections to Blumer's programme and its adherents may be justified, at least in part, but they seem odd if the whole range of the theoretical and empirical contributions of this approach is taken into account, for example by including the work of Everett Hughes and his school on the sociology of work and the professions. The importance and potentiality of symbolic interactionism can only be understood in the con­

ation ofhis Thought. --1992 (1996) The Creativity of Action. Cambridge: Polity. Mead, G. H. 1934

(1962): Mind, Self, and Society, ed.

C. W. Morris.

--1964: Selected Writings, ed. A. J. Reek. Park, R. E. 1967: On Social Control and Collective Behav­ iour: Selected Papers. Thomas, W. I. and Znaniecki, F. 1918

(1974): The Polish

Peasant in Europe and America, 2 vols.

text of the old Chicago school which it succeeded

HANS JOAS

but also limited. In a sense it marks a decline of the loose interdisciplinary network of theorists, social

syndicalism

researchers and reformers at the University of Chi­

to subordinate theory to action; they celebrated

cago, which had a certain unity although the inner

spontaneity and were often ostentatiously anti-in­

coherence of the various elements has never been

tellectual. The doctrinal origins of syndicalism

It was characteristic of syndicalists

676

SYNDICALISM

were eclectic, and its central dynamic was typically

this was a rejection of parliamentarism-considered

negative: a reaction against the perceived failings of

a source of careerism and compromise - and of

the mainstream labour movement, a protest against

political parties (or at least those primarily commit­

new forms of alienation and deprivation afflicting

ted to parliamentary action). Instead, syndicalists

the working class. Since the precipitating forces

emphasized trade union struggle, while denouncing

differed across countries, so syndicalism itself was

the spread of peaceable collective bargaining (see

internationally variable.

TRADE UNIONs); for them, industrial militancy was

'Syndicalism' is merely the English rendering of

essential to defend workers' economic interests,

the French word for trade unionism. Syndicalisme

while encouraging their confidence in preparation

revolutionnaire commonly denoted the aims and

for a concerted challenge to capitalism through the

principles

Pelloutier

revolutionary general strike. SociALISM itself was

(1867-1901), secretary of the Federation des

conceived in terms of workers' control rather than

Bourses du Travail; and the policies embraced by

administration by a centralized state. Finally, most

the Confederation Generale du Travail (CGT)

syndicalists were strongly opposed to militarism

after the two union organizations merged in

and nationalism.

expounded

by

Fernand

1902.

By

If one can distil a coherent body of thought from

1914, revolutionary syndicalism had become

the programme of the CGT, it involves the insist­

the official position of significant sections of the

ence that unions must keep clear of entanglement

trade union movement, mainly in countries with

with political parties, should encourage localized rank-and-file initiative and should challenge capit­

traditions of ANARCHISM (Joll, 1964; Woodcock, 1963), with a substantial artisan base and with little

alism through escalating militancy (including sabo­

background in institutionalized collective bargain­

tage). Spontaneity and violence (spearheaded by a

ing. As well as the CGT in France, notable

militant minority), together with the 'myth' of a

examples were the Confederaci6n Nacional de Tra­

revolutionary general strike, were celebrated in the

bajo in Spain (Payne,

writings of Georges Sore! (1847-1922) - though his

cale Italiana. Where syndicalists were in a minority

connection with syndicalist trade unionism was

they often led the opposition to official union pol­

neither close nor lasting. His writings particularly

icies and practices. In Britain an Industrial Syndic­

1970) and the Unione Sindi­

influenced the Italian left, some of whom -notably

alist Education League was formed in

Mussolini - later turned to fascism (see Roberts,

activists such as Tom Mann

1979).

rejected centralized collective bargaining and pro­

The heyday of syndicalism as an internationally

1910 by (1856-1941); they

claimed the slogans of solidarity and direct action.

influential body of ideas was in the years immedi­

In the United States the term syndicalism was

ately before the outbreak of war in

rarely used, but the Industrial Workers of the

1914. This

coincided with social and economic transform­

World (IWW) showed many parallels with revolu­

ations in many countries, involving the displace­

tionary syndicalism in Europe (Dubofsky,

1969).

In much of northern Europe, the dominant

ment of traditional peasant and artisan relations of production, the imposition of the new disciplines of

meaning of syndicalism was rejection of the need

large-scale factory labour and the rise of giant cap­

for a socialist party. Social democracy had become

italist combines and cartels with intimate links with

bureaucratic, corrupted by parliamentarism, ready

the state. At the same time, the very successes of

to

established trade unions and social-democratic

working class must return to the industrial battle­

parties often seemed to spell bureaucratization

field. An intermediate position was expressed by

and the loss of their radical dynamic (Beetham,

the faction of the IWW led by Daniel de Lean

1987). Syndicalism seemed to provide an alternative for the working class, its meaning varying according to

compromise

with

the bourgeois state;

the

(1852-1914), and their British followers, notably (1870-1916). While insisting that

James Connolly

industrial struggle was of primary importance, they

local circumstances. Often it involved a strong ouv­

perceived some role for a revolutionary party, and

rieriste orientation: a hostility to what was seen as

also accepted the need for centralized organization

the malign influence of bourgeois intellectuals

(encapsulated in the ideal of the 'one big union').

within labour movements (an attitude vigorously expressed by Victor Griffuelhes

(1874-1923), sec­ retary of the CGT from 1902 to 1908. Linked to

An attempt in national

proved

1913 to form a Syndicalist Inter­ abortive

(Westergard-Thorpe,

1978); with the outbreak of war, many erstwhile

SYSTEM THEORY

677

syndicalists abandoned their former antipatriotism.

systems, as opposed to individual actions and

Those who sustained an antiwar position were

parts. Systems are complexes of elements and rela­

often in the lead of the wartime industrial struggles,

tions, separated by boundaries from their environ­

in some cases helping develop theories of socialist

ment, which is always more complex than the

industry based on the principle of the WoRKERS'

system itself (see Hall and Fagen, 1968; Allport,

COUNCIL. But revolution in Russia provoked a fur­

1968). For Niklas Luhmann, 'This difference in

ther crisis for the movement. As early as 1907,

complexity' between the system and the environ­

Lenin had attacked syndicalism for perpetuating

ment in which it is located is 'the fundamental

the 'economist' policies which he had earlier de­

problem for system theory, the ultimate point of

nounced. The Bolshevik model of revolutionary

reference of any functional analysis' (Luhmann,

organization and socialist production contradicted

1970-90, vol. 2, p. 210; see also FUNCTIONALISM).

syndicalism on many key principles; and after 1917,

Social systems may be interactions, organiza­

many leading syndicalists showed their commit­

tions or whole societies. Social systems, like psy­

ment to the Russian example by recanting their

chological systems, may be characterized by their

former 'infantile' policies. Some specific aims of

use of meaning. Their elements, however, are not

prewar and wartime syndicalism - workplace or­

persons, human beings or subjects, but intersub­

ganization, industrial unionism, direct action -

jective or communicative actions (see CoMMUNICA­

were indeed carried over into the new communist

TION ). Social systems coordinate actions. they are

parties. But the underlying theories of socialism

not, however, life-worlds or sociocultural forms of

from below and of workers' management (ex­

life, characterized by the fact that they coordinate

pressed in Russia itself by the Workers' Oppos­

actors' intentions in such a way that these appear, in

ition) were systematically eradicated. Those syndicalists who refused to join, or broke

the perspective of the actors themselves (the par­ ticipant perspective), as a meaningful and inter­

with, the Comintern position tended to reject the

pretable

Moscow model of the workers' state as well as the

neither understandable nor misunderstandable,

context.

Social

systems

are

as

such

Leninist conception of the party. Increasingly,

neither the expression of an antecedent consensus

anarcho-syndicalism came to dominate the surviv­

nor the implementation of a conscious consensus.

ing syndicalist movements, which associated in a

Social

Syndicalist International in 1922. But with the

actions, which objectively make up a functional

systems

coordinate

the

consequences

of

widespread working-class defeats of the 1920s, syn­

whole from the perspective of an observer or an

dicalism became displaced as a serious rival (at least

observing system.

outside Spain, Portugal and Latin America) to so­

Economic acts, for example, which are meaning­

cialist, communist and trade union orthodoxies.

ful and therefore interpretable from a participant

One may detect some continuities between early

perspective, are combined by markets into a system

syndicalist ideas and more recent theories of

in which one economic act follows from another.

workers' control. But even on the left, 'syndicalism'

What determines the link and the sequence of

itself has become little more than a term of abuse.

actions in space and time is, however, not the

Will the collapse of orthodox communism bring

meaningful intention but merely whether the

renewed attention to the syndicalist tradition?

buyer has money or not and whether or not he or she spends it. The money mechanism is blind to

Reading Cole, G. D. H. 1956 (1967): A History ofSocialist Thought, vol. 3. Gear y, D. 1981: European Labour Protest. Holton, B. 1976: British Syndicalism 1900-1914. Ridley, F. F. 1970: Revolutionary Syndicalism in France. Steams, P. 1971: Revolutionary Syndicalism and French Labour. RICHARD HYMAN

intentions and to any beliefs, programmes, ideas and interests. All that counts are the consequences of decisions to buy. The system of science operates in a similar way: it is not the concrete research programmes and the multifarious implications of research, such as its social value, which are decisive, but whether what is produced is true or false. The system of science as such is blind to everything else, in particular to the complex meaningful relation between science and life-world. The most import­

The term system includes ma­

ant effect of functional differentiation is that 'the

chines, organisms and social and psychological

soldiers march, the writers write and the ministers

system theory

678

SYSTEM THEORY

rule - whether or not they care to in a given situ­

from. Community, religion and collective con­

ation' (Luhmann, 1970-90, vol. 2). Earlier soci­

sciousness, historical origin, social status and place

ology had given a one-sided account of this

in a traditional hierarchy, family ties and kinship

process as one of bureaucratization, based on the

obligations are irrelevant, although their socially

model of purposive-rational action. System theory

integrative force is still presupposed. The only

tends to treat the same process just as one-sidedly as

thing that counts in a juridically institutionalized,

a gain in freedom resulting from the removal of the

free and

burden of individual responsibility (cf. Luhmann,

whether someone can pay or not. Through their

1976, pp. 287ff.).

legal institutionalization, free markets have cut

equally accessible market system

is

Abstracting from the perspectives and orienta­

themselves off from kinship ties and orders of priv­

tions of the actors has important consequences

ilege, from family and stratification as well as from

for the methodological status of system theory. As

the political sphere. As Marx already recognized,

a theory it is concerned with explanation, not

the order of social strata and classes has lost its old

with understanding. It cannot, however, make any

autonomy and become itself almost totally depend­

claim, or at best a very limited one, to offering

ent on the autopoietic self-organization of the eco­

causal explanations. Sociological system theory, at

nomic system.

least, has reconciled itself to its virtual inability to

Relying primarily on Max Weber's theory of

provide causal explanations, along with strongly

value spheres, Talcott Parsons (1966, 1971) de­

empirical concepts, observability, etc. It explains

veloped a theory of MoDERNITY in terms of func­

the imprecision and circularity of its functional

tional

explanations, however, not by the ontological

individual components of action - latent constitu­

differentiation.

This

process

turns

the

peculiarity of its symbolically structured object

tive values, integrative norms, purposive motives,

verstehende sociology, by the

adaptive resources - which are integrated in com­

imposibility of escaping the hermeneutic circle,

municative action into the specialized performances

but by the complexity and opacity of system struc­

of differentiated functional systems. Both at the

domain

or,

like

tures which are in principle not amenable to causal

level of the 'general action system' and at that of

analysis. Autopoietic (self-forming) systems alter

the 'social system' and the integrative subsystem of

themselves by discovering completely new struc­

the action system, the systems which take over the

tures in an unpredictable manner. System theory

internal tasks of information processing, innovation

itself, however, now sticks increasingly to its own

and the symbolic-communicative reproduction of

method and explains the limits of its causal explana­

values and norms separate out from those systems

tory power by its social function and the functional

which secure the adaptation of action system and

conditions of its own self-reproduction as scientific

social system to

theory (Maturana, 1982; Schmidt, 1987; Luhmann,

external environments.

The process of evolutionary change (see EvoLU­ TIONARY PROCESSES IN SOCIETY) which has led to the

1988). The interpretation of meaning complexes, as

development of the system of modern societies can

practised by W. Dilthey or Max Weber, is not

then be explained by the shift from social stratifica­

rejected by system theory, but rather presupposed.

tion to functional differentiation. The rise of au­

Niklas Luhmann, like Talcott Parsons, started

tonomous cultural institutions makes possible, by

from the fact that, for example, in Protestant

way of the generalization of values, the legitimation

cultures economic action was structured by differ­

of concrete norms which are binding for the social

ent worldviews and meanings to orthodox Catholic

community. A post-traditional educational system,

or in Islamic fundamentalist regions of the world.

a self-organizing economy, autonomous art and

Only where action forms an intelligible life-world

individualized religion (the Protestant ethic) are

can a modern economic system coordinate actions

the most important historical examples. By means

exclusively by means of the effects of flows of

of generalized influence, social integration can be

money on the consequences of action. To this

organized as the inclusive and open-ended forma­

extent societies are always 'systemically stabilized

tion of free associations into a system of social

complexes of action of socially integrated groups'

communities. Parsons's 'societal community', jur­

(Habermas, 1981, vol. 2).

idically institutionalized in CITIZENSHIP, is the site

In a modern, functionally differentiated society,

of associative freedom as understood by Tocque­

where someone comes

ville. One could also describe the self-organization

however, it no longer matters

SYSTEM THEORY of the social community as the higher-level, reflex­

679

differentiation is the emancipation from the limits

ive 'social union of social unions' described by John

of nature and from traditional forms of sociation.

Rawls. In intersystem exchange, this supplies the

Thus, for example, he could describe the develop­

political system with loyal support, through its

ment of the Soviet Union, even at the end of the

influence over the citizens, while the political ad­

1960s, as a progressive modernization on the road

ministrative system supplies the social community

to the Western system of modern societies and

of citizens with the necessary power through the

lagging only in certain domains. This one-sidedly

juridical sanctioning of freedom of association on an

optimistic interpretation of Soviet development,

equal basis.

not based on any ideological prejudice in favour of

The decoupling of political power from the influ­

communism, was due to a categorial blindness. The

ence of communicative action in social associations

concept of functional differentiation permits an

then gives the political sphere the necessary free­

adequate analysis of the modern transformation

dom to impose functional differentiation and to

and dissolution of traditional forms of socialization,

implement, in a purposive-rational manner, the

but the question whether there are modernization

corresponding juridical and administrative struc­

processes (such as the Stalinist terror) which des­

tures; these are necessary, for example, to separate

troy not only traditional forms of socialization but

the modern organization of work from the oikos, the

the very possibility of socialization itself cannot

diffusely functioning peasant family household, but

even be posed. If this is so, functionalist system

also for example to protect the socializing function

theory cannot escape the charge that it embodies a

of the family from the economic mobilization of the

concealed philosophy of history. It seems, at least,

individual family members. An economic system,

as if system theories are forced by their categories

freed by massive political intervention from all

into a certain blindness to possible pathologies of

value commitments, normative restraints and pol­

modernization. Habermas's anxieties go in this dir­

itical tasks can concentrate on the maximization of

ection, and Michel Foucault's polemical discourse

performance and develop the productive forces

analyses gain considerable force as a corrective to

without which the system of modern societies

the one-sided optimism of system theory's view of

would lack all motive power.

modernity.

This model of functional differentiation suffers from a fundamental difficulty. For Parsons, every form of system formation by means of functional differentiation appears as a broadly unproblematic decoupling of system and life-world - unproblem­ atic only because he conceives the life-world only in terms of traditionalism, particularism, diffuseness and affectual collectivism. For him, functional

Reading Habermas, J. 1981 (1984, 1989): The Theory of Communi­ cative Action, vol. 2. Parsons, T. 1951: The Social System. --1966: Societies: Evolutionary and Comparative Per­ spectives. HAUKE BRUNKHORST

T taste

The

ability to judge and appreciate what is propen­

taste. In the first half of his

Critique ofJudgement

beautiful, excellent, good or proper, and the

(1790) devoted to aesthetic judgement, Kant raised

sity to produce or to consume objects (such as works

the 'problem of taste' thus: how can we issue judge­

of art) that embody this capacity make up the two

ments which claim 'universal validity' when 'their

sides of the coin of taste. While the notion has a long

determining ground' is that most private response

and illustrious past in Western social thought,

to the objects of the world, namely, pleasure? Or, is

stretching from Kant back to Hume and Plato, it

it possible for taste, springing spontaneously from

has been surprisingly neglected by the social sci­

our subjective feelings, to exclude 'decision by

ences. Indeed, until recently, save for Max Weber's

means of proof and yet to meet the 'necessary

considerations on the stylization of life and Thor­

agreement of others'? Kant's answer was to separate

stein Veblen's theory of conspicuous consumption,

'pure taste' and 'coarse pleasure' so as to isolate the

it was the near-exclusive province of philosophers

disinterested disposition to 'differentiate' and 'ap­

and specialists in art history or criticism (Osborne,

preciate' beauty (Cohen and Guyer, 1982); the

1970), not to mention biologists - in short, it was

latter rejects the easy submission of the senses to

relegated either to the realm of high culture or that

the common and the vulgar

of nature. Thus the entry on taste in the

Inter­

(das Vulgiire) to cele­

brate the finality of form. To be sure, not all phil­

national Encyclopedia ofthe Social Sciences (Wenzel,

osophers have adopted the Kantian notion of a pure

1968) treats taste, along with smell, solely as a

faculty of appreciation and distinction. Wittgen­

physico-chemical phenomenon and contains not a

stein

single line on its social dimensions.

one, clearly pointed to an anthropological as op­

The attitude of modern economics is emblematic

(Lectures and Conversations, n. d., p. 8), for

posed to a charismatic conception of taste when he

of the traditional social-scientific disregard for

insisted that 'to describe what you mean by a cul­

taste. By assigning preferences the status of an

tured taste, you have to describe a culture.'

'exogenous' variable, neoclassical theory obviates

It is only in the last two decades that research in

the need to study their social genesis, structure

the sociology of CULTURE has broken the monopoly

and change and reduces taste to the outcome of a

of philosophical and literary aesthetics, replacing

wholly individual process of internal learning, as in Tibor Scitovsky's 'cultivation' hypothesis. In their

the latter's essentialist notion of taste with a rela­ tional conception firmly tying taste to the dynamics

famed piece 'De gustibus non est disputandum',

of CLASS inequality. Whereas the thrust of pure

ontologize taste in a quest

Stigler and Becker (1977) go as far as to argue for

aesthetics has been to

the radical irrelevance of taste to the social analysis

for a Platonic entity with a history of its own,

historicize it. For Norbert

of all human conduct, contending that differences

sociology labours to

in behaviour are best explained strictly in terms of

Elias (1939), our standards of taste are the historic

variations in prices and incomes. Even such 'taste­

product of a centuries long 'civilizing process' in­

based' phenomena as addiction, habitual behaviour,

volving the progressive multiplication of con­

advertising and fashion, they say, can best be stud­

straints and prohibitions on the physical functions

ied in light of the 'hypothesis of stable and uniform

of the body (eating and evacuation, sleeping, sex

preferences'.

and violence). The transformation of European

It was therefore incumbent on philosophy and AESTHETICS to

explore taste and its contours.

sensibility recorded by these standards appeared first in royal courts before trickling down from the

Modern philosophical thinking on the topic is

aristocracy to the middle and working classes due to

anchored in Kant's treatment and may be charac­

the establishment of strong unified states and to the

terized as a search for a transhistoric essence of

ensuing physical pacification of society. Corbin

681

TASTE

(1982)

has developed a kindred argument in the

ences mirror in their organization the structure of

domain of smell by uncovering how modifications

social space.

in olfactory standards-what is considered foul and

grasped relationally, within a system of oppositions

Consequently,

taste can

only

be

fragrant, what odours are deemed tolerable, what

and complementarities between lifestyles and be­

groups are considered 'offensive' -in nineteenth­

tween corresponding social positions in the class

century France expressed the growing conflict

structure.

between classes in the appropriation and domesti­ In matters of taste, more than in anywhere else,

cation of space in the industrializing city. In fact, the very categories we use to establish hierarchies of taste, such as 'highbrow' versus 'low­ brow', find their origins in the historical process of

sacralization of culture

whereby the artistic matters

and manners of the privileged classes were insti­ tuted into a universal canon of aesthetic judgement. Levine recounts the long struggle it took in Amer­ ica 'to establish aesthetic standards, to separate true art from the purely vulgar' so that, by the turn of this century,

any determination is negation: tastes are no doubt first and foremost distastes, disgust provoked by horror or visceral intolerance ('sickmaking') of the taste of others.(Bourdieu

1979, p. 56)

Thus the 'taste of liberty' of the upper class, which gives primacy to manner over matter based on an elective distance to economic necessity, defines itself by the refusal to surrender to primary drives, which they take to be the taste of the working classes. The latter evidence a 'taste of necessity'

the taste that ...prevailed was that of one segment of the social and economic spectrum which con­ vinced itself and the nation at large that its way of

which expresses a class ethos and does not, properly speaking, constitute an aesthetic in so far as it refuses to separate art and life and to subordinate

seeing, understanding, and appreciating music,

function to form. In between them, the taste of the

theater and art was the only legitimate one.

petite bourgeoisie is a manifestation of cultural

(Levine,

goodwill determined by the gap between their

1988, p. 231)

high recognition of the legitimacy of bourgeois To create cultural consumers as a collection of persons reacting

individually

with 'tasteful' re­

culture and their low capacity to appropriate it. Bourdieu's third innovation is to show that the

straint to the performance required an active work

manner in which the specific code necessary for

of fragmenting, taming and segregation of audi­

deciphering cultural works is acquired - through

ences, actors, styles and genres, which entailed

imperceptible immersion in the familial environ­

systematic denigration of 'popular' entertainment.

ment or via explicit teaching at school-survives in

Taste in art had grown into a means of social separ­

the way it is put to use and deeply affects all cultural

ation linked to the rise of the new middle and upper

practices. More importantly, when it takes the form

classes.

of cognitive categories that appear individual yet

But it is in

Distinction

that we find a radically

are unevenly allocated across groups, this code

sociological answer to the Kantian conundrum of

automatically provides profits of social distinction:

taste. In it, Pierre Bourdieu

(1979)

effects a Coper­

nican revolution in the science of taste by breaking

it functions as

cultural capital

naturalizing class

differences.

with three central tenets of the dominant perspec­

Far from being the ultimate repository of spon­

tive. First, he abolishes the sacred frontier which

taneous individuality, then, taste turns out to be the

makes legitimate culture a separate universe by

form

repatriating aesthetic consumption into everyday

class culture turned into nature, that is,

par excellence

of social destiny

(amor fati), 'a embodied'

1979, p. 190) and destined to operate as a

consumptions: the same set of dispositions -what

(Bourdieu

Bourdieu calls habitus -determine one's choice in

code of power. By revealing taste as simultaneously

matters of music and sport, painting and hairstyle,

weapon and stake in the classification struggles

theatre and food. Second, against charismatic ideol­

whereby groups seek to maintain or improve their

ogy, Bourdieu observes, not only that cultural

position in society by imposing their lifestyle as the

needs and capacities are a product of class upbring­

sole legitimate

ing and education, but also that there exists a

ology

hom­

between the hierarchy of goods and the

hierarchy of consumers, such that aesthetic prefer-

aestheticus

art de vivre,

Bourdieu brings

homo

back into the world of the mundane, the

common and the contested, that is, back into the heartland of social science.

682

TECHNOCRACY in organizations in all developed societies, whether

See also AR T, SOCIOLOGY OF.

putatively capitalist or socialist, and whether in the Reading

private, public or social sectors of these societies. It

Bourdieu, P. et al. 1970 --

(1990): The Love ofArt.

1987: The historical genesis of a pure aesthetics.

Journal ofAesthetics and Art Criticism, special issue on analytic aesthetics, 201-10. Gamboni, D. 1983: Meprises et mepris: elements pour une etude de l'iconoclasme contemporain.

Actes de la

recherche en sciences sociales 49, 2-28. Popular Culture and High Culture: an Analysis and Evaluation of Taste. Gombrich, E. H. 1963: Meditations on a Hobby Horse and Other Essays on the Theory ofArt. Schusterman, R. ed. 1989: Analytic Aesthetics. Gans, H. 1974:

LOIC J.

D.

also resists more recent efforts to justify bureau­ cratic discretion by refusing to acknowledge its often-superior ability to represent the public and social interests of individuals and groups increas­ ingly marginalized by a neoconservative/neoliberal agenda

in

practice,

particularly

in

two-party

systems. Finally, it fails to take into account the impact of this agenda's downsizing, contracting out and privatizing strategies on organizational careers and bureaucratic stability, particularly in the public and social sectors.

WACQUANT

What all-too-often follows from technocratic presumptions and preferences is the view that pol­

technocracy

The word

'technocracy' implies

itical problems are really administrative and man­

rule or government by technically qualified bureau­

agerial in nature, or that ideally they should be

crats, administrators or managers based on either

reduced to this in order to resist the destabiliz­

the separation between legal ownership and effec­

ing tendencies allegedly caused by political parties,

tive control or the claim that no-one has an ascribed

campaigns and elections. Technocrats, once in­

right to a civil service position. It is because

stalled, prefer infrequent plebiscitary elections of

technocrats oversee and direct younger line and

short duration where at least one other 'team' is in a

staff personnel with more recent technical training

position to take over in the event the present party

but less experience that their jobs are also highly

is defeated. The social order is comprehended, in

'political' wherever they are carried out.

the ideal case, as a system susceptible to the sort of

Technocracy also refers to the short-lived move­

tinkering that

either increases or decreases its

ment in the United States which reached its apogee

efficiency on the assumption that nothing more

between 1931 and 1933, based on the thinking of

radical than piecemeal modifications will ever be

Thorstein V eblen, particularly his influential book

required.

of essays The Engineers and the Price System (1919).

Though the movement that developed in the

The word originated earlier in 1919 with W. H.

United States was thought initially to be progres­

Smyth, a follower of Veblen, after he read some of

sive, even radical, its conservative colours quickly

the essays that were to appear in this book. Smyth

manifested

defined it as 'the organization of the social order

French positivist thinking. Technocratic thinking

based

technical

thus has serious consequences not only for repre­

experts', echoing the long tradition of French posi­

sentative democracy, but for the stability and con­

on

principles

established

by

themselves,

reflecting

its

roots

in

tivist thinking that begins with Saint Simon and

tinuity of public and social programs and for

includes Comte, Enfantin and the Ecole Polytech­

bureaucratic representation of public and social

nique between 1815 and 1860.

interests generally. Technocratic values and pre­

A major assumption of technocracy as Smyth

ferences are increasingly likely to harmonize with

defined it is that there exists a phenomenon called

a

objective knowledge and that it can be grasped and

order, efficiency, privatization and deregulation be­

applied directly to social, political and economic,

cause these strategies increase depoliticization,

as

even at the cost of bureaucratic downsizing.

well

as

technical

problems.

Furthermore,

technocrats able to combine such knowledge with sophisticated organizational leadership and man­

neoconservative/neoliberal

agenda

favouring

See also BUREAUCRACY; MANAGEMENT SCIENCE; SCIENTIFIC-TECHNOLOGICAL REVOLUTION.

agement skills are the persons who can best be trusted to achieve and maintain a stable industrial

Reading

order.

Akin, W. E. 1977:

This ignores ongoing serious tensions between line and staff and generalist and specialist functions

Fischer, F. 1990:

pertise.

Technocracy and the American Dream. Technocracy and the Politics of Ex-

683

TELEOLOGY Habermas, J. 1968-9: 'Technology and science as ideol­ ogy'. In Toward a Rational Society. Kellner, H. and Heuberger, F. W. eds 1991: Hidden

Technocrats. Radaelli, C. M. 1999: Technocracy in the European Union. Wilson, H. T. 1983: Technocracy and late capitalist soci­ ety. In The State, Class and the Recession eds S. Clegg,

G. Dow and P. Boreham.

systems (as collections of public and private re­ search laboratories) that ceaselessly create change after change without regard

to consequences.

Critics thus emphasize the unanticipated effects of technological change, especially in terms of the natural environment, the overlooked harm of, for example, iatrogenic diseases, the psychological and cultural impact of constant rapid change, the use of

--200 I: Bureaucratic Representation. H. T. WILSON

technological expertise as a source of insulation from democratic evaluation and control.

technological change

Some

The experimental alter­

argue for the dissolution of technological systems

ation of the environment through scientific prob­

and for measures to arrest technological change

lem-solving

(Berry,

has

always

been

part

of

human

endeavour. The scope, rate and diffusion of tech­

1977).

More positive assessments emphasize the ra­

nological change has been so dramatic, however, in

tional nature of technological change and its liber­

the twentieth century (particularly in the areas of

ating impact. Freed from the constraints of culture

warfare, civil engineering, transport, communica­

and tradition, economic production can be organ­

tion and medicine) that writers have offered separ­

ized more rationally and efficiently, thus alleviating

ate theories to account for and assess this particular

poverty and providing expanded opportunities for

kind of alteration. A dominant element in these

leisure and assuring better health. Technological

theories

is

technological

determinism.

Tech­

change conceived as progress was an assumption

nological determinism asserts that technological

of nineteenth-century

change accounts for changes in culture, politics

Simon and Marx, and is an axiom of such diverse

thinkers such as Saint­

and economics. A modified version of this theory

figures as V. I. Lenin, Frederick Taylor, Le Corbu­

is technological interactionism, which claims that

sier and B. F. Skinner in the twentieth century. A

the relationship between technological and social

somewhat different set of advocates of technological

change is mutual. Thorstein Veblen, for example,

change emphasize the positive aspects of some

argued that technological change is modified and

technological changes, called variously, 'peoples'

restrained by social beliefs and structure (cultural

technology', 'soft technology', or 'intermediate

lag). Where an innovation or invention is intro­

technology'. These writers, including Marshall

duced to another society, however, it is freed from

McLuhan, E. F. Schumacher and Buckminster

cultural constraints and alters other institutions and

Fuller, support the introduction and development

practices (Veblen,

1914, p. 1 3 5 ).

of technological changes that permit personal and

Writers who have accepted either of these theor­

serendipitous use (such as transistor radios and

ies tend to be divided into two groups in their

personal computers) and argue that technological

assessment of the merit of technological change.

change properly directed can fulfil the democratic

One position questions the value of these changes

and utopian visions of Gandhi and Jefferson.

from a utilitarian or moral standard. One of the

See

most severe critics of technological change was the

THEORY;

German philosopher Martin Heidegger, who made

REVOLUTION.

also

INFORMATION

INVENTION;

TECHNOLOGY

AND

SCIENTIFIC-TECHNOLOGICAL

a sharp distinction between the nature of ancient and medieval technological change, on the one hand, and that of modern technological change, on the other. The central characteristic of the latter was the transformation of the entire world into an object of 'standing reserve' for manipulation, in which humans are themselves 'enframed' into a system (Heidegger,

1954). Thus, for Heidegger,

the Rhine is transformed under modern techno­

Reading Boorstin, D. 1978: The Republic of Technology. Ellul, J. 1954 (1965): The Technological Society. Hughes, T. 1989: American Genesis: a Century ofInvention

and Technological Enthusiasm. Mumford, L. 1934 (1963): Technics and Civilization.

--1967: the Myth ofthe Machine. Teich, A. H. ed. 1977: Technology and Man's Future. PHILIP ABBOTT

logical imperatives from a landscape to a power source. Other writers have also emphasized the

teleology

autonomous and insulated nature of technological

meaning purpose. The speculative use of this term,

The word comes from the Greek telos,

684

TERRORISM

derived from Hegelian and other philosophies

Second, terrorism may be a logic of action - no

of history and imputing a purpose or goal to the

longer a political actor's ultimate or conjunctural

whole of human history, generally lost credence

means of action but a political and ideological com­

in the course of the twentieth century and was

bination of thought and action, a phenomenon

attacked by such writers as Popper (1957) and Lyo­

wherein the 'clerisy' has a concrete role of organiz­

tard

Teleological

ing terrorist actions. In this case, violence reverses

ExPLANATION of the behaviour of humans and

ends and means, and the actor seems to be caught

(1979)

(see

HISTORICISM).

other higher animals in terms of perceived goals

up in a chain reaction that is endless unless stopped

has

by repression, imprisonment or death. This actor is

however

become

more

widely

accepted.

Whereas POSITIVISM and BEHAVIOURISM relied on

born within a politically bounded space, but he

essentially mechanical explanations in terms of

leaves it following a process of 'inversion' (Wie­

antecedent causes, HERMENEUTICS and RATIONAL

viorka, 1994) involving both his ideology and his

CHOICE THEORY and related approaches (Sartre,

relationship to the experiences of those of whom he

1960; Taylor, 1964) have revived the idea that the

claims to be a part. Terrorist ideologies do not

explanation of human actions must include refer­

directly prolong an earlier ideology; they change

ence to human intentions and purposes and/ or

it, turn it around and alter it considerably, as can

established cultural practices. For REALISM, models

be seen in the numerous groups throughout the

of CAUSALITY which focus on the causal powers of

world since the 1960s that claim to be Marxist­

entities have also brought explanations of natural

Leninist but have broken with Lenin's thought or

events and of human actions into a closer relation­

even with the theses of classical communism. The

ship (Bhaskar, 1979).

community to which such terrorists refer is an

These developments have weakened the sense of

artifical paradise, the reference itself a dream, as

a global opposition between causal or genetic and

can be observed in certain cases of nationalistic

teleological

pervaded nine­

terrorism that have lost all roots - and any sign­

teenth- and early twentieth-century philosophy

ificant audience- in the reference community. This

explanation

which

and social thought, especially in Central Europe

holds true also of a far leftist terrorism that has

(Adler, 1904; Lukacs, 1973). Controversy remains,

usually left the working class (if this class, for

however, over the apparent reliance of FUNCTION­

whose sake actions are carried out, really does

ALISM on a teleological form of explanation which

exist) indifferent, if not averse, to it.

imputes purposes, such as social stability or the

According to a current thesis inspired by func­

development of the productive forces, to supra­

tionalism, terrorism arises where there is a crisis,

individual entities such as social systems or the

particularly a political one. Several authors have

human species, sometimes invoking dubious bio­

proposed explaining the emergence of a terroristic

logical analogies.

process by the crisis of a state that is torn apart

Reading

sively repressive (citing West Germany). Others

(citing Lebanon), corrupt (citing Italy) or exces­ Taylor, C. 1964: The Explanation ofBehaviour.

have drawn up arguments based on the observation

WILLIAM OUTHWAITE

that the political system is blocked (as happened in

Two major sorts of terroristic behav­

promise' between the Christian Democrat and

Italy during the 1970s owing to the 'historic com­ terrorism

iour should be distinguished. First, terrorism may

Communist parties). These explanations are to be

be a method of action that an actor uses to achieve

taken more seriously than those that, without evi­

precise goals. In this case, violence is pragmatic,

dence, consider terrorism to result from manipula­

more or less under the control of the actor who may,

tions conducted by distant powers. They have the

if circumstances

change, turn away from this

advantage of explaining the conditions propitious

method and resort to other strategies, not necessar­

for the emergence of terroristic logics of action, but

ily violent. Terrorism as a method of action is a

they leave aside a major aspect, namely the work of

specifically political phenomenon situated within a

managing meaning that political or intellectual

boundary that may circumscribe one country or

actors perform with reference to a social or commu­

delimit an international, geopolitical space. It may

nity reality that is, in fact, elusive.

be the work of groups or movements but also of governments.

Terrorism affects the political system, and its effects are all the more spectacular whenever it

THEATRE

685

attacks a democracy. Whether domestic or inter­

research has been journalistic, mainly based on

national, terrorism shifts the balance within each of

police information or the accounts of former terror­

the three branches (executive, legislative and judi­

ists and political leaders.

cial) of government and also causes tension between them. In particular, it makes it harder for each to

Reading

maintain its autonomy. Unless there is an overall

Crenshaw, M. ed. 1983: Terrorism, Legitimacy and Power.

crisis of the state, terrorism's principal consequence

Della Porta, D. and Pasquino, G. 1983: Terrorismo e

is to reinforce the executive's power at the expense, mainly, of the judiciary, which may be forced into a very subordinate position. For this reason, terror­ ism is a challenge to democracies (Dror, 1983). How can a government respond? This question has hardly been explored by the social or political sciences. Law enforcement is the essential means

violenza politica. Fetscher, I. and Rohrmoser, G. 1981: Ideologien und Stra­

tegien: Analysen zum Terrorismus, vol. I. Hacker, F. 1976: Crusaders, Criminals, Crazies: Terror and

Terrorism in Our Time. Laqueur, W. 1977: Terrorism. O'Sullivan, N. ed. 1986: Terrorism, Ideology and Revolu­

tion.

for dealing with domestic threats from the far left or

Wieviorka, M. 1994: The Making of Terrorism.

right or from separatist groups. It relies on several

Wieviorka, M. and Wolton, D. 1987: Terrorisme d la une.

tested methods, some of which are universal (police

MICHEL WIEVIORKA

infiltration and files of suspects) whereas others The modern theatre begins properly in

may not be accepted in certain political cultures.

theatre

For instance, what is thought, in Germany, to be a

1889, allowing for some important precursors. The

civic

in

main impetus behind the new theatre was the estab­

tracking down and turning in suspects) is felt, in

lishment of the power of the mercantile and manu­

action

(the

population's

participation

France, to be 'informing' or 'squealing'. Economic,

facturing bourgeoisie, but the directions the theatre

social and political measures may also be useful for

took were mainly expressions of opposition to the

depriving terrorists of any popular base or for hand­

materialist values of that class. Initially it took two

ling the conditions that generate VIOLENCE.

main forms. Beginning with Naturalism and the

In response to international terrorism, govern­

Theatre Libre of Antoine in Paris, a reformist

ments have, for a long time, tended spontaneously

movement began to document the evils of capital­

to take an apparently firm stand in the eyes of

ism and to demand some form of redress. The

international public opinion but to be lax behind

theorist of this movement was Emile Zola; its pre­

the scenes. In recent years considerable effort has

cursor was Henrik Ibsen. Linked to this develop­

gone into developing international cooperation; and

ment was a growing interest in examining the world

certain countries (in particular, the United States

scientifically, and Naturalism soon extended its

and Great Britain) have brought pressure to bear on

range of enquiry beyond the immediacy of the ma­

governments accused of encouraging, even practis­

terial world, into the sociological and psychological.

ing, terrorism. Terrorism breaks out sporadically, and the event

In the course of this enquiry, the established dominant form of theatre, the dramatic play,

itself may precipitate an overall crisis in a country.

began to be seen as inadequate. Dramatic theatre

If so, a variety of actors - political authorities,

is based upon here-and-now scenes composed of

justice officials and the police but also political

dialogue in which characters confront one another

parties, public opinion and the media - are con­

and are thought to have the power to arrive at some

cerned. Their complex interactions are determined,

form of resolution of their conflicts or difficulties.

above all, by the government's ability to control the

The new dramatists encountered certain problems:

situation. The less the government manages to do

for Ibsen, the present was found to be conditioned

so the more the media blow up the event, the more

by the past, which intruded into the here-and-now

autonomous the police becomes, the more panicky

dialogue, while for Strindberg the conflicts were

and rigid public opinion grows, and the less and less

seated in the individual psyche, which could not

compatible are the demands formulated by political

be dramatized according to traditional methods.

forces (Wieviorka and Wolton, 1987).

The dramatic play had established itself during

All these problems define a considerable field of

the rise of the bourgeoisie by representing the

research in the social sciences. However, few

values and the struggles of that class on the stage,

scholars have delved into this subject, and most

but once they held the ascendancy the situation

686

THEATRE

changed.

Chekhov

dramatized

the

decline

of

1891 to build up a large membership which would

the rural bourgeoisie, while others took up the

enable it to buy performances which would be

cause of the working class, though attempts by

presented at times and at prices which its largely

middle-class dramatists to present working-class

working-class members would find convenient.

life were rarely successful, perhaps because they

From this the movement progressed to financing

baulked at portraying revolutionary conclusions.

its own productions and to building and owning its

The second line of opposition began by creating

own theatres. This principle of supporting a theatre

an aesthetic theatre which needed no social justifi­

by block bookings from workers' representative

cation. The Symbolists created imaginary, sensory

organizations, largely the trade unions, became

worlds

the state policy of the former socialist states of

surrounding

hierophantic

monodramas.

Adolph Appia created fluid forms of staging (for

Central and Eastern Europe. Throughout Europe

Wagner's operas) which would complement the

this ensured that the theatre was viewed as a social

emotion-arousing

and

service, worthy of being given state funding- at the

Gordon Craig put forward the idea of a theatre

expense of being accountable in so far as it promul­

ruled by one supreme artist and poet: the director.

gated the hegemony of the ruling class or the ideol­

qualities

of

the

music,

From these experiments and theories three

ogy of the state.

important approaches to performance began to de­

Within the Volksbi.ihne movement questions

velop. Craig, with his concept of the ubermarionette,

were raised from the very beginning about the

established an impersonal form of acting, in which a

relationship between the theatre and its audience.

highly trained, athletic actor was able to perform

Should it educate the audience politically through

with great expressive skill at the demand and com­

theatre, or culturally through participating in

mand of the director, whose will and poetic vision

theatre, as an audience? There were two crucial

determined the nature of the presentation. Isadora

splits. The second of these was occasioned by

Duncan asserted the primacy of the artist/ dancer's

Erwin Piscator in the mid-1920s. Piscator per­

personal authentic expression, arising from what

ceived that the whole movement towards democra­

she called her 'soul-states', which she located in

tization of the theatre was based on the concept of

the solar plexus. Stanislavsky began to investigate

People's Theatre, a set of ideas taken over from the

the psychophysical processes through which the

thinking surrounding the French revolution; but by

actor works and ended by positing the first scientific

the end of the nineteenth century who the 'people' or 'nation' were was a highly contentious issue.

study of the actor. Further important developments to come out of

Piscator rejected those tendencies towards recon­

this period were the founding of national theatres as

ciling the warring classes and introduced the con­

a major instrument of bourgeois cultural hegem­

cept of a committed political theatre, the purpose of

ony, and the movement towards forming some kind

which would be to serve the purposes of the most

ART.)

advanced sections of the proletariat. Shortly after

In France and Germany in particular, at the turn of

World War I, Piscator established the Proletarian

the century, there were movements to democratize

Theatre, which toured the workers' halls of Berlin

of 'popular' theatre. (See also

SOCIOLOGY OF

the theatres, which exerted a powerful influence on

until stopped by the police. In a series of produc­

future developments. In France, under the tutor­

tions for the Volksbi.ihne, for the Staatstheater and

ship of Romain Rolland, a movement developed

two revues for the Communist Party, he developed

government subsidy to establish

a repertoire of techniques for ensuring the political

theatres in the working-class suburbs of Paris,

significance of any theatrical work. His final outrage

agitating for

which would ultimately be extended to the rest of

drove the Volksbi.ihne to disown him and to state

France. In various stages, this idea developed into

categorically that it had no overt political affiliation

the policy of decentralization of the theatre which

or intentions. Piscator went on to define and extend

has formed the basis of France's post-war policy

his ideas on the Political Theatre, and was closely

through the Theatres Populaires, the Centres Dra­

followed by Bertolt Brecht.

matiques and the Maisons de Culture. It is worth

Piscator himself became more and more seduced

noting that the charter of the Arts Council of Great

by the technical innovations he had introduced but

Britain gives its purpose as creating access for the

some of these had significant value, particularly his

widest possible cross-section of the population. In

use of film to bring reality on to the stage or to

Germany, the Volksbi.ihne movement began in

establish the global context within which even the

THEATRE most

domestic

actions

take

place.

(See

687

also

political and general social conditions and needs are

CINEMA.) He proclaimed the death of the dramatic

different. Theatre has been used to promote liter­

theatre, articulated later by Brecht as arising from

acy, population control, agricultural development

the sheer impossibility of finding protagonists

and political resistance. In these campaigns theatre

whose experience would stand as representative of

has been used by governments to maintain the

any large group or class, and the death of the indi­

status quo and by appositional groups to under­

vidual playwright because no one individual pos­

mine it. The major development in this field has

sessed the necessary range of abilities to understand

been through the work of Augusto Boa!, drawing on

all the complex factors which influenced the con­

the educational theories of Paolo Freire, and his

temporary world. He set up dramaturgical coopera­

construct of the Theatre of the Oppressed. Al­

tives, which

though the Theatre of the Oppressed cannot be

included economists and political

activists as well as writers.

reduced to any one single process, there is at the

Brecht, who was a member of the cooperative,

heart of it the idea that oppressed people liberate

found a way of involving collaborators but retaining

themselves following or during a process of con­

the overall control himself. He followed Piscator in

sciousness raising, through which they are led to

rejecting as moribund the dramatic theatre and in

objectivize their oppression and exploitation and to

establishing the epic theatre as the only form capable

work out ways of changing their thinking and acting

of articulating the twentieth century. Brecht's

to create new realities. This kind of theatre requires

theatre methods were designed to set the audience

that even Brecht's work is rejected and the barriers

in a questioning rather than passive frame of mind

between performer and audience are broken down

and he tried to interpose estrangement devices be­

in a series of steps which place the participant inside

tween the action on the stage and the audience, to

the action and in a position to 'rehearse' the possi­

block feelings of empathy and arouse critical atti­

bilities of revolutionary change. Drawing on an

tudes. Brecht saw that the two arms of the Modern­

affinity of purpose with LIBERATION THEOLOGY,

ist movement had grown far apart and conceived his

this theatre is often called Liberation Theatre.

own work as uniting the didactic and entertainment

The second arm of the Modernist movement,

functions of theatre. His theatre was always political

from which Brecht took his ideas of spectacle and

but it utilized all the many formal and spectacular

entertainment, was never entirely separate from the

devices the art theatres had developed. From

Piscator's

work

with

the

reformist arm. From Strindberg onwards through Proletarian

Expressionism, the feelings of ANOMIE were not

Theatre and from a parallel movement in the

easy to dramatize without recourse to nonrealistic

USSR, the 'Blue Blouses', the

predominating

forms of staging. Experiments were carried out

form of political theatre became agitational propa­

with Surrealist ideas and out of these emerged the

ganda, the function of the theatre being to educate

work of Antonin Artaud, rejected by the leading

the audience in political realities and to rouse them

Surrealists but formulating a Theatre of Cruelty

to action. A visit by the Blue Blouses to Germany,

which would cut through the restraints of the liter­

on the occasion of the tenth anniversary of the

ary text and the polite refinements and inhibitions

Russian revolution, inspired political movements

of modern society to create an elemental theatre

all over the world to adopt agit-prop as their theat­

working with images to restore the sense of mystery

rical style. Ironically, this happened at precisely the

and the metaphysical dimension which had been

time that Stalin disbanded the Blue Blouse move­

lost. Artaud was not alone in his concerns- Craig,

ment and established the policy of the Soviet Union

Wassily Kandinsky and Alexander Scriabin had

as socialist realism, the presentation of typical

preceded him- but he began an involvement with

figures in a typical setting.

oriental theatre which keeps returning as a source of

The break-up of the Soviet Union and the other socialist states in Europe has largely made redun­

nourishment for a Western theatre that is in danger of losing its potency.

dant any form of political theatre predicated on the

The application of scientific methods to theatri­

principle of contributing to the ending of the capit­

cal techniques continued throughout the twentieth

alist system and its replacement by socialism. How­

century, particularly in the field of movement and

ever, the techniques of agit-prop and the Blue

DANCE. The ideas of Frederick Winslow Taylor

Blouses have been greatly refined and developed

were a major influence in Meyerhold's concept of

in various parts of the developing world, where the

Biomechanics and there has been a constant stream

688

THEATRE

of new approaches and methods for the physical

on Lake Titicaca, they will eventually create their

training of actors.

own overall identity and political reality.

Rudolf

von

Laban's work

mirrored the concern oflsadora Duncan in seeking

In the 1960s there was a surge of interest in the

to distinguish between authentic and inauthentic

sociology of theatre. Erving Goffman began to use

impulses to move and dance, and he also established

the language of theatre to describe relations in

the first scientific categorization of movement in

public and to describe social interaction in terms

terms of time, space and gravity, as well as

of dramaturgical strategies. At the same time the

inventing the first system for notating movement.

theatre itself came under close scrutiny as an insti­

Out

tution of society and its processes were subjected to

of

the

Expressionist

movement,

Oskar

Kokoschka and Kandinsky worked to create a for­

investigation from such angles as CoMMUNICATION

malist theatre which would complement innov­

processes, relationship to ritual and other anthro­

ations in the graphic arts. The Bauhaus carried

pological considerations. Victor Turner, Richard

out experiments in these aesthetic principles, and

Schechner and Eugenio Barba have all concerned

when this work reached the United States in the

themselves with theatre anthropology. Schechner

1930s and was taken up by John Cage and, later,

has attempted to widen the discipline of theatre

Merce Cunningham, ideas began to be postulated

studies to performance studies, of which theatrical

about theatre forms which would utilize chance,

performance is only a small constituent. Barba has

and in which the constituent elements would not

embarked on a study of cross-cultural comparisons

cohere but would contrast in random ways. Para­

and connections in performance techniques. Inter­

doxically, because Brecht had already established

est

that the image need not illustrate the text or action

Duvignaud on the sociology of the theatre and

was early

aroused

by

the

work

of Jean

but could contrast or comment, the way was open to

then the sociology of the actor. Work has also

liberate the image in a wide variety of ways. There

begun on the psychology of the actor and, recently,

has been a steady stream of new developments

the biology. The more traditional performance

which do not cohere with traditional patterns of

styles and forms have been investigated from struc­

dramaturgy but utilize the environment, the indi­

turalist and poststructuralist approaches to estab­

vidual artist's own body and behaviour patterns,

lish theatre SEMIOTICS. Much has been done in this

and purely formal montages of images and actions.

field but in the final analysis it has offered very little

These become postmodern dance (and recently

which can lead to any advance in the theatre. The

theatre),

approach works best where the performance is

performance

art,

happenings,

and

a

whole series of cross-overs. The work of Robert

based on a solid literary text, which the semiotic

Wilson is the most complex and, with that of Hei­

approach itself attempts to surpass in order to look

ner Mi.iller, the best known.

at the performance structures of theatre.

The most recent concept to arise is that of Third

It would seem from this, or be arguable, that the

Theatre, which relates companies across the world,

long history of theatre seen as a social service now

stemming originally from the work of the Living

acts against its development. 'New Realism' rejects

Theatre and of Jerzy Grotowski. A Third Theatre

such a concept and theatre has little else to fall back

company is neither for the status quo, nor does it

on. At no time has there been so much interest and

oppose it, since opposition defines the work of the

activity in studying and analysing theatrical pro­

company as surely as acceptance. Nor are these

cesses, while the established theatre itself seems in

companies avant-garde experimental companies,

danger of disappearing. Against this the emergence

although their work is experimental and innovative.

of Third Theatre and Theatre in Development

They live and work in the world creating within

companies, who do not equate theatrical activity

themselves theatre as a way of life. They then look

with subsidy, holds out most hope for the future.

for ways of earning their living, but this is not

There are signs of counter-arguments being formu­

allowed to determine the nature of their work or

lated for theatre as an art form and not a service, and

to impose restrictions on it. The leading theorist of

a growing reaction against didactic or political

this movement is Eugenio Barba, of Odin Teatret,

theatre in favour of a celebratory theatre.

who set out the concept of the Floating Islands. If each of these groups is in contact with the others

Reading

they create their own support system and, like the

Barba, E. 1986: Beyond the Floating Islands.

dispossessed Incas, who lived on reed mats floating

Boa!, A. 1979 (1988): Theatre ofthe Oppressed.

THEOLOGY Bradley, D. and McCormick, J. 1978:

People's Theatre. (1978): Brecht on Theatre, ed.J. Willett. C. P. 1988: Theatre in Search of Social

Brecht, B. 1964 Epsepskamp,

Change. Schechner, R. 1988:

689

Schillebeeckx (1977), for example, retains the two sources scheme, but says that they are on the one hand ...the whole experiential trad­

Peiformance Theory.

CLIVE BARKER theology This, including natural theology as practised, say, by Aristotle, may be translated liter­ ally as 'discourse about God'. This is a broad de­ scription, at St Thomas Aquinas points out in the Summa, where he writes, 'theology included in sacra doctrina differs in kind from that theology which is part of philosophy.' This broad sense would also include, today, reflection on the findings of sociology about common or folk RELIGION. In a narrower sense, theology may be defined as methodical reflection on divine revelation, which can be handed on, used in reasoned discourse and defended. In this form, it is the study of the content of texts which are treated as definitive. In its narrowest sense, and this was the style of the manuals of theology until the middle of this cen­ tury, theology was a set of tidily unified correlations about divine revelation, fitted together from a har­ monizing biblical exegesis and a Denziger-based version of doctrinal history. (H. Denziger's Enchir­ idion Symbolorum, 'manual of the church's doctrinal decisions', symbolizes the neo-scholastic theology which was the key to the structure of traditional Catholic church dogmatics.) In these narrow defi­ nitions, theology is an exercise of unpacking the contents of sacred doctrines, and although this is one legitimate meaning, it is not what is commonly indicated by theology today. A broader definition is usually attempted. Pluralism

A broad definition is used today in order to accom­ modate that theological pluralism which has become the fashion over the past thirty years. Ex­ istentialist philosophy, anthropology and sociology, in turn, have led theologians to acknowledge non­ theological factors at work in the definition of orthodoxy. The definition of theology then be­ comes extended not only to reflection on the prop­ ositional elements contained in sacred writings, doctrinal formulations and ecclesial practices, but also to interpretations of self-understanding grasped directly and historically by believers. An older generation of theologian would have claimed two sources of theology: Scripture and tradition.

ition of the great Jewish-Christian movement; and, on the other ... today's human experiences shared by both Christians and non-Christians ...The interpretive experience is an essential part of the concept of revelation.

This experiential approach can end up in the ex­ treme pole of pluralism, at the opposite end, that is, from the narrowest definition already referred to, which is privatized and voluntarist versions of belief. An outstanding example of this genre of theological writing is Hans Ki.ing's recent work, Theology for the Third Millennium, in which he states the thesis that 'The first constant, the first pole of a critical ecumenical theology is our present­ day world of experience with all its ambivalence, contingency and changeableness (1988, p.l66). If this is taken to mean that everything is compat­ ible with Christian theology, then it is difficult to see what intelligible meaning can be attached to theology. Pluralism and new forms of ecumenism embrace also the theologies of other faiths and world reli­ gions such as Hindu religion (based on the revealed scriptures of the V edic seers) (see also HINDUISM AND HINDU SOCIAL THEORY), BUDDHISM (based on the Buddha's 'wheel of teaching' [the dharma] which takes hold of the 'community' [the sangha]), IsLAM (based on the Qur'an revealed to Muham­ mad) and the Jewish religion (based on the Torah) (see JuDAISM). Islamic theology affirms the exist­ ence and oneness of God, the prophetic mission of Muhammad and the necessity of obeying the basic commandments known as 'the pillars oflslam'. The dogmatic structure erected on these three tenets has scarcely changed since the eighth century. Jewish theology is also based on monotheism, in the form, indeed, of an ethical monotheism connected with the Jewish sense of its historical destiny. It may be described, in one sense, as a theology of law, since the Rabbinic tradition has been preoccupied with subtle and frequently unresolved discussions about Old Testament law and its significance for human life. But such general statements do not do justice to the rich tradition of Jewish theology, which, fundamentally influenced by the holocaust, has begun to develop significant forms of liberation theology.

690

THEOLOGY wns and preferences. It would be difficult to

Theological styles Pluralism in theology exists also in the acceptable form of different systems of theology, or, in the contemporary idiom, in different styles of theolo­

Logic of Theology (1986) Ritsch has iden­

gizing. In

tified two basic types: the first is 'monothematic', in which theology is organized around a single central theme; the second is 'conglomerate', in which a range of appropriate and necessary topics and par­

imagine a contemporary academic institution ex­ cluding theological discourse, as the Royal Society, in the seventeenth century, excluded theology and politics on the grounds that they were not value neutral.

Theology and other sciences Until the twentieth century, PHILOSOPHY stood

tial themes are brought together in a coherent theo­

alone in mediating human self-understanding to

logical corpus.

theology. Now there is a large number of anthropo­

Typical of the first style of theology are Martin

logically significant human sciences which are

Luther (justification by faith alone); liberation the­

influencing the theological enterprise. Anthropol­

ologies (freedom from oppression as a matter of

ogy itself insists that theological insights, sup­

universal religious significance); Ki.ing (ecumen­

posedly divorced from human experiences, are

ism, which no longer sees in every other theology

conditioned by

and church an opponent, but a partner); postmod­

thought in which they are apprehended (Pallin,

the culture

and structures

of

ern theologies (the political problem is central to

1990).

the theological enterprise); Karl Earth (the sover­

of classical Western theology. To correct this weak­

eignty of God); Karl Rahner (an epistemology in

ness two influences have been brought to bear:

Sociology has criticized the individualism

self-understanding

Firstly, German political theology, defined by

is grasped directly and historically in the act of

Metz as a critical corrective to the tendency of

existence).

contemporary theology to concentrate on the pri­

which

interpretation

of

a

The 'conglomerate' style embraces most the­

Summa

Sentences

vate individual, has encouraged development of the

of Peter Lombard to the

Christian sense of responsibility for public issues;

of Thomas Aquinas and on to most theo­

and LIBERATION THEOLOGY has encouraged the re­

ology from the

logical writing, both Catholic and Protestant, from

covery of the social meaning of the Scriptures by

the sixteenth century to the early twentieth, and in

Latin American Christians who are engaged in the

the case of Catholic theology, to the middle of the

struggle for justice. These sciences are now part­ ners in dialogue with theology, and must be recog­

twentieth. Both styles of theology, however, are subject to

nized as seminal influences. They have begun

the objection that they are closed systems, not easily

already, for example, to indicate ways in which

able

the science of faith is a 'practical science', and

to

accommodate

historical developments,

paradigm shifts or prophetic interventions.

have introduced terms such as 'orthopraxis' in

Theology as science

of faith and commitment if defined only in terms of

order to indicate the partial significance of the act

Theology may be, and often is, defined as 'the science of faith', if faith is taken to mean methodical reflection along lines appropriate to the subject­ matter of any particular discipline. The task of theology is the disciplined exploration of what is

orthodoxy. Theology of the future, influenced by current developments in philosophy and the social sciences, will surely be modified by postmodern and feminist studies (Milbank,

1990;

Rose,

1992).

contained in divine revelation. This includes the detailed explication of its special subject-matter, which includes the Scriptures and Tradition as well as Christian experience. The total commit­ ment required is compatible with critical reflection. Late twentieth-century theology, then, claims to be scientific in its methodology and to have survived

Reading Ki.ing, H. 1988: Theology for the Third Millennium. Mi1bank, J. 1990: Theology and Social Theory: Beyond Secular Reason. Pallin, D. A. 1990: The Anthropological Character of Theology. Ritsch, A. 1986: Logic of Theory.

(along with other human sciences) the positivist

Rose, G. 1992: The Broken Middle.

criticism that it is no more than a compound of

Schillebeeckx, E. 1977: Interim Report.

moral and evaluative claims that express only opin-

FRANCIS P. MCHUGH

THIRD WORLD theology, liberation

See LIBERATION THEOLOGY

691

The internationalism of the new states mani­ fested itself in the rejection not only of the political

theory

See PHILOSOPHY OF SCIENCE

control and the cultural hegemony of the particular colonial power that had governed them, but of

theory, exchange

See SOCIAL EXCHANGE THEORY

colonialism tout court. The new states therefore supported struggles in the remaining colonies and

theory of knowledge

See KNOWLEDGE, THEORY

OF

against racist regimes, notably South Africa. Pan­ Africanists like Nkrumah also hoped to overcome the balkanization of the continent produced by

Third World

The expression tiers monde (Third

World) was first used in August 1952 by the French demographer, Alfred Sauvy, in an article in the Paris newspaper

L 'Observateur

entitled

colonial rivalries during the imperialist period (see PAN-AFRICANISM). By the 1970s, though there had been important

'Trois

revolutionary defections from the control of the

mondes, une planete'. In a post-war world divided

capitalist world, notably Vietnam, most of the

into two 'camps', each headed by one of the two

more radical nonaligned regimes had disappeared:

superpowers, the colonies which gained their inde­

either through 'destabilization', or as victims of

pendence after 1945 seemed to resemble the tiers

internal coups, or rendered impotent through eco­

etat of prerevolutionary France, an estate which

nomic weakness. The dominant concern of the

lacked the privileges of the other two estates, the

(originally) significantly named Organization of

nobility and the clergy.

African Unity thus became the preservation of the

In France, the term appealed to both socialists

boundaries established during the colonial period,

and Gaullists who were looking, in quite different

since the new states contained culturally hetero­

ways, for a 'third way' between Washington and

geneous ethnic communities with politically var­

Moscow. The doctrine of 'positive neutralism'- a

ied precolonial constitutions while other ethnic

neutralism which did not simply aspire to keeping

groups were divided by state borders. The danger

out of wars but was committed to national liber­

of border disputes and of internal secession move­

ation and to 'socialist humanism'- also emerged in

ments, and of the manipulation of these divisions

other West European countries. By 1949, when

by outside powers, was therefore very real, as the

Yugoslavia defected from the Soviet bloc, the

war in Biafra showed. 'Nation-building'- the cre­

principle of 'non-alignment' spread to the com­

ation of a new kind of civic identity to counteract

munist world.

what was termed 'tribalism' - therefore became a

The notion of a Third World took on global significance, however, when it was taken up in the

major project of the rulers of the new states (see also NATIONAL POPULAR REGIME).

1950s by a number of major ex-colonial countries­

The 'nonaligned' organization developed thro­

notably Nehru's India, Nasser's Egypt and Sukar­

ugh a succession of conferences, in Cairo, Lusaka,

no's Indonesia. The Left in Europe saw them

Algiers, Sri Lanka, Havana and elsewhere, as well

as 'proletarian nations' which would take over the

as in other forums from the United Nations to

role of the proletarian class in the advanced world as

the

the gravedigger of capitalism. But the new states

Cuba. But increasingly the problems they had to

'Tricontinental'

movement

patronized

by

themselves set about a different task: the formation

confront were economic rather than political: not

of a 'nonaligned' grouping- not a bloc- of Afro­

just the power of the Western states, or of the

Asian countries, together with liberation move­

increasingly diverse forms of communism, but

ments in the remaining colonies. The Bandung

their common economic interests as predominantly

conference of 1955 marked the arrival of this

poor, agrarian countries in a world dominated

new grouping on the world stage. As ex-colonies,

by multinational corporations and financial insti­

their first concern was with resistance to any at­

tutions (See DEVELOPMENT AND UNDERDEVELOP­

tempt to preserve or reimpose Western political

MENT.)

control. Yet their independence was so recent

Some successes were achieved: 77 underdevel­

and fragile that even those (many) new regimes

oped countries won UN backing for the first World

which called themselves 'socialist' equally feared

Conference on Trade and Development in 1962.

falling into the clutches of the communist super­

From 1974 onwards, too, the joint action of the

power.

OPEC group of oil producers to control output

692

TIME

The Third World. The Three Worlds.

and world prices had powerful effects even on the

Worsley, P. 1964:

wealthy West.

--1984:

PETER WORSLEY

In a few countries, moreover - including the 'four little tigers' of East Asia (South Korea, Taiwan, Hong Kong and Singapore) - there has

time

been massive foreign investment and consequent

remarkably central role in social thought. Until the

The concept of time has recently gained a

industrialization. Some have concluded that the

1980s, publications about issues of temporality in

Third World, increasingly, will follow that path.

the social realm would habitually start with the

As a whole, however, the underdeveloped countries

complaint that time is a widely neglected category

have not been able to break out of their dependency

in social theory and in the social sciences (e.g.

on the West, and even 'newly industrializing' coun­

Bergmann,

tries (NICs) like Brazil and Mexico are burdened

Martins, 1974). Since the early 1990s, however,

with massive foreign debt. Black Africa has experi­

there has been a huge flurry of books and articles

enced an actual downturn in production. Frantz

on the problem of time (e.g. Adam, 1990, 1995,

1983;

Elias,

1982; Li.ischer,

1974;

Fanon's designation of the Third World as the

1999; Baert, 1992, 2000a, 2000b; Gosden, 1994).

'wretched of the earth' therefore still seems valid.

In 1992 a new journal,

The term has not been without its critics: in the

Time and Society, was

launched, entirely dedicated to time-related issues.

Cold War epoch, the USSR denounced it as an

An increasing number of academic conferences,

attempt to evade the inevitable choice between

including

capitalism and communism. The notion that the

Roberts, 1998) and a recent annual meeting of the

Time and Value (Lash, Quick and

blame for the underdeveloped and 'disinherited'

British Sociological Association have been dedi­

condition of these countries could be laid at the

cated to problems of temporality. Time seems

door of the West - that they had been

very much on the ascendant.

held back

from developing-did not appeal to many who saw

Or is it? What is meant by time? Is one referring

them, rather, as 'young' (sometimes inherently ir­

to the lapse of time, the asymmetry between the past

rational, immature, or even inferior) nations. These

and the present, the relationship between continu­

were 'developing', however slowly, and would

ity and change, or something else again? In my view

eventually make further progress, or, if they did

it is not informative to talk about time as such:

not, had only their own

talking about 'time-sensitive theories' or 'the neg­

internal shortcomings -

from 'traditional' social institutions (see TRADITION

lect of time' can only lead to confusion and

AND TRADITIONALISM) and cultural heritages to dic­

muddled thinking. Little is gained either by substi­

tatorial regimes -to blame. Some economists and

tuting equally obscure concepts like 'process' or

WoRLD-SYSTEM theorists have argued that coun­

'dynamics' for time, for instance, by talking about

tries can indeed be ranked from the richest to the

'dynamic versus static' theories. In short, it is more

very poorest, but that there is only one world, with rich and poor countries in it, not a distinctive,

useful to talk about the different

components of time

-the ways in which time may enter theory.

separate poor 'world'. And Western charity organ­

What are then the various components of time? I

izations often unintentionally reinforced the popu­

distinguish four dimensions. One dimension refers

lar notion that famines in tropical countries are the

to the importance of the

consequences of natural disaster rather than man­

component alludes to the relationship between the

made.

lapse of time. Another

invariable and the transient, or, if you prefer, con­

Critics within the Third World itself often prefer

tinuity and change. A third dimension deals with

the term 'nonaligned', since the word 'Third'

the precise nature of and relationship between the

seems to them a residual category, implying some

various temporal modes; that is, the past, present

kind of inferiority to the 'First' and 'Second'

and future. The last component alludes to the pre­

worlds. The term has nevertheless passed into gen­

cise status of the various temporal spans.

eral use.

Synchronic versus diachronic analysis Reading Fanon, F. 1961

The most straightforward distinction to be made is

(1983): The Wretched of the Earth.

Singham, A. W. and Hune, S. 1986: Non-Alignment

Age ofAlignments.

in an

between synchronic and diachronic analyses. A synchronic study 'brackets out' the lapse of time,

TIME

693

and takes a snapshot of what is being investigated.

by definition synchronic. Parsons's later evolution­

A diachronic study, on the other hand, deals

ary writings (Parsons, 1966, 1977) testify to the

with an object of study that evolves through time.

contrary, not to mention Alexander's neofunction­

The study itself does not necessarily take more

alism and Luhmann's functional-structuralism.

time than a synchronic analysis, but the object

What is true, however, (and likely to have contrib­

of research stretches over a certain period. Some

uted to the widespread misperception that func­

commentators have described the opposition be­

tionalist analysis is a historical) is that some early

tween the diachronic and the synchronic in terms

functionalists, like Malinowski (1944) and Rad­

of our Greek and Judaeo-Christian roots. Whilst

cliffe-Brown (1952), strongly advocated synchronic

Greek philosophers like Plato and Parmenides

analysis. It is ironic that, whilst Malinowski and

denied the relevance of time because they con­

Radcliffe-Brown denounced a lot of historical re­

sidered the real to be in its entirety available in

search of preliterate societies, their thinking was

the present, the teleological components of Juda­

heavily steeped in evolutionism. They objected to

ism point to the central importance of the lapse of

the various pseudoscientific claims made by the

time.

evolutionary work in late-nineteenth-century an­

Most analyses of the social are diachronic, but

thropology, not so much because its theorizing

there are two notable exceptions: some structuralist

was flawed, but mainly because its conclusions

and functionalist forms of enquiry bracket out time.

were based on highly unreliable data. For early

As opposed to nineteenth-century evolutionary

functionalists, practices and cultural artefacts are

orthodoxy and diffusionism,

attri­

not simply replicated; they are constantly adjusted

butes epistemological and methodological priority

and readjusted to the newly emerging social condi­

STRUCTURALISM

to synchronic analysis. One strand of structuralism

tions. Hence the search for how the persistence of

goes back to linguistics (e.g. Saussure, 1916), and

practices contributes to the cohesion or stability of

accounts for social life by taking analogies with and

the system in which these practices currently find

metaphors from the analysis of linguistic systems.

themselves. Again, one should not underestimate

The meaning of a cultural item or artefact can be

the evolutionary thinking underneath. Any such

inferred from its relationship of difference with

functionalist reasoning, as the one advocated by

other items or artefacts currently in operation within

Radcliffe-Brown and others, stands or falls with

the same system. It follows that one does not need

the notion of (what Parsons called) 'universal func­

to go back in time to be able to attribute meaning. A

tional prerequisites': the survival or disintegration

second strand draws heavily upon the legacy of

of social systems depends on whether the central

Emile Durkheim, and tries to establish how under­

social needs (for example, a minimum of social

lying structures cause people to act or think in the

integration) are fulfilled.

way they do. Some structuralist authors, like

Some secondary sources reduce the difference

Claude Levi-Strauss (1963, 1976), have tried to

between synchronic and diachronic analysis to

Durkheimian

the difference between the study of order and

strand. Levi-Strauss tried to uncover the universal

change. One can understand why this view is

binary oppositions upon which people uncon­

held. Many synchronic analyses indeed described

sciously draw when they apprehend or categorize

the interrelationships between the different parts

combine

the

linguistic

and

the

their surroundings. Again, the pursuit of these

of the social system and so hoped to contribute

latent structures does not necessitate an analysis

to the explanation of what keeps things the way

through time.

they are. Since the 1970s, however, a number of

It would, of course, be erroneous to assume, as

theorists have pointed out the ways in which social

some commentators have suggested, that most, if

order is accomplished though time - by knowledge­

not all, social analyses which draw on structuralism

able individuals who account for their surroundings

are synchronic. There is in fact a lively tradition

and, in doing so, make for the predictability

of structuralist-inspired historical research, for

of social life. This, it has been argued, necessitates

example conducted by members of the Annales

a

school (e.g. Braudel, 1980; Burke, 1990) and by

theory centres round this idea, but it is also pos­

diachronic

analysis.

Giddens's

structuration

Michel Foucault (1989a, 1989b) during his arch­

sible to conceive of Bourdieu's framework in a

aeological period. Likewise, it would be erroneous

similar light (Bourdieu, 1977b; Giddens, 1981b;

to label, as many have done, functionalist analysis as

1984).

694

TIME Byrne, 1988; Runciman, 1989). Some of these con­

The invariable and the transient

tributions can be seen as reaction against the alleged

The second dimension concerns the relationship

static nature of the structural-functionalist ortho­

between the invariable and the transient. As with

doxy of the day. Elias's figuration sociology, in

our first component of time, it is possible to trace

reaction to Parsons's scheme of reference, attempts

the genealogy of this opposition to the difference

to attribute specific priority to the dynamic features

between our Greek andJudaic roots. More modern

of human interaction. Elias's starting point is that,

philosophical developments can also be seen in the

just as language fails to capture the dynamic nature

light of the dichotomy between eternal principles

of reality, our sociological vocabulary does not do

and change. In particular, the Cartesian worldview

full justice to the changing and reshaping that takes

of the seventeenth century and its search for the

place in the social realm. Most theories, like

underlying mathematical principles can be treated

Parsons's, suggest continuity where there is actually

as a further extension of the preoccupation with the

change, hence the need for a new sociological vo­

invariant, whereas, in reaction, nineteenth-century

cabulary (Elias, 1970, 1982). Other contributions

Pragmatists regarded Darwinism as the scientific

stand more on their own and exhibit a wider philo­

stepping stone for a process philosophy (Kuklick,

sophical significance. This is certainly the case for

1979, pp. 118ff, 143ff, 160-79; Toulmin and Good­

G. H. Mead's Philosophy of the Present, a process

field, 1982, pp. 42-4; Wendorff, 1980).

philosophy

Numerous concepts introduced by theorists and philosophers refer to

continuity

and

which

operates

at

various

levels,

ranging from the cosmological to the societal and

change.

individual realm. Influenced by Henri Bergson and

Amonst the former are Comte's 'social statics',

Alfred Whitehead and rejecting a Laplacean view of

Radcliffe-Brown's 'social form', Braudel's 'tongue

causality, he regards the novel or emergent as un­

duree' and Giddens's use of 'structure'. Amongst

predictable: even a complete account of what pre­

the latter are Comte's 'social dynamics', Radcliffe­

ceded the event would not allow it to be predicted.

Brown's 'structure', the Pragmatic concepts of

The sociological dimensions of Mead's theory of

'novelty' and 'emergence' and Foucault's use of

time are underdeveloped, but he does mention two

'rupture' and 'discontinuity'. More important,

ways in which novelty appears at the level of the

however, is that theories differ in how they concep­

social.

tualize the relationship between continuity and

events that might make them reflect upon the past

change, and, more importantly, to which of the

and future, and although people rely upon the

People

regularly

encounter unexpected

two they attribute methodological or ontological

generalized other to exercise agency, the 'I' remains

priority. Some theories assign an exclusive role to

inherently unpredictable (Mead, 1929, 1959, 1972).

the relatively invariant structures underlying social

G. H. Mead's process philosophy had a decisive

interaction and treat the temporal flux as illusion­

impact on other authors. Herbert Blumer refused to

ary. In structuralism and, in particular, the Annales

accept the Durkheimian view that structures or

school in history, Braudel and others reacted

normative regulations are simply imposed on or

against 'histoire evenementielle' - a mere history of

internalized by people. There are therefore no

events or a history of great personalities who shaped

pre-existing or self-reproducing forms of social

our past. Instead, Braudel and others suggest that

life that are independent of people's interpretative

history take on board some sociological insights,

procedures: institutions and social patterns are con­

especially Durkheim's ideas. Whereas the histoire

tingent on people's designation and interpretation,

evenementielle is content with the fast-moving level

and can always be reinterpreted or revised. Like­

of immediately accessible data, the Annales school

wise, there is no intrinsic meaning to an object, nor

searches for the durable latent structures under­

does meaning reside in the human mind: the mean­

neath. (Burke, 1990; Braudel, 1949, preface)

ing of an object for an individual derives from his or

Other theories refuse to regard the temporal flux

her tendency to act towards the object, and the

as a chimerical construction. These include other­

meaning can therefore change at any time (Blumer,

wise diverse contributions such as American Prag­

1969, pp. 70 If). Luhmann's work is even more

matism, figuration sociology, Luhmann's system

explicitly indebted to Mead's theory of time. Com­

theory, and insights from recent developments in

bining Mead's philosophy of the present, de Vau­

evolutionary and complexity theory (Mead, 1959;

venargue's reflections on time and Maturana and

Elias, 1970, 1982; Luhmann, 1976b, 1979b, 1982b;

Varela's theory of autopoiesis, Luhmann attempts

TIME to construct a system theory that would cover con­

695

volved in actions (rather than acts), they become

tinuity as well as emergence. The emergent event is

future-orientated and 'in-order motives' are applic­

the locus of reality, and past and future are treated

able (Schutz, 1962). But one of the most far-reach­

as time horizons of the present. Luhmann's ambi­

ing attempts at a present-orientated theory of the

tion is to construct a theory that takes into account

social is the less accessible Philosophy of the Present

the relative unpredictability of the future, and the

by G. H. Mead. The title of the book is crucial to

capacity of systems to absorb or adjust to emer­

understanding Mead's objectives, which are two­

1979b;

fold. He wants to develop a philosophy with con­

1982b). Finally, attempts have been made to dem­

temporary relevance in that it brings together the

gence

and

novelty

(Luhmann,

1976b;

onstrate the sociological significance of Mead's

science and process philosophies of the day. It also

process philosophy, and to reconcile these insights

attributes a special status to the present in that, in

with contemporary evolutionary thinking. Starting

G. H. Mead's own words, the 'locus of reality' lies

point is that, one confronted with unexpected

in the present (Mead, 1959, pp. 1 fl). By this, he

events (like unanticipated consequences of purpos­

means again two things. First, the past and future

ive action), people regularly collectively reflect

are represented in the present. People anticipate, in

upon what was hitherto taken for granted, recon­

the present, the effects of possible future forms of

struct the past symbolically and act accordingly.

conduct, and they can do so because they draw

This idea is then linked to evolutionary feed­

upon tacit knowledge regarding the 'generalized

back

other'. This tacit knowledge is based on past ex­

mechanisms,

lock-in

phenomena,

path­

dependency and 'chreodic' development (Baert,

periences (see, for example, Mead,

2000b).

100 fl). Second, the meaning of the past and future

1970, pp.

can always be altered in the present. The present acquires some novelty which throws new light on

Past, present, future

what has happened and on what is likely to happen.

The third component refers to the relationship

It therefore makes sense that Mead spoke of the

between the different temporal modes. Historically,

past as both 'revocable' and 'irrevocable'. On

it is possible to distinguish between various per­

the one hand, the real past is irrevocable because

spectives. There are, of course, 'causal-mechanical

the past events have occurred even if one is to

theories' that investigate the extent to which the

remain unsure about what it was precisely. On the

past causes the present, and 'teleological theories'

other hand, the past is revocable because its mean­

that treat the past and present as directed towards a

ing or representation might change in the light of

goal or end point in history. For a long time, think­

novel experiences (see, for example, Mead, 1929;

ing in terms of a telos has often been an essential part

1959, pp. 2, 12, 25, 29; Natanson, 1953).

of Western philosophy of history - a feature that

The twentieth century was also uncomfortable

has often been traced back to a Judaeo-Christian

with previous attempts to establish continuity be­

heritage. The emergence of sociology as a separate

tween the various temporal modes, or to infer one

discipline (and its separation from the philosophy

from the other. The popularity (at different points

of history) seemed to have gone hand in hand with

in time) of critical rationalism and postmodernism

a growing importance of causal-mechanical think­

testifies to this effect. However different these two

ing. More recently, however, what I would call

strands of thought, they share a scepticism towards

'present-orientated theories' have come to the fore­

all embracing theories of history. In Popper's Pov­

front. Present-orientated theories explore the ways

erty of Historicism (Popper, 1957), 'historicism' is

in which the past and future are constantly recon­

any attempt, such as Marx's, to uncover 'laws of historical development', which would allow one to

structed in the present. Alfred Schutz is particularly well known for

predict the future. For Popper, these so-called pre­

paying attention to how the past and the future

dictions are actually prophecies. Whereas predic­

are continuously represented and imagined in the

tions are conditional statements and falsifiable,

present.

prophecies are unconditional and therefore nonfal­

Crucial

for Schutz

is

the difference

between acts and actions, and, related, between

siable and nonscientific. Furthermore, these so­

'in-order motives' and 'because motives'. People

called laws are actually only trends, and trends do

continuusly reflect on past acts and attribute retro­

not necessarily continue in the future. Some post­

spectively 'because motives', but once they are in-

modern arguments are similar. Lyotard famously

696

TIME

described the postmodern condition as exhibiting

Contrary

incredulity towards 'metanarratives'. By this he

common sense rationality rests to a large extent on

to

'scientific

rationality',

people's

means that postmodern philosophies are sceptical

the epoche of the natural attitude: the social world is

of any attempt, whether Marxist or otherwise, to

taken for granted until disruptions or new events

incorporate the whole of history (past, present and

occur (Schutz, 1962, pp. 3-47). Following this

future) into one single theoretical framework that

Schutzean

somehow necessarily unfolds itself. This explains

ology studies in detail the routines that make up

tradition,

Garfinkel's

ethnomethod­

why Foucault, who in many respects is situated

our everyday temporal span, and shows the extent

within the postmodern tradition, prefers the arch­

to which the predictability of social life is contin­

aeological method that accentuates discontinuities

gent on people's accounts and interpretative pro­

in history and subsequently Nietzsche's genea­

cedures (Garfinkel, 1967; Heritage, 1984). It would

logical method with its focus on the role of contin­

be erroneous to see Garfinkel's interest in Schutz's

gencies. Both methods reject the kind of history

duree as a move away from the discipline of soci­

writing that artificially constructs continuity across

ology towards social psychology. Ethnomethod­

time (Foucault 1977b, pp. 140-64; 1989a; 1989b).

ology has a clear sociological question in mind: like Parsons (and Durkheim before him), Garfinkel aims at explain how social order comes about given

Temporal spans

that various people with different (or, worse even,

A fourth dimension draws upon a distinction be­

the same) aims coexist. What distinguishes Garfin­

tween various temporal spans or time scales. By

kel from his sociological predecessors, however, is

temporal span I am referring to the type of duration

that he shows that the study of Schutz's durl:e,

that is the object of analysis. It is well known that, in

rather than being a neatly confined social psycho­

the natural sciences, different disciplines or subdis­

logical enterprise, is actually central to explaining

ciplines cover different temporal spans.

Some

the sociological dilemma of social order. This ex­

physicists try to reconcile irreversible mechanisms

plains why Giddens uses Garfinkel to link the vari­

at the macroscopic level with the reversible laws

ous temporal spans and to demonstrate that the

applicable to the microscopic realm, and some

reproduction of structures is ultimately dependent

biologists infer insights into evolutionary history

on a complex network of interpretative procedures,

from the study of the short time-span of embryo­

presuppositions and expectations through which

logical development (Coveney, 2000; Friday, 2000):

individuals make sense of and act upon their sur­

Likewise, some social theorists have focused on

roundings. Whereas Parsons attempts to fathom

long periods of time, whereas others study the skills

social order as a functional balancing act between

and aptitudes involved in everyday life. In this

the social and the personality system, order is now

context Giddens distinguishes between historical

seen as accomplished in our everyday routine prac­

time, institutional time, and the duree of everyday

tices, embedded in reversible time (Giddens, 1984;

life (Giddens, 1981a, pp. 19ff). Most nineteenth­

1993).

century contributions to social thought were con­

Giddens's attempt to transcend the opposition

cerned with long periods of time: for example,

between the different temporal spans also has re­

Marx's historical materialism, Weber's rationaliza­

percussions for the first two axes of time: the first

tion thesis and Durkheim's switch from mechanical

referring to the significance of the lapse of time, the

to organic solidarity cover several centuries. In the

other to the relationship between the invariant and

course of the twentieth century, partly due to the

change. Some commentators reduce the difference

increasing influence of phenomenological and her­

between synchronic and diachronic analysis to the

meneutic approaches, the pendulum began to

difference between the study of order and change.

swing in the other direction, but recently, as in

One can understand why this view is held: many

physics and biology, theoretical attempts have

synchronic analyses indeed described the interrela­

been made to link these different temporal spans.

tionships between the different parts of the social

Edmund Husserl's phenomenology

system and so hoped to contribute to the explan­

with sociological concerns, Alfred Schutz intro­

ation of what keeps things the way they are. Gid­

duced the notion of duree in social thought, and

dens's approach is different, however. His account

Merging

pointed out the extent to which what Bergson's

of social order implies that order is accomplished

duree is governed by 'common sense rationality'.

through time - by knowledgeable individuals who

TOTALITARIANISM

697

account for their surroundings and, in so doing,

further on this, but it ultimately undermined the

make for the predictability of social life. So the

link between individuals and a broader narrative. In

study of the reproduction of society necessitates a

this secular world view, people are forced to inhabit

diachronic analysis (Giddens, 198lb; 1984).

an eternal present. This brings us to the issue whether contempor­

Temporality and the distinctiveness ofsociety today Needless to say, the above is not an exhaustive

ary society is simply an extension of modernity or a clear break with it. Some authors, like Jameson, stress the discontinuity between contemporary

discussion of time in social thought. It discusses

'postmodern society' and modernity, and argue

abstract theories - not theoretical reflections upon

that society today is characterized by fluidity and

any particular society. There is also a huge litera­

transience.

ture on the differences between 'advanced' societies

modernism in that genuine novelty is regarded to

Postmodern aesthetics differs from

differ from previous types of society, and how these

be impossible; the postmodern articulates and re­

differences can be articulated in temporal terms.

articulates past aesthetic achievements in an ironic

For the sake of clarity, I distinguish between those

fashion Gameson, 1991). Others, like Giddens or

attempts to characterize modernity on the one

Beck, prefer to stress the continuity with modernity

hand, and those efforts to identify the nature of

and speak of 'high modernity' or 'intensified mod­

society today on the other.

ernity'. Giddens talks about 'time-space distancia­

From its early conception, sociology has shown a

tion' by which he means that people now have

keen interest in the transition towards a modern

various technological tools at their disposal to tran­

society, and the notion of time has been central to

scend

the arguments put forward. First, some authors see

influenced by Parsons, Giddens discusses how

spatiotemporal

boundaries.

Obviously

rationalization as a distinctive feature of modernity.

people also employ symbolic tokens, like money,

For Max Weber (1904-5), for example, the emer­

to transcend time and space (Giddens, 1990, 1992).

gence of Calvinism and rational capitalism was

In a similar vein, commenting on Beck's 'risk soci­

accompanied by an increasing methodical usage of

ety', A dam notes that we are now faced with various

time, whilst the rise of bureaucracies implied

unintended, negative effects of previous attempts to

greater predictability in the economic and political

control nature, and that solutions ought to go

sphere. In a similar vein, Michel Foucault (1977a)

beyond the 'short-termism' that characterizes cur­

noted that the transition towards a disciplinary

rent policy making. The current situation is prob­

society was accompanied by a more rational and

lematic in that individuals can no longer use their

thorough surveillance of every segment of time so

knowledge about the past to deal effectively with

as to predict and control people's behaviour.

current and future problems (Adam, 1995, 1999).

Second, some argue that what distinguishes mod­ ernity from the premodern is that it is able to reflect

Reading

upon the past and possibly to dissociate itself from

Adam, B. 1990: Time and Social Theory.

it. The present then occupies a more prominent

Baert, P. ed. 2000a: Time in Contemporary Intellectual

role in that it is pregnant with possibilities and may imply a break with the past. This view is reflected in Claude Levi-Strauss's distinction be­ tween 'cold' and 'hot' societies. Cold societies are like mechanical instruments; they keep on operat­

Thought. E1iade, M. 1954: The Myth ofthe Eternal Return. Mead, G. H. 1959: The Philosophy ofthe Present. Tou1min, S. and Goodfield, J. 1982: The Discovery of

Time. PATRICK BAERT

ing in the same energy-conserving way until a problem emerges. Hot societies are like thermo­

As a taxonomic term within the

dynamic machines that use up a huge amount of

totalitarianism

energy, need constant refilling and are continually

social sciences, totalitarianism has enjoyed a consid­

changing (Levi-Strauss, 1967; 1975). Third, some

erable vogue as a way of characterizing a basic fea­

point out the existential dilemmas faced by modern

ture of modern single-party regimes under personal

individuals. For instance Mircea Eliade (1954)

dictators or autocratic oligarchies. The aspect it

pointed out that, in premodern settings, religion

throws into relief is that, in marked contrast to ancien

allowed people to locate themselves within a

regime states, such regimes deliberately seek to

broader eschatology. Initially modernity builds

manufacture CoNSENSUS in favour of a small ruling

698

TOTALITARIANISM

elite by creating organizations of mass regimenta­

of poverty in the South or global warming) and the

tion, by monopolizing all means of cultural produc­

economic, social, and political structures underpin­

tion (especially the mass media) and by deploying

ning them, which in turn induces cognitive disson­

various mechanisms of

SociAL CONTROL. These in­

clude PROPAGANDA, ritual politics to enforce an elab­

ance and denial on a pandemic scale (see Chomsky and Herman,

1988).

orate cult of the leader and the nation and various

The principal use of 'totalitarian' today still lies

CoERCION ranging from legal restric­

in its heuristic value for the investigation of the

techniques of

tions on basic freedoms to systematic terror. The avowed aim of such a state is to channel all

structural aspects of the numerous modern per­ sonal, military and party regimes throughout the

social, political, economic and creative energies to­

world which, often behind a democratic fa<;ade,

wards the realization of the utopia identified by

have been at pains to create an illusion of the dyna­

official dogma, though the very means employed

mism, efficiency and popularity of their leadership

in order to achieve this goal inevitably creates in

among the people while pursuing total control over

DICTATORSHIP). One

practice a dystopia. Stalinist Russia, Nazi Germany

the lives of its subjects (see

and, to a lesser extent, fascist Italy have often been

symptom of its continued vitality is its use as a key

treated as paradigmatic of totalitarianism in this

concept in a major new history of the Third Reich

2000). Another is a recent history of the 1995) which makes a valuable

narrower sense, and new case studies in its permu­

(Burleigh,

tations and in the bureaucratized barbarities and

concept (Tormey,

human atrocities to which it tends to give rise

distinction between 'strong' theories of totalitarian­

have been supplied more recently by Pol Pot's

ism which imply that it is possible for a regime in

Cambodia,

and Saddam

principle to achieve control of all areas of life, and

As an 'ideal type' even this specialized use of the

sible. It also introduces a welcome refinement by

Ceau�escu's Romania

'weak' ones which accept that this is a priori impos­

Hussein's Iraq. term 'totalitarianism' has naturally been the subject

acknowledging the intimate nexus which exists be­

of controversy, and some experts have questioned

tween totalitarianism and utopianism in its recog­

its usefulness, particularly in view of the way the

nition that it 'is born above all of radicalism, a

Cold War reduced it to little more than a boo-word

discontent with the present that is translated into

for those societies held not to be 'closed' rather than 'open' (see Popper,

1945), and hence denied mem­

bership of the 'Free World'. Once the term is shorn of its connotations of fanatical anticommunism or

a longing for the new' (p.

168), and aims for 'a

complete transformation of the very character of human existence' (p.

173).

A 'weak' theory of totalitarianism as the pursuit

liberal triumphalism, elements of totalitarianism

of comprehensive control of a modern society in the

might be read into any sociopolitical system if its

utopian, and hence doomed, bid to engineer a 'new

policies and institutions have had the combined

order' is one which certainly should not be con­

effect of comprehensively crushing what those of

signed to the dustbin of discarded paradigms.

the Enlightenment tradition regard as fundamental

Nevertheless, there are several caveats to the use

human freedoms. Indeed a case could be made for

of the term as a tool of academic analysis. Firstly,

seeing a totalitarian thrust retrospectively in the

radical ideological and structural differences can

many regimes which down through the ages have

exist between two societies described as totalitarian

oppressed their subjects (e.g. Imperial China) or

(e.g. Hitler's Germany and Stalin's Russia), so that

ruthlessly subjugated indigenous cultures (e.g. Im­

like is rarely being compared with like. In particu­

perialist Spain). Elements of totalitarianism can

lar, the precise contents of the utopia which the

also be detected in the pervasive collusion of con­

regimes seek to realize and the degree to which

temporary liberal (capitalist) democracies with

they systematically resort to coercion, terror and

various 'modern' forms of imperialism, social con­

mass killing in order to suppress dissidence and

trol and exploitation and in the insidious inculca­

create the 'new man' can vary considerably. Sec­

tion of values and norms which serve the interests

ondly, due to the yawning gulf between the ideal of

of state, media and capitalist institutions. This can

comprehensive social engineering and stubborn

ALIENATION of

human realities, any apparently totalitarian regime

be held to result in the pervasive

their citizens, and in their imprisonment within a

will prove on closer inspection to be polycratic,

delusionary conceptual framework within which to

corrupt and inefficient. In particular, its efforts

understand major world events (such as the growth

allegedly to mobilize and energize the masses

TRADE UNIONS leads to their extensive depoliticization and demor­ alization, while many of those installed in the inner

Tormey, S.

1995:

699

Making Sense of Tyranny. Interpret­

ations of Totalitarianism. ROGER GRIFFIN

sanctum of real power will be opportunists and careerists rather than genuine visionaries or revolu­ tionaries. This is why pluralism, individualism

trade unions

and creativity continue a subterranean existence in

ers known as 'trade societies' or 'unions' have

the most hostile social habitats, and quickly sur­

existed in Britain since the late eighteenth century.

face once more wherever an state apparatus of

Sidney and Beatrice Webb, in a classic definition

Collective organizations of work­

overt indoctrination and repression is eventually

(1920, p. 1), declared that 'a trade union, as we

dismantled (as in post-Nazi Germany and post­

understand the term, is a continuous association of wage-earners for the purpose of maintaining or

communist Russia). As for the relationship of totalitarianism to'social thought',

the

examples

of fascist Italy,

improving the conditions of their working lives'.

Nazi

Economic orthodoxy, with its paradigm of indi­

Germany, Soviet Russia and communist China all

vidual transactions, has found trade unionism

demonstrate that considerable academic and intel­

incomprehensible (and often improper). Sociology

lectual energy can be mustered in the doctrinal

has had difficulty in conceptualizing unions' com­

underpinning of a would-be totalitarian state by

bination of formal organization with more informal

its official apologists and self-appointed theoret­

and spontaneous collectivity. The most extensive

icians. The hall-mark of such a state in its public

attempts to apply social analysis to trade unionism

or exoteric aspect, however, is its axiomatic denial

have been developed by partisans, and in particular

of genuine questioning and dialogue, and hence

within the Marxist tradition. A central concern has

(in Socratic or liberal terms) of all authentic social

been to what extent, and under what conditions,

thought. If 'social thought' is taken in its widest

trade unions advance (or, conversely, inhibit) the

sense, then perhaps the most penetrating expos­

cause of proletarian revolution. The works of Marx

itions

of

the

characteristic

euphemisms

and

and Engels provide no systematic or consistent

double-think through which it seeks to legitimate

theory of unions, and twentieth-century Marxists

itself ideologically, and of the convoluted thoughts,

have elaborated many conflicting perspectives.

emotions and desires which it induces in those

One approach derives from Lenin's pamphlet

(1902). Partly influenced by

it seeks to subjugate or indoctrinate are to be

What Is To Be Done?

found, not in the theoretical analyses of social sci­

his reading of the Webbs' work, Lenin argued that

1956) or

the 'economic struggle' waged by trade unions

entists (e.g. Friedrich and Brzezinski,

freedom-loving intellectuals (e.g. Hannah Arendt,

could never develop spontaneously into a compre­

1958), but in visionary fiction: novels such as

hensive political movement; for this, 'trade union

Aldous Huxley's Brave New World, Arthur Koes­

consciousness' required the direction of a revolu­

tler's Darkness at Noon, George Orwell's 1984,

tionary party. The proposition that unions can be

Albert Camus's The Plague, Alexander Zinoviev's

effective agencies of resistance to capitalist social

Yawning Heights, plays such as Vaclav Havel's

relations within the sphere of employment, but can

Audience, and films such as Terry Gilliam's Brazil

contribute to more radical social transformation

(1985), Tim Johnson and Eric Darnell's Antz (1998) or Andy and Larry Wachowski's The Matrix (1999).

only under the leadership of the party, has become central to communist orthodoxy. Another familiar (and sometimes complemen­ tary) argument holds that trade unions as formal

Reading Arendt, H. 1958 (1966). The Origins of Totalitarianism. Burleigh, M. 2000: The Third Reich. A New History. Chomsky, N. and Herman, E.

1988:

Manufacturing Con-

sent: the Political Economy of the Mass Media. Friedrich, C. ]., and Brzezinski, Z. K.

19 56

(1965):

Totalitarian Dictatorship and Autocracy. Gentile, E. 2000: The Sacrilisation of Politics, Totalitar­ ian Movements and Political Religions

1(1).

Menze, E. A. ed. 1981: Totalitarianism Reconsidered. Popper, K.

1945 (1966):

The Open Society and its Enemies.

institutions develop inherently conservative char­ acteristics, displaying what Roberto Michels ( 1911) termed an 'iron law of oligarchy'. In different vari­ ants of this theme, leaders and officials develop vested interests in conflict with those of the 'rank and file'; become enmeshed in bargaining arrange­ ments with employers and hence committed to the defence of'industrial legality' (Gramsci,

1910-20);

or resist membership militancy through excessive concern for the organizational stability of the union.

700

TRADE UNIONS

Various strategies have been suggested to over­

In much of continental Europe, mass trade union­

come this tendency. Syndicalists called on unions

ism was the product of the rise of social democracy

to eschew agreements with employers and pursue

around the turn of the century; but union leaders

instead a revolutionary general strike (see Ridley,

soon insisted on developing their own strategic

1970);

before

1914,

the possibilities of the mass

strike were also viewed optimistically by more

priorities.

(In southern Europe,

where union­

party links have been of great importance in the

Luxemburg

post-war era, similar tendencies have been apparent

Others attempted to reconstruct trade

in recent years.) In the USA, most unions have

unions as comprehensive industrial bodies, able to

traditionally eschewed the political links common

orthodox

(1906).

Marxists

such

as

Rosa

take over the running of industry; the most notable

in Europe, a position aggressively defended in the

instance was the Industrial Workers of the World

late nineteenth century by the president of the

1905 under

American Federation of Labor, Samuel Gompers,

the influence of the theories of De Lean (see

with his philosophy of 'pure-and-simple union­

Dubofsky,

ism'. This conception later obtained intellectual

(or 'Wobblies'), formed in the USA in

1969).

During the

1914-18

period the

formation in most belligerent countries of work­

support from the writer Selig Perlman

place

who argued that trade unions would naturally con­

organization,

(relatively)

independent

of

(1928),

formal union structure and able to contest the con­

fine their activities to job-related matters unless

trol of production, provided another alternative

seduced by the intervention of intellectuals. Similar

model - analysed most sensitively by Gramsci,

arguments have more recently been elaborated by

and developed by others such as Pannekoek as the

American writers (Lester,

basis for a theory of 'council communism' (Smart,

man,

1960;

Kerr et al.,

1958; Ross and Hart­ 1960), who have all insisted

1978). After the formation of the Communist Inter­

that 'mature' trade unions typically abandon radical

national, an important element in left-wing strategy

political objectives and concentrate on collective

was the creation of appositional 'rank-and-file

bargaining.

movements' within official trade unions. More re­

A third view of the relationship between unions

cently, this tactic has been embraced by various

and politics has been offered by 'corporatism' the­

Trotskyist groups.

orists (see Goldthorpe,

1984). Modern usage of this

Since the Soviet revolution, the role of unions in

notion alludes to fascist (and, in particular, Italian

socialist society has provoked argument among

and Spanish) systems of state-directed organization

Marxists. In the famous 'trade union debate' of

embracing both employers and employees within a

1920-1,

Trotsky argued that they should become

formally

subordinated

to

the state,

while the

rhetoric of functional unity. In modern Western societies, it is argued, the state is increasingly a

Workers' Opposition insisted that they should

central actor in economic and industrial relations;

remain an independent force within the economic

and this has encouraged the development of tripar­

sphere. Lenin's view won the day: that while for­

tite concertation, often integrating unions institu­

mally independent they should follow the leader­

tionally in the machinery of national economic

ship of the party, as 'transmission belts from the

planning and management. For some writers, 'neo­

Communist Party to the masses'. Under Stalin,

corporatism' serves to subordinate unions to the

ironically, Trotsky's model of state control was

requirements of a capitalist state, turning them

effectively implemented (see Deutscher,

into agencies for disciplining their members in

1950),

194 5 was extended to the new communist

return for nominal and organizational rewards.

regimes in Eastern Europe. Much later, pressures

Others, however, identify a system of 'political

for greater trade union autonomy emerged. The

exchange' whereby unions achieve real material

collapse of communism in the Eastern bloc was

benefits for their members by moderating economic

preceded in most countries by the assertion of inde­

militancy in return for influence over macroeco­

pendence by the former official unions, and in many

nomic policy; post-war Austria and Sweden are

cases by the rise of opposition movements - most

often cited as examples. The logic of both inter­

notably, Solidarnosc in Poland. Today the 'trans­

pretations is that simple 'business unionism', as the

and after

mission belt' model has been abandoned even in

American model is often termed, is no longer viable

those countries where communist regimes remain.

- at least in many national contexts.

In the industrialized West, unions have often

Yet another view of trade unionism is as a social

sought to escape subordination to political parties.

movement. Often this conception has derived from

TRADITION AND TRADITIONALISM

701

Catholic social thought, which altered at the turn of

comes from the Latin verb tradere which meant to

the century from anti-unionism derived from anti­

deliver, transmit, hand down through time. Al­

socialism to a more positive view of unions as means

though the verb could refer to the transmission of

of furthering social cohesion and harmony. Anti­

trivial things, it gradually became reserved for the

communism subsequently provided a powerful

very important, for 'deposits' from the past which

motive for Catholic intervention in trade unionism,

held an unusual value to the present and, presum­

at times inspiring the formation of separate 'Chris­

ably, the future.

tian' unions. In some Third World countries, how­

Traditions, by long usage, belong to the most

ever, 'liberation theology' has encouraged support

important spheres of human life such as KINSHIP,

for radical populist unionism, mobilizing against

religion, polity, and the upper levels of culture such

multinational capital and repressive political reg­

as literature and art. We speak of traditional Chris­

imes. This may be seen as reflecting a situational

tianity in Europe and of monarchy, patriarchalism,

logic: where the state is powerful and 'civil society'

constitutionalism, and the art of the old masters as

relatively undeveloped, trade unions are one of the

traditional. For lesser things we are more likely to

few organizations capable of coordinating inde­

use 'customs' or 'folkways'.

pendent social action on a national scale. At the

It is a mistake to think of traditions as inherently

same time, unions which are unable to achieve

static and tending always towards the quiescent.

stable collective bargaining relationships or to

Migrations, wars and revolutions have behind

build up substantial formal membership are likely

them frequently in HISTORY the desires of groups

to seek to mobilize and represent a larger constitu­

to defend, protect or even to disseminate cherished traditions. Revolutions and major reform move­

ency than the latter alone. It is clear that the social meaning of trade union­

ments spring not only from the pragmatic sense of

ism is a focus of contention within and between

current injustice but from the historical sense of old

unions themselves; and their role is equally contro­

traditions being violated. To be able to argue that

versial for governments and for movements of pol­

current practices represent a falling away from

itical opposition. The end of the Cold War, and the

honoured traditions in government and law is to

internationalization of capital and of employment

add a considerable depth to the position one is

practices, may lead to a greater homogeneity of

taking. As the history of Marxism suggests, left

trade union characteristics.

partisans are as quick as those on the right to

See also SYNDICALISM.

speak of the 'real', the 'true' Marx in doctrinal controversies, and although they may not use the

Reading Banks, J. A. 1974: Trade Unionism.

word 'tradition' very often the substance is there for

Clegg, H. 1976: Trade Unions under Collective Bargaining.

history of Christianity since the Reformation is in

all to see. Much the same is true of religion. The

Crouch, C. 1982: Trade Unions.

A. 1952: Trade Unions. Hyman, R. 1972: Marxism and the Sociology of Trade Flanders,

Unionism. --1989: The Political Economy of Industrial Relations. McCarthy, W. Martin,

E. J. 1985: Trade Unions, 2nd edn.

large measure the history of sects and schisms. Almost invariably the authors and prophets of new sects insist that however radical the schism may seem, it is based on a desire to return to 'that old time religion' or, more elegantly put, to the 'pure tradition of Jesus Christ'.

R. 1989: Trade Unionism.

It is difficult to separate the recent history of the

Mills, C. W. 1948: The New Men ofPower.

R. 1988: The New International Labour Studies. Sturmthal, A. 1972: Comparative Labor Movements.

which were stirred up in Western Europe by those

Webb, S. and Webb, B. 1897: Industrial Democracy.

who called themselves, during and after the French

Munck,

RICHARD HYMAN

idea of tradition from the intellectual currents

revolution, Traditionalists. I refer especially to Louis Gabriel de Bonald and Joseph de Maistre.

tradition and traditionalism

Holding a spec­

Use of 'conservative' as a political term does not

ial place among the customs, conventions, folkways

commence until the 1820s in both France and Eng­

and styles which are the building blocks of human

land. But traditionalism as a political philosophy,

cultures,

and as a label, appears on the scene by the 1790s. It

tradition

is

commonly

reserved

for

customs which have considerable depth in the

was Edmund Burke, more than any other single

past and an aura of the sacred. The word tradition

figure, who was responsible for this. Interestingly,

702

TROTSKYISM

he seems not to have used either 'tradition' or

given the prevailing character of conservatism in

'traditionalism' in his

Reflections on the Revolution

contemporary Western politics, nor does tradition­

but he did use, boldly, the word 'preju­

alism predictably fall on the right in politics. Thus

dices', and his argument for 'prejudice, with the

the traditionalist's reverence for kinship, religion,

in France,

reason involved' is one of the most eloquent briefs

social class and the sacred is by no means necessar­

for tradition and traditionalism ever written.

ily harmonious with the contemporary conservati­

What Burke and all the traditionalists of the early

ve's preference for a high degree of individualism,

nineteenth century were attacking was the French

a free market, libertarianism and unrestricted

revolution and its Enlightenment-spawned ideas of

private property and profit. As to relationship to

reason, individualism, freedom and equality, en­

the political right, one has only to think of some of

shrined for all Europe to see in the legislation that

the deeply, fanatically traditionalist groups in the

emerged from successive revolutionary govern­

modern world whose absolute loyalty to one or

ments. In promulgating these ideas, the revolution

more traditions pushes them at times closer to the

was almost necessarily obliged to assault the insti­

revolutionary left than to anything properly deno­

tutions of the Old Regime: monarchy, aristocracy,

table as either right or conservative. The Irish Re­

church, guild, village community, and so on.

publican Army (IRA) and Basque ETA are perhaps

What the revolution assaulted, the self-declared

sufficient illustration, but at the present moment

traditionalists made objects of veneration. These

one may think first of the Middle East and certain

were essentially medieval values and structures; it

highly traditionalist Islamic insurgents.

is no accident that medievalism and traditionalism

See also CULTURE.

underwent a simultaneous upsurge in the nine­ teenth century. We see this in the arts and the social

Reading

sciences alike. In the former field are such figures as

traditional institutions as the patriarchal family, the

(1970): The Structure of Scientific Revolutions, 2nd edn. Lerner, D. 1958: The Passing of Traditional Society. Li ppman, W. 1929: A Preface to Morals. Lowes, J. L., 1922: Convention and Revolt in Poetry. Nisbet, R. 1986: Conservatism. Radin, M. 1936: Tradi tion. In Encyclopedia of the Social Sciences, vol. 15, pp. 62-7. Shi1s, E. 1981: Tradition.

village community, the guild, and a system of social

ROBERT NISBET

Augustus Pugin, William Morris and John Ruskin; in the social sciences Friedrich Karl von Savigny and Hegel in Germany and Auguste Comte and Pierre Le Play in France. Some of them, though in different ways, were lavish in their praise of the Middle Ages and vigorous in the espousal of such

Kuhn, T. S. 1962

classes. They were equally condemnatory of those Loosely referring to a broad current

forces in the modern world such as industrialism

Trotskyism

and technology, and also, in some cases, mass dem­

of thought, as well as a small organized movement,

ocracy and egalitarianism, which appeared to be

within international socialism, the term derives

destroying the foundations of the traditional. It is

from the name of Lean Trotsky (1879-1940) and

fair to say that the contrast between Traditional and

the historical influence of his ideas. In its earliest

Modern, as we find it from the early nineteenth

meaning- before1917- it stood for no more than a

century down to the present moment in Western

particular, unorthodox view of the character of the

writing, is but a variant of the analogous themes of

Gemeinschafi

and

Gesellschafi,

status and contract,

coming Russian revolution. But from the mid19 20s Trotskyism, as the principal Marxist oppos­

and the types of solidarity Emile Durkheim fea­

ition to and critique of Stalin's regime in Russia and

tured in his

the Stalinized communist movement internation­

Division of Labour in Society

(1893).

Max Weber's distinction between Traditional and

ally, came to embrace a wider set of theses, seeking

Rational is also pertinent.

to defend the values of classical Marxism against

Finally it must be stressed that traditionalism,

what it saw as their misappropriation. The label has

CoNSERVATISM, and the political right are very far

covered some diversity of theoretical conception

from being the same; at least since the early nine­

and political practice.

teenth century when all three words acquired their

The primary thread, intellectually, has been the

present connotations. Traditionalists by definition

theory of PERMANENT REVOLUTION. In the first in­

give loyalty to the old and hallowed. This, however,

stance an anticipation of the possibility that back­

does not necessarily make conservatives of them,

ward Russia might set out on the path of socialist

TRUST AND COOPERATION revolution before the advanced capitalist countries,

703

attempting to build a bridge from immediate,

the theory emphasized also - and did so the more

limited demands to more far-reaching revolution­

insistently once the Bolshevik revolution had found

ary goals, has been central. The Trotskyist move­

itself without early sequel elsewhere- the necessity

ment has seen itself, finally, as being in the line of

of complementary revolutions in the West if the

LENINISM. This has been associated, in the worst

Russian effort itself was not to come to grief. It was

cases, with a mentality of 'party-building', hair­

an emphasis opposed to Stalin's project of a nation­

splitting, sometimes fantasy-mongering sectarian­

ally self-sufficient 'socialism in one country', as

ism. But in the best cases, it has drawn on the

being a delusory ambition. An analysis of the type of society that had in fact

historical record of Trotsky's unique and changing - now critical, now persuaded, never worshipful -

emerged in the Soviet Union with the political

relationship to the person and politics of Lenin, to

victory of Stalin formed a companion argument.

sponsor the synthesis of a socialist political theory

No longer capitalist, since the major means of pro­

at once revolutionary and committed to democracy

duction were now owned by the state, nor was the

and pluralism. Beyond the world of Trotskyist

country, according to Trotsky, yet socialist either.

organizations as such, Trotskyism has had a diffuse

It was a transitional society, in which the governing

creative influence on Marxist intellectual debate

bureaucracy had usurped the political rule of the

and scholarship.

working class, presiding over as well as benefiting from large and unjustifiable inequalities. Although

Reading

not a dominant economic class in the Marxist sense,

Deutscher, I. 1959: The Prophet Unarmed.

having no direct property in productive resources, this bureaucracy was a privileged stratum, and would have to be overthrown by a political revolu­ tion if Russia was eventually to accomplish its transition to socialism - assisted by socialist trans­ formations in the West. Failing this, the bureau­ cracy threatened to become a vehicle for the restoration of capitalism in Russia.

Trotsky:

1921-1929.

--1963: The Prophet Outcast. Trotsky: 1929-1940. Frank, P. 1979: The Fourth International: the Long March of the Trotskyists.

Geras, N. 1986: Literature ofRevolution. Mandel, E. 1979: Revolutionary Marxism Today. Trotsky, L. 1937 (1972): The Revolution Betrayed. --1938 (1973): The Transitional Program for Socialist Revolution.

Trotsky himself, fierce critic though he was of it,

NORMAN GERAS

did not regard the regime of the Soviet bureaucracy as a new form of class or capitalist rule. This has

trust and cooperation

been the mainstream Trotskyist viewpoint for 60

be said to cooperate when they engage in a joint

'Two or more agents can

years since his death: that, authoritarian, 'degener­

venture for the outcome of which the actions of

ated' and indeed often criminal as the regime has

each are necessary' (Williams, 1988, p.

been, it preserved in some form a key achievement

defined, cooperation is therefore relevant for most

5). Broadly

of the October revolution, namely, the overturning

human undertakings, from play to marriage, from

of capitalist property. Other currents originating

market transactions to international relations, from

within the Trotskyist tradition have argued, to the

industrial production to education. Even competi­

contrary, that the Soviet ruling group was indeed

tion, rather than being an alternative to cooper­

a new type of class - state-capitalist or bureaucr­

ation, often rests on cooperative arrangements.

atic - effectively owning the means of production

Cooperation requires that agents - such as indi­

through its control of the state. The Soviet Union,

viduals, firms and governments - agree on a set of

on this view, was in no sense intermediate between

rules, a 'contract', which is then to be observed in

capitalism and socialism.

the course of their joint activity (Binmore and Das­

Owing to its quasi-foundational theoretical per­

gupta, 1986, p. 3). Agreements and rules, however,

spective- of permanent revolution- the Trotskyist

need not be the result of explicit communication or

tradition has been strongly internationalist in out­

even intention. They can develop in the course of

look; an important locus of it being the Fourth

interaction itself from tradition, prior successful

International, founded in 1938. The mainstream

experience, trial and error or evolutionary processes

tradition has defended, too, an uncompromisingly

(Axelrod, 1984; Sugden, 1986). In this sense, co­

revolutionary concept of socialist strategy. To some

operative behaviour can emerge also among non­

Trotskyists the idea of a 'transitional programme',

human species, in which in fact it is often found -

704

TRUST AND COOPERATION

in contrast with the traditional and now disproved

before

view that 'competition for survival' would repre­

independently of our capacity of ever being able to monitor it (Dasgupta,

sent the central feature of the animal world (Hinde,

1982;

Bateson,

2

1986).

we can monitor A's relevant action or

1988, p. 51).

A must be free, free especially to disappoint our expectations (trust has been said to represent 'a

Cooperation poses problems of particular inter­ est for the social sciences whenever agents cannot

device for coping with the freedom of others',

monitor each other's actions effortlessly. Both

Luhmann,

its social significance and the conceptual sophistica­

related to the freedom of others only.

tion required for its understanding are dramatically

3

1979;

Dunn,

1984).

But trust is not

We, too, must be free to refrain from cooper­

enhanced 'when a necessary action by at least one

ation in case we do not trust, as without alterna­

of the parties involved is not under the immediate

tive we would at best hope or rely, but not trust.

control of the other party ...Under this definition, a situation in which two agents cooperate necessar­ ily involves at least one of them

depending on

Finally, if we could achieve perfect information about other agents, trust would not be a prob­

p. 5). Hence, cooper­

lem. Thus trust can also be said to represent a

ation becomes at the same time fragile and the object

tentative and intrinsically fragile response to

the other' (Williams,

1988,

4

of hazardous decision-making, for the dependent

our ignorance, a way of coping with 'the limits

party in particular. When monitoring is difficult,

of our foresight' (Shklar

1985, p. 151).

the choice of entering a cooperative venture- which is generally sensitive to costs- becomes particularly

An important tradition in Western thought- com­

susceptible to the risk related to the potential defec­

prising Machiavelli, Hume and Smith, and still

tion of others. Here cooperation brings us close to the notion of

trust,

which represents a salient but

scarce, as are all other resources, but, like love,

little studied ingredient of social interaction.

trust

common nowadays, especially within economics equates trust to a resource which would be not only

may refer to the technical

altruism and solidarity, impossible to produce at

ability of certain individuals on whom at times our

will. As a consequence trust ought to be spent

wellbeing depends (such as doctors or pilots). Or it

with parsimony and we could not sensibly bank on

The object of

may concern the reliability and effectiveness of

it to bring cooperation about (Elster and Moene,

groups (say, the Gurkhas), and even of abstract

1988). Albert Hirschman (1984) (1988), however, have challenged

entities (an example would be the transport system) (Luhmann,

1979, 1988;

Barber,

1983).

However, it

and Dasgupta that view and

shown that trust is not a resource like others that

not

is trust in the willingness of other agents to fulfil

depletes by being used, rather it depletes by

their 'contractual' obligations that is crucial for

being used. Also, several historical examples plaus­

cooperation. In this sense trust (or symmetrically

ibly suggest that trust can be intentionally 'pro­

distrust) can be described as a particular level of the

duced' (see Velez-Ibanez,

subjective probability with which an agent assesses

intentionally destroyed (see Pagden,

whether one or more other agents (A), with whom cooperation is envisaged, will also cooperate (or

1988,

1983)

and, certainly,

1988).

Trust and cooperation interact in a variety of subtle ways. For instance, it is not merely relevant

p.

to decide whether to trust A, but it may be equally

we say we trust A (or that A is trust­

relevant whether A trusts us. Cooperation can fail

worthy) we implicitly mean that the probability

as a result of A refraining from acting cooperatively,

not) ('Can we trust trust?', in Gambetta,

217). When

us

that A will perform an action that is beneficial (or

simply because A does not trust

at least not detrimental) to us is high enough for us

Besides, as GAME THEORY shows, cooperation can

to cooperate.

to engage in cooperation with A. Correspondingly,

fail even if the other agents do not trust the fact that

when we say that we do not trust A we imply that

we trust them: A can refrain from acting coopera­

that probability is below the crucial threshold, low

tively because A believes that we do not trust A to

enough, that is, for us to avoid cooperation. Trust represents a nontrivial problem when at

cooperate, and that as a result we will not cooperate. To achieve cooperation trust must be

mutual,

and

agents must know it is.

least four conditions obtain.

Although unconditional distrust makes cooper­ Trust in A must have a bearing on

our own

action when that action must be chosen either

ation impossible among free agents (Gambetta,

1988,

pp. 224-9), cooperation does not necessarily

TRUTH

705

depend on high levels of trust. In fact, successful

But 'truth' is also the most difficult of concepts:

cooperation can come about independently of trust,

there is hardly an extant theory without some snare

and positively influence the level of trust itself

but in which it is equally hard not to find some truth

1984). When considering whether to co­

or plausibility. These have ramifications for theor­

(Axelrod,

operate, there are other factors taken into consider­

ies of meaning, reference, perception, causality,

ation, which include the amount of loss in case

agency,

cooperation fails, the prospect of future inter­

thus for philosophical sociology and

actions, A's interests, and A's possibility of inflict­

generally). A basic distinction is between theories

ing fatal blows.

of meaning and criteria for truth. Prima facie one

See also

experiment,

and

communication

(and

ONTOLOGY

would expect the criteria for truth claims to be as

CoNSENSUS.

varied as the contexts in which they are made. The most important historical theories of truth

Reading Akerlof, G. 1970: The market for 'lemons': qualitative

in the twentieth century have been the correspond­

uncertainty and the market mechanism. Qyarterly Jour­

ence,

nal ofEconomics 84, 488-500.

formative, consensus and Hegelian theories of

coherence,

pragmatic, redundancy, per­

Axelrod, R. 1984: The Evolution of Cooperation.

truth. Marxist theories have been spread along

Barber, B. 1983: The Logic and Limits of Trust.

this spectrum - with classical Marxism committed

Gambetta, D. ed. 1988: Trust: Making and Breaking Cooperative Relations. Hirschman, A. 0. 1984: Against parsimony: three easy ways of complicating some categories of economic dis­ course. American Economic Review Proceedings 74, 88-96.

to a deep correspondence theory, dialectical materi­ alism to a simple reflection theory and Western Marxism typically seeing truth as the practical ex­ pression of a subject rather than a theoretically adequate representation of an object, whether this

Hollis, M. 1998: Trust within Reason.

has been in coherentist form (as in Gyiirgy Lukacs),

Luhmann, N. 1979a: Trust and Power.

pragmatist (as in Karl Korsch) or consensualist (as

Sztompka, P. 1999: Trust.

in Antonio Gramsci) (see Bhaskar,

DIEGO GAMBETT A

Correspondence

theories

had

1991). their

during the mid-century supremacy of truth

This seems at once the simplest and the

heyday

LOGICAL

POSITIVISM, although they were also supported by

most difficult of concepts. Saying 'true' to a prop­

some critics of logical positivism such as ]. L.

osition is to give one's assent to it - this is its

Austin. The most influential correspondence the­

primary function, from which 'redundancy' and

ories have been the picture theory of the early

'performative'

Wittgenstein, the semantic theory of A. Tarski,

theories

of

truth

derive

their

power. But one is thereby committed to a claim

and Karl Popper's theory of science as revealing

about the world - roughly to the effect that this is

increasing verisimilitude or truth-likeness. For

how things are - from which correspondence the­

critics of correspondence theories the basic objec­

ories of truth since the time of Aristotle have drawn

tion has always been that there seems no 'Archime­

their currency. This claim carries the normative

dean' standpoint from which a comparison of the

force of 'trust me- act on it' from which pragmatic

corresponding items can be made.

PRAGMATISM). At the

Coherence theories, in vogue early in the century

same time this claim, if challenged, needs to be

under the residual impact of absolute idealism but

grounded, a requirement that seems to point in

recently defended with vigour by N. Rescher and

theories gain their hold (see

the direction of coherence theories. So a truth

some others, seem most plausible as an account of

judgement will typically carry or imply a fourfold

the criterion rather than the meaning of truth.

dimensionality, possessing expressively veracious,

Hegelian theories may be regarded as a special

descriptive, evidential and imperatival-fiduciary

case of coherence theories in which it is the con­

aspects. If its basic world-expressive meaning is

formity of an object to its notion (ultimately the

simple (its descriptive 'this is how things are in

totality or whole) rather than vice versa that defines

the world' aspect), it is equally easy to see that

truth. But, whether in Hegelian dialectical or more

truth

talk

satisfies a

transcendental-axiological

standardly Anglo-Saxon declensions, coherence

need, acting as a steering mechanism for language

theories seem to presuppose something like a cor­

users to find their way about the world.

respondence-theoretic account of 'correctness'.

706

TRUTH

The two most influential species of pragmatism

as genuinely ontological (and accordingly object­

derive ultimately from the American tradition of C.

ive), as, in the intransitive dimension, the reasons

S. Peirce, William James and John Dewey and from

for the things and phenomena of the world.

The

Here we are concerned with the truth (nature,

former has been recently popularized by Richard

purpose or fulfilment) of things (including people),

Nietzschean

perspect!v1sm

respectively.

Rorty, for whom the only workable concept of truth

not simply of words. And in the dialectic of sci­

is warranted assertability (and here pragmatism

ence which critical realism describes, we move from

dovetails with constructivist and intuitionist theor­

subjective certainty on the part of a group of scien­

ies of mathematics). This is of course open to the

tists about some proposition (or theory) to acc­

objection that a proposition may be warrantedly

eptance

assertable yet false. For the Nietzschean tradition,

intersubjective facthood of the proposition con­

by

the

scientific

community

of

the

which informs contemporary poststructuralism,

cerned. The community now seeks to unearth the

truth is 'a mobile army of metaphors', ultimately

reason, typically at a deeper level of structure or in a

an arbitrary expression of the will-to-power, which

wider totality, for the phenomenon described by

must be thought, as at once both necessary and

that proposition. When it has done so, we reach the

impossible, 'under erasure'. It is difficult to see

level of objective or alethic truth, where truth now

this position, whether in its Derridean or Foucaul­

stands for the uncovering or revealing of the reason

dian guise, as anything other than self-cancelling.

for the phenomenon. In social life a wider or deeper

The other theories must be dealt with more

form of knowledge can often criticize, ceteris par­

briefly. The redundancy theory, initially formu­

ibus, a less developed form as the broad tradition of

lated by F. P. Ramsey, seems either to smuggle in

critical theory from Marx to Habermas amply dem­

truth by the back door or to deny the axiological

onstrates.

necessity of the truth predicate. Performative the­

Critical realism's commitment to moral realism

ories of the sort advocated by P. F. Strawson, R. M.

opens up new possibilities in truth theory which

Hare and John Searle seem more satisfactory in this

cannot be explored here, save to say that Bhaskar

respect, but they in turn underplay the extent to

has argued, in a line paralleling an argument of

which the use of the truth predicate needs to be

Habermas, that every expressively veracious state­

grounded, a fact recently stressed by Kripke. Con­

ment ultimately implies a commitment to the pro­

sensus theories, though capable of ideal typical

ject of universal human emancipation. This, it can

formulations, seem open to the obvious objection

equally be argued, is, qua freedom and wellbeing, a

that 20 million Frenchmen can be wrong!

condition for any subjective or intersubjective

Bhaskar, developing his critical realism, has

truth.

sketched a truth-tetrapolity and an associated dia­ lectic of truth, in which it is seen as a many-layered

Reading

concept. The first moment or component of the

Bhaskar, R. 1993: Dialectic.

tetrapolity sees truth as action guiding and social, as normative-fiduciary. The second component sees truth as ad equating (warrantedly assertable) and, in the transitive dimension of discourse, as relative. The third component sees truth as expres­ sive-referential, as an epistemicontic dual and truth claims as absolute (saying how things are in the world). The fourth component sees truth as alethic,

Pitcher, G. 1964: Truth. Popper, K. 1972: Objective Knowledge. Ramsey, F. P. 1931: The Foundations ofMathematics. Rescher, N. 1973: The Coherence Theory of Truth. Rorty, R. 1980: Philosophy and the Mirror ofNature. --

1991: Objectivity, Relativism and Truth.

Tarski, A. 1956: Logic, Semantics and Mathematics. ROY BHASKAR

u uncertainty

See DECISION THEORY

meaning inherent in the term, one could distin­ guish a number of different kinds of 'unconscious':

unconscious

The notion of the unconscious has

process taking place within the human

a prolonged history, involving names of thinkers

Any

such as G. W. Leibniz, Arthur Schopenhauer,

person but not accessible to consciousness.

Friedrich Nietzsche and Karl von Hartmann. It

Most

really, however, springs into prominence with the

category.

work of Sigmund Freud

(1856-1939). He is gener­

2

psychological

processes

fall

in

this

Principles governing practices which only

ally hailed, if not as the absolute discoverer of the

become accessible to consciousness as a result

notion, then at any rate as the man who placed it at

of serious, possibly arduous research. For in­

the centre of a therapeutic technique, and of a

stance,

theory which was original and striking, and which

awareness of the grammatical or other rules

very rapidly became the basis of a new vision of human beings (see

PSYCHOANALYSIS). The Freud­

most human

beings

speak

without

governing their speech.

3

A collective unconscious, such as was proposed

ian notion of the unconscious distinguishes it from

by C. G.Jung

the merely subconscious, which contains mental

and historically influenced by Freud's ideas,

contents not present to consciousness. The uncon­

but differing from it in being shared by an entire

(1875-1961), resembling Freud's

scious has a content which systematically resists

community or race. This being so, its contents

being brought up into consciousness. This sus­

must of course have been assembled in a

tained repression of the content of the unconscious

manner different from the individual accumu­

is said to play an important part in the internal

lation of a Freudian unconscious (except of

organization of the psyche, and in particular in the aetiology of much mental illness. The model popu­ larized by Freud is that the mind 'represses' certain

course the 'Lamarckian' elements). 4

A different kind of collective unconscious, re­ pressed neither individually nor racially or

mental contents into the unconscious, that some of

communally, but by a political unit: the rules

the contents so repressed engender mental disturb­

of

ances and that a cure or alleviation can be brought

Newspeak as described by George Orwell (1903-1950) in 1984 are meant to make certain

about by bringing these contents out into the open.

ideas or affirmations simply unsayable in a given

It is clearly part of the Freudian notion of the

language.

unconscious that its contents are accumulated from the earliest beginnings of life of an individual;

The Freudian unconscious, which probably con­

in some versions proposed by members of the wider

stitutes the most frequently used meaning of the

movement, this accumulation even precedes birth.

term, differs from these in that the contents of

Totem and

the unconscious are perfectly accessible in principle

Taboo also seem to imply that some of the contents

and are not proscribed by either the language or by

The arguments Freud proposed in

are transmitted from generation to generation, so

political authority. They are thus

that contents acquired in one generation are taken

pressed, in response to the individual's particular

over by subsequent ones. Freud has been criticized

situations, often with pathogenic consequences.

individually re­

for this implicitly 'Lamarckian' view of heredity, as

One possible criticism of the Freudian conception

applied to the unconscious, as not compatible with

of the unconscious is that it is too closely modelled

modern genetics.

on the familiar model of the conscious mind (whose

Leaving aside the Freudian doctrine which gave

genesis and functioning seem to be taken as unpro­

the concept its prominence, and starting from the

blematical): Freudian psychology merely adds a

708

UNEMPLOYMENT

wilder, hidden partner accompanying and domin­

work, and the prevalence of such a condition. It has

ating it, characteristically manifesting its effects

been a chronic feature of modern societies, which

in

dreams, 'slips' of

behaviour

and

neurotic

are based on paid employment. Except for the 30year period after World War II, these societies have

symptoms. It is also important to stress that the Freudian

normally not provided enough paid work for the

notion of the unconscious plays a dominant part in

adult population. Unemployment has been the

the overall Freudian system of ideas, therapy and

cause of frequent social and political conflict, as

organization of the psychoanalytical guild. This

well as considerable social and psychological dis­

role goes far beyond merely adding one further

tress. Social and political controversy about the

important item to the inventory of our psychic

causes and effects of, and remedies for, unemploy­

equipment. Implicit in the notion and in the role

ment was especially intense in the 1920s and 1930s,

ascribed to it, the unconscious constitutes a per­

and also in the 1970s and 1980s, both periods of

manent barrier to sound judgement: unless its

high unemployment. Over recent decades, atten­

secrets are penetrated by the unique technique

tion has shifted to consider the whole future of

prescribed by Freudian theory, cognitive claims

paid work.

made by a given individual are suspect and presum­

Unemployment was not a problem in hunting

ably unsound. This being so, the notion of the

and gathering societies; nor was it admitted as a

unconscious implicitly devalues cognitive claims

problem in Soviet-type regimes where its existence

made by human beings not cleared by the rite de

was not recognized officially. In tribal societies, the

passage of psychoanalysis, in the manner approved

performance of subsistence activities involved rela­

by the guild of its practitioners. So, indirectly but

tively little time, no special status or payment, and

inescapably, the notion, as it occurs within this

was not regarded as a separate sphere of life. Soviet­

system, ranks both human beings and their views:

type states also did not recognize a distinctive area

it constitutes an implicit social and heuristic pro­

of civil society, an 'economy', in which workers are

gramme. It not only invalidates any theory which

employed separate from the state. Hence, they did

purports to criticize its criteria, it also invalidates all

not acknowledge the existence of unemployment

else. For as far as the unconscious is said to interfere

although various forms of 'hidden unemployment'

with the evidence concerning its own existence and

(see below) were widespread. Only with the emer­

its own practices, only the unique technique can

gence of 'employment' societies based on paid

counteract its wiles, is in a position to decode and

WoRK- organized on a large scale on the basis of

concretely assess the evidence. In this way, Freud­

the LABOUR MARKET and geared to agricultural,

ian theory of the unconscious guarantees its own

manufacturing and service production - did un­

truth. The theory proposes a world such that,

employment assume the social, economic and pol­

within it, only the theory itself can really pronounce

itical significance it has today (see INDUSTRIAL

on truth and falsehood. In this way, the Freudian

SOCIETY). Under pressures from rapidly growing

theory of the unconscious is open to the suspicion

manufacturing, new and stricter forms of job spe­

of being largely circular.

cialization and factory discipline, accelerating ur­

Reading

the exclusion of women from the labour market, the

Ellenberger, H. 1974 (1981): The Discovery of the Uncon­

ability of individuals to subsist by moving, often on

banization, compulsory schooling of children and

a seasonal basis, between the formal labour market

scwus. Maclntyre, A. C. 1958: The Unconscious.

and the informal sector comprising nonmarket in­

ERNEST GELLNER

stitutions (such as the household) rapidly declined. In consequence, by the last decades of the late

underdevelopment

See

DEVELOPMENT

AND

UNDERDEVELOPMENT

nineteenth century, finding and retaining regular paid work-and its converse, unemployment -had become a central aspect of most people's lives and a

understanding

See VERSTEHEN

necessary condition for maintaining household mcomes.

unemployment

the

The effects of being unemployed are often trau­

existence within a society, geographic area or social

Unemployment

denotes

matic, deeply personal, and not confined to loss of

group of significant numbers of adults seeking paid

income and consumer spending power. They are

UNEMPLOYMENT

709

also highly variable by personality, gender, age,

price of labour. When wages rise, both the rate of

class, type of previous occupation, previous life

profit from the accumulation of capital and the rate

history and degree of unemployment within one's

of accumulation itself fall, reducing aggregate

immediate locality and/or family. Nevertheless, a

demand, contracting economic activity and increas­

number of studies (see Pilgrim Trust, 1938;Jahoda

ing the reserve army. The continuing existence of a

et al., 1932; Kelvin andJarrett, 1985) have pointed

reserve army thus ensures that wages, even when

to the general features of severe psychological,

they are rising sharply, do not threaten profits.

social and physical distress experienced by people

Marx distinguished three elements in the reserve

who become unemployed. Psychological effects

army of labour: floating industrial workers who

identified as being associated with unemployment

move from job to job; a latent pool of workers in

include resignation, negative self-esteem, despair,

agricultural areas; and a stagnant population of

shame, apathy, depression, hopelessness, a sense of

causal workers who are close to paupers. Recent

futility, loss of purpose, passivity, lethargy and

Marxist writers (such as Braverman, 1974) have

indifference. Social effects include poverty, loss of

shown that this traditional reserve army has been

status, loss of time discipline and daily routine,

increasingly supplemented over recent decades by

social isolation, disruption of family life including

women and immigrant workers joining the labour

divorce, changes in the sexual division of labour,

market on a temporary basis (as with the Gast­

and various forms of antisocial behaviour including

arbeiter, the 'guest workers', in Germany).

theft and vandalism. Physical effects include vari­

With recurrent economic recessions after the

ous forms of illness, insomnia, stress and anxiety

1870s, and under pressure from the emergent

sometimes resulting in attempted suicide, intermit­

TRADE UNIONS, unemployment soon became a

tent and short-term drunkenness, intrafamily vio­

major public issue. By the late nineteenth century,

lence and child abuse.

a growing body of reformist social and political

The dominant public philosophy of the nine­

opinion was calling for state guarantees of full em­

teenth century, prevailing indeed until the 1940s,

ployment while explicitly rejecting both orthodox

was that unemployment was unavoidable, primarily

and Marxist interpretations of the problem. The

short-term, and typically resulted from the per­

proposed solutions varied considerably. Many ad­

sonal inadequacies of the unemployed - either

vocated protectionism or naval and military con­

their lack of effort and initiative or (after Malthus)

scription; others, public guarantees of the right to

their tendency to produce large families. This view

work, direct job creation by the state and progres­

was reflected in classical and neoclassical economic

sive taxation combined with counter-cyclical public

thinking: that capitalist economies had a 'natural'

works. But no general alternative theory of un­

tendency

employment was available until the 1930s and

towards

full

employment

because,

according to Say's Law, supply creates its own demand, that is, creating output will automatically generate demand. As unemployment rose, produ­

1940s. Prompted

by

the

mass

unemployment

of

the 1920s and 1930s,]. M. Keynes developed the

cing an oversupply of 'idle' labour, wages would

concepts

fall, allowing more workers to be employed.

demand deficiency (see KEYNESIANISM), and his

of

aggregate

economic

demand

and

Marx, however, explicitly contested the idea that

theory of unemployment was skilfully synthesized

unemployment in capitalist societies was a tempor­

into a social democratic programme for a full em­

ary phenomenon. In Capital he argued that it was a

ployment welfare state by William Beveridge in

basic structural problem tied to the processes of

Full Employment in a Free Society (1944). In this

capital accumulation and capitalist exploitation of

influential report, Beveridge advocated govern­

labour. In a capitalist society subject to recurrent

ment guarantees of full employment of labour and

and worsening crises there was no automatic ten­

capital through WELFARE STATE regulation of the

dency assuring full employment equilibrium, as

labour market as part of a much broader social and

classical and neoclassical economists claimed. Cap­

political programme for creating a society which

italist economies need to maintain an 'industrial

guaranteed justice and freedom to all. Beveridge's

reserve army of labour' which keeps the labour

case for a full employment welfare state effectively

force under permanent pressure. When economic

established the parameters for public discussion of

demand expands, the demand for labour increases,

unemployment in capitalist societies for the next 30

thereby reducing the reserve army and inflating the

years.

710

UNEMPLOYMENT

The creation of full employment welfare states in

Beveridge and Keynes distorts market mechanisms

many capitalist countries coincided with a period

for determining wages, prices, investment and the

after World War II of sustained economic growth,

distribution of paid work. Specifically, Friedman

full (male) employment, rising money wages and

argues that any monetary or fiscal policies which try

low inflation. When it seemed necessary, govern­

to reduce the rate of unemployment below what he

ments in these countries - sometimes within the

calls the 'natural' rate will ultimately accelerate the

framework of indicative economic planning and

rate of inflation. Rather, governments should move

extensive state ownership, as in France- regulated

decisively to establish and maintain strict control

their own spending and taxation to ensure a con­

over the money supply (in order to control infla­

sistently high level of economic demand and em­

tion); they should pursue a free market employ­

ployment. The conclusion was drawn by most

ment

commentators and policy-makers that, since gov­

rigidities' within the economy and in international

ernments using Keynesian demand management

trade, drastically reducing state intervention in the

techniques were able to keep unemployment low

economy and curtailing the size and cost of the

strategy

aimed

at

reducing

'structural

and maintain prosperity, these policies must, there­

bureaucratic welfare state. In these ways, free com­

fore, ensure these favourable conditions. A number

petition will ensure a high and sustained level of

of writers have argued, with the benefit of hind­

employment. (See Friedman, 1977; Friedman and

sight, that post-war full employment depended on a

Friedman, 1962 and 1980.)

conjuncture of many other, more important eco­

Free market approaches to unemployment had a

nomic, social and political factors: free trade pol­

substantial influence on government policies in the

icies in international commerce and finance; price

1980s, especially in Britain and the United States,

stability; and a reservoir of growth and techno­

but like the full employment welfare state they

logical development potential which more success­

encountered many problems in reducing the high

ful economies could exploit; as well as Keynesian

levels

policies (see, for example, Matthews, 1968).

factors accounting for these difficulties were DE­

Full employment was also the official policy of

of

unemployment.

Important

economic

INDUSTRIALIZATION and the new international div­

Soviet-type states as part of socialist command

ision of labour which increased 'core' or 'structural'

economy strategies designed to achieve rapid in­

unemployment

dustrialization and establish the basis for a socialist

Keynesian

society. Typically, these strategies- abandoned by

trends which increased the number of workers, par­

many states in the early 1990s - deliberatively

ticularly women and immigrants, demanding jobs.

(as

distinct

unemployment);

from and

'cyclical'

or

demographic

sacrificed greater economic efficiency, did not rec­

The high levels of unemployment in the 1970s

ognize the existence of unemployment or a labour

and 1980s led many writers to question the viability

market, and allocated excess numbers of workers to

of returning to full employment, and the whole

(state-run) projects and industries, thus concealing

future of paid work. According to Andre Gorz in

various forms of 'hidden' unemployment.

his Farewell to the Working Class (1980) and Paths to

As mass unemployment returned to most of

Paradise (1984), the last decades of the twentieth

Western Europe and North America in the 1970s,

century are witnessing the emergence of permanent

Beveridge's social democratic vision came under

mass unemployment societies. As more and more

sustained attack from the New Right, whose fore­

paid work is being replaced by microelectronic and

most thinker on the causes of unemployment is the

telecommunications systems in 'the robot revolu­

political economist, Milton Friedman (see CHICAGO

tion', goods and services can be produced with less

ECONOMICS). Developing a line of thought traceable

investment, fewer raw materials and less labour. It

to Herbert Spencer and others writing in the last

is likely, therefore, that these societies will experi­

quarter of the nineteenth century, Friedman insists

ence 'jobless growth', that is, economic growth

that reliance on the bureaucratic state to guarantee

may occur but it will not be associated with equiva­

the welfare of individuals has become an end in

lent expansions of employment. These develop­

itself, thereby contradicting the original goal of

ments will not only generate mass unemployment,

maximizing individual liberty and equality of op­

Gorz concludes, they will also alter the socioeco­

portunity. Full employment cannot be achieved

nomic class structure of employment societies.

through welfare state means because the type of

Under pressure from accelerating TECHNOLOGICAL

state planning and regulation recommended by

CHANGE, workers will become divided into three

URBANISM substrata:

a privileged aristocracy

workers',

heavily

unionized,

of

with

'tenured full-time

711

social life. In technical language, urbanization is the effect of two distinct processes:

movement to

jobs; and two substrata forming a 'non-class of

towns, that is migration from rural to urban areas,

non-workers', comprising the permanently un­

and higher rates of natural demographic increase

employed, condemned to poverty and idleness,

among

and a growing number of 'temporarily employed'

Whereas in industrialized countries urbanization

workers in low-skilled jobs with no job security and

has been set in motion almost exclusively by migra­

no definite class identity (see WoRKING

the

urban

than

the

rural

population.

CLASS). The

tion to towns, in less-developed countries, above all

only desirable way to avoid these sharp social div­

in Africa and Asia, the gap in demographic trends

isions and permanent mass unemployment is to

also plays a role.

separate having a job from receiving an income;

In industrialized countries, a first substantial

and to develop a democratic, post-employment so­

wave of urbanization and urban growth took place

ciety in which socially necessary work is reduced to

in the nineteenth century (Weber, 1899; Mumford,

a minimum and distributed equitably in order 'to

1966).

do more things by ourselves in our free time' (Gorz,

tion rose from

1984).

per cent by 1900. Manchester was a village with less

Reading

eenth century; in

Bottomore, T. 1990: The Socialist Economy: Theory and

and in

than

Practice. Harris, J. 1982: Unemployment and Politics: a Study in

English Social Policy, 1886-1914. 1982: Employment and

10,000 1851

24 per cent

of the total in

1800

to

77

inhabitants at the start of the eight­

1801

70,000 300,000. London was al­ 1900, with 5 million inhabit­ there were just over

more than

ready a metropolis in

ants and a widely heterogeneous population in terms of ethnic and national origin. However, also

Hawkins, K. 1984: Unemployment. Jahoda, M.

In the United Kingdom, the urban popula­

Unemployment: a

Social-Psychological Analysis.

in Germany, France and the United States urban­ ization and the growth of the big cities proceeded at

Keane, J. and Owens, J. 1986: After Full Employment.

a staggering pace. For example, Berlin's population

Kumar, K. 1984: Unemployment as a problem in the

rose from more than

200,000 at the start of the 1.5 million in 1890; that of Paris from over 500,000 in 1800 to 2.5 million by the end

development of industrial societies: the English experi­

century to

ence. Sociological Review 32, 185-233.

just

Moggridge, D. E. 1976: Keynes.

of the century. None the less, it was only in the

Pahl, R. E. 1984: Divisions ofLabour.

twentieth century that urbanism became a world­

Stewart, M. 1967: Keynes and After. Warr, P. 1987: Work, Unemployment and Mental Health. Winch, D. 1969: Economics and Policy: a Historical Study.

JOHN E. OWENS umon

See TRADE UNION

urbanism

Generally used as a synonym for ur­

banization, this term refers in particular to the sociocultural effects of an increasing part of the population living in cities, especially the large me­ tropolises. It is also used to indicate the specific features of urban life as against those characterizing rural life. In the United States, the same term is often used as a synonym for town planning (like the French word

urbanisme).

Urbanization in industrialized countries Urbanization has been one of the most important phenomena in the industrial age, involving the dis­

wide experience and attracted the growing atten­ tion of social scientists. In industrialized countries, three-quarters of the population now live in towns with more than

100,000

inhabitants or in the sub­

urban areas of large multimillion metropolises, but it is in the less developed countries that megalo­ polises and the urban population are growing fastest (Davis,

1967).

Migration to towns first involved the rural popu­ lation in the surrounding regions, and then, with the growth of modern transport and communica­ tions systems, took on national and international proportions. Concomitantly, the increase in the size of big cities radically altered the qualitative prob­ lems of social life (see also

SuBURB),

compared to

preindustrial situations based on relatively homo­ geneous and compact, stable communities.

Urbanism and the quality ofsocial life

placement of millions of individuals and profound

The socioecological school of

qualitative changes in the modes and problems of

(Park et al.,

1925)

CHICAGO SOCIOLOGY

formulated an interpretation

712

URBANISM

based on the American experience. It not only

in profound social changes in which, however, the

underlined the difference between the urban and

environment acts merely as an indispensable back­

the rural way of living, but also within urban areas

drop to the change in social relations and life strat­

highlighted the distinction between, on the one

egies. The crucial problem in this transformation is

hand, densely populated central districts character­

the progressive weakening and adaptation of recip­

ized by population mobility, social heterogeneity

rocal contexts and resources in conjunction with

and the relative deterioration in the living condi­

the expansion of the market economy and the con­

tions of low-income strata and, on the other hand,

centration of increasingly large sections of the

the more homogeneous and stable suburban settle­

population in urban areas, and the concomitant

ments, a privilege of higher-income strata. This

contradictory and uneven growth in monetary re­

interpretation was developed further by Wirth,

sources and associative contexts among classes and

who concentrated his attention on environmental

interest groups. These factors are giving rise to

factors as the fundamental matrix for the differ­

inequality, new important outbreaks of social con­

ences between the quality of urban and rural life

flict and social areas penalized and marginalized by

and for the differences existing in various kinds of

the new ways of distributing social resources and

cities.

organizing the representation of political interests. The persistence of the 'housing question' or of

We may expect the outstanding features of the urban social scene to vary in accordance with size, density and differences in the functional type of city. . . For sociological purposes a city may be defined as a relatively large, dense and permanent settlement of socially heterogeneous individuals. (Wirth, 1938, pp. 7-8). The fundamental features of urban social life are identified as anonymity, impersonality and super­ ficiality and are put down to the nature of the urban environment rather than social characteristics. The emergence of irrefutable empirical evidence

areas of poverty and marginalization, the emer­ gence of growing ecological problems, the increas­ ing difficulties in controlling, running and adapting socially complex systems of services and transpor­ tation that are more and more expensive and extend over wider and wider stretches of territory are nothing other than aspects of this transformation which are more manifest in contemporary cities than other aspects, but which cannot be put down mainly or solely to environmental differences. Urbanism and industrial development

has stimulated a vigorous re-examination of the

One of the widely debated basic questions of urban­

Chicago school's interpretation. The experience of

ism in industrialized countries is to what extent this

European cities and the development of forms of

phenomenon is an exclusive, inevitable and pro­

working-class suburbanization also in American

gressive effect of industrial development. The as­

cities cast doubt on the socioecological mapping of

sumption behind 'industrialism' is that industrial

the Chicago school. Furthermore, attention is con­

development brings about continually rising econ­

centrated on sociological variables as against the

omies of scale through progressive concentration in

environmental

For

big cities. The reason for this is that the latter

example, Gans maintains that 'under conditions of

ones

identified

by

Wirth.

attract economic resources and labour to foster the

transience and heterogeneity, people interact only

growth of industrial production and, in turn, the

in terms of the segmental roles necessary for

increase in the city's population and economic ac­

obtaining local services. Their social relationships

tivity acts as a basis for attracting new resources and

thus display anonymity, impersonality and super­

promoting even higher levels of growth and con­

ficiality' (1968, p. 103). Given that residential in­

centration. This assumption is now the target of a

stability is not a typical feature exclusive to the city

whole host of criticisms. It has been noted that

or some cities and that it is distributed unevenly in

in many cases the features of urbanism depend

various urban areas, the differences in ways of life

both on historical conditions and factors existing

and social behaviour are interpreted by utilizing

prior to industrial development, as is the case in

classical social variables, such as social classes,

most cities in continental Europe, and on elements

life-cycles, family and employment structures and

largely independent of industrial concentration and

so on. Interpretations formulated by the new urban

the growth of employment in manufacturing -

sociology (Mingione, 1986) see urbanism reflected

the case in capital cities. Next, it is clear that there

URBANISM

713

is a whole series of technical, social and economic

further than a drop in manufacturing employment

limits to the idea of a progressive interlinking

and the decentralization of some industries to

growth

smaller towns and industrializing countries. In con­

of large cities. These limits, which vary consider­

trast, the features of the global cities (Sassen, 1991 ),

between

INDUSTRIALIZATION

and

the

ably in different contexts and ages, are the cost

nerve centres for the worldwide control of eco­

and time needed to construct the transport net­

nomic-financial activities, are becoming the pre­

work, the difficulty of settling in already overpopu­

dominant pattern. Beyond the debate on global

lated cities, urban congestion and environmental

cities, urbanism today reflects processes of notable social change: the increasing instability of employ­

problems. For all these reasons, industrial development

ment and family life, longevity and the fall in birth

may be considered the most important source for

rates, the importance of information technologies,

the spread of urbanism, but under variable and

tertiarization and more heterogeneous and complex

discontinuous conditions and in conjunction with

social stratification, and the spread of postmodern

1999).

other factors. Among these, it is important to con­

cultures (Beauregard and Body-Gendrot,

sider welfare policies, above all those relating to

The cities are becoming more and more articulated

housing and transport but also the greater or lesser

and fragmented with less clear forms of urban seg­

concentration of services in general and the vari­

regation, extreme ghettoization and gentrification,

ability in time and space of specific socioeconomic

and much anxiety about security and the environ­

(1996)

mixes; then there is the persistence of small and

ment. As Martinotti

medium-sized firms versus the large industrial and

itan social and political life is today characterized by

points out, metropol­

financial concentrations, the diversification of the

the confrontation between the interests of four

urban economy as against the presence of highly

different groups: residents, the only ones who can

specialized single industries, the impact of labour­

vote in local elections; commuters, who reached the

saving strategies and economic decentralization in

peak of their importance in the Fordist age; city

contrast with economies of scale, as well as the

users; and metropolitan businessmen, crucial to the

possible role of critical environmental conditions

prospects for the new economic success of present­

such as pollution, traffic, congestion, the high cost

day cities.

of housing and of living in general.

Informational society and global cities

Urbanization and urbanism in underdeveloped countries

By adopting more sophisticated approaches than

In the twentieth century, urbanization and urban

that of 'industrialism', it is possible to explain the

gigantism swept irresistibly over almost all the

features that urbanism has been taking on in the

underdeveloped countries, where today immense

informational age of globalization. The idea of

and

counterurbanization (Perry et al.,

1986)

has been

put forward in response to the fact that, starting in

still uncontrollably

growing

metropolitan

areas are located (Abu-Lughod and Hay, Gilbert and Gugler,

1982).

1977;

In these countries, in

the last quarter of the twentieth century, the popu­

addition to the unstoppable migration to the cities

lation of the central metropolitan areas has been

of vast masses expelled from the countryside

either diminishing or increasing more slowly than

by extensive plantation farming, international com­

in the small and medium-sized towns and in the

petition and the increasing pressure of agricultural

countryside. This phenomenon is believed to be

rationalization, there is the effect of high urban

the result of industrial restructuring, the decline

birth rates and of conditions of hygiene and general

in the system of large manufacturing industry

health in the cities, which, though much lower

and the new phase of tertiarization, in which

than the average levels in developed countries,

self-employed

with

are higher than in the countryside and reflected

up-to-date technology, but also potentially freed

in marked rises in life chances and life expect­

from the necessity to be located in large urban

ancy.

workers

and

small

firms

areas, are assuming increasing importance (Cas­ tells,

1996).

Urbanism in underdeveloped countries is char­ acterized by two very salient phenomena. The first

However, the decline in the importance and at­

is an accentuated and uncheckable polarization

traction of the big metropolitan areas has gone no

between a limited number of middle- and high-

714

UTILITARIANISM The tradition in moral, political

income strata, who enjoy conditions of life and

utilitarianism

wealth similar to those of the well-off strata in

and social theory that assesses the rightness of acts,

industrialized countries and the services provided

choices, decisions and policies by their conse­

by a population available for very low-paid work,

quences with

and an enormous and heterogeneous population

animal) welfare has been a particularly influential

regard

to human (and possibly

with very low monetary income. The second con­

one. Long associated with the names of Jeremy

sists of the survival strategies of this latter group, for

Bentham and John Stuart Mill, it still has promin­

the most part living in miserable conditions, huts

ent adherents among philosophers, economists and

and shanty dwellings, on illegally occupied land and

social scientists and occupies a central place in

working in what is called the informal sector: a mix

moral, political and social theorizing. But perhaps

of service, handicraft and street trade activities,

the greatest testament to the impact of utilitarian­

construction labouring and

ism is to be found in the extraordinary number of

homeworking,

and

other legal or illegal activities. Their urban lifestyle

critics who have tried, and continue to try, and in all

also brings into the big cities of the Third World

kinds of ways, to refute or otherwise dispose of it.

many elements of rural subsistence strategies, from

The classical version of utilitarianism, as found in

domestic animal rearing to the importance of kin­

Bentham and Mill, was a form of act-utilitarianism,

ship, ethnic and community networks and of a soli­

according to which an act is right if it is productive

darity between friends and neighbours that is

of best consequences, that is, consequences with

indispensable for survival where individual income

regard to human welfare that are at least as good as

is extremely low.

those of any alternative. While critics often still focus on this version of utilitarianism, other ver­ sions have been distinguished from it, such as rule­

Reading Abu-Lughod, J. L. and Hay, R. eds 1977: Third World Urbanization. Ball, M., et al. 1988: Housing and Social Change in Europe and the USA. Beauregard, R. A. and Body-Gendrot, S. eds 1999: The Urban Moment. Cosmopolitan Essays on the Late 20th

utilitarianism, utilitarian generalization,

motive

utilitarianism and cooperative utilitarianism. How far some of these are actually distinct from act­ utilitarianism and how far all of them are free of difficulties remain a matter of controversy. In fact, 'utilitarianism' is the name of a cluster of theories that are variations on a theme, three com­

Century City. Bookchin, M. 1987: The Rise of Urbanization and the

ponents of which can be distinguished.

Decline of Citizenship. Castells, M. 1999: The Information Age: Economy, Society and Culture, 3 volumes. Davis, K. 1967: The urbanization of the human popula­ tion. In Cities. Gans, H. 1968: Urbanism and suburbanism as ways of life. In Readings in Urban Sociology, ed. R. Pahl. Gilbert, A. and Gugler, J. 1981: Cities, Poverty and Devel­ opment.

Consequence component According to the consequence component, right­ ness is tied in some way to the production of good consequences. The view that consequences alone make acts right or wrong is called consequentialism; it is the consequence component of act-utilitarian­

Martinotti, G. 1996: Four populations: Human settle­

ism and may in that context be treated as the view

ments and social morphology in the contemporary

that an act is right if it has best consequences.

metropolis. European Review 4(1), 3-23. Mingione, E. 1986: Urban sociology. In The Social Repro­ duction of Organization and Culture, ed. U. Himmel­ strand.

Consequentialism has been much criticized by those who favour different accounts of what makes right acts right. For example, some argue that con­ sequentialism betokens a corrupt mind in that it

Mumford, L. 1966: The City in History.

cannot proscribe certain acts (for example, lying)

Park, R. C., et al. 1925: The City. Perry, R., et al. 1986: Counterurbanisation. Sassen, S. 1991: The Global City. Weber, A. 1899: The Growth of Cities in the Nineteenth

independently of their consequences. If conse­ quences make acts right or wrong, then even the most reprehensible of acts could turn out, in certain circumstances, to be right. Others argue that a

Century: a Study in Statistics. Wirth, L. 1938: Urbanism as a way of life. American

concern to produce best consequences on each oc­ casion may fail to produce best consequences over­

Journal ofSociology 44, 1-24. ENZO MINGIONE

all and so may be self- defeating. Still others argue

UTILITARIANISM

715

that an impersonal account of rightness, such as

ingly argued, are subjective, in the sense of being

best consequences, may not be compatible with

agent relative; they are the values of agents. Yet

pursuit of one's projects, commitments and rela­

utilitarianism requires that desires be aggregated

tionships, and so to some extent may sever one from

and weighed and balanced in terms of some agent­

one's integrity. More generally, impersonal ac­

neutral principle to do, for example, with the gen­

counts of rightness are accused of failing to take

eral welfare, even as it remains unclear why any

seriously the separateness of persons, that is, of

particular agent has reason to value pursuit of the

failing to treat people as autonomous individuals,

general welfare. If one is made better off, one may

with their own individuality, projects and worth.

acquire such a reason; but what if one is required to

How far this accusation succeeds - it is, for in­

make deep and systematic sacrifices to maximize

stance, strongly resisted by R. M. Hare - is dis­

general welfare?

puted, but it has spurred the recent development of schemes of individual moral rights for the protec­ tion of persons.

Range component According to the range component, it is conse­ quences of acts as affecting everyone that are to be taken into account in determining rightness. Unless

Value component According to the value component, the goodness or badness of consequences is to be assessed by some standard of intrinsic goodness, the presence of which good in the world is to be maximized. This good in the case of act-utilitarianism has been human welfare; exactly what human welfare is to be taken to consist in, however, has proved a con­ tentious affair. For example, the early utilitarians were hedonists; later ones, such as G. F. Moore, held that other things besides pleasure and/or hap­ piness were good in themselves. A recent trend has been to move away from standards of goodness

that make reference to

mental states, and in the direction of desire- or preference-satisfaction views of human welfare. A problem here has been to isolate those desires we are to focus upon. Reflection on difficulties to do with actual or future desires has forced theorists in the direction of informed ones, or those desires we would have if we were fully informed, detached, free from the pressures of the moment, and so on. The assumption appears to be that, under appro­ priate conditions, informed desires become actual, while those of our present desires that fail to pass muster as informed are given up (or at least are not

the consequences of an act can be cut off, the class of all those affected by the act, as consequences extend into the future, seems constantly to expand, with possible effect upon rightness. But the major prob­ lem the range component has posed for utilitarians has been that it demands for the success of utilitar­ ianism that we be able to make interpersonal comparisons of pleasures and pains or desire saris­ factions. We will only be able to maximize desire satisfaction across all those affected by the act if we can compare the effect of the act upon the desire sets of each of those involved and judge the extent and strength of that effect and compare the differ­ ent results. The early utilitarians thought we could sum pleasures and pains across different persons, but this view is no longer taken seriously. As for desire or preference satisfaction, many economists and social scientists write as if interpersonal com­ parisons were unproblematic; detailed examination of their theories and of their arguments in support of the specific measuring rod that permits compari­ sons of desire satisfaction in different persons, how­ ever, will be insisted on by critics.

Indirect utilitarianisms

rightly acted upon). Even without introducing

Finally, a recent innovation has been the develop­

problems to do with weakness of will, the details

ment of indirect utilitarianisms. For instance, R. M.

of this exchange of desires, in terms of individual

Hare has developed a two-level account of moral

moral psychology, remain a bit murky.

thinking, which is rule-utilitarian at the level of

Critics of utilitarian value theory have been

practice but act-utilitarian at the level of theory

legion, and it certainly remains an area of immense

(or the level of rule or institutional design). Act­

controversy, not only as to the nature of those

utilitarian thinking at the level of theory will select

things we are to take as having intrinsic value but

those guides at the level of practice the general

also even as to the possibility of there being imper­

acceptance of which will give us the best chance to

sonal or agent-neutral VALUES. Values, it is increas-

produce best consequences. In this way, Hare

716

UTOPIA

argues that his two-level view enables him to avoid

ideological thought which depicted an idealized

many of the problems that have been held by critics

version of current reality, and utopian thought

to beset act-utilitarianism at the level of practice.

which sought a new kind of society. However, the

Other two-level theorists, it should be noted,

term 'utopia' is generally now used to cover both

see themselves as developing a plausible form of

these meanings.

utilitarianism, not mounting a further case for act­ utilitarianism, to whose fate they are indifferent.

Utopian thought appears to flourish during times of social insecurity and the breakdown of established authority. Utopias often reflect the

See also ETHics; SociAL WELFARE.

boundaries of possibility established by an existing Reading

society, including its productive capacity, its con­

Bentham, J. 1793 (1948): An Introduction to the Principles

ception of the extent of the malleability of human

of Morals and Legislation, ed. J. Harrison.

nature and the relative emphasis given to the

Brandt, R. B. 1979: A Theory of the Good and the Right. Hampshire, S. ed. 1978: Public and Private Morality. Hare, R. M. 1981: Moral Thinking.

PUBLIC SPHERE as against the private. Utopias also

reflect the social location of the stratum whose ideal is being represented. Thus the utopia of the author­

Mill, J. S. 1863 (1957): Utilitarianism.

ities is generally one of order while that of the

Moore, G. E. 1903 (1959): Principia Ethica. Regan, D. H. 1980: Utilitarianism and Co-operation. Scheffier, S. 1982: The Rejection ofConsequentialism. Sen, A. and Williams, B. eds 1972: Utilitarianism and

people is often the land of plenty and pleasure. Twentieth-century utopian thought built on the idea of progress which the nineteenth century in­ corporated into utopia along with science. The

Beyond.

Smart, J. J. C. and Williams, B. eds 1973: Utilitarianism: For and Against.

most characteristic form of utopia in the twentieth century was the idea of socialism, though liberalism

R. G. FREY

also had a utopian dimension. Despite their prot­ estations to the contrary, the thought of Marx and

The word describes an ideal community

Engels is deeply utopian (Ollman, 1977). The so­

free from conflict which incorporates a clear set of

cialist utopian tradition was developed in the twen­

values and allows the complete satisfaction of

tieth century in a Fabian vein in several books by H.

utopia

human needs. Utopias normally involve a system­

G. Wells, who also helped to establish science

atic portrayal of life in the imagined society, or

fiction as an important element in modern utopian

sometimes their depiction in a novel. In the present

thought (Hillegas, 1967). Another important aspect

century the pace of social, political and techno­

in twentieth-century utopian thought can be found

logical change, and the political divisions between

in the area of architecture and planning, though this

capitalism and socialism, have led to new themes in

itself may hark back to the Christian ideal of the

utopian thought in which the proponents of utopia

heavenly city (Fishman, 1977).

have sometimes been confronted by anti-utopias designed to discredit their schemes for social betterment. The term utopia, from the Greek for 'not-place',

Anti-utopia In the twentieth century, anti-utopians such as

was invented by Sir Thomas More (1516). How­

George Orwell had considerable influence. They

ever, many forms of thought have a utopian elem­

depicted societies in ways which mirror utopian

ent. Depictions of a 'golden age' go back to the

thought by reflecting back an abhorrent image of

Greeks, though, unlike utopias, these are located

the effects of utopian experiments undertaken at a

in the past. The Christian notion of the millennium

societal level. They project a nightmare in which

also has a utopian aspect while numerous political

established ruling groups have lost control and been

theorists have outlined ideal constitutions. Indeed

replaced by barbaric agents of a new order. In part,

thought containing utopian elements is far more

anti-utopias are a response to the threat of socialism

common than the coherent depiction of utopia

and to the flawed socialist experiments of the last

itself.

century. Anti-utopianism has also drawn on view­

The systematic analysis of utopia as a mode

points emphasizing the biological roots of behav­

of thought began with the publication of a transla­

iour, such as Freudianism which stresses the role of

tion of Ideology and Utopia (Mannheim, 1929).

instinctual factors in behaviour. SociOBIOLOGY is a

Karl

more recent current of a similar kind.

Mannheim

made

a

distinction

between

UTOPIA

personal is political' and a concern with the 'pre­

Utopia today Broad models of sociological, political and eco­ nomic

717

functioning frequently contain

utopian

elements since they portray the comprehensive im­ plementation of fundamental principles. Examples include the fully integrated functionalist model of the social system, various models of democracy such as that developed by the pluralist school, and the model of the fully self-regulating market de­ veloped in neoclassical economics (see FUNCTION­ ALISM; PLURALISM; MARKET). The post-war period in the West gave rise to a new surge of utopian thought. The long boom and the pace of technological advance lay behind a new version of the 'scientific' utopia in the form of POSTINDUSTRIAL SOCIETY (Kumar, 1978). These utopias anticipate an imminent transformation of society due to scientific advance and, increasingly, the development ofiNFORMA TION TECHNOLOGY AND

figurative'. This describes the idea that elements of a better society can be established here and now to form a model for relationships and institutions in the future. It has been suggested that utopia is now within our grasp. It can take the form of a purely interior solution to the tensions of society involving the use of psychotropic drugs, as depicted by Aldous Hux­ ley in his later work. The question of utopia can even be dissolved, as it is in the work of Nozick (1974), who suggests that the utopia of the libertar­ ian right has already arrived. In this utopia there is no single prescribed community or way of life: utopia simply consists of a society where everyone has the right to establish whatever form of commu­ nity he or she chooses.

Reading Bauman,

Z. 1976: Socialism: The Active Utopia. 1974: Alternative Technology.

THEORY. The discipline of FUTUROLOGY also has a

Dickson, D.

utopian dimension.

Fishman,

The developing Western cultural crisis of the 1960s and 1970s also gave rise to a resurgence of

R. 1977: Urban Utopias in the Twentieth Century. R. 1967: The Future as Nightmare: H. G.

Hillegas, M.

Wells and the Anti-Utopians. 1978: Prophecy and Progress.

utopian elements in thought. Utopian experiments

Kumar, K.

such as the'commune' movement of the 1960s were

--1981: Primitivism in feminist utopias. Alternative Futures (USA) 4, 617. --1987: Utopia and Anti-Utopia in Modern Times.

one

response

(see

CoUNTERCULTURE).

Another

which is still developing is the 'ecotopia': a society where man and nature could at last live in harmony (see EcoLOGY). This continues the tradition of the utopia based on scientific knowledge although now in the form of'alternative' or'utopian' technology. A utopian dimension is also present within FEMI­ NISM (Kumar, 1981), linked to the belief that 'the

1929 (1960): Ideology and Utopia. 1516 (1965): Utopia. Nozick, R. 1974: Anarchy, State and Utopia. Ollman, B. 1977: Marx's vision of communism: a recon­

Mannheim, K.

More, Thomas

struction.

Critique 8, 441. TOM BURDEN

V value

In the eighteenth and early nineteenth

Rather than an emphasis on different production

centuries, economic theory distinguished 'value­

conditions,

in-exchange' from 'value-in-use', and attempted

individuals, constrained by their initial endow­

the

theory

presumed

optlmizmg

to use the former in order to explain exchange

ments and the trades they were prepared to make.

ratios, or relative prices, in the MARKET. That com­

The theory was thus demand driven, a 'subjectivist'

modities

all

did

have

value-in-exchange

was

theory of value (price). Different production con­

ascribed to the value-creating substance common

ditions were not

to them all, and this in turn was attributed to them

as reflected by the employment of all 'factors of

all being products of labour. That commodities

production' and not just labour. Hence prices

typically had

were

different

values-in-exchange was ex­

plained by the relative ease or difficulty of their

determined

neglected,

by

but were treated

demand

and

supply,

the demand for outputs and supply of inputs

production, which determined how much labour

being derived from the decisions of utility maxi­

was required. Hence all value-in-exchange was de­

mising agents constrained by endowments, and the

termined both qualitatively and quantitatively by

supply of outputs and demand for inputs being

labour, whether directly employed in production or

derived from the decisions of profit-maximizing

indirectly employed in producing the raw materials

agents

and the tools of production with which labour

endowments.

constrained

by

technology

and

initial

worked. This labour theory of value reached its

This methodology was largely established in the

apogee in the work of David Ricardo in the years

1870s. Working within this framework, John R.

after 1815 (see Ricardo, 1817).

Hicks (1939) and particularly Paul A. Samuelson

However, the theory had a logical difficulty (rec­

(1947) showed how different branches of the theory

ognized but unresolved by Ricardo himself). Con­

had a common underlying mathematical structure.

sider

equal

In the 1950s work by a number of mathematical

amounts, but a different temporal structure of em­

economists, culminating in a celebrated book by

two

commodities

produced

with

bodiment, of labour. If equal amounts of labour are

Gerard Debreu (1959), succeeded in formalizing

embodied, the two commodities must sell at the

the general equilibrium intuitions of Adam Smith's

same price. But with a different temporal structure

'invisible hand'. The (market-clearing) price which

of labour embodied, the two commodities must

equates demand and supply is called the 'equilib­

each earn a different rate of profit according to

rium' price. The questions then asked concern the

how long the labour is tied up in each case. Yet

identification of the circumstances under which an

competition tends to equalize rates of profit, forcing

equilibrium price exists in each and every market

price adjustments to achieve this. Hence prices

simultaneously, whether such a set of equilibrium

cannot

After

prices is unique, and whether it is stable in the sense

Ricardo, economic theory fragmented into different

of being restored if disturbed. The focus is thus on

theories of value according to how this difficulty

optimizing individuals making quantity decisions

was recognized and resolved.

on the basis of parametric prices, and the inter­

be

explained

by

labour

values.

The approach which came to predominate was

action of those decisions to determine equilibrium

which

prices. Much continuing research effort is devoted

denied meaning to the distinction between value

to investigating both aggregative and disaggregative

one

(called

NEOCLASSICAL ECONOMICS)

and price. Rejecting labour embodied as the sole

models in which prices are not parametric, agents

explanatory factor, it began instead with the quan­

have access to different amounts of relevant infor­

tity of one good an individual would be prepared to

mation, trades occur at prices that are not equilib­

sacrifice in order to gain a unit of another good.

rium prices, and agents learn from their mistakes.

VALUES A quite different approach was taken by Karl

values

719

In the sense of moral principles and other

Marx in the 1850s and 1860s. He maintained the

objects of concern, values form a focus of discussion

distinction between value and price, but reformu­

at three main levels in social theory. First, they

lated the labour theory of value by focusing not only

appear as an object of investigation, as in discus­

on labour as the source of value but also on the

sions of value change from materialist to postma­

independent form of existence that labour value

terialist values. Second, they are a central category

takes as MoNEY. The relation between content

for some theoretical perspectives in sociology,

and form of appearance then becomes an interpret­

notably

ative issue. For example, one interpretation sees

theory takes up the philosophical problem of the

Marx as taking a dialectical approach, in which

relation between factual and evaluative statements

structural-functionalism. Third,

social

the development of the concepts of his analysis

in methodological reflections which raise funda­

posits contradictions which are overcome only to

mental issues of the relationship between system­

be reposited, in a manner which reflects the contra­

atic social theory and normative orientations and

dictions of a class-divided world. Another inter­

commitments of various sorts.

pretation sees the relation between labour values and prices as macroeconomic, with the labour

The systematic study of

values

as objects

depends on a sense of diversity animated both by

theory of value postulating a quantitative equiva­

sociological and especially anthropological research

lence between total labour performed (labour value

and by the philosophical deconstruction of their

added) and net national product (money value

alleged universality. In late nineteenth-century

added). Within all these interpretations price is

Europe, Nietzsche was of course the central figure

the form of appearance, in the market, of value

in this development, but other thinkers, in particu­

created in production. How this is actually worked

lar R. H. Lotze (1817-1881), were also central to

out both byMarx and by subsequent writers in the

the emergence of an account of the subjectivity of

same tradition remains a matter of considerable

values which developed in parallel with subjectivist

controversy.

accounts of economic VALUE.

Neither theory of value is compatible with

Emile Durkheim remains the paradigmatic ex­

the other. Neoclassical value theory is based on

emplar of the scientific study of values as 'moral

atomistic individuals optimizing, sees no difference

facts'; what he called the conscience collective con­

between value and price, and focuses primarily

notes both consciousness and conscience, and this

on equilibrium situations. Marxian value theory

double meaning indicates the centrality which he

classes, distinguishes value from

assigned to values in social integration. Largely

price, and focuses on a conflictual world in which

through the influence ofTalcott Parsons's Structure

is based on

class antagonism is continually being produced

ofSocial Action (1937), as well as that ofMalinow­

and reproduced. While at the beginning of the

ski's concept of a social charter, the idea that social

twentieth-first century neoclassical value theory

integration is secured primarily by a shared value

ideologically predominates, Marxian value theory

system became a commonplace of North American

continues its underworld existence as an alternative

functionalism. Parsons slipped smoothly from the 'normative orientation of action' in the trivial sense

approach.

that actors have to choose between alternative ends,

Reading

and a conception in which, for social order to be

Arrow, K. J. and Hahn, F. H. 1971: General Competitive

secured (the 'Hobbesian problem') actions must

Analysis.

largely be oriented to a common system of norma­

Fine, B. 1989: Marx's Capital, 3rd edn. Foley, D. K. 1986: Understanding Capital. Koopmans, T. C. 1957: Three Essays on the State ofEco­

nomic Science. Rowthorn, R., 1974: Neo-Classicism, neo-Ricardianism

tive values. One could of course conceive of social integration as taking place in a more automatic way without reference to value consensus, as David Lockwood's classic article (1964) demonstrated, and what Lockwood called social integration as

and Marxism. New Left Review 86, 63-87. Sweezy, P. M. ed. 1949: Karl Marx and the Close of

distinct from the more mechanical process of

his System, by Eugen von Bohm-Bawerk [1896] and Bohm-Bawerk's Criticism ofMarx, by RudolfHilferding

argumentation and theformation of consensus Gi.ir­

[1904].

gen Habermas) rather than wholesale acceptance of SIMONMOHUN

'system integration' might be seen as involving

a readymade value system.

720

VALUES

In practice, however, FUNCTIONALISM stood and fell on the postulate of value consensus as the cen­

the complex and shifting product of individual interest and shared (environmental) danger.

tral integrating mechanism. Its fall began with the

As for the methodological role of values in social

demonstration of subcultural variation in values in

thought and social science, the twentieth century

the sociology of deviance and youth, and was com­

saw a continuation of positions staked out by the

pleted by the rise in the 1960s of subcultures into

end of the nineteenth. One can roughly distinguish

movements of radical political opposition and the

a Comtean-positivist tradition (see PosiTIVISM)

cultivation of alternative life-styles. Forced to con­

carried on by Durkheim, in which objective science

cede the diversity of values, structural-functional­

can tell us what is normal or pathological in our

ism went on the retreat for some time; its revival,

societies and how their directing organs should

first in (West) Germany and now increasingly in the

remedy any defects; a Weberian tradition which

USA, is in terms of more sophisticated cognitivist

upholds in theory and aspires to in its scientific

and system models. Meanwhile official Marxist­

practice the sharp separation between factual and

Leninist social theory in the state socialist societies

evaluative statements (while recognizing the role of

welcomed the theme of a common value system

values in orienting scientific enquiry); and a Marxist

while of course rejecting both functionalist theory

stress on the unity of analysis and prescription in

and its 'idealist' stress on the primacy of values.

critique.

This theoretical context formed the background

The original positivist position has always suff­

for the many sociological and social-psychological

ered from the difficulty of making its diagnoses

studies of value systems, whose focus on subjective

plausible; in practice, technocratic social interven­

data was well suited to the tools of survey research.

tions have more often been justified by a simplified

But in both sociology and political science, general­

version of fact-value separation which simply sees

ities about value systems on the one hand and the

value judgements as extraneous to science and

detailed registration of particular opinions on the

treats values as facts to be recorded and explained,

other left something of a gap where one might have

in an uncomplicated calculation of the benefits of

hoped for a genuine sociology of ethical or political

alternative policy outcomes.

orientations. Part of the appeal of Michel Fou­

Max Weber's position was a good deal more

cault's work was perhaps that he began to fill this

complicated.

gap with his studies of punishment and sexuality;

notion that what characterizes the phenomena of

He

accepted

Heinrich

Rickert's

and Pierre Bourdieu, coming from an anthropo­

the 'cultural' as opposed to the 'natural' sciences is

logical tradition which had always been more sensi­

their relation to our values rather than to a set of

tive to these issues, also made an important

general laws. Although he modified the Rickertian

contribution by reviving the notion of the 'habitus',

inheritance a good deal in the course of his career,

a semi-obligatory way of acting or behaving.

and changed his view of sociology in the process,

One aspect of the empirical study of values which

Weber retained a distinction between merely clas­

deserves special mention is the thesis developed by

sificatory concepts or uses of concepts, and ideal­

R. F. Inglehart that modern advanced societies, and

typical ones. The IDEAL TYPE was not ideal in any

young members of those societies in particular,

evaluative sense, but represented an accentuation of

have become more attracted to postmaterialist

phenomena in reality in relation to a specific (and

values such as free expression and quality of life at

value-determined) angle of the interest in those

the expense of the more traditional 'bread-and­

phenomena.

butter' issues of economic growth, full employment

Weber argued, it was still possible to distinguish

Despite

(or because of)

all this,

and material progress. Though this thesis has been

between scientific statements and expressions of

much disputed in its details, it seems to point to a

value which have no place in science. Science

difference in political values between old and new

cannot tell us what we ought to want, but only

left

(perhaps) what we do want and how we might get

movements,

between

middle-class

and

working-class socialists and between socialists and

it, at what cost. Whether the cost is worth paying is

green supporters. More ambitiously, Ulrich Beck

again a matter for our own decision. To believe

and others have suggested that the distributional

otherwise is not just to contaminate one's science

conflicts characteristic of industrial societies and

with values, but, more importantly, to abdicate

summed up in the systemic conflict between

one's moral responsibility to choose between the

workers and capital are tending to be displaced by

alternative gods and demons, the alternative value

VERSTEHEN

721

systems, with which human beings are confronted

democracy, the rule of law, and the preservation of

in the modern world. And we should be making

human rights. The erosion of the state socialist

these choices: value-freedom does not mean moral

dictatorships

indifference.

'modern' more clearly than they were democratic,

Weber's position, in a suitably simplified form,

by

values

which

were

perhaps

capitalist, or anything else, are a sign of this global­

was perhaps the dominant orthodoxy of twentieth­

izing tendency. So, admittedly, is the antimodern

century social science- though it is of course easier

fundamentalism in many parts of the world, but

to proclaim the value-freedom of science than to

this may also prove to be a relatively short-term

implement it in practice, as theories of IDEOLOGY

phenomenon. The abandonment of the hopes of

make clear. Even the most committed social scien­

grounding universal values does not preclude a

tists, such as the Austro-Marxist, Max Adler,

more modest attempt to encourage the generaliza­

accepted the need to separate facts and values (see

tion of those which seem valid.

AusTRO-MARXISM). On the whole, however, Marx­

ists

(leaving

aside those who

See also ETHics; MoRALITY; NORM.

unquestioningly

accepted a principle of partisanship) have been

Reading

attracted by the notion of a unity of science and

Beck, U. 1992: Risk Society.

(proposals for) transformative practice embodied in

Bhaskar, R. 1986: Scientific Realism and Human Emanci­

Marx's notion of criticism or critique.

Capital, for

example, was at one and the same time a scientific work of political economy, a critique of political economy as a whole, and a critique of the economy and society of capitalism which entailed

ceteris par­

ibus the search for a better system. The critical theory of the FRANKFURT SCHOOL has carried forward this line of argument, stressing, as Marx did, the embeddedness of scientific activity in

pation.

lng1ehart, R. F. 1977: The Silent Revolution: Changing Values and Political Styles among the Western Mass Publics.

Oakes, G. 1988: Weber and Rickert: Concept Formation in the Cultural Sciences.

Ossowska, M. 1971: Social Determinants ofMoral Ideas. Rose, G. 1981: Hegel Contra Sociology, eh. I. Weber, M. 1904 (1949): The Methodology of the Social Sciences.

WILLIAM OUTHW AITE

the general sphere of human practice and the im­ possibility as well as the undesirability of artificially

The German word for 'understand­

cutting it off from this context in what Habermas

Verstehen

called a 'positivistically bisected rationalism'. The

ing' has come to be used in a more limited sense to

more specifically cognitive line of argument was

refer to the understanding of texts and other human

developed by Roy Edgley and Roy Bhaskar, sug­

accomplishments such as actions and social and

gesting that one can move from showing the falsity

cultural phenomena, where understanding these

of a set of beliefs about society to a critique of the

phenomena is often seen as being in some way like

social circumstances which sustain these false

the understanding of a written text. Originally used

beliefs.

in the nineteenth century to denote the imaginative

Discussion of values seems subject to three coun­

penetration of religious and other historical texts

teracting influences. On the one hand, the possibil­

(see HISTORICISM), the term was used by the phil­

ity of achieving a rigid separation of factual and

osopher of history Johann Gustav Droysen (18381908) in his attack on the positivist view that history

evaluative statements, especially in social thought, seems less promising than it did in those parts of the

should aim to discover laws like those of the natural

world strongly influenced by logical positivism and

sciences (see NATURALISM). We can understand

its aftermath. On the other hand, both Marxism

mind

and other sources of political conviction and com­

have what Droysen called 'an immediate and sub­

mitment seem to be in eclipse, and for some time

jectively certain understanding of human affairs',

postmodern relativism treated the discussion of

but this must be made more precise and 'objective'

(Geist) in a different way from nature; we

values as somewhat un-chic - before the more

by the methods of historical research. These ideas

recent growth of interest in postmodern ethics

were developed further by the philosopher Wil­

(Bauman,

1993). More promisingly, there is a

third tendency towards the GLOBALIZATION of

helm Dilthey

(1833-1911) in his attempt to estab­

lish the philosophical foundations of the human

Geisteswissenschafien. Dilthey's work

values; scarcely any government in the contempor­

sciences or

ary world dares not to pay lip-service at least to

displays a shift of emphasis from the understanding

722

VIENNA CIRCLE

of subjectively intended meaning of the writer or

called 'forms of life' (see Winch, 1958 and 1964),

actor to a more structural approach in which mean­

rational action theorists in economics, psychology

ing is more the product of a larger system, such as a

and even sociology and anthropology tend to oper­

natural language or set of cultural conventions, and

ate with a universalistic account of human motiv­

this distinction between subjectively intended and

ation, and to pay relatively little attention to actors'

'objective' meaning has tended to dominate subse­

'self-understandings' - their own sense of what

quent discussion.

they are doing and why.

The central figures in verstehende sociology are

In the last decade of the twentieth century, the

Georg Simmel and Max Weber. Simmel first sys­

original oppositions, which Max Weber tried to

tematically addressed these issues in his Problems of

overcome,

the Philosophy of History (1892). Weber (1903-6)

(Erkliiren) or between causal and teleological Ex­

between

Verstehen and explanation

commended Simmel for distinguishing clearly be­

PLANATION, largely passed into the background, like

tween the objective understanding of the meaning

the related oppositions between structuralist and

of an expression and the subjective understanding

individualist theories or materialist and idealist

or interpretation of the motives of the person who

ones. Critical Theory (see FRANKFURT SCHOOL) is

uttered it. In Simmel's example, a soldier who

just one way in which social theorists have at­

receives a verbally ambiguous order may formulate

tempted a synthesis of these oppositions. The

a hypothesis about the motives of the person who

more salient opposition is that between individual­

issued the order. The latter process, Weber insists,

istic rational action theory, in economics and the

is a form of causal knowledge. Explanations in the

other social sciences, and approaches which com­

social sciences must aim for both meaningful and

bine structuralist and culturalist principles

causal adequacy. In the case of Weber's well-known

continuation of the Verstehen tradition.

m

a

account of the Protestant ethic and the spirit of capitalism (1904-5), the explanation of the religious

Reading

origins of Protestant economic innovation in early

Ape!, K.-0. 1979

modern Europe must make sense in terms of what we know about human motivation, and there must be some demonstration that these ideas did in fact influence the conduct of Protestant entrepreneurs and workers. Weber's sociology tends to emphasize subjectively intended meaning, or an IDEAL TYPE of such an intention, arguing that objective or correct meanings are the concern of other disciplines such as philosophy, philology or law. His category of 'direct' or 'immediate' understanding (aktuelles

Verstehen), however, is close to what has usually been understood as objective meaning.

(1984): Understanding and Explanation: a Transcendental-Pragmatic Perspective. Dallmayr, F. and McCarthy, T. eds 1977: Understanding and Social Inquiry. Hollis, M. 1977: Models ofMan. Jung, T. and Mi.iller-Doohm, S. eds 1993: 'Wirklichkeit' im Deutungsprozess. Outhwaite, W. 1975 (1986): Understanding Social Life, 2nd edn. Winch, P. 1958:

The Idea ofa Social Science and its Rela­ tion to Philosophy. --1964: Understanding a primitive society. American Philosophical {htarterly 1.4, 307-24. Wright, G. H. von 1971: Explanation and Understanding. WILL! AM OUTHWAITE

Alfred Schutz inaugurated what has come to be known as 'phenomenological sociology' with the

A group of philosophers and sci­

book translated as The Phenomenology of the Social

Vienna circle

World (1932). Schutz stressed the 'everyday' and

entists in the 1920s and early 1930s who played a

'commonsense' dimension of understanding and

crucial role in the formation of the philosophical

the construction of ideal types, and ETHNOMETHOD­

movement known as logical positivism or logical

OLOGY continues in this direction, which in turn has

empiricism. It continued a tradition of empiricist

been increasingly assimilated into more mainstream

thought in Vienna whose leading representative

social theory, in the work of Anthony Giddens and

was the philosopher-scientist Ernst Mach, who in

others.

1895, was appointed to the newly founded chair in

In a largely separate line of development, ration­

the philosophy of the inductive sciences at the

alists have argued that 'rational action is its own

University of Vienna and vigorously championed

explanation' (Hollis, 1977, p. 21) (see RATIONALITY

a radically antimetaphysical positivism. In 1922

AND REASON). Whereas HERMENEUTICS stresses the

Moritz Schlick, again a philosopher-scientist, was

imaginative reconstruction of what Wittgenstein

appointed to that chair, and it was from a seminar

VIENNA CIRCLE led by Schlick that in 1923 the Vienna circle emerged. Besides Schlick, the most important members of the circle in terms of its philosophical development

723

various series of monographs, such as Schrifien

zur wissenschafilichen Weltauffassung (Writings on the Scientific World-conception) and Einheitswis­ senschafi (Unity of Science).

were Rudolf Carnap and the economist Otto Neur­

The Viennese positivists' attack on metaphysics,

ath. Carnap, like Schlick, was trained both in phil­

for which they became notorious, was based on

osophy and in physics but he was also thoroughly

modern mathematical logic as developed, in par­

acquainted with the modern developments in logic.

Princi­ pia Mathematica (1910-11), and on the principle of

He moved to Vienna in 1926 and became

Dozent

ticular, in Russell's and A. N. Whitehead's

(instructor) in philosophy at the university; he

verifiability stating that the meaning of a factual

quickly became a leading fi g ure in the circle's dis­

proposition lies in the method of its experiential

cussions and was to establish himself as the most

verification, which they derived from Wittgenstein.

prominent expositor of the ideas of logical positiv­

Modern logic had shown to their satisfaction that

ism. Ludwig Wittgenstein, although not himself a

mathematics is part of logic, and the propositions of

member of the Vienna circle, influenced it pro­

logic they interpreted, again following Wittgen­

Tractatus Logico-Philosophicus

stein, as empty tautologies perfectly compatible

(1921) which was intensely discussed in the circle;

with the central empiricist tenet that all genuine

foundly through his

indeed, Wittgenstein was considered by the Vien­

(that is, factual) knowledge derives from experi­

nese positivists as one of the three most outstanding

ence: thus all sound propositions are either tautolo­

pioneers of their own 'scientific world-conception',

gies or else empirical statements. On the other

the other two being Albert Einstein and Bertrand

hand, metaphysical assertions such as 'God exists'

Russell.

or 'There are absolute values', being neither tauto­

In the late 1920s the Vienna circle came before

logical nor empirical but claiming to convey factual

the public as a new movement with a comprehen­

information independently of experience, are really

sive scientific and educational purpose. It was espe­

meaningless pseudo-propositions (although they

cially Neurath, both an active socialist and an able

may have emotive significance); indeed, metaphys­

organizer, who insisted that the group should act in

ical utterances may be still more radically unsound

a party-like manner to promote the enlightenment

as they may violate even the rules of logical gram­

brought by the scientific world-conception and

mar, a point emphasized in particular by Carnap

thereby to serve the development of society. To

ever since his

this end the Ernst Mach Society was founded.

The Logical Structure ofthe World and Pseudo-problems in Philosophy (both in Carnap,

The following year, in 1929, there appeared in

1928).

Wissenschafiliche Weltauffas­

This critique, however, was not confined to trad­

sung: Der Wiener Kreis ('The Scientific Conception

itional metaphysics (including, in the circle's view,

of the World: the Vienna Circle', Carnap et al.,

Kantian apriorism) but was also applied to the

1929), in which the rigorous elimination of meta­

traditional theory of knowledge which discussed

Vienna the manifesto

physics from the realm of rational thought and the

such topics as the reality of the external world,

(Einheitswis­

i. e. the question of whether subjective idealism or

establishment

of

unified

science

senschafi) by way of logical reduction of science to

realism is true. In his

terms of immediate experience were announced as

(1918), Schlick rejected traditional metaphysics,

General Theory ofKnowledge

the new movement's basic objectives. In the same

but by elaborately defending realism still moved

year the circle organized, together with the Society

within the bounds of the traditional theory of

for Empirical Philosophy (a Berlin group of similar

knowledge. In Carnap's 1928 works, however, the

outlook around Hans Reichenbach), a congress held

idealism-realism issue is exposed as just another

in Prague. Further congresses followed, and co­

pseudo-problem in philosophy, which view was

operation with other groups and individuals pursu­

then taken by Schlick (1932) too.

ing related aims was established. Thus it was

The rejection of metaphysics, which came to be

mainly due to the activities of the Vienna circle

stated most thoroughly by Carnap (1932

that in the 1930s an international community of

was to be complemented and reinforced by exhibit­

(1959)),

scientific philosophy came into being. In 1930 the

ing the unity of science. Neurath, particularly, who

Erkenntnis began to appear as the principal

had strong Marxist leanings, was radically opposed

organ of the movement. The circle also published

to the division of the sciences, common in the

journal

724

VIENNA CIRCLE

German academic world, into natural and cultural

tion between the material and the formal (syntac­

( Geistes- or Kulturwissenschafien), as a breeding-place of metaphysics. Carnap's The Lo­ gical Structure of the World was the first systematic

Philosophy, he explained in his

of Language (1934), is logical investigation of the

effort within the Vienna circle to give content to the

syntactical structure of language( s ). Thus, to raise

unity of science thesis by attempting to show how

the ontological claims that the numbers are a fun­

all scientific concepts can be reduced to, or con­

damental category of entities, or that they are cer­

structed from, one's own stream of experience.

tain classes, is to express in the misleading material

This, then, was on the whole the picture the Vienna

mode pregnant with metaphysical nonsense what

circle in the late 1920s presented to the outside

amounts in the correct formal mode to making the

world: all empirical statements, as the only mean­

syntactical

ingful factual statements, were to be reconstructed

number-words are primitives and that in another

sciences

tical) mode of speech

statements

(1934)). The Logical Syntax

(Carnap, 1932

that

in

one

language

as statements whose terms referred to immediate

language they are construed as certain class-words.

experience without thereby implying the meta­

Philosophical

physical claim that only such experiences are real,

(category disputes) reduce therefore to proposing

and correspondingly, they were assumed to be con­

different languages, and since there is no theoretical

clusively verifiable (or falsifiable) by primitive

issue involved in such proposals they should be

statements

treated, Carnap suggested, in the conventionalistic

expressing

immediate

experiences,

which statements were on this ground taken to

disputes

of

the

kind

indicated

spirit of what he called the principle of tolerance.

provide an incorrigible rock-bottom of knowledge.

Furthermore, Neurath was from the outset crit­

Soon, however, considerable doctrinal changes

ical of the conception of science as being, ultim­

and developments took place, as the picture out­

ately, about essentially private experiences. He

lined gave rise to a number of serious problems.

persistently argued that the only form of language

First of all, the verifiability principle threatened to

fitting the intersubjectivity of science is the inter­

put science on the same level as metaphysics, since

subjective physicalistic language: therefore, phys­

the natural laws cannot be conclusively verified.

icalism was to be the proper frame for unified

Schlick (1931) therefore proposed to view them

science which would encompass the social sciences

not as statements but only as rules which allow us

in the form of a 'social behaviourism'. Neurath

to infer verifiable singular statements. But this

added that the verifiers (or confirmers) of science,

move to save the verifiability principle was not

which he called protocol statements, must also be

(1934)) pointed

part of the ph ysicalistic language if they are to be of

successful, for as Carnap (1932

out, the singular statements of science are just as

any significance for intersubjective science. Con­

unverifiable by experiences as general laws are. So

sistent with this he denied that the protocol state­

verifiability as the criterion for a statement's having

ments are incorrigible, and together with the idea of

empirical content was subsequently replaced by the

an absolute foundation of knowledge he rejected as

weaker notion of confirmability; indeed, already in

meaningless the notion of comparing a statement

1932 Carnap spoke of verification in the sense of

with reality, statements being according to him

only weak verification, that is, of confirmation (Car­

comparable only with other statements; in this he

nap, 1932

(1987)).

converged with Carnap's evolving syntactical ap­

Another difficulty concerned the nature of the

proach. This radical physicalism (as set forth in

propositions of scientific philosophy. Wittgenstein

Neurath, 1932a and 1932b) greatly impressed Car­

Tractatus had admitted that his own state­

nap, who accepted, with modifications, its principal

ments about the structure of the world and of how

theses and abandoned the view of the protocol

language relates to the world, although being 'elu­

statements as being incorrigible immediate-experi­

in the

cidations' aiding our understanding, are not really

ence statements. Of course, the acceptance of phys­

meaningful

anything.

icalism was for him not a matter of assertion but

Whereas Schlick (1930) accepted Wittgenstein's

only of preference for a certain language form, and

conclusion that philosophy does not yield any

in the same vein he argued that the question of the

truths but is only the activity of clarifying propos­

proper form of the protocol statements is to be

itions, Neurath (1932a) protested that unified sci­

settled by convention (Carnap, 1932

proposlt!ons

asserting

(1987)).

ence is in no need of a metaphysics of elucidations.

The Neurath-Carnap account of knowledge

Carnap tackled the problem by drawing the distinc-

alarmed Schlick, who saw in it a threat to the very

VIOLENCE essence of EMPIRICISM; indeed, the claim that state­

725

who carried on their work in the Anglo-Saxon

ments can be compared only with statements

world remained to exert a profound influence on

seemed to reactivate the coherence theory of truth

the further development of Logical Empiricism and

which he believed would force us to consider any

of scientific philosophy in general.

consistently fabricated tale to be true.

Hence

Schlick insisted on upholding a link between lan­

See also POSITIVISM; PHILOSOPHY OF SCIENCE; THEORY OF KNOWLEDGE.

guage and reality, which he saw was provided for by simultaneous reports of immediate experiences

Reading

having the form of 'Here now blue': it is in these

Ayer, A.J. ed. 1959:

observation statements or 'affirmations' (Konsta­

Carnap, R. 1934

tierungen) that language and reality touch. Because of their immediacy the affirmations cannot be sub­ jected to doubt, but for the same reason they are not, as protocol statements are, a basis on which scientific hypotheses can be erected. Thus they do not come at the beginning of knowledge, as Schlick put it, but rather at its end in that they complete our acts of confirmation and thereby prevent our fabric of knowledge from collapsing into mere coherent­ ism (Schlick, 1934). Thus within the Vienna circle (never really quite as monolithic as suggested, for instance, by the

1929

manifesto)

deep-seated

differences

had

matured: the 'conservative' absolutism defended by Schlick clashed head-on with the 'radical' Car­ nap-Neurath line of thought. Schlick's reaction to

trans.A. Smeaton.

--1963: Intellectual autobiography. In The Philosophy

ofRudolfCarnap,

Pseudo-problems in Philosophy, trans. R. A. George. (1973): The scientific conception of the world: the Vienna circle. In Empiricism and Soci­ ology, ed. M. Neurath and R. S. Cohen. Haller, R. 1988: Qyestions on Wittgenstein. Hanfling, 0. 1981: Logical Positivism. -- ed. 1981: Essential Readings in Logical Positivism. Joergensen, J. 1951 (1970): The development of logical empiricism. In Foundations of the Unity of Science, vol. Carnap, R. et al. 1929

2, ed. 0. Neurath, R. Carnap and C. Morris, new edn. Schlick, M. 1918

(1974): General Theory of Knowledge,

trans.A. E. Blumberg, introd. A. E. Blumberg and H. Feigl.

--1925-36 (1979): Philosophical Papers, vol. 2: 1925-

1936,

and in the newly founded British journal Analysis.

Schlick.

ledge was going on, the Vienna circle was already

ed. P.A. Schilpp.

--1928 (1967): The Logical Structure of the World and

the latter provoked a series of articles in Erkenntnis But while this debate on the foundation of know­

Logical Positivism. (1937): The Logical Syntax of Language,

ed. H. L. Mulder and B. F. B. van der Velde­

Uebel, T. E. ed. 1991: Rediscovering

the Forgotten Vienna

Circle. WERNER SAVER

disintegrating as a group. In 1931 Herbert Feigl, a student of Schlick and a mem her of the circle from

There is no agreed, or noncontrover­

its beginning, had gone to the United States where

violence

he was to become a distinguished representative of

sial, definition of violence. The term is far too

logical empiricism. In 1934 the mathematician

potent for that to be possible. Nevertheless, a com­

Hans Hahn, also a founding member, died. Carnap,

monsense understanding of the term is, roughly,

who in 1931 had moved to Prague, went in 1935 to

that violence categorizes any physical assault on

the United States. Moreover, the political climate

human beings carried out with the intention of

grew hostile to the aspirations of the circle. In 1934

causing them harm, pain or suffering. Similar as­

the so-called clerico-fascist regime in Austria, in

saults on other living beings are often also regarded

the course of suppressing the Social Democratic

as acts of violence. And it is common to speak also

Party, dissolved the Ernst Mach Society as a co­

of violence against a certain category of things,

operating club of freethinkers, and Neurath emi­

namely private property.

grated to Holland. In 1936 Schlick was murdered

The commonsense conception is by no means

by a demented student, which the government

unproblematic. Consider, first, the question of in­

press presented as a fate not wholly undeserved by

tention. The stress on intention is important, since

a positivist. Finally, the Nazi occupation of Austria

surgery and dentistry can both cause pain, and may

in 1938 forced the majority of the remaining

involve the loss of bodily parts; but the sole proper

members into exile; Neurath fled in 1940 to Eng­

purpose of these inflictions is the wellbeing of the

land.

patient. Torture, on the other hand, is a form of

The Vienna circle had ceased to exist, but its

violence, since the suffering which is deliberately

philosophical heritage and its former members

inflicted is at best for the benefit of someone or

726

VIOLENCE

something other than the victim. But it would be

sophisticated forms of modern torture, which pro­

wrong to make intention crucial to the definition;

duce a complete disorientation of the senses and can

while vehicle drivers rarely intend to kill or maim, a

cause lasting damage to the mind and brain, do not

traffic accident might well be described as an act, or

involve any direct physical assault on the victims.

at least an incident, of violence, especially if caused

Somewhat similarly, aerial bombing involves no

by culpable negligence or irresponsibility. More

direct assault by individuals upon others. There is

centrally, those responsible for both the planting

something odd about describing the act of pressing

and the dropping of bombs are apt to claim that

a button which releases a bomb or a missile as an act

their intention, or purpose, is only to destroy prop­

of violence.

erty, usually military targets of some kind. But

But what these difficulties point to is simply the

since it is often unavoidable that people also are

extent to which modern violence is mechanized and

killed and wounded by these attacks, it would be

industrialized, while our typical ways of imagining

implausible to suggest that these were not acts of

violence or thinking about it are constructed in

violence against human beings, simply because

terms of direct confrontations between individuals

their proclaimed purpose or intention was to attack

or small groups. Such confrontations do, of course,

things. If human suffering is an inevitable concomi­

take place, but they account for only a minute pro­

tant and consequence of these attacks, then those

portion of the deaths and injuries caused by deliber­

responsible are knowingly responsible for acts of

ate attacks on human beings- the majority of which

violence.

are carried out by states rather than by independent

Secondly, some commentators would argue that

or illegal organizations or aggressive individuals.

the definition or description offered above is cru­

Consequently, the search for the roots of vio­

cially inadequate, since it is only illegal or un­

lence in individual psychology is largely miscon­

authorized assaults on people which ought to be

ceived, except perhaps in the case of the murderer

described as acts of violence. Such assaults, when

who acts on his or her own. The physical distance

carried out by, say, police in the course of their

between those who inflict the death, pain and

normal and necessary duties, or in the course of a

suffering, and those who are their victims, means

recognized war, are properly described as acts of

that what organized large-scale killing and cruelty

force, not violence. Thus the Oxford English Dic­

generally require is not cadres of sadists and thugs

tionary defines violence as the 'unlawful use of

but persons trained in habits of obedience to estab­

force'.

lished authority, who do not feel themselves to be

But the question of the legitimacy, moral or legal,

responsible for their own actions. This guilt-free

of an action is something different from the nature

conformity is a mentality which can extend nearly

of the act itself. Justified violence - and everyone

to the top of the responsible organizations, as the

except the total pacifist accepts that violence can

Eichmann trial, among other cases, revealed.

sometimes be the lesser of two evils - is still vio­

If violence does not necessarily involve a direct,

lence. There is in any case no agreement as to which

confrontational physical assault by some persons on

states or other organizations enjoy the legitimacy

others, then the distinction between violence and

which is supposed to convert violence into the less

other coercive ways of inflicting injury, pain and

harsh-sounding force.

death is blurred. A policy which either deliberately

Only, perhaps, in the case of property is legitim­

or knowingly leads to the deaths of people from

acy or legality a necessary element in the definition

starvation or disease might well be called a violent

of violence. If I decide to destroy my own green­

policy. This is one reason why slogans such as

house, that would not be called an act of violence.

'poverty is violence' or 'exploitation is violence'

But if others destroy it, against my will and without

are not mere hyperbole. They raise the question

my permission, that might well be described as an

of whether we can plausibly distinguish between

act of violence against property. On the other hand,

ways of inflicting suffering and injury that are con­

if, in a fit of rage, I hack to pieces a valuable painting

ventionally called violent, and those that are not.

that I own, people might well describe that as an act

They also raise the question of the evaluation of

of violence, despite my legal right to destroy my

violence. Conventionally, violence is regarded as

own property.

one of the worst of evils, if not the worst. Since,

A third problem is raised by the notion of'phys­

by definition, it involves the infliction of harm or

ical assault'. It is well known that some of the most

suffering, it must always be an evil. But if equal or

VIOLENCE worse harm or suffering can be deliberately or knowingly

inflicted

by

other

means,

usually

regarded as nonviolent, why should violence be regarded as so much worse than these other evils? See also CoERCION. Reading Ackroyd, C. et al. 1977: The Technology of Political

Control. Arblaster, A. 1975: What is violence? In Socialist Register

1975, ed. R. Miliband and J. Saville.

727

Arendt, H. 1970: On Violence. --1977: Eichmann in Jerusalem. Honderich, T. 1980: Violence for Equality. Milgram, S. 1974: Obedience to Authority. Moore, B. Jr 1972: Reflections on the Causes of Human

Misery. Sore!, G. 1906 (1972): Reflections on Violence. Trotsky, L. et al. 1973: Their Morals and Ours. ANTHONY ARBLASTER

w war

The violent clash of organized social units

that is war can be approached from several diff­

nitude 4 and above (317 or more deaths), he listed 289 such quarrels between 1820 and 1949.

erent perspectives. Anatol Rapoport (1968, p. 14)

Wright's contribution was to see modern war in

identifies three: the political, the cataclysmic and

perspective as a phenomenon, relating it to animal

the eschatological. The first, exemplified by Clau­

warfare, warfare among preliterate societies and

sewitz, and still current, especially among strat­

historic warfare as manifest in literate civilizations

egists, treats war as a mode of CoERCION, 'an act

up to the Renaissance. He also chronicled its fluc­

of violence intended to compel our opponent to

tuations, in frequency and intensity. Overall, he

fulfil our will'. In an eschatological perspective, by

emphasized the Jag, globally and continentally, be­

contrast, war itself

tween the effects of technological progress and the

(including

violent

revolu­

tion) becomes the unfolding of some grand design:

adjustments, political, social and psychological, the

the weakening and overthrow of capitalism (for

human race makes to them.

Marxists); the inauguration of the thousand-year

World War II, and the rapidity with which it was

domination of the world by the Third Reich (for

followed by the confrontation of nuclear-armed

the Nazis); or, more recently, the revival of the

alliances known as the Cold War, prompted much

Jehad,

or

Islamic

Holy

War,

particularly

as

research inspired by the cataclysmic philosophy,

prompted by Iran's Ayatollah Khomeini after

for

1979, or the Sudanese government ofOmar Hassan

launched in 1957, became a prominent focus.

Ahmad

al-Bashir.

Adherents

of

such

which

the

Journal of Conflict Resolution,

'grand

Waltz (1959) usefully classified all such efforts

designs' tend to be undeterred by costs, often hold­

according to which of three images of international

ing it to be a privilege to die for the cause and

relations they presupposed, that is, whether they

thus become part of one of the turning points of

located the roots of war in 'the nature and behaviour

history.

of man' (p. 17); 'the internal organization of states'

Since World War I, in which nine million men

(p. 81 ); or 'the anarchic character of the states

were killed in battle, war has widely been seen in

system' (p. 160). Since any set of states or other

cataclysmic terms, that is as an affliction of human

actors could, for analytical purposes, be regarded as

society, analogous to road accidents or epidemics.

a 'system', this third image could be extended to

In this perspective, the task is to understand its

include all influences for war emanating from out­

causes so as to abolish it, or at least reduce its

side the warring pair; and a fourth image, the

incidence and severity. For many exponents of

dyadic, might be discerned in accounts of war

this view the model was science, and its two pion­

which emphasized the characteristics and patterns

eers were Lewis Fry Richard son (1960a and 1960b)

of interactions exhibited by the warring pair itself

and Quincy Wright (1942). Richardson's investi­

(the 'dyad'), as

a pair.

gations of war, published in book form only post­

First-image explanations of war tend to come

humously, made extensive use of mathematics. One

from psychologists, psychiatrists, ethologists or, in

of his aims was to map the incidence of war object­

more pessimistic vein, theologians. It has been seen

ively. He saw no firm basis for distinguishing be­

as a reflection of individuals' need for, or proneness

tween war and civil war, rebellion, mutiny, riot, or

to, AGGRESSION; as a manifestation of territoriality;

even murder, regarding them all as, essentially,

as a consequence of their ethnocentric attitudes and

'deadly quarrels', which he graded by magnitude

distorted perceptions (Klineberg, 19 57); or of their

according to whether their death toll came geomet­

unquestioning obedience to authority (Milgram,

rically closest to 1, 10, 100, 1,000, 10,000, 1,000,000

1974). Of these, only the last contributes directly

or 10,000,000. Confining himself to those of mag-

to explaining war, and the commission of atrocities

WAR

729

under order, in war and peace; and even it does not

Marxist government of Allende in 1973 comes

explain decisions to go to war, or to give such

close to constituting one. In their relations with

orders, should they be given. The others rest on

nonliberal states, however, Doyle claims that liberal

the assumption that less aggressive and less psycho­

states have been as aggressive and war-prone as any

logically immature populations tend to produce less

other type of state, and they have certainly used

war-prone governments, or at least control their

force repeatedly to create and retain empires or

governments' warlike propensities more effectively,

quasicolonial domination, to resist revolutionary

than those more aggressive and immature. Granted

change, and to impose their will on their neigh­

the minor and often far from straightforward role

bours. MacMillan (1998) disputes Doyle's claim,

foreign policy tends to play in national elections,

contending (p. 275) that while the 'liberalism' of

the truth of this assumption may be doubted.

nominally liberal states cannot be taken for granted,

Moreover, as Waltz shows, the insights of first­

on the occasions on which they have violated liber­

image explanations are not easily applied. Making

alism's 'basic principles and values', their actions

a country's population, or a substantial segment of

have usually been domestically contested and pol­

it, less aggressive or chauvinistic commonly re­

itically difficult.

quires governmental action, and thus takes the an­ alysis

into

the

realms

of

politics;

unilateral

War-proneness can also be seen as a consequence of features of a state's decision-making system, and

psychological disarmament, he argues, is analogous

particularly of that part of it concerned with foreign

to PACIFISM and could be as hazardous in its effects.

policy. Karl Deutsch's cybernetic approach is the

Though Waltz here ignores the extent to which

outstanding example of this (see INTERNATIONAL

even societies whose governments would wish to

RELATIONS). Others have claimed that, under con­

keep them closed may still be open to transnational

ditions of economic depression or domestic polit­

influence, this does not wholly invalidate his

ical challenges, governments need, and search for,

objection.

external enemies to sustain their power. Though

The personalities of individual leaders often

much statistical investigation failed to corroborate

seem to be influential in the genesis of war, as

the implied link between the internal and external

Hitler's no doubt was in that of World War II; but

conflict, Patrick James (1988) showed that if a state

without analysing the political and social forces

had recently experienced increases in domestic

which afford such personalities the scope and the

conflict, and then became involved in a crisis with

support they need to gain power it is hardly possible

a weaker state, it was more likely to go to war with it

to guard against the emergence of equally disturbed

than one with no such recent experience of conflict

leaders in the future. Clearly, there is a link between

at home. As one might expect, states that allocate a

war and human nature, but it is tenuous, and only

relatively high proportion of their resources to

part of the story.

preparations for war do tend to be involved in war

Second-image thinkers differ radically among

more frequently than those whose allocation is no

themselves as to which types of state are more

higher than average. Goertz found that, to corrob­

war-prone than others. Marxists attributed war,

orate this hunch statistically, it was necessary to

and indeed the very division of the world into

choose context-sensitive indicators to measure a

states, to the essentially competitive nature of cap­

state's degree of preparedness. Thus, to allow for

italism; both would disappear once the Revolution

changes in the nature of warfare, he used the pro­

had succeeded. When Marxist revolutions, instead

portion of the population under arms for the

of merging, produced separate and sometimes mu­

'epoch' 1816 to 1860, and the ratio between 'de­

tually antagonistic regimes in different states, this

fence' expenditures and total energy consumption,

claim became untenable.

and/ or iron and steel production, thereafter. His

Historical evidence emphatically supports an al­

results are illuminating, not just for the theory they

ternative second-image view, that liberal demo­

corroborate, but also because they show that a given

cratic states are less war-prone than dictatorships,

concept can be, and may need to be, measured by

at least in their relationships with one another.

different indicators in different contexts.

Doyle (1983) notes that there has not been a single

The third image, as Waltz originally saw it, con­

instance of war between any two liberal states,

centrated on the fact of international anarchy - the

though the use of force by the USA, albeit indir­

absence of government and enforceable law be­

ectly, to depose Chile's democratically elected

tween states - as a permissive cause of war. As

730

WAR

Claude (1962) showed, this is too simple a view.

philosophy of war or military coercion, GAME

Recent history abounds in examples of states which

THEORY can contribute to the understanding of

have had central governments but not enjoyed in­

war by helping to show why, in a given situation,

ternal peace, such as Ethiopia, or the Lebanon, nor

it looks advantageous to one or both parties.

has the absence of a common government put rela­

'Debates', that is, situations in which the parties

tions between Canada and the USA, or those be­

differ strongly about what the world is like or what

tween Norway and Sweden, under perpetual threat

ought to be done, and where there are no agreed

of war.

procedures for resolution or conflict management,

Subsequent 'third-image' explanations of war

can easily lead to war; the selectivity of perception

have been more subtle, aiming to delineate features

involved in all learning tends to be reinforced, often

of international systems affecting the incidence of

mutually, by the 'blindness of involvement'.

war, often as part of a wider exploration of the

Aspects of the first, second and fourth images can

properties of such systems. David Singer's massive

be incorporated in a formula suggested by Rosen

'Correlates of War' project at the University of

(1970), who, in the spirit of game theory, charac­

Michigan (Ann Arbor) enabled hypotheses about

terized war as an instrument of decision; a party

the effects on war of such systemic features as

faced with a choice of having to yield on an issue or

polarization, the degree of concentration of power

going to war over it will choose the latter ifCt times

and the extent to which the states making up a

p exceedsC, where Ct is the party's'cost-tolerance'

system are aggregated into alliances to be rigorously

for the issue in question, in other words how much

tested against data for all wars falling within their

it would be prepared to lose or suffer in order to get

definition between 1816 and 1965. E. H. Carr

its way, p is a fraction representing what it sees as its

(1939) offered another plausible (though less rigor­

chances of winning a war, were one to occur, and C

ously tested) third-image explanation of war, con­

the costs it would, in the event of war, actually

tending that the international economic system of

expect to incur. Thus for 'rational' parties, the

laissez-faire and multilateralism of the 1920s, by

subjective values of p will be compatible (adding

accentuating the weakness of the economically

up to 1) and the estimates ofC realistic. War will be

weaker, helped to spawn the bellicose nationalism

more likely if the issue is of high value for both sides

of the 1930s then about to erupt into World War II.

and inherently unamenable to compromise (such as

The need for 'fourth-image' explanations of war

the regime to be installed in a third state, important

was emphasized by another research finding of

to them both), the costs of war relatively light, or

Goertz, which showed the extent to which military

the outcome uncertain (a certain loser, if rational,

disputes, and wars, arise out of'enduring rivalries'.

would yield without a fight). Rosen's formula can

States which have fought each other several times

then be linked to the first and second images, by

in the past are much more likely to fight each other

supposing that given popular attitudes or moods, or a given internal political structure, may dispose one

thereafter than those which have not. There possible explanations of dyadic conflict

or both sides to overconfidence (overestimating p),

are summarized in the title of another work of

overvaluation of a peripheral objective (unusually

Rapoport's, Fights, Games and Debates (1960). In a

high Ct) or an unusual disregard of the costs of war,

'fight', A's action to defend itself against B is seen

for instance when it is seen as paying political

by B as threatening, and vice versa. Richardson

dividends

showed that this process can, on certain assump­

would not allow for is war by accident or by misin­

tions, explode into a runaway arms race, in which

terpretation of an opponent's intentions.

domestically.

What

Rosen's

model

the first party, finding itself incapable of increasing

The introduction of nuclear weapons and other

its defences 'adequately', is likely to choose war

means of wholesale destruction into war and war

before the ratio of forces turns irrevocably against

preparations has largely killed the glorification of

it. 'Fight-like' escalation can also occur in a dispute

all-out war among advanced states. It has not elim­

where both parties come to have'too much invested

inated, indeed it has greatly enhanced the two pos­

to quit' (see Teger, 1980).

sibilities omitted in Rosen's model; and now war,

To analyse war in terms of a'game' implies that

almost universally repudiated as a tool of policy, has

it is seen as a coldblooded option, chosen when

taken more surreptitious forms, such as war by

advantageous.

proxy or outside assistance to guerrilla movements

Though

often,

and

sometimes

fallaciously, used in the service of the political

(see

GuERRILLA). Ironically, whereas

in

early

WEALTH

731

twentieth-century explanations of war national sov­

display of 'conspicuous consumption' among the

ereignty was often seen as the culprit, in the nuclear

wealthy; Schumpeter examined the allegedly dele­

age much contemporary war is seen to flow from the

terious effects of inherited wealth on entrepreneur­

weakness of states rather than from their strengths.

ial ability among the scions of 'self-made men'; Mills formulated the concept of the 'power elite'

Reading Aron, R. 1962

to encompass the overlap in personnel between big

(1966): Peace and War. The Causes of War.

business, the government, the military, and other

Blainey, G. 1971:

Doyle, M. W. 1983: Kant, liberal legacies, and foreign affairs. Phil osophy andPublicAffairs 12,205-34,323-52. Goertz, G. 1994:

Contexts ofInternational Politics. James, P. 1988: Crisis and War. MacMillan, J. 1998: On Liberal Peace. Ogley, R. C. 1991: Conflict Under the Microscope. Rapoport, A. 1960: Fights, Games and Debates. Rosen, S. 1970: A model of war and alliance. In Alliance in International Politics, ed. J. R. Friedman, C. Bladen and S. Rosen. Singer, J. D. 1981: Accounting for international war: the state of the discipline.

Journal ofPeace Research 18,

1-18.

elements he discerned in post-1945 America. Economists and others working from a neoclas­ sical or Keynesian framework have increasingly examined questions of the concentration and distri­ bution of income and wealth from aspects of rele­ vance to social the ory. In the 1950s Simon Kuznets put forward the theory - apparently verified by later researchers like Lee Soltow, Jeffrey William­ son and Peter Lindert - that the concentration of income (and, by implication, of wealth) in private hands becomes more unequal during and just after the period of a nation's industrialization, and then becomes increasingly equalized (in contrast to

Singer,]. D. and Small, M. 1972:

The Wages of War. Man, the State and War. Wright, Q 1942: A Study of War.

classical Marxist theory). For Britain, empirical

Waltz, K. N. 1959:

research has revealed that the maximum maldistri­

RODERICK C. OGLEY

bution of incomes came in the period between about 1870 and 1914, and that income has become

war, guerrilla

See GuERRILLA

progressively

less

unequally

distributed

since

World War I. The degree of concentration of wealth

In modern social thought, the economic

wealth-holding (as measured by probate records)

concept of wealth - any PROPERTY that has a mar­

has followed that of incomes in becoming more

ketable value or an exchangeable value - has nor­

equal, after, apparently, the time-Jag of a gener­

mally

ation. Whether this has occurred because of 'nat­

been

treated

as

an

important

and

fundamental dimension of social or economic in­

ural' economic processes - the creation of an

equality, and has often been discussed or employed

affluent mass consumer society - or specifically

by left-wing critics of capitalism or the existing

because of redistributionist taxation measures and

social order. For Marxists, private concentrations

trade union activities remains unclear.

of wealth-holding have been part and parcel of the

Social historians have also increasingly examined

process of bourgeois class control of the means of

the rich as a social category as well as the evolution

production, distribution and exchange, and Marx­

of wealth-holding in modern societies, chiefly by

ists have generally viewed the question of wealth­

means of probate and other taxation records which

holding in the context of the class ownership of

allow the identity and wealth level of deceased

productive capital, downplaying other forms of

persons to be learned. The debate on the 'rise of

wealth-holding. Non-Marxist radicals like R. H.

the gentry' in early modern England carried on by

Tawney

Crosland

R. H. Tawney, Lawrence Stone, ]. H. Hexter,

(1918-77) have placed greater stress on the role of

(1880-1962)

and

Anthony

Hugh Trevor-Roper and others has examined the

wealth-holding, especially significant concentra­

economic fortunes of the aristocracy and gentry of

tions of inherited wealth, in maintaining political

Britain from 1500 to 1700 in detail. A comprehen­

and social inequality in modern capitalist societies.

sive examination of the probate records of wealthy

A third stream represented by social scientists like

persons in Britain since 1800, undertaken by W. D.

Thorstein Veblen (1857-1929), Joseph Schump­

Rubinstein, has shown that far more wealth was

eter (1882-1950) and C. Wright Mills (1916-62)

earned in finance and commerce, especially in the

have examined the social category of wealthy per­

City of London, than in manufacturing in Britain's

sons, particulary those with substantial inherited

industrial heartland; this has led to a debate on the

wealth. Veblen was the first to highlight the vulgar

implications of'capitalism divided' by ge ography in

732

WELFARE ECONOMICS

Britain. Other studies of the English middle classes

(assuming that the millionaire does perceive the

employing similar sources, by Leonore Davidoff,

one dollar loss, no matter how minutely).

Catherine Hall and Robert Morris, have appeared,

Not suprisingly, a large part of welfare econom­

in addition to an ever-growing literature on the

ics has been concerned with developing more

wealthy in the United States, France, Germany

sophisticated approaches for ranking social states.

and elsewhere.

A seminal work towards this was a paper pub­

Reading

veloped by Paul Samuelson

lished by Abram Bergson Daumard, A. 1973:

Samuelson

Davidoff, L. and Hall, C. 1986:

social welfare be a function of the level of utility

Les Fortunes franfaises au X!Xe sii!cle. Family Fortunes. Lundberg, F. 1968: The Rich and the Super-Rich. Mills, C. W. 1956: The Power Elite. Pessen, E. 1973: Riches, Class and Power before the Civil War. ed. 1974: Three Centuries ofSocial Mobility in Amer­ tea. Rubinstein, W. D. 1986: Wealth and Inequality in Britain. ed. 1980: Wealth and the Wealthy in the Modern World. Schumpeter, J. 1942 (1987): Capitalism, Socialism, and Democracy. Stone, L. and Stone, J. F. 1984: An Open Elite? England 1540-1880. Veb1en, T. 1899 (1953): The Theory ofthe Leisure Class.

--

--

W. D. RUBINSTEIN

approach

(1938) and further de­ (1947). The Bergson­

requires

that a

society's

enjoyed by each individual in it. Depending on our normative inclinations, we could insist that the function satisfies certain properties. For in­ stance, we could require it to be Pareto inclusive. That is, if someone's utility rises and no-one's falls, the level of social welfare must register a rise. One could be more demanding and require that social welfare be the sum of every individual's utility level. This would be equivalent to utilitar­ ianism, espoused in the eighteenth century by Jeremy Bentham. An intermediate line, developed by John Hicks, Nicholas Kaldor and others, describes a change as an improvement if the beneficiaries from the change can compensate the losers and still retain

welfare economics

In choosing between alter­

some positive benefits. This rule has been widely

native policy options, value judgements are in­

used for real national income comparisons and

escapable; welfare economics is the analysis of

cost-benefit analysis but its conceptual basis has

value judgements in the context of economic deci­

come under serious attack. If the beneficiaries, it

sion -making.

has been argued, do not actually compensate the

In managing an economy, choices have to be

losers, then how does it help to know that they can

made all the time. It is natural to try to ensure that

do so? And, if they do actually compensate, the

these choices spring from the same consistent set

Pareto criterion itself will describe the change as

of judgements about VALUES or criteria of SociAL WELFARE. Through most of this century, the wel­

desirable; why do we need another rule?

fare criterion which economics adhered to was the

a big boost from the discovery of a theorem of

one associated with the name of Vilfredo Pareto

gigantic proportions - Kenneth Arrow's

(Pareto,

1897). A Pareto improvement for a society

In more recent times welfare economics received

general impossibility theorem (see

(1951) SociAL CHOICE).

is a change which leaves everyone at least as well

Instead of fixing a particular social welfare function,

off as before and one or more persons actually

Arrow wrote down some extremely reasonable

better off. A Pareto optimal state is one from

looking axioms which we would want a social wel­

which no further Pareto improvements are pos­

fare function to satisfy. The general impossibility

sible. One advantage of the Pareto criterion is that it

theorem asserts that these axioms cannot be satisfied together.

does not depend on interpersonal comparisons. No

A large literature emerged to 'solve' the problem.

judgement by this criterion depends on whether the

But even as this literature trundled on, other im­

gain of person a is greater or less than the gain of

possibility theorems, such as Amartya Sen's

person b. This advantage is, however, earned at the

influential liberty paradox, kept emerging. More

cost of widespread reticence. A policy measure that

importantly,

gives a destitute 100 dollars and leaves a millionaire

became a corridor for the meeting of economics

poorer by one dollar is not something that can be

and moral philosophy. Questions of individual

recommended or rejected on Paretian grounds

rights and freedoms could now be taken up in

post-Arrovian

welfare

(1970)

economics

WELFARE STATE economics. The work of Amartya Sen, for instance,

733

placed on Bismarckian Germany and on early twen­

was straddling the formal framework used by wel­

tieth-century Britain. There were obviously many

fare economists and the conceptual one of moral

different, even contrasting, strands in the story,

philosophers such as John Rawls and Robert

including conservative paternalism, 'new liberal­

has also enriched

ism', Fabian and some other brands of socialism

down-to-earth activities such as cost-benefit analy­

and, not least, feminism. Yet it was when citizens

Nozick. sis,

Welfare economics

poverty and inequality measurement,

and

were mobilized during World War II and there was a close association between warfare and welfare that

public policy making.

social services ceased to be considered as a form of Reading

poor relief. There was a large measure of potential

Atkinson, A. B. 1983: Social Justice and Public Policy.

consensus also - then and after the war - that the

Graaf,J. de V. 1957: Theoretical Welfare Economics.

change was for the good, so that by 1949 a British

Nozick, R. 1974: Anarchy, State and Utopia.

Conservative Party manifesto, The Right Road for

Raw1s,J. 1971: A Theory ofJustice.

Britain, stated that the services constituted 'a co­

Sen, A. 1982: Choice, Welfare and Measurement. KAUSHIK BASU

operative system of mutual aid and self-help pro­ vided by the whole nation and designed to give all the basic minimum of security, of housing, of op­

welfare, social

See SociAL WELFARE

portunity, of employment and of living standards below which our duty to one another forbids us to

welfare state

Originating in Britain and often

permit any one to fall'.

loosely used, the term became widely current both

The academic case for the welfare state was put

in journalistic and academic circles after World

most trenchantly by the sociologist T. H. Marshall,

War II. It purported to describe a state which, in

who argued that whereas social service policies had

contrast to the 'night watchman state' of the nine­

hitherto been thought of as remedial policies to deal

teenth century, concerned primarily with the pro­

bit by bit with the basement of society not with its

tection of property, or the 'power state' of the

upper floors, it had now begun to remodel the

twentieth century, concerned primarily during

whole building. The welfare state was the culmin­

World War II with total victory, would use the

ation of a long process which had begun with the

apparatus of government to devise, implement

affirmation of civil rights, had led through to a

and finance policies designed to promote the col­

struggle for political rights, and had ended with

lective social interests of its members. It would

the identification and establishment of social rights.

destroy what William Beveridge, who did not like

Marshall believed that in explaining the rise of the

the term, called the five giant evils of want, disease,

welfare state it was more important to focus on

ignorance, squalor and idleness. The state would in

the extension of the ideal of CITIZENSHIP than

future intervene deliberately to limit or to modify

on the increase in the scope of state power.

the consequences of the free operation of market

This was a British perspective, and the term

forces in circumstances where individuals and fam­

'welfare state' neither commanded consensus in all

ilies were confronted with social contingencies

other countries, notably the United States, nor

deemed to be largely beyond their control, notably

always carried with it agreeable historical reson­

unemployment, sickness and old age. It would be

ances, notably in Germany, with its long history

more, however, than what had come to be called

of Sozialpolitik. The term could always be used

before World War II 'a social service state', for in

pejoratively as well as favourably as could the sep­

relation to an agreed range of social services,

arate words within it - 'welfare' and 'state'. Yet the

particularly those concerned with health and edu­

concept came to be thought of as universal outside

cation, it would offer comprehensively to all citizens

communist countries even in regions that had not

the best services that were available without distinc­

undergone large-scale industrialization. While the

tion of status or class. Through taxation there would

'complete welfare state' did not exist, Piet Thoenes,

therefore be a redistributive aspect to it.

a Dutch sociologist, wrote in 1962, 'elements of it'

The origins of the welfare state have been traced

could be found in 'a more isolated form' in present­

back to the creation of state-provided 'social ser­

day France, Italy, Germany and the United States.

vices' in the aftermath of nineteenth-century in­

A slightly fuller list would have included Sweden

dustrialization,

and New Zealand.

with particular emphasis being

734

WELTANSCHAUUNG

During World War II an International Labour Conference at Philadelphia had noted the 'deep desire' of people everywhere 'to free themselves from fear of want' and had claimed that after the war the relevance of the phrase 'international soci­

Mommsen, W. J. ed. 198 1:

The Emergence of the Welfare State in Britain and Germany. Rosanvallon, P. 1988 (2000) The New Social Qyestion. Thoenes P. 1962 (1966): The Elite in the Welfare State. Titmuss, R. M. 1958: Essays on the Welfare State. ASA BRIGGS

ety' would be judged 'in terms of human benefit and welfare'; and six years later in 1950 the Inter­ national Labour Office recorded that there had by

Weltanschauung

then been 'a movement everywhere' to create 'a

literally

new organisation for social security, which can be

(Anschauung) on the 'world' (Welt), hence to

to

an

In German the word refers

intuitive

'view'

or

'outlook'

described only as a public service for the citizens

'worldviews' or the underlying value or cultural

at large'.

principles which define the philosophy of life or

Already by the end of the 1950s, however, there

conception of the world of a particular society

was ample evidence of the problems associated with

or group. Popularly in English the concept has

welfare state economics and politics and of the

been used to refer to any general belief system

beginnings of academic critiques of the concept

(Christian, liberal, pagan and so on). Though

itself both from left and right. In 1951, for example,

worldviews so identified are most typically non­

the British Labour government placed ceilings on

rational in origin and linked to the shared experi­

welfare spending and introduced charges on the

ences of a group, the term has also been employed

cost of false teeth and spectacles; and in a collection

to refer to generalized scientific perspectives (for

of essays published in 1958 Richard Titmuss, who

example, Darwinian or Marxist). In social scientific

had made a detailed study of shifts in British social

contexts use of the concept has been influenced

policy during World War II, claimed that post-war

since the 1920s by the

policies, which had not reached a point of finality,

which attempts to explain the origins of world views

SOCIOLOGY OF KNOWLEDGE,

had benefited the middle classes more than any

in relation to the social locations and interests of

other section of the community.

actors. In its original, late nineteenth-century

During the next ten years the critique both of

German context, however, the notion of a 'theory

the concept and of the practice was sharpened as

of world-views'

management issues were spotlighted and as the

tified with a theory of the 'human sciences' which

economic basis of comprehensive welfare expend­

rejected the reduction of cultural phenomena to

(Weltanschauungslehre) was iden­

itures was threatened. Threat changed into reaction

their social causes. Today the term

during the 1970s as inflation drove up expenditures

remains useful as a loose designation for general

Weltanschauung

and efforts were made to cut public spending. The

conceptions of the world, but no longer plays

result was the so-called 'crisis of the welfare state'.

a significant part in technical discussions in phil­

It was a crisis of values as well as of finance or

osophy or the sociology of culture; nevertheless,

management. In the words of a British Green

the problematic to which it refers touches on

Paper on Social Security (1988), 'State provision

many of the key issues of contemporary cultural

has an important role in supporting and sustaining

theory.

the individual; but it should not discourage self­

Weltanschauung theory is associated with the late HISTORICISM, espe­

reliance or stand in the way of individual provision

nineteenth-century tradition of

or responsibility.'

cially Wilhelm Dilthey's theory of the human sci­

See also

SociAL PLANNING.

ences

(Geisteswissenschafien) (see Dilthey, 1931, pp.

133-54). Based on an essentially empathetic con­ Reading Beveridge, W. 1943:

The Pillars ofSecurity. Birch, R. C. 1974: The Shaping of the Welfare State. C1arke,J., Cochrane, A. and Smart, C. eds 1987: Ideologies of Welfare: From Dreams to Disillusion. Jallade, J. P. ed. 1988: The Crisis ofRedistribution in Euro­ pean Welfare States. Marshall, T. H. 1950 (1992): Citizenship and Social Class. Mishra, R. 1984: The Welfare State in Crisis: Social Thought and Action.

ception of interpretation or influenced

VERSTEHEN (which

sociology through Max Weber and

psychiatry through the work of Karl Jaspers), Dilthey's hermeneutic theory (see of

cultural totalities

stressed

HERMENEUTICS)

the

nonrational

origins of worldviews in deeper aesthetic and reli­ gious impulses in 'life', and thus opposed any re­ ductive, materialist explanation of their social genesis. He also tried unsuccessfully to overcome

WESTERN MARXISM the relativistic implications (see

RELATiviSM) of the

plurality of competing worldviews. From the turn of the century the rise of sociology

735

earlier part of the still-evolving work of Ji.irgen Habermas. As such it spans a body of theorizing begun around 1920 and ending around 1970. It

in Germany challenged Dilthey's approach to the

never meant simply Marxism in the West, or Marx­

human sciences by suggesting that worldviews

ism from the West opposing Marxist orthodoxy in

could not be interpreted independently of their

the USSR. Neither a Trotskyist theorist such as

social origins.

In the 1920s, Karl Mannheim

(1952) redefined the debate in methodological

Ernest Mandel

nor the well-known dissenter

Rudolf Bahro are 'Western Marxists' in the philo­

terms by proposing a hermeneutic sociology of

sophical sense. On the other hand, many neo­

knowledge which criticized the theory of world­

Marxist enterprises affirmed since the 1960s, such

views from the perspective of a general conception

as the revisionist history of Perry Anderson (1976),

IDEOLOGY which avoided the dogmatism of

the Sraffian (that is, neo-Ricardian) left economics

orthodox Marxism but remained relativistic in its

of the Cambridge school and the 'analytical Marx­

of

implications. In France in the 1950s, Lucien Gold­

ism' of Jon Elster and John Roemer, should be

mann (1956) developed a sociology of literature in

included under the rubric of Western Marxism.

which 'world-visions'

(visions du monde) were ana­

What, then, are the

differentia specifica of West­

lysed from the perspective of their homologous

ern Marxism? The best way to approach the matter

relation to class structures.

is to look at the historical context of its ideas. It was

Most recently, Ji.irgen Habermas (1968) traced

first and foremost a repudiation of the Marxism of

the failure ofDilthey's approach to an objectivistic

the

hermeneutics rooted in an untenable, irrational vi­

theory after the death of Marx had taken an increas­

Second

(Socialist)

International.

Marxist

talism. Habermas's own version of critical theory

ingly determinist stance. From the 1890s the doc­

FRANKFURT SCHOOL) represents the most am­

trine arose that objective economic laws were the

(see

bitious attempt to resolve the historicist problem of

driving force of history and that consciousness was

relativism. His argument, influenced by develop­

but a reflection of physical and social reality. In the

mental psychology and structuralism, is based in

1920s these notions were still upheld by such

part on an analysis of the evolution of what has been

influential theorists as Karl Kautsky and Nikolai

translated as 'worldviews' (1976, pp. 95-129),

Bukharin, as indeed they were, in some contexts, by

though in the original German reference is made

Lenin himself. But they were passionately chal­

to 'world-pictures' ( Weltbilder), apparently to avoid

lenged by young Leninists in the West: Lukacs,

any association with Dilthey's approach.

Bloch, Korsch and Gramsci. The latter went so far as to hail the communist rise to power in 1917

Reading Hekman, S. J. 1986: Hermeneutics and the Sociology of Knowledge.

Jay, M. 1984: Marxism and Totality. Makkreel, R. A. 1975: Dilthey: Philosopher of the Human Studies.

Mannheim, K. 1929 (1960): Ideology and Utopia. Outhwaite, W. 1975 (1986): UnderstandingSocial Life: the Method Called Verstehen, 2nd edn. Rickman, H. P. 1988: Dilthey Today: a Critical Appraisal of the Contemporary Relevance ofhis Work.

Simonds, A. P. 1978: KarlMannheim'sSociology ofKnow­ ledge.

as 'a revolution against

Capital', by which he meant

that it had been a triumph of history against histor­ ical determinism. Gramsci's phrase evinced the main motivation of Western Marxism's revolts against the Second International:

impatient radicalism,

lit by the

'light of October' and dictated by messianic hopes of human (and not just social) redemption through revolution. Politically speaking the founders of Western Marxism - the above-mentioned quartet - marched from various forms of far leftism, such as anarcho-syndicalism or council communism, into

RAYMOND A. MORROW

Leninist discipline, the eventual position of both

This form of Marxist theory

Leninist politics was dropped only much later, in

is generally thought to encompass such diverse

the post-war Frankfurt school and its chief heir and

authors as Gyiirgy Lukacs, Ernst Bloch, Karl

reformer, Habermas.

Lukacs and Gramsci, however diversely defined.

Western Marxism

Korsch, Antonio Gramsci, members of the FRANK­

Originally, Western Marxism was political Len­

FURT SCHOOL, French thinkers fromJean-Paul Sar­

inism without the crude determinist materialism of

tre in his later work to Louis Althusser and the

Leninist-Stalinist philosophy. It soon unfolded a

736

WESTERN MARXISM

humanist epistemology, insisting on the contrast

prior departures, however bold, from classical

(alien to Marx, Engels, Kautsky and Lenin alike)

Marxism, as in the fin-de-siecle revisionism of

between critique and (social) science. It no longer

Eduard Bernstein, or somewhat later in the thought

conceived Marxist analysis as a critique of bour­

of Georges Sore! or the seminal researches of the

geois economics but as an alternative to the scien­

Austro-Marxists. Now Marx himself -like Hegel­

tific standpoint - proud of its full-blown dialectic.

was a great admirer of modernity, so that West ern

Both Kautsky and Bukharin had tacitly reshaped

Marxism in this respect represents a huge reversal

Marxism as a naturalist historical sociology more

of historical outlook within the Marxist camp. The

attached to evolutionism than to dialectics, and

logic of history thesis, like materialism, went by the

hence closer to Ernst Haeckel than to Hegel. But

board.

the initiators of Western Marxism were all neo­

Western Marxism was born in book form with

idealists, as steeped in Fichte and, above all, Hegel

the essays collected by Lukacs in History and Class

as the Austro-Marxists (see AusTRO-MARXISM) had

Consciousness (as a justification of Lenin's revolu­

been in Kant, and their philosophical cast of mind

tion) and in Korsch's Marxism and Philosophy, both

was strongly reminiscent of the left Hegelianism of

published in 1923. The conceptual hero of both books is a social subject, the revolutionary con­

the 1830s and 1840s. The rediscovery of idealist sources went along

sciousness of the proletariat. Objectification simply

with borrowings from bourgeois culture, and while

mirrors the subject's acts: thus while reification

the young Lukacs owed much to Georg Simmel,

(bad objectification) reflects the bad subject, that

Wilhelm Dilthey and Max Weber, Gramsci was

is, capitalism and bourgeois culture, the revolution­

influenced by Benedetto Croce and the Italian

ary paradise will ensue once the proletariat attains a

elite theorists, and the Frankfurt school thinkers

grasp of totality. The 'point of view of totality' is to

blended the theme of alienation with Nietzschean

Lukacs the very essence of Marxism, far more

elements, Freudian perspectives and modernist

important than 'economic themes'. The sense of

motifs. As for French Marxism, the shadow of

totality is a conscious PRAXIS, and totality as praxis

Heidegger loomed large in its background. This

is self-activated -it is a historical subject, a source

eclecticism worked in an idealist spirit, and more

of global historical meaning. And the root meaning

often than not was applied to the analysis of cultural

of the present is revolutionary because alienated

rather than politico-economic problems (though

labour directly perceives reification, that is, dehu­

Gramsci specialized in political culture). So much

manization, as the soul of capitalism.

so, that the greater part of Western Marxism may

In fact the proletariat may or may not exhibit

be said to be a Marxism of the superstructure (see

totality-consciousness; but if it does not, no matter,

BASE AND SUPERSTRUCTURE). Lukacs, Waiter Benja­

for Lukacs thought there was a 'collective will des­

min, Theodor Adorno and Sartre were among the

tined to bring real freedom into being' -the Com­

outstanding literary critics and aestheticians of

munist Party. Lukacs's earlier work had shown an

their age. The conjunction of cultural subject

ethical mystique as a way out of decadence, and in

matter and humanist epistemology brings Western

embracing Marxism he preserved a messianic mor­

Marxism close to the hermeneutic tradition as a

alism. Max Weber, who befriended him in Heidel­

neo-idealist search for meanings rather than causes,

berg, described him as a quintessential case of the

and most of it is intentionally interpretive rather

'ethic of conviction', far removed from responsible

than explanatory.

realism. Revolution became almost severed from

A last general aspect of Western Marxism (re­

material concerns while communism was made to

markably absent, though, from Korsch, Gramsci

embody a lofty idea of culture as the realm of

or Althusser) was the animus against modern civil­

meaningful life. As the older Lukacs himself ac­

ization.

The young Lukacs,

Bloch

and

most

notably the Frankfurt school injected into Marxism a strong dose of Kulturkritik, a principled, doctrin­ aire and wholesale

refusal

of

the

culture of

knowledged, the whole work was suffused with 'romantic anti-capitalism'. The romance between Marxism and Kulturkritik went on among Lukacs's heirs, the Frankfurt phil­

MoDERNITY. They were deeply uneasy about in­

osophers Max Horkheimer and Theodor Adorno.

dustrialism, indifferent to liberal democracy, and

Their joint book, Dialectic of Enlightenment (1947)

quite hostile to science and technology. Such an

was the second gospel of Western Marxism. Hork­

ideological syndrome was by no means prevalent in

heimer's programme was 'social philosophy': an

WOMEN'S MOVEMENT

737

empirically minded theorizing, yet different from

Gramsci was very different, and his Prison Note­

'positivist' social science in its Lukacsian commit­

books, written from 1929 to 1935, contain superb if

ment to 'grasping the whole'. But the Frankfurt

necessarily sketchy pieces of political sociology,

thinkers relinquished Lukacs's utopianism as well

subtly analysing the interplay between political

as his metaphysics of the subject and with it the

change and class structure. Gramsci's remarks on

myth of the revolutionary proletariat. In the 1940s

class hegemony and class blocs, on kinds of revolu­

they studied anti-Semitism in connection with fas­

tion and modernization, and on the role of intellec­

cism and the 'authoritarian personality', and after

tuals, are refreshingly free of the crude economic

the war they eschewed class analysis, concentrating

determinism of vulgar Marxism without falling into

on a sweeping indictment of modern culture as a

the arid theoreticism of much Western Marxism.

'betrayal of reason'. Instrumental reason (science)

While sharing their distaste for determinism and

was accused of exchanging emancipation for re­

historicism, he was unlike the German thinkers in

pression in the instinctual, Freudian sense, and

being quite free of their Kulturkritik pathos; and

the role of'critical theory' became a kind of pessim­

though a Leninist, he tried earnestly to move com­

istic resistance against mass culture as well as

munism in a nonsectarian, proto-democratic direc­

against both capitalism and socialism.

Subse­

tion by blending socialism and popular culture. His

quently, these two regimes would be equated as

positions were to inspire Eurocommunism half a

repressive 'one-dimensional' forms of society by

century after his death following his imprisonment

Herbert Marcuse. In the hands of Adorno, dialect­

by the fascist regime. Both a democratic spirit and

ics became the epitome of an arcane Marxism, in his

the supersession of Kulturkritik also distinguish the

Negative Dialectics, 1966). A strange 'Marxism

copious writings of the leading thinker in the

without the proletariat' emerged, devoid of class

second generation of the Frankfurt school, Ji.irgen

struggle and historical optimism. Horkheimer's

Habermas.

end was a return to Schopenhauer and to religion. However, Western Marxist radicalism was not

Reading

dead. Already the gifted essayist Waiter Benjamin

Anderson, P. 1976: Considerations on Western Marxism.

had combined or alternated a radical politics with

Geuss, R. 1981: The Idea of a Critical Theory: Habermas

an irrationalist epistemology and the utmost histor­ ical pessimism, undisguised in his 'Theses on the philosophy of history' (1939-40, in Benjamin, 1955). In the 1960s, while Jean-Paul Sartre at­

and the Frankfurt School.

Held, D. 1980: Introduction to Critical Theory: Horkheimer to Habermas.

Jacoby, R. 1981: Dialectic of Defeat: Contours of Western Marxism.

tempted a fusion of existentialism with Marxism,

Jay, M. 1973: The Dialectical Imagination: a History of the

Marcuse began to flirt with student rebelliousness

Frankfurt School and the Institute of Social Research,

and countercultural movements. The Frankfurt school exiles had turned Western Marxism into

1923-1950. Merquior,J. G. 1986: Western Marxism.

one more romanticism of despair; Sartre and Mar­ cuse were determined to rekindle it as a romanti­ cism of revolt.

J. ' women s movement

G.

MERQUIOR

Evoking a collectivity of

The next wave, of structuralist Marxism (see

women who mobilize to protest or to pursue shared

STRUCTURALISM) led by Louis Althusser, reacted

goals, the description is often used coterminously

sharply against the primacy of consciousness in

with feminist movement, but women's movements

Lukacs and Sartre but ended by producing a highly

predate and may be distinct from FEMINISM. They

scholastic fundamentalism around the ideal of his­

are social movements which display a heterogeneity

tory as science. Two neo-Marxist developments -

of goals, and associational or organizational forms

the Anglo-French debate on modes of production

(see also SOCIAL MOVEMENT).

and the Anglo-German one on the nature of the capitalist state - started as derivations from Althus­

Women's

movements

have

emerged

in

all

regions of the world and are mentioned in most

serian categories. Politically speaking, while Sartre

periods of documented history. The Qur'an refers

and Marcuse were 'gauchistes', the Althusserians

to an uprising of women in South Arabia who,

were often Maoists and Althusser himself was one

according to scholars, were protesting against

of the last Marxists to renounce the dictatorship of

Mohammed's ban on women trading. The history

the proletariat.

of colonial Latin America and Africa contains

738

WOMEN'S MOVEMENT

instances of female slave revolts and of peasant

in 1911, campaigned for the vote and access to

women rebelling against the laws or practices of

education,

the imperial state or mobilizing to defend their

based on sex and sought to improve the legal situ­

economic interests. In eighteenth-century Europe,

ation of women. These women's associations pur­

women formed their own associations, some of

sued their aims from a variety of different vantage

which

points. Some, like the Persian Women's Society of

participated

in

the

French

revolution.

while

they

opposed

discrimination

Later, in the revolutionary turmoil of the 1840s,

1911, confronted entrenched religious laws and

women's movements developed and a women's

attitudes; others worked within the context of lib­

rights newspaper, Les Voix des Femmes (Women's

eral states demanding citizenship rights, specifi­

Voices), was founded. Although there were com­

cally greater legal equality and the vote; and still

paratively few of these early movements, and they

others linked their struggle for equality with social­

remained isolated and sporadic, their incidence,

ist revolution. In the less developed regions of the

size and momentum grew in the nineteenth and

world such as Turkey, India, China and Egypt,

twentieth centuries as civil society developed and

feminist associations saw their interests represented

as the constraints inhibiting women from entering

within the project of a modernizing nationalism,

social and political life weakened.

while others remained independent from political

It was in the nineteenth century that women in

parties, committed to a more radical interpretation

many regions of the world began to organize against

of women's liberation, one which went beyond

inequalities based on sex and to demand legal

equal rights to embrace questions of sexuality and

reforms aimed at removing patriarchal controls

interpersonal relations.

over women in the family and in society at large.

The history of feminism falls into two broad

Some of these initiatives were by independent indi­

periods. The 'first wave', as it is sometimes called,

viduals or groups, some were worked out in associ­

is that of the period 1860 to 1920. It is represented

ation with broader movements for social change,

above all by equal rights and reform movements,

some with political parties. Ideas of women's eman­

the largest and most successful of which were those

cipation were attractive in particular to those in­

of the United States and Britain. The first North

spired by the ideas of the Enlightenment. Liberal,

American women's rights convention was held on

socialist and modernizing nationalist movements

the 19-20 July 1848 in Seneca Falls and is some­

were important forces supporting legal and social

times taken as the founding moment of Western

changes in the position of women and drew many

feminism. In Britain, first-wave feminism achieved

women activists into their ranks. For all their ideo­

its most significant mobilization in the early twen­

logical differences, they shared a broad commit­

tieth century with the struggles to achieve female

ment to building a modern society in which the

suffrage, eventually won in 1918.

traditional structures of patriarchal society and

The second period of feminism's greatest organ­

state forms associated with the oppression of

izational strength began in the late 1960s. It grew

women would be replaced by a more rational, just

out of the climate of student radicalism in Europe,

and egalitarian form of civil administration.

and in the USA was part of the civil rights move­

Although feminist ideas and writings can be

ment. Second-wave feminism built on the insights

found in earlier centuries, it was in the nineteenth

of earlier theorists such as Simone de Beau voir and

century that feminism first emerged as an influen­

generated a greater diversity of theoretical ap­

tial ideological and political force. The term femi­

proaches, goals and strategies than its predecessors.

nist was used by women's rights campaigners not

The feminist movements of this period are conven­

only in the USA and Europe, but also in countries

tionally divided into two main currents; one,

such as Japan, Turkey, Russia, Argentina, the Phil­

typified as a reform movement, was concerned

ippines and India. Although diverse in its goals and

chiefly with obtaining equal rights and removing

strategies and therefore open to a variety of inter­

discrimination against women; the other, charac­

pretations, feminism in different regional and cul­

terized as the women's liberation tendency, was

tural contexts was associated with a commitment to

concerned with achieving a more radical pro­

ending sexual inequality and emancipating women

gramme of social change, and contained reformist

from oppression. The early feminist movements,

and revolutionary currents. While the former cur­

like the Philippine Feminist Association founded in

rent, typical of the dominant trend in the United

1905 or Seito (Blue Stocking) established in Japan

States, was associated with a greater integration and

WOMEN'S MOVEMENT

739

influence on the political system and the achieve­

absence in order to recover what, in Sheila Row­

ment of a substantial range of legal reforms, the

botham's phrase, had been 'hidden from history'.

latter, more characteristic of the European move­

The growing interest in women's movements has

ments, was initially more critical of reformist meas­

generated studies of the various types of female

ures, and advocated local self-help initiatives within

collective action which have occurred and this has

an antielitist and decentralized associational form.

revealed the breadth of political activity engaged in

Both varieties, however, shared a common perspec­

by women. This has ranged from spontaneous

tive on some issues and certain goals, and in both

protest movements of various kinds, to feminist

cases the campaign for free abortion on demand

equal rights campaigns, and in the 1980s to conser­

became as important a mobilizing issue as suffrage

vative or fundamentalist mo bilizations of women in

had been to first-wave feminists.

the USA and in the Islamic world. Such a variety

Second-wave feminism was one of the most im­

of mobilizations has demonstrated that women

portant social movements of the post-war period

have not only been significant political actors, but

and was capable of mobilizing large numbers of

have also mobilized collectively in pursuit of a wide

women. By 1985, the reformist National Organiza­

variety

tion of Women (NOW) in the USA had a member­

to achieve greater sexual equality; at other times it

ship of a quarter of a million, while in Britain, Italy

was to support broader political objectives; and

and France, demonstrations of women campaign­

at

ing on specific issues could reach three-quarters of a

changes which, on religious grounds, called for a

million. Beyond the Anglo-Saxon world, feminists

redefinition and, sometimes, as in the case of anti­

still

of

goals:

other

sometimes

times

it

was

the

to

priority

support

was

legal

also began to organize from the early 1970s on­

abortionist movements, a restriction of their previ­

wards; feminist groups emerged in Yugoslavia,

ous rights.

Mexico, Peru, India and even in the USSR. Some

This work of discovery has led to a reappraisal of

of these initiatives developed into significant social

women's political participation and has helped to

movements in the 1980s.

undermine the commonly held view that women

With the launching of the Decade for Women in

are not political actors and that their proper sphere

Mexico in 1975, women's movements became more

of influence is within the 'natural' domain of the

internationalized and acquired a global policy arena

private sphere. While feminist scholars have ac­

in the various fora and conferences of the UN. The

knowledged the masculinization of political space

fourth UN-sponsored international conference on

and the historical exclusion of women from it, they

women that took place in Beijing counted on the

have also pointed out that feminism has expanded

participation of some 30,000 women, many of

the meaning of politics itself to include resistance

whom were active in nongovernmental organiza­

and confrontation over power relations both within

tions in the South. Cross-national networking and

the private realm and in society at large. In general,

effective lobbying by women's movements have

the analysis of women's movements has prompted

helped to promote long-overdue legal reforms and

some writers to propose that they represent above

greater political participation of women, as well as

all informal challenges to mainstream politics. Like

successful international campaigns such as that

other 'new social movements', the challenge pre­

which focused on violence against women.

sented by women's movements is also to orthodox

It is only comparatively recently, following the

conceptions of the proper content and domain of

advent of 'second-wave feminism', that women's

politics, encapsulated in the feminist slogan, 'the

movements began to receive scholarly attention.

personal is political'.

Analysts of political phenomena such as urban

The variety and character of women's move­

social movements, revolutions and popular upris­

ments have posed a number of as yet unresolved

ings tended to focus their attention on class dynam­

analytic issues. The first concerns the need to

ics and largely ignored conflict along gender and

differentiate between the various degrees of social

ethnic lines. As a result they rarely acknowledged

(collective) action such that

the presence of women in these movements or

qualitative and quantitative advance over forms of

movement

signifies a

considered the specific characteristics imparted by

solidarity or association that may be small in scale,

their participation and by women's own independ­

dispersed and relatively powerless. These latter

ent organizational efforts. Feminist historians and

forms which might arise on the basis of a self­

social scientists were committed to redressing this

conscious 'women's culture' include networks,

740

WOMEN'S MOVEMENT

clubs, and literary circles. While these may mark

on primordial, intrinsically feminine sentiments.

the beginning of a movement or form a part of it,

Second, as a function of this, the participants in

they are analytically distinct from it with regard to

these forms of struggle tend to formulate the goals

numerical strength, organizational power and social

of their actions in largely altruistic terms rather

impact.

than as ones designed to advance their own self­

A second issue has been that of whether feminism

interests as women. In most cases their interests are

can or should generate goals which can have a uni­

closely identified with the household, the welfare of

versal application. Virginia Woolf wrote: 'As a

its members and its conditions of existence in the

woman I have no country. As a woman I have no

community. Examples of such 'role-based' move­

need of a country'. Robin Morgan's slogan of the

ments are the mobilizations of women in the shanty

1970s, 'Sisterhood is Global', was criticized by

towns of Latin America to demand basic amenities,

black and Third World feminists for assuming

and

that women of all classes and from all regions neces­

emerged typically but not exclusively in regions

the

'motherist'

movements

which

have

sarily shared common interests and bonds of soli­

where motherhood has a special social status con­

darity. They argued for a more differentiated view

ferred through religion and culture. 'Motherist'

of women's interests as being shaped by factors such

movements such as the Madres de la Plaza de

as class and ethnicity, in ways which could lead to

Mayo in Argentina, or pro-peace initiatives such

relations of domination and subordination between

as the 'Women in Black' which have appeared in a

women. It followed that feminism's goals would be

number of countries including Israel, are essentially

subject to some variation, as different movements

protest movements against state violence and

formulated their priorities accordingly. While such

members tend to be drawn from the female relatives

a recognition need not deny that some basis for

(typically

collective action and common goals could be

victims of repression or war. Such protest move­

worked out, it meant that solidarity among women

ments have usually appeared in contexts where

was not given by the fact of gender alone.

state repression or violence has crushed other

Although the diversity of feminist struggles

mothers

and

grandmothers)

of

the

forms of organized opposition.

within a given country or region of the world

These forms of female mobilization, previously

makes simple generalizations misleading, certain

considered the antithesis of self-conscious femi­

differences have marked out Western from most

nism, have undergone some reappraisal in the

other varieties of feminism, including its greater

1980s. The pluralization of views over how to char­

commitment to individual self-realization, within

acterize women's interests was accompanied by a

which issues of sexuality, language and culture have

questioning of models of women's liberation aimed

been foregrounded. By contrast, many feminists

at eliminating differences between women's and

from the post-colonial regions of the world have

men's social roles. Instead of women adapting to

formulated their goals within an overall strategy

men's roles, some feminists argued for a reassess­

which prioritizes work among the poor, national

ment and revaluation of femininity and of women's

independence and economic and social change.

traditional roles within the family. One conse­

A third, related issue has revolved around the

quence was the strengthening of the conviction

goals that women's, as opposed to avowedly femi­

among some currents of feminism that women

nist, movements have tended to pursue. Historic­

were

ally and cross-culturally, a recurrent form of

through nature or through 'socialization'). These

endowed

with

special

attributes

(either

women's movement has arisen on the basis of

artributes were seen as linked to mothering, an

women's roles in the family. These movements

activity which predisposed women to nurturing

typically involve struggles over basic needs provi­

and explained their political concerns with issues

sion or over CITIZENSHIP and human rights. Such

such as peace, social life and democracy. One

movements have two main characteristics. They are

example was the Mother's Manifesto issued by a

closely identified with particular social construc­

section of the West German Green Party in 1987,

tions of femininity and motherhood and are linked

which claimed recognition of the importance of

to these identities in important ways. The women

mothering and included such demands as a revision

who participate in these movements or actions

of urban design, pay and pensions for home carers,

often see their political involvement as a natural

flexible employment, increased leisure time and the

extension of their roles in the family and as based

facilitation of political activity for mothers.

WORK

741

Although it is sometimes argued that role-based

rational response to the prevailing structure of

movements of this kind are the quintessential

relative rewards. Domestic labour yields a rela­

examples of

tively high level of satisfaction for its consumers

women's

politics, there is a recourse to

NATURALISM in their characterization of women as

(the family) but commands a low wage if provided

more ethical than men, more prone to compromise,

as a service through the market. Hence women

more democratic and more peace loving. This ap­

and men choose to specialize in different activities,

proach has been criticized for idealizing and essen­

so as to maximize household income (satisfaction),

tializing gender attributes; it usually also excludes

with men opting for relatively higher-paid jobs

consideration of the social construction of these

and women electing to specialize in domestic

attributes and of other forms of female political

duties. Space precludes a detailed critique of this ap­

participation which do not conform to, or flatly contradict, the behavioural model.

proach, but it is clear that the argument is tauto­

Reading

DIVISION OF LABOUR is assumed and then used to

Jayawardena, K. 1986: Feminism and Nationalism in the Third World. Rowbotham, S. 1972: Women, Resistance and Revolution.

men and women (and paid work and unpaid labour)

MAXINE MOLYNEUX

kinds of labour attract different rates of remuner­

logical:

in

particular

a

pre-existing

gendered

'explain' the resulting division of labour between in terms of prevailing relative prices. Why different ation is not explained, nor crucially are the origins

work

The concept is ambiguous and contested,

of the wage labour system.

connoting different activities in different societies

The approach in industrial sociology is quite

and historical contexts. In its broadest sense, work

different. Definitions of work are held to be histor­

is purposeful human endeavour, and involves the

ically specific and reflective of the dominant values,

transformation of nature through the expenditure

assumptions and power relationships in society.

of mental and physical capacities. Such an inter­

Paid employment thus occupies a special position

pretation is at odds, however, with the more limited

within the division of labour under capitalism be­

meaning and experience of work in present-day

cause of the specific nature and structure of pro­

capitalist societies. For millions of people work is

duction relations under this system. A defining

synonymous with paid employment, and many ac­

characteristic of capitalism is that work is under­

tivities which would qualify as work on the broader

taken not in order to satisfy the immediate needs of

definition are described and experienced as non­

the direct producers and their families, but rather to

work leisure pursuits. Private DoMESTIC LABOUR is a prime example. Although essential to the survival, health and per­

produce

commodities

for exchange

in

the

market. The Marxist analysis, which has had a profound

domestic

influence on the study of work and workplace rela­

labour (cooking, cleaning, childcare, and so on)

tions, develops this basic insight. Work, according

has low social status, is overwhelmingly undertaken

to the Marxist perspective, is subordinated to the

petuation

of the

human

population,

by women and remains unpaid. That the same

purpose of reproducing and expanding the material

activities may be performed as paid work for hotel

and political dominance of the capitalist class. The

and catering firms, for example, underscores the

mass of the population is separated from the means

point that the boundary between paid and unpaid

of production and subsistence and hence is com­

work (or work and so-called LEISURE) is extremely

pelled to enter into wage labour in order to survive.

fuzzy. How is it determined?

Through the wage labour system workers are sub­

Within the social sciences there are a number of

ject to systematic exploitation: wages are advanced

competing explanations. Economics - at least the

for human capacities and not some determinate

dominant neoclassical paradigm - holds that the

quantity of performed labour. Within the produc­

relative values assigned to different productive

tion process they are encouraged and cajoled to

and service activities, and hence the rewards and

work for a certain length of time and to a certain

status which accrue to their providers, are governed

level of intensity, so as to ensure that the value they

by the interplay of supply and demand forces in the

contribute exceeds the value of their wages. The

marketplace. The fact that many women specialize

difference, surplus value, forms the basis of the

in unpaid, private domestic labour is held to be a

capitalist's profit.

742

WORKERS' COUNCIL

While not all sociologists would accept the

scribed as a works council, factory council, com­

(comitl: d'entreprise) or a soviet.

Marxist view that capitalism is an exploitative

pany

system which degrades the experience of work, as

Following Gottschalch (1968, p. 32) we may differ­

well as the lives of workers, most would accept

entiate between three types of councils: (1) as

Wright Mills's view that work may 'be a mere

fighting organizations; (2) as forms of interest

council

source of livelihood, or the most significant part of

representation; (3) as directing organs of the polit­

one's inner life; it may be experienced as expiation,

ical community. Workers' councils were conceived

or as an exuberant expression of self; as bounden

and practised in all three of these forms.

duty or as the development of man's universal

Local and city councils have existed for a long

nature' (Mills, 1951, p. 215). Crucially, what matter

time as the expression of citizens' movements to

are the social relationships governing the perform­

run the affairs of a local community or city. In the

ance and experience of work.

nineteenth century workers started to organize

Most recently debate and controversy have

themselves in guilds, unions, clubs and other

centred on the question of whether, under new

forms of association. Workers' councils in the

technological and economic imperatives, work or­

modern sense were first conceived in the context

ganization and work relationships are being funda­

of ANARCHO-SYNDICALISM in the late nineteenth

mentally transformed. Some (see Piore and Sabel,

century. They were opposed to centralized socialist

1984) claim that new forms of democratic work

parties, unions and other workers' organizations.

patterns are supplanting the authoritarian, hier­

Soviets have probably become the most famous

archical systems which governed the development

council form in the twentieth century. Already in

of the mass production system in capitalist and

the revolution of 1905 in Russia the workers', peas­

socialist countries alike. The pessimistic scenarios

ants' and soldiers' councils played a prominent role

of the 1970s, which followed the publication of

(Anweiler, 1958). Lenin in his early writings was a

Braverman's highly influential Marxist account of

protagonist of this form of social organization, and

the

dehumanizing tendencies of the capitalist

'All power to the soviets!' was the slogan of the first

labour process (Braverman, 1974), have thus given

(February) revolution in 1917. Anna Pankratova

way in some quarters to a more optimistic account

(1923) described the precise structure and func­

of the potentially liberating aspects of new, flexible

tioning of workers' councils up to 1923, but her

work organizations. Workers, it is said, are being re­

book was banned from publication in any state

empowered in the workplace as employers have

socialist country.

sought to harness their creative capacities in their quest

for

greater

production

flexibility

The conflict between 'democractic centralism'

and

(and the dictatorship of the proletariat exercised

Assessments of the available evidence - which

power) and basic democratic self-determination in

as yet remains rather piecemeal and fragmented -

the form of soviets came to a showdown in the

are divided. The new optimists have yet to demon­

Kronstadt revolt in 1921. Trotsky -later a defender

strate their case, but it is undoubtedly true that

of workers' control - crushed the uprising by mili­

patterns of production organization and structures

tary force. This was the beginning of Stalinist rule

of workplace control are becoming more diverse.

and the annihilation of all opposition in the Soviet

efficiency.

See also

through

S ciENTIFIC-TECHNOLOGICAL REVOLU­

the Communist Party's monopoly

of

Union (Ferro, 1980).

TION; WORKING CLASS.

Council democracy Reading Braverman, H. 1974: Labor and Monopoly Capital. Handy, C. B. 1984: The Future of Work: a Guide to

Changing Society.

The concept of council democracy has developed mainly outside the Soviet Union and in opposition to the practices there. Rosa Luxemburg criticized

Piore, M. and Sabel, C. 1984: The Second Industrial

Divide.

very harshly and very early the degeneration of the Soviet system, and supported the workers' and

PETER NOLAN

soldiers' councils which were formed in the

This institution within the

councils brought down the Kaiser and led to the

context of INDUSTRIAL DEMOCRACY may also be de-

first German republic (Oertzen, 1963), but in 1920,

German November revolution of 1918. These workers' council

WORKERS' COUNCIL

743

as a historic compromise, a works council law which

elude management representatives as well (Mi.iller­

reduced the power of the workers' councils was

Jentsch,

voted in Berlin (Crusius,

Social democrats

MANAGEMENT). The German model has become

and unions were almost as fearful of these basic

the best known. It might seem that this institution

democratic organizations as were the conservatives.

is specific to Western Europe, where since

In

1918-19

1978).

there was also a Hungarian Council

(See also PARTICIPATION; SELF­

1990).

more than

1,500

1996

European Works Councils have

1919 a

been established in the European Union, but it is to

shortlived Munich Council Republic. Workers'

be found today also in Burundi, Pakistan, Tanzania

Republic which lasted for six months, and in

councils also played a prominent role in the Spanish

and Zambia, while similar institutions exist under

Council Republic between

other names in Bangladesh,

1936 and 1939.

The most prominent thinker of the group of

Brazil, Denmark,

Gabon, Iraq, Mauritania, Mauritius, Mexico, the

council communists which constituted itself in the

Philippines, Sri Lanka, Switzerland, Tunisia and

Weimar Republic was Anton Pannekoek. For him a

Zaire (International Labour Office,

workers' council did not mean a specific, precisely

24;

Monat and Sarfati,

1986,

pp.

1981, pp. 205190-208). Natur­

conceived form of organization, which has to be

ally it is difficult to compare institutions in coun­

elaborated in more detail, but the principle of con­

tries where the economic, cultural and political

trol by the workers themselves over the enterprise

conditions are completely different. What can the

and production (Pannekoek,

role of a works council be in a society where un­

1950).

Karl Korsch­

another council communist- wrote a handbook on

employment is up to

labour law

economy involves 90 per cent? Nevertheless, works

(1922) to

help works councillors to put

50

per cent and the informal

councils may be regarded as a weaker form or a

workers' control into practice. Factory councils, as a specific form of workers' councils, became known primarily in Italy, through

prototype of workers' control. With the breakdown of state socialism, the pro­

(1910-20, 1921-6)

found ecological, social, cultural and political crises

who described them as they were organized from

of capitalist societies, and the resurgence of region­

the writings of Antonio Gramsci

1919

to

1921,

mainly in Turin. According to

Gramsci, writing in

1920,

factory councils are the

expression of producer democracy:

alist and local organizations, a new debate on the democratic organization of production and repro­ duction seems to be historically necessary. In this context the ideals of workers' control through

in every factory, in every workshop an organ on a representative base is formed ...which realizes the power of the proletariat, fights against the capitalist order or exercises the control over pro­ duction and educates the whole working masses for the revolutionary struggle and for the setting up of the workers' state. (Cited by Sze!l, 1988,

workers' councils might provide an answer to the crises in East and West, North and South. The problem for the democratization of society is still almost the same as at the beginning of the twentieth century: who decides what goods and services are produced, when, how, where, and for whom? The democratic restructuring in the Soviet Union

p. 37).

stroika)

(pere­

was linked with the introduction of shop­

Kibbutzim in Israel may be regarded as a specific

floor councils and glasnost, and the effects were felt

form of workers' council, and although their man­

throughout the world. In many of the former state

date is much wider since they encompass all spheres

socialist countries workers' councils were created

of social and economic life, their basis is the pro­

spontaneously. On the other side of the former Iron

duction community which is organized in a direct

Curtain (Sturmthal,

democratic way (Rosner,

students, women and the unemployed often organ­

1976).

1964) citizens' movements and

Works councils are today the most widespread

ized themselves in councils. But WoMENS' MOVE­

form of workers' control in the enterprise, and were

MENTS and the GREENS as new social movements are

institutionalized in a number of countries after

normally not

World War II. They have been made mandatory

issues. Perhaps for them- as well as for neoliberal

much

concerned with

economic

in nine West European countries: Austria, Bel­

and conservative thought - we already live in a

gium, France, Western Germany, Greece, Luxem­

postindustrial society where work no longer plays

bourg, the Netherlands, Portugal and Spain. In

a central role in life. However, for the future of

some of the cases the works councils consist only

DEMOCRACY it seems important to find some equi­

of workers' representatives, in the others they in-

librium

between spontaneity

and

organization

744

WORKING CLASS

(Mattick, 1975), and workers' councils have made

standard of living, and at the same time tended to

an important contribution in this direction.

increase the numbers of the middle class, engaged in clerical, technical and professional occupations.

See also TRADE UNIONS.

Workers' parties thus became more deeply involved Reading

in detailed issues of social reform, and strong dis­

Bouvier, P. 1980: Travail et expression ouvriire. Pouvoirs et

agreements arose concerning 'reformist' versus 'revolutionary' politics (see REFORMISM; REVISION­

contraintes des comites d'entreprise. Garson, G. D. ed. 1977: Worker Self-management in Indus­ try: the West European Experience.

ISM). In Eastern Europe, and especially in Russia,

where the working-class movement confronted an

International Labour Office 1981: Workers' Participation in Decisions Within Undertakings. Geneva: ILO. Jain, H. C. and Giles, A. 1985: Workers' Participation in Western Europe: Implications for North America. Relations industrielles 40.4, 747-74. Kester, G. and Pinaud, H. eds 1996: Trade Unions and Democratic Participation in Europe. A Scenario for the

autocratic regime, and that moreover in a predom­ inantly peasant country, more immediately revolu­ tionary politics prevailed; and this division between two kinds of political orientation culminated, after the Russian

Revolution,

in a formal division

between communist (Bolshevik) parties and social­ ist parties. In contrast with Europe, the working­

21st Century. Aldershot: Avebury. Sze!l, G. ed. 1992: Concise Encyclopaedia ofParticipation

class movement in the USA, after the first decade of

and Go-Management. Berlin/New York: de Gruyter.

the century when socialism appeared to be a grow­

--

ed. 2001: European Labour Relations. 2 vols, Alder­

shot. Gower IAshgate.

ing force, never succeeded in establishing an inde­ pendent and distinctive workers' party of national

GYORGY

SZELL

importance, in the face of various countervailing influences, among which those most frequently dis­

compnsmg

cussed were the relatively high standard of living, a

workers in mines, factories, transport and related

democratic style of life, the opportunities for geo­

working

class

A

social

group

occupations, brought together in rapidly growing

graphical and social mobility, and large-scale immi­

industrial towns by the development of capitalist

gration (Sombart, 1906; Laslett and Lipset, 1974).

production

in

the

nineteenth

century,

which

became an increasingly important political force as

The

opposition

between

class-based

parties

reached a peak in the economic depression of the

the source of trade unions, cooperatives and polit­

1930s, though complicated by communist/socialist

ical parties inspired by socialist ideas (see SociAL­

antagonisms, and notwithstanding many defeats

ISM). By the beginning of the twentieth century,

during that period working-class parties re-emerged

working-class parties had established themselves

after 194 5 stronger than they had ever been in terms

throughout Europe- where some of them, notably

of membership and electoral support.

in Germany and Austria, were already very large­

following decades, however, economic and social

and also, on a lesser scale, in North America. From

changes profoundly modified the situation of the

In the

that time, the internal politics of the European

working class. Its numbers declined relative to the

countries, and at a later stage politics in other soci­

MIDDLE CLASS; its economic situation improved

eties, has been dominated by the conflict between

substantially as a result of sustained economic

working-class parties and those parties which

growth at an exceptionally high rate, full employ­

defend the existing economic system and social

ment and more adequate social services in the new

hierarchy; that is, between parties of the 'left' and

'welfare states'; and the ideological/political ex­

the 'right'.

pression of class antagonisms was gradually moder­

In the course of the century, however, the condi­

ated. Some of the European parties ceased to

tions of existence and the politics of the working

describe themselves as class parties, or to emphasize

class underwent many changes. Already by the

very strongly their socialist aims, concentrating

1890s the extension of the suffrage in Western

instead on their commitment to extending social

Europe, achieved largely by working-class pres­

welfare provision and reducing, by various means,

sure, had made possible the emergence of parlia­

the inequalities of wealth and income.

mentary socialist parties and the introduction of

One important factor in this situation was the

social reforms which gradually improved the living

critical response by most working-class parties to

conditions of workers, while the increasing prod­

the political dictatorship in the Soviet Union,

uctivity of modern industry raised the general

extended after the war to other countries of Eastern

WORLD-SYSTEM

745

Europe, and the establishment of what were de­

but it is certainly primarily via Braudel that the

scribed as societies of 'real socialism'. Through

concept became known.

the 1950s and 1960s the suppression of popular

The French language (and other Romance lan­

uprisings against these regimes produced crises

guages) permit a distinction in linguistic forms

and growing dissident movements internally, and

which is impossible in German and difficult in

an increasingly rapid decline of communist parties

English. Economists have long talked of a world

in other countries, culminating in the massive

economy, a term they have tended to use synonym­

transformation of the East European societies at

ously with international economy. It refers primar­

the end of the 1980s and the virtual disappearance

ily to the structure of trade and financial flows

of communism as a major ideological or political

between sovereign states, flows that are reflected

orientation in the working class.

at the state level by certain standard indicators such

In the advanced industrial countries the working

as the terms of trade or the balance of payments. In

class, as it was traditionally conceived, is no longer

this usage, the word international refers to the flows

what Marx described as the 'immense majority' but

between nations (that is, sovereign states), and the

constitutes at most 50 per cent of the population,

term 'world' refers to the fact that what economists

and some social scientists have argued that these

are analysing are flows over the entire globe.

countries are becoming, or have to a large extent

In French the standard translation of 'world

already become, 'middle-class' societies, in which

economy' is economie mondiale. Braudel however

new social and political interests and movements

invented a different term for what he used to de­

emerge- concerned with questions of gender, race

scribe. He used economie-monde. By that term, he

and the environment - that increasingly over­

wished to indicate that he was referring not to the

shadow earlier divisions and conflicts. Against this

world, but to a world, not to 'the economy of

view, however, it is claimed that there still exists in

the world' but to 'an economy that is a world'.

the capitalist countries a distinctive class structure

Consequently, Braudel was not referring to the

(now reappearing in some East European coun­

economic relations among constituted and hypo­

tries), that the working class remains a large and

thetically independent political units inside that

important element in this structure, and that class

world, but to economic processes within that

divisions and class conflicts, however greatly mod­

world in its entirety, that world which is a single

ified in their expression, continue to have a prepon­

economic system.

derant influence on social doctrines and political action.

It was I who attempted to establish this distinc­ tion in English translation between economie mon­ diale and economie-monde by the use of the hyphen.

See also CLASS.

Since 'world economy' was already in use as the Reading

equivalent of economie mondiale, I used 'world­

Bottomore, T. 1965 (1991):

ClassesinM odernSociety, new

edn. Go1dthorpe, J. H. et al. 1969:

The Af!l . uent Worker in the

economy' (with a hyphen) to be the equivalent of economie-monde. A world-economy was defined ini­ tially as the entity within whose boundaries there

Class Structure. Mallet, S. 1975: The New Working Class. Mann, M. 1973: Consciousness and Action among the West­ ern Working Class. Thompson, E. P. 1963: TheMaking ofthe English Working Class.

there had existed other large entities which could

TOM BOTTOMORE

be said to have had a single division of labour but

This is a relatively new concept.

arate state structures. Such seemed to be the case of

No doubt the phrase has been used from time to

the ancient empires, say of Rome or of China. By

time in the past in diverse loose senses. But its

linguistic parallelism with 'world-economy' the

was a single overarching division of labour but which in fact included a number of separate state structures. It became clear on reflection that historically

which did not contain within their boundaries sep­ world-system

current usage, hyphenated to indicate that it is a

term 'world-empire' was coined to denote this

'concept', should be traced to the invention of the

latter instance, the two both being taken to be

term economie-monde by Fernand Braudel. Braudel

varieties of an entity called a 'world-system'.

himself says he took it from the particular use made

Since the early 1970s when this preliminary con­

by Fritz Riirig in 1933 of the word Weltwirtschafi,

ceptual exercise was completed, a good deal of

746

WORLD-SYSTEM

empirical and theoretical work on world-systems

The third element in the polemic then involved

has been undertaken. Most of this work has been

the mode of analysis, or the stance on traditional

related to the study of one particular world-system,

epistemological

the 'modern world-system', otherwise known as

nation-state as a unit of analysis, and theorizing

questions.

Analyses

using

the

the 'capitalist world-economy'. However, in add­

from a developmentalist perspective, tended to be

ition, a number of archaeologists have tried to

nomothetic, searching for appropriate Jawlike state­

utilize the concept of a world-system to analyse

ments which could explain the processes observed.

the

which

The epistemology of a 'world-systems perspective'

archaeologists have been largely concerned, sug­

was based on the view that world-systems are 'his­

various

premodern

situations with

gesting that their reconstructions from the data

torical systems'. Historical systems are simultan­

should lead to the observation of larger spatial

eously

zones than previously was done, and that these

ongoing, largely cyclical processes, and historical,

systemic,

with

structures

determining

larger zones were in fact 'world-systems'. Recently,

that is, they develop over time and have beginnings

there has in addition been the beginning of interest

and eventual ends. This has led world-systems

in the comparative study of different kinds of

analysis to two major epistemological conclusions. One has been a stance rejecting both nomothetic

world-systems. Every concept, especially when it is new, is an

and idiographic methodologies in favour of an an­

exercise in polemics. It is important to underline

alysis of

what alternative concepts the concept of world­

governing particular types of world-systems. The

the

particular

sets

of

general

rules

system was directed against. There were three

second has been a sympathy for the theorizing

major elements involved in the polemic. The first

within the sciences that rejects Newtonian linear

concerned the unit of analysis. To argue that the

dynamics in favour of a model of nonlinear pro­

modern world should be thought of as a world­

cesses which eventually bifurcate.

system or a capitalist world-economy is to argue

The concept of 'world-system' is a controversial

that the meaningful primary unit of social con­

one in twentieth-century thought. It tends to go

straint and social decision-making is this world­

against the views of the mainstream, defined both

system rather than the nation-states which have

quantitatively and socially. Of course, denuded of

been traditionally used as the units of analysis. From this first premise, the second followed

its polemical baggage, this concept could easily be included within almost any standard theorizing

naturally. The units that have been 'developing'

about social behaviour, but thus denuded it would

over time were considered

be vitiated and would scarcely add any insights of

not

to be the so-called

nation-states but rather the world-system as a sin­ gular world-system. This was an argument against 'developmentalism'

or

MoDERNIZATION

theory

significance. See also GLOBALIZATION; INTERNATIONAL DIV­

ISION OF LABOUR; INTERNATIONAL RELATIONS.

which assumed the existence of parallel logically independent entities, the nation-states, each pursu­

Reading

ing parallel efforts at linear development, albeit

Braudel, F. 1967, 1979, 1981-4: Civilization and Capital­

with unequal success to date. Modernization theory furthermore tended to be a theory of eventual hom­ ogenization, whereas analysis from a world-systems perspective tended to emphasize the polarization of the world-systemic structure over time.

ism, 3 vols. Wallerstein, I. 1974, 1980, 1989: The Modern World­ System, 3 vols. --199lb: Unthinking Social Science. IMMANUEL WALLERSTEIN

y Considered distinct from the

The wider youth culture- sometimes referred to

dominant culture, youth culture refers to the

as the 'generalized', 'mass' or 'pop' youth culture­

youth culture

unique symbols, beliefs and behaviour of young

does not represent a marked break with adult soci­

people in society. The term has two usages. First,

ety but revolves around the adoption of certain fads,

it represents the values and norms of the youth

fashions, leisure pursuits and lifestyles by large

population in general in society; and second, it

numbers of young people. For example, the 1920s

includes the ideals and practices of specific youthful

('Roaring '20s', 'Jazz Age') and the 1960s ('Age of

subgroups, such as subcultural or countercultural

Aquarius', 'Postmaterialism') were extraordinary

groups (see CoUNTERCULTURE) . Discussions and

periods when young people created their own styles

studies

in

of dress, language, music, artistic expression, sexual

somewhat separate literatures dealing with the

practices and communities. Important consider­

teenage years (early and mid-adolescence) and

ations for identifying a youth culture include the

of

youth

culture

have

resulted

with the stage of youth (late adolescence and early

extent to which young people endorse and express a

adulthood). At issue is the extent to which young

shared set of values and norms. Since the 1980s,

people's attitudes and behaviour deviate from soci­

much of the focus has been on the global spread of

etal norms (adult or youth) and the relative support

Western youth culture and the impact of the mass

given by youth to particular types of peer-related

media and consumerism on youthful attitudes and

activities.

behaviour.

Historical trends such as modernization, indus­

An unconventional or antagonistic orientation

trialization, urbanization, the rise of the middle

towards adult society is reflected in subcultures or

class and the extension of public education have

countercultures of relatively small numbers of

fostered the age-based segregation and stratification

young people (Brake, 1985). Subcultures of young

of youth, which in turn have promoted the devel­

people accept certain features of the dominant value

opment of youth culture (Mitterauer, 1992). The

system but also express sentiments and beliefs

formation of youth cultures was given impetus in

unique to their group. Examples include avant­

nineteenth-century Europe with the glorification

garde artists and writers, juvenile delinquents,

and romanticization of young people by philoso­

gangs, sports clubs and the drug culture. It has

phers, writers, artists and the 'youthful freedom

been argued that youthful lifestyles and alternative

fighters' active during the Age of Revolution (Gil­

culture are more useful concepts for researchers to

lis,

Youth cultures continued to form

study than is youth subculture (Miles, 2000). A

throughout modern history - sometimes separate

youthful counterculture is more rejecting, anti­

1974).

from and sometimes in tandem with youth move­

social and confrontational than a subculture and

ments for political change (see YoUTH MOVEMENT) .

represents a challenge to authority and the main­

In the latter half of the twentieth century, techno­

stream culture. Countercultural youth may be

logical advances, rapid communications, commer­

largely expressive and

cialization and the end of the Cold War facilitated

(cults, hippies, skinheads, punks), or they may par­

are

sometimes

violent

the spread of youth-related activities on a world­

ticipate in rebellious political activity such as rad­

wide scale. Whether spontaneously initiated by

ical

youth or promoted by market forces or the state,

political dissidents (certain anarchist, nihilist and

the youth culture plays a significant role in young

far-right-wing youth as well as some animal rights

people's identity formation and moral development

and environmental activists).

and is considered a source of societal innovation and change (Wallace and Kovacheva, 1996).

ideological-utopian

groups

and

aggressive

Understanding youth culture (whether mass, subcultural, alternative or countercultural) involves

748

YOUTH MOVEMENT

both sociohistorical and psychological consider­

the long-term effects of youth cultures on society

ations. From a sociohistorical perspective, Marx­

and on adult development. Empirical investigations

ist,

of youth culture may benefit from a multiple re­

structural-functional,

generational

conflict

and symbolic interactionist theories have been

search strategy: employing quantitative and quali­

employed to account for the rise of youth cultures.

tative methodologies; including historical, societal,

Taken together, these theories suggest that youth

group and individual levels of analyses; and using

cultures are likely to form when the size of the

comparative

youth cohort is relatively large; when societies are

intergroup and intragroup).

designs

(cross-cultural,

historical,

undergoing rapid change, are pluralistic and have

Some social scientists have interpreted the for­

problems integrating their young people into main­

mation of youth cultures as indicating a 'failure of

stream institutions; and when members of the

adult socialization'. Others contend that the various

younger generation have grown up under different

forms of youth culture signify young people's dis­

conditions from their elders and express dissatis­

content with the status quo and their desire to

faction with conventional society by creating their

create a better (or at least different) world for their

own values and lifestyles. Class and status conflicts,

generation. Whatever the interpretation, there is

family problems, gender, ethnicity, unemploy­

general agreement that youth cultures represent a

ment, age segregation and alienation have been

force for change and are influenced by, as well as

associated with the rise of youthful subcultures

having a significant impact on, modern society.

and countercultures. From a psychological perspective, explanations

Reading

of youth cultures have been based on psycho­

Braungart, R. G. and Braungart, M. M. 2001: Global

dynamic, developmental, cognitive, personality,

survey of youth attitudes and behaviour. In The Global

behaviourist

and

social

psychological

theories.

The contentions are that those young persons who support some form of youth culture may be motiv­ ated by the life-cycle needs of youth (identity formation, self-determination, psychosocial experi­ mentation, peer affiliation and bonding); personal­

Situation of Youth: Trends and Prospects. Epstein, J. S. ed. 1998: Youth Culture: Identity in a Post­

modern World. Hagan, J. 1991: Destiny and drift: Subcultural prefer­ ences, status attainments, and the risks and rewards of youth. American Sociological Review 56, 567-82. Lightfoot, C. 1997: The Culture ofAdolescent Risk- Taking.

ity traits (the desire to break the bounds of

Montemayor, R., Adams, G. R., and Gullotta, T. P. eds

conventionality, engage in high risk-taking behav­

2000: Adolescent Diversity in Ethnic, Economic, and Cul­

iour, weak control of impulses, emotional conflicts);

tural Contexts.

and cognitive processing (attributions, gestalt and

RICHARD G. BRAUNGART AND MARGARET

deciding there is more to gain than lose by joining

M. BRAUNGART

reference groups that support their values and Involving the organized and

goals). Role models as well as the pleasures and

youth movement

rewards of participating in the youth culture also

conscious attempt of young people (between late

account for young people's interest and support for

adolescence and early adulthood) to bring about or

mass and deviant youthful lifestyles. The conclusions reached in studying youth cul­

resist social and political change, a youth movement may appear when traditional institutions fail to

tures may be influenced partially by the research

meet the needs of an age group in society, and

procedures employed. For example, large surveys

when a critical number of young people become

(national, cross-national, global) indicate that most

aware of their common plight and feel something

young people are not alienated from their families

can be done to alleviate their problems. The per­

or society and are widely supportive of mainstream

ceived discrepancy between the individual needs or

values and norms, whereas observational and inter­

aspirations of the younger generation and the

view studies of young individuals and specific

existing social, cultural and political conditions

youth groups are more likely to report dissatisfac­

lies at the root of youth unrest (see S ociAL

tion,

MENT .

nonconformist

behaviours,

alienation and

demands for societal change (Braungart and Braun­

MOVE­

)

Youth movements are not merely random forms

Research is needed into the diversity of

of collective behaviour but are direct responses to

youth cultures, the context in which young people

historical events and forces. Youthful political ac­

formulate cultural attitudes and behaviours, and

tivity is most likely to occur in countries undergoing

gart,

1998).

YOUTH MOVEMENT

749

rapid transformation where for a variety of reasons,

characteristics of young people that promote age­

the particular mix of circumstances tests the ability

based conflict and discrepant political orientations,

of a political system to perform necessary functions

the specific family backgrounds and personality

and services. Societies that experience institutional

traits of young political activists, and the attitudes

instability along with weakened legitimacy and

and behaviour of youth movement participants.

effectiveness provide the ideal environments for

A fundamental reason why young people are so

protest behaviour. In addition to political protests,

receptive to forming and joining youth movements

youth movements may take other forms, including

involves the life-cycle tendencies of late adoles­

student movements,

(literary, artistic,

cence and early adulthood, particularly the ad­

music) movements, religious and ethnic-based

vances in cognitive thinking, a fresh social and

cultural

movements, environmental movements, peace/

political awareness, the search for identity, a desire

antiwar movements and countercultural move­

for self-determination and independence, and the

ments (see STUDENT MOVEMENT; YOUTH CULTURE;

need for belief-behaviour consistency (Erikson,

PEACE MOVEMENT; COUNTERCULTURE).

1968; Keniston, 1971).

While the problem of youthful rebelliousness

Sociological explanations of youth movements

and acting out against adult society can be traced

emphasize the importance of political socialization

to antiquity, organized youth movements -as con­

(especially family, peers, school and media), the

sciously mobilized forces for change - are a rela­

shared experiences of a cohort of youth growing

tively recent phenomenon of modern history that

up together in a rapidly changing society, and the

originated with the drive for nationalism. Since the

societal conditions and opportunity structures that

early nineteenth century, there have been five dis­

facilitate the formation of youth movements. Simi­

tinguishable periods of extraordinary youth move­

larly, historical explanations focus on the unique,

ment activity: Young Europe (1815 to 1848, 1860 to

eruptive nature of youth movements and identify

1890); Post-Victorian (1890 to 1910); Great De­

some of their cyclical features. Social scientists and

pression (1930 to 1940); 1960s Generation (1960

historians alike have noted that youth movements

to 1970); and 1980s Generation (1980 to 1990).

tend to appear when a relatively large youth cohort

What began as an unprecedented eruption of

feels they share a common set of values and experi­

youth movements nearly two centuries ago became

ences that makes them an exceptional generation,

global in scope during the 1960s and 1980s (Braun­

and when they face certain historical discontinuities

gart and Braungart, 1993; Esler, 1971). Youth movements are generational struggles that

and have the opportunity to mobilize. A rich inter­ active framework for studying and comparing

include both intergenerational and intragenera­

youth movements involves the consideration of

tional forms of conflict. Intergenerational conflict

life-cycle, cohort and historical-period effects and

involves two dynamic processes.

the ways in which these forces combine (Braungart

First, young

people denounce adult institutions for their per­

and Braungart, 1989).

ceived weakness and failures. Next, based on their

Empirical investigations of youth movements

ability to mobilize, youth authorize their own gen­

and their participants gained worldwide attention

eration to bring about the desired change. The

during the 1960s and have continued ever since.

existence of intergenerational conflict as a destabil­

Youth movements played a significant role in the

izing force in society enhances the likelihood of

break up of the Soviet Empire in the 1980s, at­

intragenerational conflict, which occurs when gen­

tracted global interest with the Chinese student

eration units within the same generation compete

protests in Tiananmen Square in 1989, and have

for power and control (Mannheim, 1952). These

been associated with human rights and environ­

competing generation units may be spontaneous

mental protests in a number of countries from the

(initiated by young people themselves) or spon­

1980s to the turn of the twenty-first century.

sored by adult organizations. Generation units rep­

Some of the principal research findings are that

resent the spectrum of political orientations ranging

young people's life-course development -the dir­

from left-wing to right-wing and from moderate to

ection of their political views and whether they are

radical groups (see also NEW LEFT; NEW RIGHT).

radical or more moderate-is strongly influenced by

Explanations of youth movements have come

family political socialization experiences. More­

from various scholarly disciplines. Social psycho­

over, the generational values, social bonds and pol­

logical explanations focus on the developmental

itical orientations expressed during youth are likely

750

YOUTH MOVEMENT

to endure throughout adulthood, especially for

of young people as a critical and renovative force in

those who were politically active in late adolescence

modern history.

and early adulthood (Andrews, 1991). The study of youth movements benefits from an interdisciplinary, interactive approach that at­ tempts to discover how historical, sociological and

psychological

forces

combine

to

produce

youth movement activity. Analysis may be under­ taken at a number of levels: individual, group, local, national,

international

and

longitudinal.

Both

quantitative and qualitative methodologies are ap­ propriate, and comparative strategies are recom­ mended.

Research

investigations

indicate

that

youth movements arise partially because of the inability of political regimes and adult society to resolve old problems and adapt to new conditions.

Reading Altbach, P. G. ed. 1989: Student Political Activism: an International Reference Handbook.

Angel, W. D. 1990: Youth Movements ofthe World. Braungart, R. G. and Braungart, M. M. 1997: Why youth in youth movements? Mind and Human Interaction 8, 148-71. Burg, D. F. 1998: Encyclopedia of Student and Youth Movements.

Schneider, G. L. 1999: Cadres for Conservatism: Young Americans for Freedom and the Rise ofthe Contemporary Right.

Stevens, J. 1998: Anti-Disciplinary Protest: Sixties Radic­ alism and Postmodernism.

The historical significance and global spread of

RICHARD G. BRAUNGART AND MARGARET

youth movements are testimony to the persistence

M. BRAUNGART

The Blackwell Dictionary of Modern Social Thought, Second Edition Edited by William Outhwaite Copyright © 1993, 1994, 2003, 2006 by Blackwell Publishing Ltd

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