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SOCIOLOGICAL
THEORIES
AND CONCEPTS
APPROACHES TO SOCIOLOGICAL THEORY

Social Theory and its Context 1

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INTRODUCTION recognized the problems of capitalist society but sought
change through reform because they feared socialism
The emergence of sociological theories is traced more than they feared capitalism. The ensuing
to two great events of Western Europe, namely, the problems affected social thinkers deeply and Karl Marx,
French Revolution and the Industrial Revolution. These Weber and Durkheim set out to find a solution to these
theories are in these particular social contexts. These problems.

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contexts had a great impact on the emergence of CHAPTER AT A GLANCE
sociology. Thus, the social conditions of the nineteenth
and early twentieth centuries were of the utmost PROMINENCE OF SOCIALISM
significance to the development of sociology. Socialism emerged as a direct critique of
The chaos and social disorder that resulted from capitalism and was supported by some thinkers while

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the series of political revolutions ushered in by the a majority of them were indeed hostile to it. Socialism
French Revolution in 1789 disturbed many early social literally sprang from observing the success of
theorists. While they recognized that a return to the capitalism, while believing that condition for workers
old order was impossible, they sought to find new could be improved if the control of production were
sources of order in societies that had been traumatized moved from capitalists to the state. A top-down control
by dramatic political changes. system, such as that used in large business, was the
The Industrial Revolution was a set of model for socialist society.
developments that transformed Western societies from Socialism arose in the early 19th century, and the
largely agricultural to overwhelmingly industrial key figure among sociologists was Karl Marx who was
systems. Peasants left agricultural work for industrial different from armchair social theorists who were
occupations in factories. Within this new system, a few against socialism. They wanted to bring an
benefitted greatly while the majority worked long hours improvement in the capitalist system and streamline
for low wages. A reaction against the industrial system its defects, like the creation of alienation among factory
and capitalism led to the labour movement and other workers (masterfully depicted in Charlie Chaplin’s
radical movements dedicated to overthrowing the Modern Times). For them, socialism was in no way an
capitalist system. As a result of the Industrial answer or solution to the problem unleashed by
Revolution, large number of people moved to urban capitalism. Marx’s socialism was often seen as a
settings. The long list of urban problems that attracted counterpoint from which to develop different theories.
the attention of early sociologists. Due to the industrial revolution people migrated from
Socialism emerged as an alternative vision of a rural to urban areas. Hence, problems such as
worker’s paradise in which wealth was equitably overcrowding, pollution, inadequate transport systems,
distributed. Karl Marx was highly critical of capitalist disparities in income, etc. arose. This influence the
society in his writings and engaged in political system also with a plethora of cults coming up and
activities to help engineer its fall. Other early theorists some of these predicted the ‘end of the world’ in the

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last years of the 20th century. Early sociologists tried Comte developed ‘social physics’ or what he called
to emulate the physical and biological sciences for sociology as a counter to the social anarchy existing in
giving prestige and creating popularity to their new France during his times. He wanted to build sociology
discipline. on the lines of the rigorous approach of science
Context of Social Theory particularly, physics. Comte’s was an evolutionary-law
Apart from the outer context of social theory, which has three ascending ‘stages’ which claim
the role of ideas in the development of social theory universality:
1. Theological Stage (1300 AD): Supernatural
can also be analysed. For example, during
powers and religious icons are the most
Enlightenment a number of new ideas were important factors influencing the society.
introduced and replaced existing ideas. In fact, the 2. The Metaphysical Stage (1300-1800 AD):
17th century philosophy and science were the major ‘Nature’ was considered to explain everything
moving factors which influenced the thinkers/ about man and society during this period.
intellectuals of France, such as Descartes and 3. The Positivistic Stage (1800 AD): This was
Locke. Thinkers of the later period did not reject the age of science and the nature and God
the grand theories of these thinkers but tried to find lost their importance.
ground reality instead in order to give their ideas Thus, the evolutionary Comte was against violent
social relevance. This proved crucial in the type of revolutions (Lenzer, 1975).
development of sociology. But, the liberalism of the His work and observations on social structure and
Enlightenment was criticized in the form of the social change stressed the relatedness of all the
‘Counter- Enlightenment’. The early sociology was components of a society. He believed in consensus and

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a product of an interplay between the ideas of the did not subscribe to the exploitative view of the
Enlightenment and the ‘Counter- Enlightenment’. production processes.
For example, the Counter-Enlightenment DURKHEIM AND THE ENLIGHTENMENT
ideologues, such as De Bonald wanted to return to Durkheim (1858-1917) believed, unlike Comte,
medieval times where they felt life and living was far that the Enlightenment was not all negative but in fact
did have some positive aspects such as emphasis on

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harmonious as compared to the Enlightenment period.
These writers were against any progressive ideology scientific method. He opposed anarchy and social chaos,
as they felt that both the Enlightenment and the and was largely preoccupied with social order. He has
Industrial Revolution were forces that destroyed law, many pioneering works to his credit, such as, The Rules
order, peace and harmony in society. of Sociological Method (1895) in which he stressed
the study of ‘social facts.’ These social facts are external

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INDIVIDUAL Vs COLLECTIVITY to and coercive of individuals in society. He
As against the ideas of the Enlightenment thinkers demonstrated this approach in his study of Suicide
emphasising the individual, the thinkers opposed to it (1897). According to Durkheim there are two types of
wanted to emphasise, the collectivity or the society. social facts–material (bureaucracy, law) and non-
These thinkers wanted to show that other than the material (social institutions and culture with which
individual, there was society itself which was viewed Durkheim was preoccupied).
as one long flow from past to present and onward to
The Division of Labour
the future. Moreover, there are roles and relationships
According to Durkheim, The Division of
along with organizations which are its important
Labour in Society (1893), binds the society. While
aspects. The ‘wholeness’ was vital aspect emphasising
early societies had a moral basis for being
showing that parts of a society were interrelated. the
integrated, which was known as the collective
conservative thinking did not like the idea of social
conscience, in the more advanced society the
change which it felt was disruptive and could lead to
collective conscience is weak and was it is held
disorder and chaos in society. together through a division of labour. Durkheim
COMTE AND ENLIGHTENMENT suggested social reforms as the solution to the
In his famous book, Sociology, Comte analyzed problems inherent the division of labour.
and reacted to the Enlightenment and the French
revolution. His ‘positive philosophy’ was an attempt In The Elementary Forms of the Religious Life
to counter the Enlightenment. His own approach was (1912/1915), Durkheim explained that society itself
influenced by various counter-revolutionary ideologues was the basis for religion itself. This meant that he
like De Bonald but he ruled out a regression to the stood for the status quo. In 1898, Durkheim founded a
medieval period because science had advanced too journal called ‘L’annee Sociologique’ which promoted
much. his brand of sociology to the other schools and

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SOCIAL THEORY AND ITS CONTEXT / 3

academics. Hence, Durkheim responded to the context of ownership of means of production and the
of the French Revolution and rise of industrialisation exploitation of the ‘nots’ by the ‘haves’ would come to
and helped in establishing sociology as a distinct an end. Thus, Marx stressed the oppressive nature of
discipline. capitalism.
THE MARXIAN IDEOLOGY WEBERIAN IDEOLOGY
In the same span of time, sociology was developing Max Weber (1864-1920) was another major
in Germany also. Karl Marx (1818-1883) was deeply German sociologist. Max Weber developed his theories
influenced by Hegel (1770-1831) but later contradicted as a counterpoint to Marxian thought. Weber said that
him. Hegel stressed upon the ‘dialectic’ and ‘idealism’. Marx had developed a unicausal theory in which every
Dialectic itself provides a view of the world as well as social aspect was driven or propelled by the economic
an ‘image’ of the world. It stresses the processes factors giving rise to ‘economic determinism’. Weber
including those of conflict. In the same manner, the pointed out that were several other factors or causes
image of the world is also dynamic. However, Marx which operate simultaneously in a society.
accepted the use-value of the processes, he wanted to In economic determinism, it was the material that
apply it in the study of economics and not as a concept determined ideology but in Weber’s works, we find that
applied to ideas only. Moreover, Hegel’s ‘idealism’ it is the idea that determine the economy. Weber
stressed the mind and ideas, and not the material world. discovered that the effect of religious ideas had a bearing
This extreme position was ameliorated by Feurbach.
on economic development. He tried to prove through
According to Feurbach, it was society that projected
his studies on Protestantism. Weber also studied other
God and put him in a hallowed position above them,
religions than Protestantism, including Hinduism. He
getting separated/distanced from God himself but

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believed that the lower rate of economic development
nevertheless imbuing God with various uplifting
in Hinduism was due to a constricting segmentation of
attributes or qualities.
society into a large number of castes. However, Weber’s
Marx criticized these theories. According to Marx,
ideas regarding Hinduism were not found to true because
everything could be reduced to a material base not to
sociologists in the fifties conducted studies and
mind and its processes. Marx believed that capitalism
concluded that Hinduism does not obstruct economic
caused the problems of alienation, polarisation and

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development and that castes adapt to new economic
revolution. The revolution of the proletariat was, thus,
the answer to this ‘evil’. The work of Ricardo and Smith challenges in a positive way.
finalised Marx’s approach which pointed out the profit Weber was also concerned with the process of
of the capitalist was at the expense or exploitation of rationalisation which led to economic development and
the wage labourers. In this manner, the ‘surplus value’ to the creation and existence of large bureaucracies and

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was the very basis of exploitation and the root of the social institutions in our society (Weber, 1904). Weber
capitalist system (Marx, 1862). showed how a social actor makes decisions regarding
his goals and his decisions themselves were influenced
Marxian Ideology by the existing rules and regulations.
Within Marx’s economic works one can find a
sociological theory. Moreover, due to his radical Formal Rationality
political ideas, ideological leanings and polemical Formal rationality was the preoccupation of
style, his theory has been questioned by conservative Weber ’s discussion of the development of
thinkers even as he had questioned Hegel and bureaucratization. He pointed out that there are
Feurbach. three types of authority in political structures:
traditional, charismatic and rational legal systems
Marx’s sociology attracted many critics. The type of authority. Traditional authority derives from the
of activist orientation that was part of his approach and sanctity of belief patterns, like that in monarchy.
some other reasons led to an eclipse of Marx’s Rational-legal authority is the basic model of
dialectical materialism. However, his ideological aspect leadership most modern political systems. Most of
was a major area of difficulty for other thinkers and the system chose their leaders from legal-rational
this radical approach was not appreciated by the procedures.
sociologists who had been bred to hate traces of anarchy
in the society, let alone the distubances of the THE BRITISH SOCIOLOGISTS
enlightenment or the industrial revolution. Marx tried The British sociologists emphasized the statistical
to fuel a mood of hostility which would lead to a presentation with little or no theorizing. They collected
‘polarization’ of classes and exploited proletariat would field based data and combined these findings into a
violently dispossess the factories, industries, banks and collective picture. Since the statistically oriented
so on. After which there would be a societal/community sociologists were also extremely close to the

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government, they failed to see any flaw in the overall Ans. The Law of Three Stages is an idea developed
political and economic systems of their period. by Auguste Comte. It states that society as a whole,
Another basic characteristic in British sociology and each particular science, develops through three
was the concern for reforming individuals and then mentally conceived stages: (i) the theocratic stage,
keeping them to fulfil larger goals of society. Although (ii) the metaphysical stage, and (iii) the positive stage.
they could see the flaws in system but they were very (i) The theocratic stage refers to explanation by
much interested in putting the blame on individual personified deities. Comte broke this stage into 3 sub-
behaviour and attitudes. Their stand was clearly stages:
conservative was felt to be necessary to ward off the A. Animism: Turning everyday objects into items
ogre of Marxian socialism that had gained prominence. of extreme religious purpose and worship, perhaps with
Individual problems of many types were analyzed godlike qualities.
which included factors like ‘alcoholism, ‘crime’ or B. Polytheism: Explanation of things through the
‘ignorance’. However, gradually social structure use of many gods.
became more prominent particularly in the theories of C. Monotheism: Attributing all to a single,
social evolution. Herbert Spencer was one of the leading supreme deity.
figures of this approach. He believed in laissez faire. (ii) The Metaphysical stage refers to explanation
This meant that he wanted social dynamics to be by impersonal abstract explanation. Often those who
without external interventions and hence did not developed metaphysical systems believed they were
advocate social reform. engaging in scientific activity, but they were not.
SPENCER’S EVOLUTIONISM (iii) The positivity stage refers to scientific
Since Spencer was a ‘Social Darwinist’, he explanation based on observation, experiment, and

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believed that society would progress by itself. He felt comparison. Positive explanations rely upon a distinct
that this evolution should not be interfered with. method, the scientific method, for its justification.
Spencer supported the idea of ‘survival of the fittest’ Comte proposed a hierarchy of the sciences based
where those people who could adopt to the social and on historical sequence, with areas of knowledge passing
natural environment would live while those could not through these stages in order of complexity. The
so adapt had to die (Buttel, 1990). simplest and most remote areas of knowledge–

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For Spencer, society as an organism, which had mechanical or physical–become scientific first. These
interconnected parts or ‘organs’ and each had a role or are followed by the more complex sciences, those
function. Unlike Comte, Spencer’s evolutionism was considered closest to us.
thus the real material world. The sciences, then, according to Comte’s ‘law’,
Spencer’s evolution has at least two-fold. Firstly, developed in this order: Mathematics; Astronomy;

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the ‘size’ of society increases so do the various Physics; Chemistry; Biology; Psychology; Sociology.
infrastructural and institutional needs. Secondly, A science of society is thus the ‘Queen Science’ in
differentiation and specialization begin to manifest in Comte’s hierarchy as it would be the most
giving rise to complexity. Hence, Spencer viewed fundamentally complex. Through social science, Comte
increase in size from that of a simple to that which is believed all human social ills could be remedied.
complex or ‘compound’ society. Q. 2. Which were the most important early
Spencer presented yet another scheme where British sociologists? Give their theories in brief.
evolution takes place from militant to industrial society. Ans. Herbert Spencer was one of the most
Militant societies are early forms of organisation meant important early British sociologists. He developed an
for defense of a society or aggression towards another all-embracing conception of evolution as the
society. These attitudes were in themselves responsible progressive development of the physical world,
for increase in the size. However, when industrial biological organisms, the human mind, and human
societies face war they becomes dysfunctional and their culture and societies.
evolution is obstructed. In industrial societies, there is Spencer pointed that all structures in the universe
great human interaction and specialization. The state develop from a simple, undifferentiated, homogeneity
is simply a monitoring agency and its basic function is to a complex, differentiated, heterogeneity, while being
to maintain law and order in society. According to accompanied by a process of greater integration of the
Spencer, if a society is strongly bonded it will survive differentiated parts. This evolutionary process could
or else die out. be found at work, Spencer believed, throughout the
cosmos. It was a universal law, applying to the stars
SELF-ASSESSMENT QUESTIONS and the galaxies as much as to biological organisms,
Q. 1. Discuss Comte’s evolutionary scheme for and to human social organization as much as to the
the progression of society. human mind. It differed from other scientific laws only

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SOCIAL THEORY AND ITS CONTEXT / 5

by its greater generality, and the laws of the special Q. 2. How did the discipline of sociology
sciences could be shown to be illustrations of this develop?
principle. Ans. Sociology developed in the midst of the social
This attempt to explain the evolution of complexity and intellectual upheaval surrounding the Industrial
was radically different from that to be found in Revolution of the 19th century. Three branches of
Darwin’s Origin of Species which was published two sociology grew from roots in social activists a new breed
years later. Spencer is often, quite erroneously, believed of scientists dedicated to applying the scientific
to have merely appropriated and generalized Darwin’s approach to society and philosophers interested in
work on natural selection. But although after reading humanity’s social nature.
Darwin’s work he coined the phrase ‘survival of the Q. 3. What is the place of Marx, Comte,
fittest’ as his own term for Darwin’s concept, and is Spencer, Durkheim, Mead and Weber in the
often misrepresented as a thinker who merely applied development of sociology?
the Darwinian theory to society, he only grudgingly Ans. Karl Marx was the first major proponent of
incorporated natural selection into his pre-existing the conflict perspective. He believed that inequality
overall system. between classes causes conflict between groups of
The evolutionary progression from simple, people and that society must change in order to fulfil
undifferentiated homogeneity to complex, the needs of all the people. Auguste Comte was the
French scientist who gave sociology its name and
differentiated heterogeneity was exemplified, Spencer
promoted the scientific study of society. Herbert Spencer
argued, by the development of society. He developed a
extended his work developing the idea that society was
theory of two types of society, the militant and the
an organic whole that could be studied much like the

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industrial, which corresponded to this evolutionary human body–the beginnings of structural-
progression. Militant society, structured around functionalism. Emile Durkheim also promoted
relationships of hierarchy and obedience, was simple sociology as a science and strucutural functionalism
and undifferentiated; industrial society, based on as a perspective with his emphasis on social facts
voluntary, contractually assumed social obligations, explaining other social facts–for example, in his classic
was complex and differentiated. Society, which Spencer study, Suicide. George Herbert Mead focused on how

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conceptualized as a ‘social organism’ evolved from the we use symbols, including language and how our use
simpler state to the more complex according to the of symbols influences our social development and social
universal law of evolution. Moreover, industrial society life. Max Weber’s analysis of the major dynamics of
was the direct descendant of the ideal society developed society and social change provides the foundations for
in social statistics, although Spencer now equivocated much of the sociological theory and research of our

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over whether the evolution of society would result in time. His study ‘The Protestant Ethic and the Spirit of
anarchism (as he had first believed) or whether it Capitalism’ was an important study of the roots of the
pointed to a continued role for the state, albeit one Industrial Revolution which was sweeping the world.
reduced to the minimal functions of the enforcement Q. 4. What are the basic concepts of structural
of contracts and external defence. functionalism, the conflict approach and symbolic
Interactionism?
ADDITIONAL IMPORTANT QUESTIONS Ans. Structural functionalism assumes that order
Q. 1. What are theories, concepts and is dominant in society and that social arrangements
propositions and how are they used? arise and persist because they serve society and its
Ans. A sociological issue as a question we seek to members well. The conflict approach assumes the
answer with a theory or general explanation of a social dominant process in society is conflict and that society
phenomenon. A concept is a category of behaviour, divides into two groups the masses and small elite who
events or characteristics that are considered similar exploit them. The symbolic interaction perspective
for the sake of theory construction. A proposition is a assumes that the important action in society takes place
statement that explains one concept by means of around the use of symbols that channel our thoughts
another. If we seek to discover why racial groups and thereby define what is socially comprehensible and
sometimes live in harmony and sometimes so not, we incomprehensible. Practitioners of this approach often
may use the concept of racial harmony to describe the focus on interaction among individuals in contrast to
differing ways of relating. The behaviour is defined as the other perspective which tend to look more at social
indicating harmony exists. We would then state our institutions.
theory in propositions for example, different racial Q. 5. What are the contributions of Mills,
groups will live in harmony in situations where enough Collins, Parsons, Davis, Thomas and Goffman to the
work exists for all groups to earn a decent living. development of sociological theories?

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6 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

Ans. C. Wright Mills effectively promoted a respond to questions. In principle every member of the
general conflict perspective in the US focusing on social population has an equal chance of being selected so
class differences and introducing the concept of power the survey should give an accurate representation of
elite, a tiny minority of government, military and the views of a population. However, people may try to
business figures believed to control the US. Randal answer questions as they think the survey interviewer
Collins is one of the most articulate voices today from wants them to biasing the results of the research.
that perspective and he developed a formal theory of Analysis of existing sources is a research technique in
conflict applicable to all levels o society, especially which the researcher uses existing documents that were
analyzing the inequalities in the American educational created for some other purpose. This research generally
system. Talcott Parsons extended Durkheim’s tradition costs much less than the survey allows access to
into the 20th century developing the idea that society otherwise unavailable subjects and to date over long
could be viewed as a system that must adapt to changes periods of time and involves data that is not influenced
in its environment, pursue its goals, integrate itself by the interviewer. Documents used however, may be
with other systems and maintain order within itself biased toward their original purpose and thus distort
much like a biological organism. Kingsley Davis is a the true picture the researcher is trying to find. In an
major contemporary proponent of this structural observational study the researcher actually witness
functionalism perspective and he analyses wealth and social behaviour in its natural setting either as a
poverty from this viewpoint. W.I. Thomas extended participant or an unobtrusive observer. The advantage
Mead’s ideas, theorizing that people define or construct of this study is that research is accomplished by directly
their own social reality and that their definitions observing subjects’ behaviour thus permitting access
become real because they are real in their consequences. to non-verbal a well as verbal behaviour. Observation

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Erving Goffman has served as a major contemporary also allows for study over a time rather than at one
spokesperson for the symbolic interaction perspective point. An experiment is a research design in which
and he describes how people present themselves in the researcher exposes a group of subjects to a treatment
everyday life in order to manage the impression they and observes its effect usually in comparison to a similar
give to others. control group that did not receive the treatment.

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Q. 6. What is the scientific method and how can Experiments can demonstrate clearly that a variable
it be applied to the study of sociology? has a particular effect on the subject group because the
Ans. The scientific method involves eight basic researcher retains maximum control over the
steps: circumstances of the research. However, experiments
(a) Observation of an event that stimulates are very expensive. Sometimes an aspect of the

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thinking. experiment other than the treatment is the real cause
(b) Defining or classifying the terms or events of the experiment’s outcome, but this goes unnoticed
being considered. and the artificiality of many experimental settings
(c) Formulating the research issue or hypothesis. makes generalizing to natural settings risky.
(d) Generating a theory or proposition–a general Q. 8. What are some of the challenges and ethical
statement that serves as a potential answer to issues in the study of sociology?
the research question. Ans. Sociology faces the challenge of working with
(e) Creating a research design in order to test human beings and their social groupings because people
whether the theory or proposition is valid. have rights that limit what we can do with them while
(f) Collecting data-working through the research we are studying them. Sociological subjects can give
design to make observations. us important information but their information can be
(g) Analyzing the data. distorted. Sociologists must decide whether their own
(h) Making conclusions and evaluating the theory. views will influence their research and theory
Q. 7. What are the advantages and dis- development, either believing that knowledge is neutral
advantages of the survey method, analysis of existing or that value neutrality is either naïve or a rationalization
sources, observational study and experimental for the fact that one is working for the elite because
research in the study of sociology? most sociological research is funded by and dispropor-
Ans. A survey is a research method in which a tionately available to powerful elites.
representative sample of a population is asked to

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Concept and Theory 2

INTRODUCTION nature of the fever. This also tells others that which
parts or insects have affected the body. This helps in
Common words are developed into a technical understanding the nature and causes of the disease.
vacabuloury and are linked with certain properties Hence for curing the same we make use of specific
which can be scientifically explained are called tablets or injections. All this implies that concepts
concepts. A concept is a cognitive unit of meaning–an convey the same meaning to all of us in biology.
abstract idea or a mental symbol sometimes defined as Similarly, it is used in other science disciplines like
a ‘unit of knowledge’, built from other units which act physics and chemistry.

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as a concept’s characteristics. A concept is typically Conceptual Abstraction
associated with a corresponding representation in a Concept is an abstract idea which we cannot
language or symbology such as a single meaning of a see e.g. when we refer to the speaker of the Lok
term. These concepts are used in science, but social Sabha, we refer to its characteristics. Hence, speaker
science has also tried to use concepts though direct is an abstraction. There is a marked distinction
experimentation is not possible. In interaction, concepts between a proper noun and the abstract conceptions.

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lead to building of theories. For example, Durkheim,
Weber, Parsons and Merton have developed such CONCEPTS IN SOCIOLOGY:
theories. SOME ILLUSTRATIONS
CHAPTER AT A GLANCE There are some concepts that are frequently used
by sociologists. One word is used to signify one object

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WORDS AND LANGUAGE or a meaning and other words signify different
As human beings we use language in our meanings. Similarly, we use a particular word to group
interactions to convey our ideas, feelings and concerns. things into different categories, for example, Male,
This language is made of words which in a group form female, brother, sister etc., when the relationship is
meaningful sentences. Language is a social product. described among two persons the unit of two persons
Social interaction gets facilitated with words which are is known as a dyad. According to Radcliffe Brown, the
used many times to convey the same meanings. Then it first social relationship is dydic in nature. Moreover,
is possible for other persons to share it. the students will get related to the teacher in a particular
Consensual Meaning manner and will perform a specific role. This role gets
Consensual meaning is most effectively defined when repeated time and again and acquires a
practiced when words have the same meaning that pattern. Nadel defined an individual performing the
is understood by all at least in a defined group. We role as a person. According to him, one role is
may note that things are described through an performed by many individuals and person is many
agreed meaning of words which sometimes called individuals. Alternatively, an individual enters into
subjectivity agreement among persons. Adherents more interrelationship everyday and such a situation
of this concept deny any objectivity to things and is described as one individual becoming many persons
hence call reality as a social construct. The everyday.
philosophers from Vienna have proposed this view. CONCEPTS TO THEOREMS:
Among these philosophers, Karl Popper and NATURAL SCIENCES
Wallerstein’s names stands out. In arithmetic, we try to solve every question that
THE NATURE OF CONCEPTS is posed to us by adding, subtraction; or multiplication
When we use concepts or words with their technical and division. Each exercises is solved individually.
meaning like ‘malaria’ or ‘influenza’ we indicate the However, in algebra, we have a formula or a method

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8 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

of solving a problem and values thus calculated remain society. Merton was a serious student of Parsons who
valid for many cases. This is discovering a principle tried a fresh combination of empirical studies and grand
or a common method for doing each individually. The theory. He coined the phase ‘theories of the middle
discovery of a method common to several cases leads range’–middle between a grand theory and pure
us to evolving a formula. Further in geometry, there are description. Merton’s distinction between social
a set of theorems describing the interconnection between problems and sociological problems was well taken by
various concepts like points, lines, etc. The inter- M.S. Gore. M.N. Srinivas through ‘Sanskritization’
connection of theorems, in turn, leads to theory in and ‘dominant caste’ attempted conceptualising for
general. The particular word used in sciences is called studying special features of the Indian society.
a concept and their inter connections lead to theory better Similarly, Adrian C. Mayer found it useful to study
known as ‘laws’. For example, Newton’s laws of municipal elections in Dewas of Madhya Pradesh.
motion or theory of gravity.
Science is said to be impersonal because its laws SELF-ASSESSMENT QUESTION
and theories do not depend on the status of a person. Q. Read concepts to theorems: Natural Science
There are two processes in theory building: inductive and give your explanation, interpretation and
and deductive. It is deductive when an inquiry is commentary.
conducted or a problem solved on the basis of existing Ans. In arithmetic, we try to solve every question
knowledge about concepts and theory and illustrated as that is posed to us by adding, subtraction; or
case of a more general application. Alternatively, if we multiplication and division. Each exercises is solved
move from facts and arrive at an explanation that process individually. However, in algebra, we have a formula
is known as induction. or a method of solving a problem and values thus

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TOWARDS SOCIAL SCIENCE: calculated remain valid for many cases. This is
DURKHEIM, WEBER AND BEYOND discovering a principle or a common method for doing
Comte, Durkheim and Radcliffe Brown believed each individually. The discovery of a method common
that social science could follow the methods of science to several cases leads us to evolving a formula. Further
while Dilthey, was opposed to this view. Weber in geometry, there are a set of theorems describing the
attempted the middle path. Moreover, we have Marxism interconnection between various concepts like points,

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and Parsonian systems tried to build grand theories lines, etc. The interconnection of theorems, in turn,
Durkheim illustrated his example theory building leads to theory in general. The particular word used in
through his study of suicide rates and explaination of sciences is called a concept and their interconnections
their variation. lead to theory better known as ‘laws’. For example,
The studies of Durkheim gave rise to many studies Newton’s Law of Motion or Theory of Gravity.

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later and his concepts were used with some modi- Science is said to be impersonal because its laws
fications in sociology as well as psychology. and theories do not depend on the status of a person.
(a) Max Weber: Max Weber’s treatment of the There are two processes in theory building: inductive
Protestant ethic also invited attention and was used as and deductive. It is deductive when an inquiry is
a counter point by writers studying other faiths conducted or a problem solved on the basis of existing
suggesting a kind of ‘negation of negation’. Further, knowledge about concepts and theory and illustrated
Marxist scholars emphasized on ‘structural’ factors as as case of a more general application. Alternatively, if
being: decisive than the ‘cultural’ as propounded by we move from facts and arrive at an explanation that
Weber. This dynamism shows the process of science process is known as induction.
where concepts and theories of classical writers are
linked with modern situations by other scholars. ADDITIONAL IMPORTANT QUESTIONS
(b) Parsons and Merton: Often it has been found Q. 1. What do you mean by Concept?
that young author was different from the matured one, Ans. Simply, a concept is an abstract notion or
where the younger is more general and the ‘mature’ is idea, something that isn’t concrete.
more specific. An observation at Parsons suggests that According to Theodorson and Theodorson, “A
Towards a General Theory of Action and Social System word or set of words that expresses a general idea
to an extent mark the first phase of his life similar to concerning the nature of something or the relations
Marx’s philosophical manuscript and the Communist between things, often providing a category for the
Manifesto. The Das Capital of Marx is more mature classification of phenomena.”
and specific. In other words a concept is an abstract summary of
(c) Theories of Society: At the end of Parson’s characteristics that we see as having something in
life, specifics gained currency, and the treatment got common. Concepts are created by people for the purpose
grounded in the empirical situation of the American of communication and efficiency.

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CONCEPT AND THEORY / 9

A concept has no set meaning and it is up to us to of the actual historical world as it is unfolding).
define what we mean by the concept. But if concepts Theories in various fields of study are expressed in
have no set meaning then anyone can define a concept natural language, but are always constructed in such a
in any way that they wish. But if everyone can define way that their general form is identical to a theory as it
the concept in any way they like the concept becomes is expressed in the formal language of mathematical
worthless; unless there is agreement on the meaning logic. Theories may be expressed mathematically,
communication is impossible. A concept therefore, has symbolically, or in common language, but are generally
to be defined, but in such a way that it has a degree of expected to follow principles of rational thought or logic.
acceptance. Experts in the field usually propose such Theory is constructed of a set of sentences which
definitions. consist entirely of true statements about the subject-
As a researcher you would be expected to matter under consideration. However, the truth of any
review this range of definitions, and one of these statements is always relative to the whole
decide on which you are going to use. theory. Therefore, the same statement may be true with
Concepts are of central importance to an overall respect to one theory, and not true with respect to
theory of cognition and the mind. Our thoughts, another. This is, in ordinary language, where statements
especially those that express or involve propositions, such as “He is a terrible person” cannot be judged to
are analyzed and distinguished from one another by be true or false without reference to some interpretation
appeal to various facts involving concepts and our grasp of who ‘He’ is and for that matter what a ‘terrible
of them. Similarly, our linguistic utterances that express person’ is under the theory.
propositions also express concepts, since concepts are More substantial definitions of a theory are:
normally thought to be closely related to, or even A theory is a set of interrelated principles and

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identified with, the meanings of entities like predicates, definitions that present a systematic view of
adjectives, and the like. Our understanding and phenomena by specifying relationships among
interaction with the world also involves concepts and variables with the purpose of explaining
our grasp of them. Our understanding that a given thing natural phenomena.
is a member of a given category is at least partly in Any set of hypotheses or principles linked by
virtue of our grasp of concepts, and so are our acts of logical or mathematical arguments which is

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categorizing. Such capacities involve our knowledge in advanced to explain an area of empirical reality
an essential way, and thus such philosophical issues of type of phenomenon.
regarding our epistemic capacities are tied to issues In effect a theory includes a set of basic assumptions
about concepts and their nature. There may be some and axioms as the foundation and the body of the theory
features and capacities of the mind that do not involve is composed of logically interrelated, empirically

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concepts, but certainly the vast number of them do, verifiable propositions.
Q. 3. Discuss about Theories vs. Theorems.
and thus the task of identifying the correct general
Ans. Theories are distinct from theorems.
theory of concepts is significant to the philosophy of
Theorems are derived deductively from theories
mind, philosophy of language, cognitive science, and
according to a formal system of rules, generally as a
psychology. first step in testing or applying the theory in a concrete
After an introduction listing many of the more situation. Theories are abstract and conceptual, and to
significant philosophical questions concerning concepts, this end they are never considered right or wrong.
the article provides a detailed list of goals for an overall Instead, they are supported or challenged by
or complete theory of concepts, sorted according to tasks observations in the world. They are ‘rigorously
related to the metaphysics, analysis, and epistemology tentative’, meaning that they are proposed as true but
of concepts. The article also gives a detailed exposition expected to satisfy careful examination to account for
of the main theories of concepts that have been the possibility of faulty inference or incorrect
proposed, along with some of the more important observation. Sometimes theories are falsified, meaning
objections that have been raised in criticism of each. that an explicit set of observations contradicts some
An annotated bibliography is at the end. fundamental assumption of the theory, but more often
Q. 2. What is Theory? theories are revised to conform to new observations,
Ans. Theories are analytical tools for under- by restricting the class of phenomena the theory applies
standing, explaining, and making predictions about a to or changing the assertions made. Sometimes a theory
given subject matter. There are theories in many and is set aside by scholars because there is no way to
varied fields of study, including the arts and sciences. A examine its assertions analytically; these may continue
formal theory is syntactic in nature and is only on in the popular imagination until some means of
meaningful when given a semantic component by examination is found which either refutes or lends
applying it to some content (i.e. facts and relationships credence to the theory.

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10 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

Q. 4. What do you mean by Sociological societies were often seen as barbaric and less
Theory? developed.
Ans. Social theory is the use of theoretical Q. 7. Write about social forces in the
frameworks to study and interpret social phenomena development of Sociological Theory.
within a particular school of thought. An essential tool Ans. The social conditions of the 19th and early
used by social scientists, theories relate to historical 20th centuries were of the utmost significance to the
debates over the most valid and reliable methodologies development of sociology. The chaos and social disorder
(e.g. positivism and antipositivism), as well as the that resulted from the series of political revolutions
primacy of either structure or agency. Certain social ushered in by the French Revolution in 1789 disturbed
theories attempt to remain strictly scientific, many early social theorists. While they recognized that
descriptive, and objective. Conflict theories, by contrast, a return to the old order was impossible, they sought to
present ostensibly normative positions, and often find new sources of order in societies that had been
critique the ideological aspects inherent in conven- traumatized by dramatic political changes.
tional, traditional thought. The Industrial Revolution was a set of
Q. 5. Discuss about the origin of Social Theory. developments that transformed Western societies from
Ans. The origins of social theory are difficult to largely agricultural to overwhelmingly industrial
pinpoint, but debates frequently return to Ancient systems. Peasants left agricultural work for industrial
Greece. From these foundations in Western philosophy occupations in factories. Within this new system, a few
arose enlightenment social contract theory, sociological profited greatly while the majority worked long hours
positivism, and modern social science. Today, ‘social for low wages. A reaction against the industrial system
science’ is used as an umbrella term to refer, not just to and capitalism led to the labour movement and other

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radical movements dedicated to overthrowing the
sociology, but also to economics, political science,
capitalist system. As a result of the Industrial
jurisprudence, and other disciplines. Social theory is
Revolution, large number of people moved to urban
accordingly interdisciplinary; drawing upon ideas from
settings. The expansion of cities produced a long list
fields as diverse as anthropology and media studies. of urban problems that attracted the attention of early
Social theory of an informal nature, or authorship based sociologists.

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outside of academic social and political science, may Socialism emerged as an alternative vision of a
be referred to instead as ‘social criticism’ or ‘social worker’s paradise in which wealth was equitably
commentary’. Similarly, ‘cultural criticism’ may be distributed. Karl Marx was highly critical of capitalist
associated both with formal cultural and literary society in his writings and engaged in political activities
scholarship, as well as other non-academic or to help engineer its fall. Other early theorists recognized

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journalistic forms of writing. the problems of capitalist society but sought change
The social conditions of the 19th and early 20th through reform because they feared socialism more than
centuries were of the utmost significance to the they feared capitalism.
development of sociology. Feminists were especially active during the French
Q. 6. Discuss about the intellectual ideas that and American Revolutions, during the abolitionist
went into the making of Sociology. movements and political rights mobilizations of the mid-
Ans. Influenced by scientific theories of natural 19th century, and especially during the progressive era
evolution and findings about pre-modern societies in the United States. But feminist concerns filtered into
made by early travellers, colonial administrators, early sociology only on the margins. In spite of their
sociologists and social anthropologists sought to marginal status, early women sociologists like Harriet
categorise societies into types and to distinguish stages Martineau and Marianne Weber wrote a significant body
in social development. These features reappear in the of theory that is being rediscovered today.
19th century in works of early sociologists, Auguste All of these changes had a profound effect on
Comte, Karl Marx and Herbert Spencer. Efforts were religiosity. Many sociologists came from religious
therefore made to classify different types of societies backgrounds and sought to understand the place of
on that basis, for instance: religion and morality in modern society.
 Types of pre-modern societies such as hunters Throughout this period, the technological products
and gatherers, pastoral and agrarian, agrarian of science were permeating every sector of life, and
and non-industrial civilizations. science was acquiring enormous prestige. An ongoing
 Types of modern societies such as the debate developed between sociologists who sought to
industrialized societies. Such an evolutionary model their discipline after the hard sciences and those
vision assumed that the west was necessarily who thought the distinctive characteristics of social
the most advanced and civilised. Non-western life made a scientific sociology problematic and unwise.

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11

Theory and Paradigm 3

INTRODUCTION but also reflects its required scientific status. The

essence of scientific research is its progresses through
Theories are analytical tools for understanding, the process of falsification.
explaining, and making predictions about a given CHAPTER AT A GLANCE
subject matter. There are theories in many and varied
fields of study, including the arts and sciences. A formal SOCIOLOGICAL THEORIES
theory is syntactic in nature and is only meaningful The nature, meaning and types of sociological
when given a semantic component by applying it to theories can be divided into five parts. First, we can

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some content (i.e. facts and relationships of the actual try to understand the nature and meaning of the
historical world as it is unfolding). Theory is a concept sociological theories during its classical period. Second,
which originally derives from ancient Greek ‘theoria’, we can discuss about the nature and types of
which originally meant ‘a looking at, viewing, contemporary sociological theories. Third, we can
beholding’, but in philosophy specifically came to refer discuss on the recent advances made in sociological

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to contemplation or speculation, as opposed to action, theories–the maturing of sociology as a subject. Fourth,
including ‘practice’, actions done for their own sake, we shall come to know about theories and perspectives
but also to poiêsis or technê, things done because in sociology that characterise the subject and here we
instrumental to some other aim. shall see how several doubts over the nature and types
It was Pythagoras who gave the word ‘theory’ its of sociological theories were clarified. Finally, we shall

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modern meaning. In a modern context the distinction examine how certain challenges were put forward
between theory and practice corresponds roughly to before the sociological theory and how it responded to
the distinction between theoretical science and such problems and challenges.
technology or applied science. In modern science the
term ‘theory’, or ‘scientific theory’ refers to a proposed CLASSICAL SOCIOLOGICAL THEORIES
explanation of empirical phenomena, made in a way Classical sociological theories belong to the period
consistent with the scientific method. Such theories when sociology emerged as a new discipline. During
are preferably described in such a way that any scientist this period it was asserted that the scientific study of
in the field is in a position to understand, verify, and society is possible. Before this, the science of society
challenge (or ‘falsify’) it. could not emerge out. Auguste Cornte (1798-1857), a
Theories are constructed to explain, predict, and French sociologist and philosopher, coined the term
master phenomena (e.g. inanimate things, events, or sociology. The most creditable work done by him is
behaviour of animals). A scientific theory can be the establishing sociology as a scientific as welt as an
thought of as a model of reality, and its statements as independent discipline.
axioms of some axiomatic system. The aim of this LAW OF THREE STAGES
construction is to create a formal system for which After establishing sociology as a separate and
reality is the only model. The world is an interpretation independent discipline, Auguste Comte divided
(or model) of such scientific theories, only insofar as sociology into two parts called social statistics and
the sciences are true. social dynamics. The first dealt with the questions of
The proposition for building theories must be equilibrium in society and the second with the problems
formulated in such a way so that it bears the quality of of change in society. Auguste Comte also discussed
being falsified. This type of approach is very much hierarchy of sciences such as astronomy, mathematics,
helpful in formulating not only sociological theories, physics, chemistry, biology and sociology. He argued

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12 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

that sociology can’t be reduced to other science. material social facts are the values, norms and other
Auguste Comte also reffered to the law of three stages conceptually held beliefs.
namely theological, metaphysical and scientific. He MARXIAN IDEOLOGY
explained that every society passes through these three Karl Marx (1818-1883) followed Ludwig
stages. In the theological stages all the explanations Feuerbach (1804-1872) in criticizing Hegel for
were attributed to God while in the second stage neither favouring abstract ideas over real people. Marx adopted
as the events taking in nature were considered neither a materialist orientation that focused on real material
as a supernatural act nor as based upon scientific entities like wealth and the state. He argued that the
explanations. He called the third stage as scientific problems of modern society could be traced to real
stage, where the explanations are examined rigorously material sources like the structures of capitalism. Yet
and no explanation is considered as a final one. he maintained Hegel’s emphasis on the dialectic,
Comte’s philosophy of positivism dominated forging a position called dialectical materialism that
the academic scene not only in France but over the held that material processes, relationships, conflicts,
entire Europe. In the notion of positivism, Auguste and contradictions are responsible for social problems
Comte suggested that his scientific method for the study and social change.
of society would be based upon observation and Marx’s materialism led him to posit a labour theory
experiment. of value, in which he argued that the capitalist’s profits
Emile Durkheim carried forward the fate of were based on the exploitation of the labourer. Under
sociology after Comte. the influence of British political economists, Marx grew
DurkheImian Approach to deplore the exploitation of workers and the horrors

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The tradition of positivism established by of the capitalist system. Unlike the political economists,
Auguste Comte, was followed by Emile Durkheim his view was that such problems were the products of
(1858-1917). Durkheim continued from where an endemic conflict that could be addressed only
Comte had left. He still dealt with the questions through radical change. While Marx did not consider
like whether it was possible to apply the laws of himself to be a sociologist, his influence has been strong
natural sciences for the scientific study of society in Europe. Until recently, American sociologists
or not and his answer was ‘yes’. He tried to

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dismissed Marx as an ideologist.
demonstrate how could it actually be done and The following concepts of Marx have aided
elabourated his approach in his book, The Rules of sociological thought significantly:
Sociological Method.  Dialectical Materialism
Durkheim stressed on the study of ‘social facts’.  Materialistic Interpretation of History i.e.

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The concept of social facts not clarifies his Historical Materialism
methodological as well as theoretical formulations but  Class and Class-conflict
also helps in establishing sociology as a new, important  Alienation
and independent scientific discipline. Accordingly, his Marx believed that he could study history and
other formulations like the division of labour in society, society scientifically and discern tendencies of history
the study of suicide, the notion of elementary forms of and the resulting outcome of social conflicts. Marx’s
religious life and views on education and sociology view of history, which came to be called the materialist
are all related to the formulations built around social conception of history (and which was developed further
facts of his theory. Durkheim defined social facts as as the philosophy of dialectical materialism) is certainly
ways of feeling, thinking and acting commonly spread influenced by Hegel’s claim that reality (and history)
among the aggregate of the individuals in society. should be viewed dialectically. Marx’s acceptance of
The task of the sociologist, then, was to search for this notion of materialist dialectics which rejected
correlations between social facts to reveal laws. Having Hegel’s idealism was greatly influenced by Ludwig
discovered the laws of social structure, it is posited Feuerbach. The other important contribution to Marx’s
that the sociologist is then able to determine whether revision of Hegelianism was Engels’ book, The
any given society is ‘healthy’ or ‘pathological’ and Condition of the Working Class in England in 1844,
prescribe appropriate remedies. Durkheim made two which led Marx to conceive of the historical dialectic
main distinctions between social facts–material and in terms of class conflict and to see the modern working
non-material social facts. Material social facts, he class as the most progressive force for revolution. Karl
explained, has to do with the physical social structures Marx inherits that Hegelian dialectic and, with it, a
which exerts influence on the individual. It is disdain for the notion of an underlying invariant human
something that can be touched emerging because of nature. Sometimes Marxists express their views by
society’s shared belief that it serves a purpose. Non- contrasting ‘nature’ with ‘history’. Sometimes they use

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THEORY AND PARADIGM / 13

the phrase ‘existence precedes consciousness’. Marx large influence on many of the ideas that are used in
was especially concerned with how people relate to that sociology today.
most fundamental resource of all, their own labour- PARSON’S ACTION THEORY
power. Marx wrote extensively about this in terms of In sociology, action theory refers to the theory of
the problem of alienation. As with the dialectic, Marx social action presented by the American theorist Talcott
began with a Hegelian notion of alienation, but Parsons.
developed a more materialist conception. Parsons established action theory in order to
WEBERIAN IDEOLOGY integrate the study of social order with the structural
The theories of Max Weber (1864-1920) can be and voluntaristic aspects of macro and micro factors.
seen as the fruit of a long debate with the ghost of In other words it may be described as an attempt to
Marx. While Weber was not familiar with Marx’s maintain the scientific rigour of positivism, while
writings, he viewed the Marxists of his day as economic acknowledging the necessity of the ‘subjective
determinists who offered single cause theories of social dimension’ of human action incorporated in
life. Rather than seeing ideas as simple reflections of hermeneutic types of sociological theorizing. Parson
economic factors, Weber saw them as autonomous sees motives as part of our actions. Therefore, he
forces capable of profoundly affecting the economic thought that social science must consider ends,
world. Weber’s most famous work is his Essay in purposes and ideals when looking at actions. Parsons
Economic Sociology, The Protestant Ethic and the placed his discussion within a higher epistemological
Spirit of Capitalism, which also began his work in the and explanatory context of system theory and
sociology of religion. The work examines the effects cybernetics.

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Protestantism had upon the beginnings of capitalism, Parsons developed a general theory for the study
arguing that capitalism is not purely materialist in Karl of society called action theory, based on the
Marx’s sense, but rather originates in religious ideals methodological principle of voluntarism and the
and ideas which cannot be solely explained by epistemological principle of analytical realism. The
ownership relations, technology and advances in theory attempted to establish a balance between two
learning alone. major methodological traditions, that of the utilitarian-

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In another major work, Politics as a Vocation, positivist tradition on the one hand and the herme-
Weber defined the state as an entity which claims a neutic-idealistic tradition on the other. For Parsons,
‘monopoly on the legitimate use of violence’, a voluntarism established a third alternative between
definition that became pivotal to the study of modern these two. More than a theory of society, Parsons
Western political science. His analysis of bureaucracy presented a theory of social evolution and a concrete

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in his Economy and Society is still central to the
modern study of organizations. Weber was the first to
recognize several diverse aspects of social authority,
interpretation of the ‘drives’ and directions of world
history.
Parsons analyzed the work of Émile Durkheim,
which he respectively categorized according to their and Vilfredo Pareto and evaluated their contributions
charismatic, traditional, and legal forms. His analysis within the light of the paradigm of voluntaristic action.
of bureaucracy thus noted that modern state institutions Parsons was also largely responsible for introducing
are based on a form of rational-legal authority. Weber’s and interpreting Max Weber’s work to American
thought regarding the rationalizing and secularizing audiences. In an article late in life, Parsons explicitly
tendencies of modern Western society (sometimes wrote that the term ‘functional’ or ‘structural
described as the ‘Weber Thesis’) would come to functionalist’ were inappropriate ways to describe the
facilitate critical theory, particularly in the work of character of his theory. For Parsons ‘structural
thinkers such as Jurgen Habermas. functionalism’ was the term of a particular stage in
The concept of the ideal type came about so the the methodological development of the social science;
sociologists and others would have a method to do it was never a name for any specific school or specific
historical comparative studies. The ideal type is mainly direction. ‘Functionalism’ itself was a universal method
discussing moral ideals. Weber used this method to and again not a name for any specific school. In the
form an ideal type bureaucracy with the following: same way, the concept ‘grand theory’ is a derogative
hierarchy, impersonality, written rules of conduct, term, which Parsons himself never used.
promotion based on achievement, specialized division After Parsons, it was the task of some other
of labour, and efficiency. Max Weber said that sociology scholars/sociologists to verify and test his theories.
is a science that is concerned with a social action and However, for sociology to grow as a subject, it was
the course and/or consequences of the action. He had a necessary to strike a balance between theoretical

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14 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

formulations and factual information. Robert K. Merton In the first phase, theories of explanation are
has tried to move exactly in that direction. incomplete and competing with each other. When at
Merton’s Contributions some point one of the theories establishes itself it ushers
The effort of Robert K. Merton (1910-) is an in the phase of normal science. In normal phase, a
attempt to strike a reasonable balance between single theory or a set of theories emerge dominant
theory and fact. According to him, neither theory which is called by Kuhn as a paradigm. In a situation
nor facts alone would suffice to move in the desired of paradigm shift the situation is one where the previous
direction. He argued to develop research theories have proved to be redundant and are even
methodology in such a way as it not only included dicarded. For example, paradigm shift occurred when
a meaningful balance between theory and fact, but Einstein’s theory of relativity replaced Newton’s theory
also attempted to improve the quality of both. He of gravity. By paradigm shift is meant a rather drastic
who attempted to rebuild and reformulate if not total replacement of the previously established
‘functional theory’ has identified several mistakes theories of science and social science.
committed unknowingly by earlier scholars and SELF-ASSESSMENT QUESTIONS
later he attempted to reconstruct functional theory.
Q. 1. Give an account of classical sociological
According to Merton’s belief that. the whole of theories.
functional theory could not be abandoned or discarded Ans. Classical sociological theories asserted that
because some of the mistakes were committed by some the scientific study of society is possible. Auguste Comte
of the contributors. According Merton, we should learn coined the term sociology. The most creditable work
from the mistakes, identify them, try to remove them

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done by him is the establishing sociology as a scientific
and make functional theory as a viable approach for as well as an independent discipline. Emile Durkheim
research investigations in sociology. In his book, Social followed the tradition of positivism established by
Theory and Social Structure (1968), while Comte, and continued from where Comte had left. He
reconstructing functional theory, Merton has referred tried to demonstrate how could the scientific study of
to three postulates: the postulate of functional unity of society actually be done and elabourated his approach
society; the postulate of universal functionalism and

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in his book, The Rules of Sociological Method. He
the postulate of indispensability. Moreover, Merton has emphasised on the study of ‘social facts’. The concept
explained about what he calls it, ‘Middle Range of social facts not clarifies his methodological as well
Theories’ and has also clarified in detail about as theoretical formulations, but also helps in
‘Reference Group Theory’. establishing sociology as a new, important and
RECENT ADVANCES

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independent scientific discipline.
IN SOCIOLOGICAL THEORIES Marx’s work has also contributed to the emergence
Apart from the works of classical sociologists like of sociology. Marx believed that he could study history
Auguste Comte, Emile Durkheim, A.R. Radcliffe- and society scientifically and discern tendencies of
Brown, Branislaw Malinowski, and the writings of history and the resulting outcome of social conflicts.
Talcott Parsons and Robert K. Merton which were His view of history is materialist and was developed
mainly concerned with the philosophy of positivism, further as the philosophy of dialectical materialism.
there was another stream of thought emerging out and As opposed to Marx, and other positive sociologists,
encouraged by the German sociologists like Max Weber. Weber advocated interpretative sociology. According
Max Weber defined sociology as an interpretative to him, sociology is a science that is concerned with a
understanding of social action and initiated the debate social action and the course and/or consequences of
on why the elements of subjectivity, subjective the action. He gave Verstehen approach for it and
understanding and Verstahen should form a part of developed ideal type of bureaucracy.
sociology. Q. 2. Provide an outline of recent advances in
THE CONCEPT OF PARADIGM sociological theories.
Kuhn was the first to suggest that development Ans. By defining sociology as an interpretative
within a discipline, especially science, is not a gradual understanding of social action, Max Weber initiated
process but takes place quite suddenly. Therefore, the debate on why the elements of subjectivity,
Kuhn’s books, The Structure of Scientific Revolution subjective understanding and Verstahen should be
describes these sudden changes as ‘paradigm shifts’. included in sociology.
Kuhn opines that science and by extensions social After Weber, many areas i.e. new areas of research
science undergoes its process in three phases: Pre- have developed among which phenomenology and
scientific phase, Normal science and Paradigm shift. ethnomethodology are very important. They represent

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THEORY AND PARADIGM / 15

the main areas concerned with the recent advances conflict, tensions, and contradiction that are eminent
made in sociological research. More over, post- in the society. Critical theorists want to present the
modernism and globalization studies have also reality as it is by the revealing myth and illusions. They
emerged. With the advancement of sociology certain want to present the real structure of myth of reality.
perspectives clearly emerge. Important ones among They think human has great potential for creativity
them are functional perspective, conflict perspective, and adjusment. Some social factors stop them moving
exchange perspective and symbolic inter-actionist and creating hurdles in their way their fellow men,
perspective. which convince them that their fate is correct and
acceptable.
ADDITIONAL IMPORTANT QUESTIONS
Q. 2. What do you mean by Theory?
Q. 1. What is Paradigm? Discuss the types of Ans. Theories are a set of logical propositions that
paradigm. are presented in a systematic way which describe and
Ans. Paradigm is a set of propositions that explain explain any behaviour. These are logically constructed
how the world is perceived it contains a world view a statement that includes some information in any
way of breaking down the complexity of the real world. particular area. Theories are such a statements always
Paradigms are broad theoretical formulations. open for testing, reviewing, reformulating, modifying,
They provide us sets of assumptions that help us to adding.
find out the description of the reality so that we derive Q. 3. What is the relation between sociological
some hypothesis. paradigm and sociological theories?
Based on hypothesis we can have help on research Ans. The concept of scientific paradigm and
particularly the sociological paradigm, is closely

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on specific process and effects.
Paradigm is a whole system of thinking. It is connected to sociological theories. If we assume that a
different insight to viewing and perceiving world to scientific paradigm represents a general hypothesis of
observe things and any social reality based on the basic scientific knowledge, a general knowledge which can
assumptions be presented both as a practical one and as a specific
Types of paradigms are: matrix of scientific research, then we can talk about a

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1. Positivistic Perspective wider and more exact system of views, attitudes and
2. Interpretive Perspective theories concerning the scientific explanation of
3. Critical Perspective objective reality. In its widest meaning, a scientific
1. Positivistic Perspective: As this is old form of paradigm is ‘a set of facts and convictions which is
paradigm work of A.Comte and E.Durkeim, this systematically presented, that is presented as a theory

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approach defines reality as everything we perceive whose function is to initiate theoretical productions,
through our senses. Other sources of knowledge are and practical research in certain fields thereafter, so
unreliable. Reality is always before us that require that it appears in this sense as a source of some future
experiences to be realized that is objective. Science is or already existing theoretical composition.” In
based on strict rules and procedures. accordance with that, a sociological paradigm
2. Interpretive Perspective: It consist the work represents a fundamental illustration of the society (the
of Vice, Dilthey, and Weber, accroding to them reality definition of its concept, the comprehension of its
does not exist or out there but it exists at the minds of structure and dynamics) which has been more or less
people. It is internally experiences through social accepted in the association of sociologists during certain
interaction and interpreted by the actors and reality is periods of this science development.
not subjective not objective. The sociological paradigm performs significant
This approach realizes reality from specific to functions in a qualitative sociological analysis.
general and from the concrete to the abstract. It is also According to Merton, at least five functions of a
ideographic and presents the reality symbolically in a paradigm in sociology may be specified: (a) the function
descriptive form. of defining concepts, (b) the function of decreasing the
Critical Perspective: It is work of Karl Marx and probability of unconscious introduction of latent
other critical theorist and feminists. They see the reality assumptions and concepts, (c) the function of
in a different manner and perspective. Reality is created cumulating theoretical interpretations, (d) the function
not by nature but some influential powerful people tend of concept systematization, and, (e) the function of
to change and manipulate conditions and brainwash qualitative analysis codification. The first function of
others to perceive things according to powerful people the paradigm in sociology is to provide precision in
own will and desire. Their viewpoint reality is not as designating the central concepts of a sociological
like as it appears to be. For it often does not reflect the analysis, and it can almost be compared to the

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significance and functions of mathematical symbols systems of thought in the science of sociology. “The
in natural sciences. Moreover, the paradigm implies first step in a large revitalization of sociology lies, then,
logical concept derivation from previously clearly in the synthesis, in supplementation of mutually
defined concepts. The cumulation of theoretical exclusive streams: a modern system theory, critical
interpretations in a sociological paradigm enables new theories of the society, theories of radical changes
theoretical attitudes to be derived from and supported (dialectics), as well as in the apprehension of social
by the previous ones, producing a coherent theoretical phenomena as the phenomena with certain meanings.
structure. In case the fundamental paradigm Comparative investigation of objective circumstances
assumptions are weak, new theoretical statements and subjective motives, observation of the phenomenon
cannot withstand theoretical and empirical verification. in the system frame, but of more profound changes as
Paradigms may nitiate the systematization of well, critical examination of the existent and also of
significant concepts, as well as point out the need of the desirable and possible future (alternative)–all of
empirical and theoretical investigation of certain that provides incomparably more powerful intellectual
problems. Paradigms also contribute to certain instruments for the understanding of the new, more
codification and unification of procedures in partial complex world that is being formed. Yet, it gives much
and global researches. more, in fact. A new sociological paradigm, critical
In this respect, in the framework of sociology we interpretation and comprehension of existing and
may find the old sociological paradigm and the new search for more rational social life forms, and a
sociological paradigm, which mutually differ with desirable and possible future, have become a decisive
regard to the theories, methods and instruments applied factor of great cultural transformations brought into
in learning about the social totality. Professor Miroslav focus by history.” In this manner, sociology is actively

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Pecujlic is of the opinion that the old (classical) included into the modern civilization courses, it
sociological paradigm pervaded classical sociological observes and analyses contemporary society and
theories and so called objectivistic theories (positivism, establishes itself as a modern science. “A true history
functionalism, system theories, structuralism). The of sociological theory has to exceed by evidence the
statements and attitudes of a classical sociological chronologically arranged disquisition set; it has to deal

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paradigm are predominant in them, particularly the with interrelations between the theory and other items,
conceptions of linear progress and historical like the social origin and status of its exponents, a
determinism, mechanical comprehension of the variable social organization of sociology, changes of
universe, idealized image of the society in the centre the ideas brought about by their expanding, and the
of which are order, harmony, non-conflicting, and in relations of ideas toward the surrounding social and

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which the conflicts, social struggles, force and cultural structure.”
domination, social changes, discontinuity, great Being that sociology is a multi-paradigmatic
obsession of theory by apology and governing system science (Ritzer), and we can agree with that, in a
preservation, dominance of system over personality, sociological explanation we should also take into
limited picture of historical actors, are either excluded consideration the verified data of various theories and
or less discussed. paradigms developed in its scope. In this respect, the
A new sociological paradigm is created on research of the social structure in modern society, for
completely new assumptions and knowledge, such as example, demands the application of both social class
the openness of history, entropic comprehension of the and stratification theories, which may cover the
world (a danger of the planet destruction), the research subject more complexly if combined in use.
beginning of an era of great cultural transformations, Ritzer’s paradigms may in this sense be understood as
mutual permeance of social processes of continuity and complementary and not exclusive and mutually
discontinuity, the necessity of free human actions independent paradigms. Namely, although the
development, the appearance of new agents of social paradigm of social facts, paradigm of social definitions
changes, the beginning of social movements, the outset and social-behavioural paradigm differ in their
of new factors of social dynamics. Alongside with that, contents, their statements are respected in modern
a new sociological paradigm organically originates sociology.
from the critical and creative meditation of previous

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17

Social Construction of Reality 4

INTRODUCTION order to perpetuate itself society takes recourse to both

socialisation and education and continues to control
In our society, reality is not a monolithic the individual to some extent and even bring within
construction, but rather consists of several layers of him a sense of responsibility to further perpetuate his
meaning and existence. The Social Construction of reality during his life time.
Reality is a book about the sociology of knowledge Our reality and experience are all constructed by
written by Peter L. Berger and Thomas Luckmann and human beings in communities, large groups, nation-
published in 1966. states, and at times by much larger concerns than the

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The work introduced the term social construction nation state itself. The task of the sociology of
into the social sciences and was strongly influenced knowledge is to indicate how precisely these
by the work of Alfred Schutz. The main concept of constructions of social reality are evolved by human
The Social Construction of Reality is that persons and beings and groups and community of human beings.
groups interacting together in a social system form,
PHENOMENA OF SOCIAL REALITY

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over time, concepts or mental representations of each
other’s actions, and that these concepts eventually According to Berger and Luckmann, to study the
become habituated into reciprocal roles played by the phenomena of social reality means that we use everyday
actors in relation to each other. When these roles are common sense reality as a point of departure. Hence,
made available to other members of society to enter knowledge ultimately comprises the interaction and
participation in social life and process. Berger is

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into and play out, the reciprocal interactions are said
to be institutionalised. In the process of this institution- interested in finding out how humans produce and
alisation, meaning is embedded in society. Knowledge perpetuate social life. Hence, by trying to understand
and people’s conception (and belief) of what reality is social reality we are really asking how it was constru-
becomes embedded in the institutional fabric of society. cted and this helps our line of enquiry to move further.
Social reality is therefore said to be socially constructed. EVERYDAY SOCIAL REALITY
Although ‘reality’ is constructed in a specific way According to Berger and Luckmann, everyday life
but this does not mean that all versions of reality are and its basis is best apprehended by the method of
the same. Society, which creates reality, provides many phenomenological analysis. Human beings are aware
different points of ingress and is responsible for to a greater or lesser extent that the social world
creating a socially intermeshed reality in the process. comprises of many or ‘multiple realities’ in everyday
CHAPTER AT A GLANCE life. Further, these multiple realities are themselves well
ordered and more or less fully developed and quite
CONSTRUCTION OF REALITY
capable of influencing each other. Hence, phenomena
Construction of multiple and synchronic realities
are achieved as soon as the new members of society are, such that a particular pattern can be discerned by
are ready a particular imprinting begain to be ingrained human beings, and these social facts are imposed upon
in them. All important areas of life including the them. Berger and Luckmann find that pursuing an
economic, political, psychological, and so on put enquiry into common sense knowledge and its social
together by training the new generation to act and context is relatively simple. However, they say that the
behave in some particular way. difficulty exists in the comprehension and ‘translation’
Reality itself is ‘fragile’ so that any disturbing or of those areas which are not classifiable as common
conflictual situations lead to a breakdown of order. In sense.

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Indexical Constructions reality. It gives the society a set of rules and regulations
Indexical construction can be understood with which are taken to be the actual or true. The process of
the quote given from Randall Collins’ Theoretical legitimation of the institutions in society makes them
Sociology (1988). Accoding to it, “The entire social able to provide guidelines of the work conditions that
world ..... is a set of indexicalities, which are taken members of each institution are supposed to follow or
for granted. They are rarely called into question, face sanctions. Legitimation provides a total rationale
and when they are, the questioning stays at a regarding what the actor or actors are supposed to do,
superficial level, accepting fairly quick and easy could do and even want to do. But the theoretical-
classifications instead of pursuing the search for ideological axis that upholds most institutions is often
objectivity to its end. For there is no end: the search a fragile and can breakdown and cease to exist
for objectivity definable reality is a bottomless.” effectively.

Here the social world is identified with Mind and Society

indexicalities. It is the symbolic universe that arranges a
society in the mind of the members so that what is
LANGUAGE AND SOCIAL REALITY
In the area of language too social reality is present. perceived through the senses, is filtered down
Language as a social reality accumulates knowledge through the cognitive process both objective and
and transmits it to other members of the human system, subjective. In the words of Berger and Luckmann,
which in turn create a socially ordered environment. social and cultural states of being that exist in
It is symbolic and hence capable of apprehending social culture have to be apprehended as cognitive aspects
reality. Thus, it is a social fact which exercises control of membership as symbolic universe forms the

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or restraint over human members, and yet remains entire universe.
external to the individual. SOCIALIZATION AND LEGITIMATION
THE OBJECTIVE REALITY OF SOCIETY When an institution is to be a part of the members
Objective reality means that society exercises existence it has to be appropriately legitimated, by being
control over the individual, and is beyond the control
located or placed in some particular part of the symbolic
of any single individual. An institution directs and

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universe of the individuals. It gives meaning and power
controls the behaviour of its members, and it is that
while individuals are born live and die, institutions to social reality. If the symbolic universe is faces a
can exist indefinitely in time. Institutions arise when pattern of socialisation that is paradoxical or even
there is the ‘reciprocal typifications’ of the habitualized contradictory to it then a problem of lack of meaning
behaviour that make for strictly patterned behaviour arises. In this situation, the societal forces and

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which should not go out of the limits of the overall institutions begin to repress the groups who are
control pattern. These institutions which were initially perceived as threatening for the symbolic universe, in
humanly created over time soon develop a socially an attempt to retrieve all that can be kept from the old
objective reality of their own and control the life of the symbolic order into the new one.
individual. SOCIAL REALITY AND
Experience and Interpretation THE SYMBOLIC UNIVERSE
Randall Collins’ Theoretical Sociology (1988) Reality is socially defined and it is human beings
discusses interpretation of social reality when this and human groups that define its contours. The
world may not be taken as ordinary. For example, specialists in a society provide complete legitimation
Buddhist mediators and other mystics have devised of the social reality. There can be differences of view
methods for withdrawing the mind’s assent to and opinion between the experts and the laymen.
ordinary assumptions about reality. They have Hence, there is a kind of competition on whose
claimed to experience an illumination by looking definitions and concepts are going to be beneficial and
at whatever transpires without putting any become operative in social interaction going on in
interpretation upon it. This aspect of reality is society. There are different ways of apprehending and
different from the social reality that we discuss in perceiving social process. The best course of action
sociology. depends on the ideology which is invoked to explain
LEGITIMATION AND SOCIAL REALITY any aspect of the symbolic universe that has become
The process of ‘legitimation’ which provides an the area of concern, ego, societal conflict over the
institution within its overall rationale and rules of distribution of resources. The ideology giving benefit
conduct is another aspect of the social construction of to the individual is selected by him.

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SOCIAL CONSTRUCTION OF REALITY / 19

Pluralism and Reality Social constructs are generally understood to be

In pluralistic societies comprising many races, the by products of countless human choices rather than
ethnicities and religions the room for conflict is laws resulting from divine will or nature. This is not
much reduced and outright conflict is rare. The usually taken to imply a radical anti-determinism,
concept of pluralism itself arises in times of rapid however. Social constructionism is usually opposed to
change and erodes the strong foundations of essentialism, which defines specific phenomena instead
traditions and make them form new structures and in terms of transhistorical essences independent of
patterns of interaction. Moreover, new theories are conscious beings that determine the categorical
invented to legitimate the new social structures. structure of reality.
A major focus of social constructionism is to
MAINTAINING REALITY AND LANGUAGE uncover the ways in which individuals and groups
The language that a society uses is a strong participate in the creation of their perceived social
foundation and process for the maintenance and reality. It involves looking at the ways social pheno-
perpetuation of socially constructed reality. Language mena are created, institutionalized, and made into
provides society an institution and maintains social tradition by humans. A socially constructed reality is
reality through its incessant use both in formal and one that is seen as an ongoing, dynamic process that is
informal settings. We find that there are prominent reproduced by people acting on their interpretations
theories which indicate that language itself may be at and their knowledge of it.
the base of reality and helps greatly in constructing Q. 2. Why does social institution need
such reality. Hence, as language is a social fact then legitimation? Reflect and comment.
the reality and conceptualization of social reality is an

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Ans. A social institution needs legitimation because
aspect of ongoing social reality conceived. the process of ‘legitimation’ provides an institution
Paradigms of Social Reality within its overall rationale and rules of conduct this
Since language needs to be modified over time process provides the society a set of rules and regulations
and this itself shows that social reality is malleable which are taken to be the actual or true. Legitimation of
to a certain state. Over a process of time new the institutions in society makes them able to provide

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paradigms of social reality emerge and posit their guidelines of the work conditions that members of each
own challenges to the members of society. These institution are supposed to follow or face sanctions.
new paradigms of social reality however take time Moreover, legitimation provides a total rationale
to establish themselves into the consciousness of regarding what the actor or actors must do.
the members. Hence, there is a multiple social ADDITIONAL IMPORTANT QUESTIONS

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reality, rather than one single overarching model
of society. Constructing reality is an ongoing Q. 1. What is the meaning of social construction
process and can be subverted only to an extent by of reality?
rival groups in the society or community. Ans. The phrase ‘social construction of reality’
was used in 1966 by Peter Berger and T. Luckmann.
SELF-ASSESSMENT QUESTIONS The term social construction of reality refers to the
theory that the way we present ourselves to other people
Q. 1. Is society socially constructed or is it a is shaped partly by our interactions with others, as well
divine religiously raised structure? Reflect and as by our life experiences. How we were raised and
comment. what we were raised to believe affect how we present
Ans. Sociologists view society as a socially ourselves, how we perceive others, and how others
constructed reality. Social constructionism and social perceive us. In short, our perceptions of reality are
constructivism are sociological theories of knowledge coloured by our beliefs and backgrounds.
that consider how social phenomena develop in social Our reality is also a complicated negotiation. What
contexts. Within constructionist thought, a social is real depends on what is socially acceptable. Most
construction (social construct) is a concept or practice social interactions involve some acceptance of what’s
that is the creation (or artifact) of a particular group. going on. While we participate in the construction of
When we say that something is socially constructed, reality, it’s not entirely a product of our own doing.
we are focusing on its dependence on contingent Social construction of reality is an aspect of many
variables of our social selves The underlying assump- micro-interpretive perspectives in sociology and must
tions on which social constructivism is typically seen be understood as a contrast to positivistic and structural
to be based are reality, knowledge, and learning. sociology.

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20 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

Rejecting the notion that events or social The human organism lacks the necessary
phenomena have an independent and objective biological means to provide stability for human
existence, they examine the methods that members of conduct. Human existence, if it were thrown back on
society use to create or construct reality. its organismic resources by themselves, would be
Durkheim, for example was a positivist and a existence in some sort of chaos. Such chaos is, however,
structuralist and argued that suicide had an objective empirically unavailable, even though one may
existence, independent of himself and others. That is, theoretically conceive of it. Empirically, human
there was something about the way of death that existence takes place in a context of order, direction,
constituted something as a suicide. stability. The question then arises–From what does the
An advocate of the social construction of reality empirically existing stability of human order derive?
perspective would argue that suicide is just a label for An answer may be given on two levels. One may first
a death and is constituted, or created, by the accounts point to the obvious fact that a given social order
that people like police, family, or coroners give of the precedes any individual organismic development. That
death. Our accounting methods then construct reality is, world-openness, while intrinsic to man’s biological
rather than there being some independent reality which make-up, is always preempted by social order. One may
we can describe or explain. say that the biologically intrinsic world-openness of
Q. 2. Define the central concept of ‘The Social human existence is always, and indeed must be,
Construction of Reality.’ transformed by social order into a relative world-
Ans. The central concept of ‘The Social closedness. While this reclosure can never approximate
Construction of Reality’ is that persons and groups the closedness of animal existence, if only because of
interacting together in a social system form, over time, its humanly produced and thus ‘artificial’ character, it

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concepts or mental representations of each other’s is nevertheless capable, most of the time, of providing
actions, and that these concepts eventually become direction and stability for the greater part of human
habituated into reciprocal roles played by the actors in conduct. The question may then be pushed to another
relation to each other. When these roles are made level. One may ask in what manner social order itself
available to other members of society to enter into and arises.

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play out, the reciprocal interactions are said to be The most general answer to this question is that
institutionalized. In the process of this institutiona- social order is a human product. Or, more precisely,
lization, meaning is embedded in society. Knowledge an ongoing human production. It is produced by man
and people’s conception (and belief) of what reality is, in the course of his ongoing externalization. Social
becomes embedded in the institutional fabric of society. order is not biologically given or derived from any

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Social reality is therefore, said to be socially cons- biological data in its empirical manifestations. Social
tructed. order, needless to add, is also not given in man’s natural
Q. 3. Write short notes on Society as a Human environment, though particular features of this may
Product. be factors in determining certain features of a social
Ans. It should be clear from the foregoing that order (for example, its economic or technological
the statement that man produces himself in no way arrangements). Social order is not part of the ‘nature
implies some sort of Promethean vision of the solitary of things’, and it cannot be derived from the ‘laws of
individual. Man’s self-production is always, and of nature.’ Social order exists only as a product of human
necessity, a social enterprise. Men together produce a activity. No other ontological status may be ascribed
human environment, with the totality of its socio- to it without hopelessly obfuscating its empirical
cultural and psychological formations. None of these manifestations. Both in its genesis (social order is the
formations may be understood as products of man’s result of past human activity) and its existence in any
biological constitution, which, as indicated, provides instant of time (social order exists only and insofar as
only the outer limits for human productive activity. human activity continues to produce it) it is a human
Just as it is impossible for man to develop as man in product.
isolation, so it is impossible for man in isolation to While the social products of human externalization
produce a human environment. Solitary human-being have a character sui generis as against both their
is being on the animal level (which, of course, man organismic and their environmental context, it is
shares with other animals). As soon as one deserves important to stress that externalization as such is an
phenomena that are specifically human, one enters the anthropological necessity. Human-being is impossible
realm of the social. Man’s specific humanity and his in a closed sphere of quiescent interiority. Human being
sociality are inextricably intertwined. Homo-sapiens must ongoingly externalize itself in activity. This
is always, and in the same measure, Homo-socius. anthropological necessity is grounded in man’s

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SOCIAL CONSTRUCTION OF REALITY / 21

biological equipment. The inherent instability of the accept things that we have constructed as immutable
human organism makes it imperative that man himself parts of our reality.
provide a stable environment for his conduct. Man 3. Internalization: The objectivated constructions
himself must specialize and direct his drives. These of past action are internalised through socialization
biological facts serve as a necessary presupposition for processes and become further divorced from the
the production of social order. In other words, although processes which created them.
no existing social order can be derived from biological Berger and Luckmann distinguish four different
data, the necessity for social order as such stems from levels of legitimation.
man’s biological equipment. 1. The first level is linguistic. Our vocabulary
To understand the causes, other than those posited allows us to name and hence to ‘know’ certain
by the biological constants for the emergence, things. By having a word for something we
maintenance and transmission of a social order one must grant its claim to exist.
must under take an analysis that eventuates in a theory 2. ‘Theoretical propositions in rudimentary form’.
of institutionalization. This category includes myths, stories and other
Q. 4. Explain the contribution of Berger and forms of anecdotal evidence which are used to
Luckmann’s to ‘The Social Construction of Reality’. justify certain social events or relations.
Ans. Berger and Luckmann suggest that social 3. Explicit theories linked to particular
reality is constructed through a dialectical process organisational contexts e.g. marginalist
involving three moments: economic theories.
1. Externalization: First our conceptions of social 4. Symbolic universes these are able to tie together
reality are given tangible form, externalized in our different institutional environments to explain

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performances, rituals, symbols and artifacts. their interrelation.
2. Objectification: These conceptions of reality
are then given objective status in our life, we begin to

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22

SOCIAL STRUCTURE AS A SOCIOLOGICAL CONCEPT

Concept and Theories of Structure 5

INTRODUCTION a tissue. A group of tissues make an organ, and an

aggregate of organs is an organism. Hence, an organism
The word structure is derived from Latin root can be broken down into organs. similarly, the basic
structura meaning to construct. This meaning was unit of society is individual, one who has internalized
carried to biology and later applied to anthropology the norms and values, and is involved in meaningful
and sociology. The anology of house has been taken to social behaviour. A collectivity of individuals forming
explain society. Like the rooms of a house, society has groups is a called a community and a group of
many parts. When all doors and windows are shut the communities is called society.

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room becomes a well-demarcated and closed unit, SOCIAL STRUCTURE IS A REALITY:
bearing little interaction with the external world, each A.R. RADCLIFFE-BROWN’S CONTRIBUTION
room has its own boundary, distinctiveness, which Spencer coined the term social structure, but he
separates it from other rooms. Pursuing this analogy did not offer a theoretical perspective on it, except for
further, a village or a neighbourhood may be considered advancing the analogy between societies and

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as an aggregate of houses, where each village or organisms. His ideas influenced later scholars in
neighbourhood make its ‘wholeness’, at the same time,
developing the concepts of structure and function. For
it is a part of the larger units. The relevant concepts
example, Emile Durkheim and A.R. Radcliffe-Brown,
that emerge from analogy are of the ‘whole’, the
who was a student of the diffusionist W.H.R. Rivers,
‘interconnections’, the mechanisms’, the ‘aggregation’
and had carried out his first-hand fieldwork with the

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and the ‘vantage point’* of the observer.
Andmand Islanders from 1906 to 1908. Throughout
Similar to a house, a village or a neighbourhood,
a society may be conceptualized as comprising parts. his teaching, he emphasised the importance of the study
After drawing similarities between a society and a of social structure. This submission of Radcliffe-Brown
house one should also look at the differences between was closely linked to his notion of social anthropology,
them, for such an exercise will direct us to the which he quite willing to call after Durkheim,
uniqueness of society. ‘Comparative Sociology’ for the discussion of society.
Various scholars adopted different analogies. For (a) A Natural Science of Society: According to
example, Herbert Spencer (1873) used the analogy of Radcliffe-Brown (1948), ‘social anthropology is the
building. However, among all analogies that were used theoretical natural science of human society’. This
in the formative stage of sociology to the idea of society, means that social phenomena are investigated by
the most frequently used analogy has been of organism. methods similar to those used in natural and biological
This means society is akin to an organism (Rex 1961). sciences.
Moreover, apart from the analogy of building, Spencer (b) The Content of Social Structure: Talking
also developed the organic analogy (Harris 1968). about structure, we have in mind, some kind of
Contributions of Radcliffe Brown, Evans Pritchard arrangement of parts or components. The basic part of
Levi Strauss to the understanding of social structure is social structure is the person. Here, Radcliffe-Brown
also very important. (1952) makes an important distinction between an
individual and a person.
CHAPTER AT A GLANCE As an individual, ‘he is a biological organism’,
ORGANIC ANALOGY AND STRUCTURE comprising a number of molecules oganised in a
As we know that the main unit of an organism is complex way, and who is studied by biological and
a cell, which combines with others of its kind to form psychological sciences.

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CONCEPT AND THEORIES OF STRUCTURE / 23

As a person, the human being is a ‘complex of because he thinks that the family does not have the
social relationships’. It is the subject of study for kind of consistency and constancy which other groups
sociologists and social anthropologists. have. A family disappears at the death of members and
(c) Structural Type: A social anthropologist a new family comes into existence.
actually investigates is society’s structure, i.e. an To conclude Evans-Pritchard says that the parts
actually existing concrete reality, to be directly observes. of social structure, among which structural relations
However, from what he observes, he abstracts a general are to be described, are groups that endure over time.
picture of that society. Here, Radcliffe-Brown makes a Social structure is not an empirical entity for him.
distinction between ‘social structure’ and ‘structural Social structure is an abstraction from the existing
type or form’. While social structure continues over reality (Evans-Pritchard,1951).
time, a kind of continuity that Radcliffe-Brown calls SOCIAL STRUCTURE IS A MODEL:
‘dynamic continuity’. It is like the ‘organic structure CONTRIBUTIONS OF CLAUDE
of a living body’. Similar to a living body which LEVI-STRAUSS AND EDMUND LEACH
constantly renews itself by replacing its cells energy Levi-Strauss, the French structuralist, gave
level, in the same way, the actual ‘social life’ renews perhaps the most provocative and debatable
the social structure. As time passes, relations between contribution to the concept of social structure. He is
people change. New members get recruited in a society
famous for his ingenious cross-cultural analysis of
because of birth or immigration.
myths and kinship systems. In his structuralism, it is
(d) Society and Social Structure: When we view
analogy from language that helps us in conceptualizing
social structrue as a collectivity of interpersonal
relations, real and observable then what would be society. From the study of given piece of language, the

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society? Radcliffe-Brown answer Claude Levi-Strauss linguist tries to arrive at its grammar, the rules which
that ‘When I pick up a particular sea-shell on the beach, make an expression meaningful, although the speaker
I recognize it as having a particular structure’ ( Kuper, of the language may not know about it. Similarly, the
1977). What do I study? The sea-shell or its structure? structuralist from a given piece of social behaviour tries
I may find other shells of the same species which have to infer its underlying structure (Barnard 2000).

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a similar structure, so that I can say there is a form of Edmund Leach on Social Structure
structure characteristic of the species. Moreover, what Edmund Leach (1954, 1961), the British
Radcliffe-Brown understands by the term ‘structural anthropologist, also made a contribution to the idea
type’ is what many understand by the term ‘social of social structure as a model. However, whereas
structure’ and what Radcliffe-Brown calls ‘social Levi-Strauss is interested in unearthing the

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structure’ is what many would call society. This ‘universal structures’–structures applicable to all
difference is very important to remember for the study human societies at all point of time–Leach applies
of society. the method of structuralism to understand the local
SOCIAL STRUCTURE REFERS (or regional) structures. Some term Leach’s
TO RELATIONS BETWEEN GROUPS: approach ‘neo-structural’ due to this reason (Kuper
THE CONTRIBUTION OF
1996 [1973]) .
E.E. EVANS-PRITCHARD
In his first monograph on Nuer, Evans-Pritchard SELF-ASSESSMENT QUESTIONS
tried to describe Nuer society on a more abstract plane
of analysis than was usual at that time because of a Q. 1. What does Radcliffe-Brown mean by
lack of proper theory. dynamic continuity?
Evans-Pritchard’s description of the elements of Ans. In his analysis of society, Radcliffe-Brown
Nuer society and their interrelationship guided him to makes a distinction between ‘social structure’ and
the concept of social structure. As against the idea of ‘structural type or form’. According to him, social
person which was the starting point for Radcliffe- structure continues over time, a kind of continuity that
Brown, he started with viewing social structure in terms he calls ‘dynamic continuity’. It is like the ‘organic
of groups (1940). According to him, by social structure structure of a living body’. As a living body which
we mean relations between groups which have a high constantly renews itself by replacing its cells energy
degree of consistency and constancy. Structure is an level, the actual ‘social life’ renews the social structure.
‘organized combination of groups’. Individuals come With the passage of time, relations between people
and go, they are recruited and eliminated over time, change. New members get recruited in a society because
but the groups remain the same Evans-Pritchard does of birth or immigration. The process goes on and the
not consider the family as a ‘structural group’. It is social structure shows a dynamic continuity.

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24 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

Q. 2. How does Levi-Strauss distinguish between does not offer the possibility of inferring the origins of
the concept of social structure and social relations? the structure.
Ans. For Levi-Strauss, the methods of linguistics A proper solution to the puzzle is to find a basic
became a model for all his earlier examinations of unit of kinship which can explain all the variations. It
society. His analogies usually are from phonology is a cluster of four roles–brother, sister, father, son.
(though also later from music, mathematics, chaos These are the roles that must be involved in any society
theory, cybernetics, and so on). that has an incest taboo requiring a man to obtain a
“A really scientific analysis must be real, wife from some men outside his own hereditary line.
simplifying, and explanatory,” he says (in Structural A brother may give away his sister, for example, whose
Anthropology). Phonemic analysis reveals features that son might reciprocate in the next generation by
are real, in the sense that users of the language can allowing his own sister to marry exogamously. The
recognize and respond to them. At the same time, a underlying demand is a continued circulation of women
phoneme is an abstraction from language—not a sound, to keep various clans peacefully related.
but a category of sound defined by the way it is Right or wrong, this solution displays the qualities
distinguished from other categories through rules of structural thinking. Even though Levi-Strauss
unique to the language. The entire sound structure of frequently speaks of treating culture as the product of
a language may be generated from a relatively small the axioms and corollaries that underlie it, or the
number of rules. phonemic differences that constitute it, he is concerned
In the study of the kinship systems that first with the objective data of field research. He notes that
concerned him, this ideal of explanation allowed a it is logically possible for a different atom of kinship
comprehensive organization of data that partly had structure to exist—sister, sister’s brother, brother’s

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been ordered by other researchers. The overall goal wife, daughter, but there are no real-world examples
was to find out why family relations differed among of relationships that can be derived from that grouping.
various South American cultures. The father might The purpose of structuralist explanation is to
have great authority over the son in one group, for organize real data in the simplest effective way. All
example, with the relationship rigidly restricted by science, he says, is either structuralist or reductionist.

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taboos. In another group, the mother’s brother would In confronting such matters as the incest taboo, one is
have that kind of relationship with the son, while the facing an objective limit of what the human mind has
father’s relationship was relaxed and playful. accepted so far. One could hypothesize some biological
A number of partial patterns had been noted. imperative underlying it, but so far as social order is
Relations between the mother and father, for example, concerned, the taboo has the effect of an irreducible

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had some sort of reciprocity with those of father and fact. The social scientist can only work with the
son—if the mother had a dominant social status and structures of human thought that arise from it.
was formal with the father, for example, then the father The structural explanations can be tested and
usually had close relations with the son. But these refuted. A mere analytic scheme that wishes causal
smaller patterns joined together in inconsistent ways. relations into existence is not structuralist in this sense.
One possible way of finding a master order was
ADDITIONAL IMPORTANT QUESTIONS
to rate all the positions in a kinship system along
several dimensions. For example, the father was older Q. 1. Define the meaning of Social Structure.
than the son, the father produced the son, the father Ans. The term social structure points to the fact
had the same sex as the son, and so on; the matrilineal that society is structured–i.e. organised or arranged–
uncle was older and of the same sex, but did not in particular ways. The social environments in which
produce the son, and so on. An exhaustive collection we exist do not just consist of random assortments of
of such observations might cause an overall pattern events or actions. There are underlying regularities,
to emerge. or patterns, in how people behave and in the
But for Levi-Strauss, this kind of work was relationships they have with one another. It is to these
considered ‘analytical in appearance only.’ It results regularities that the concept of social structure refers.
in a chart that is far more difficult to understand than Social structures are made up of human actions and
the original data and is based on arbitrary abstractions relationships. ‘Social structure’ is one of the central
(empirically, fathers are older than sons, but it is only concepts of sociology, but it has not been employed
the researcher who declares that this feature explains consistently or unambiguously. Though one of the most
their relations). Furthermore, it doesn’t explain frequent terms in sociology, this has no specific and
anything. The explanation it offers is tautological–if universally accepted meaning. Nevertheless, it reveals
age is crucial, then age explains a relationship. And it one of the basic sociological insights; although societies

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CONCEPT AND THEORIES OF STRUCTURE / 25

and countless social groups within them are never long care, and so forth. Societies also generally develop and
composed of the same individuals, their patterns on agreed upon division of labour.
social interdependence show continuity over time. These different elements are interrelated, as can
Social structure has been defined simply as any be seen from the following example: economic factors
recurring pattern of social behaviour. However, for most have been responsible for shifts in popular behaviour,
sociologists such a definition might tend to include some of them cutting across class lines. As a result of
trivial behaviours as well as the significant ones. increasing production, prosperity increased, and the
Social structure is based on the working of sub- general trend in the standard of living for most groups
groups and there is always a close relationship between was upward, allowing ordinary people to improve their
roles and sub-groups because each role occupant is diet, housing, and increase leisure time. Workers
required to perform certain duties towards the members pressed for a workday of 12 hours, then ten, and, in
of a sub-group in a social structure. Obligations of role the early 20th century, a few groups began to demand
occupants are of two types and these can be divided as an even shorter period. Scattered vacation days were
well. There are, of course institutionalised norms in also introduced, and the ‘English weekend’, which
every society but what need to be remembered is that allowed time off on Saturday afternoons as well as
in no big society these norms are uniform. In fact the Sundays, spread widely.
whole social structure has its own characteristics and Among the several elements of social and cultural
whether that is good or bad is something relative and structures, two are of great importance:
not absolute. Every social structure, if it is to get going  The first consists of culturally defined goals,
and serve the purpose of the society, it is essential that purposes, and interests, held out as legitimate
it should change with the changing circumstances. If objectives for all members of the society. They

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that does not happen, that will make time and society are simply the things ‘worth striving for.’
static. When a structure comes under heavy pressures Although some of these cultural goals may be
and social institutions do not change, the whole directly related to human biological needs, they
structure gets complicated and comes under heavy are not necessarily determined by them.
strains.  The second element of the cultural structure

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Q. 2. Write short note on elements of social defines, regulates, and controls the acceptable
structure. ways of reaching these goals. Every social
Ans. In order to discuss the basic division and group invariably matches its cultural objectives
types of social structures, the ‘unit’ of social structure with regulations, rooted in the norms and
should be established first. Murdoch (Goldsmith 1978) values, regarding allowable procedures for

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has shown that the family is universal among stable moving toward these objectives.
societies and thus should be regarded as the ‘unit’ of Generally, no society lacks norms governing
social structure. Culture, as the product of the interac- conduct. However, societies do differ in the degree to
tions in society, both material (between people and which acceptable behaviour, social mores, and
physical objects) and non-material (in relation to institutional controls are effectively integrated with the
meanings, beliefs, language, values, ideas, expecta- goals in the hierarchy of cultural values. The social
tions, etc.) is shared, learned, and inter-generated. It structure remains intact as long as members of the
also forms the foundation of social structure. society are able to achieve their goals within the
Society is grouped into structures with different framework of acceptable ways of reaching them. When
functions, meanings, or purposes. In a broader sense cultural values and social structure become incompa-
is the ‘social system’, which can be viewed as a social tible, changes in the social structure become inevitable.
structure composed of the economic system, legal Q. 3. Discuss the principle of social structure.
system, political system, and cultural system (some sort Ans. In a social structure the human beings
of shared reality: language, norms, values, etc.). Social organise themselves into associations for the pursuits
structure, however, is much more than that. It also of some objects. The aim can be fulfilled only if the
includes education, family, religion, and social services social structure is based upon certain principles. These
such as health care. Language is the basic channel for principles, which set the elements of social structure
communicating information and instruction in a in motion are as follows:
society. There are cultural norms affecting marriage, 1. Normative System: Normative system
child-bearing, and child-rearing. Political systems presents the society with the ideals and values.
affect not only the individual political environment, The people attach emotional importance to
but also certain legal systems, regulation of violence these norms. The institutions and associations
(by a police force), property laws, trade rules, health are inter-related according to these norms. The

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individuals perform their roles in accordance individuals to participate in the social system.
with the accepted norms of society. His preparation sets the social structure in
2. Position System: Position system refers to the motion. The successful working of social
statuses and roles of the individuals. The structure depends upon the realisation of his
desires, aspirations and expectations of the duties by the individuals and his efforts to
individuals are varied, multiple and unlimited. fulfil these duties.
So these can be fulfilled only if the members 5. Action System: It is the object of the goal to
of the society are assigned different roles be arrived at by the social structure. The whole
according to their capacities and capabilities. social structure revolves around it. The action
Actually the proper functioning of social is the root cause which weaves the web of
structure depends upon proper assignments social relationships and sets the social
of roles and statuses. structure in motion.
3. Sanction System: For the proper enforcement It may be emphasized that social structure is an
of norms, every society has a sanction system. abstract entity, its parts are dynamic and constantly
The integration and co-ordination of the changing. They are spatially widespread and therefore
different parts of social structure depend upon difficult to see as wholes. Social structure denotes
conformity of social norms. The non- patterns which change more slowly than the particular
conformists are punished by the society personnel who constitute them. They are produced and
according to the nature of the non-conformity. reproduced by the interweaving of numerous individual
The stability of a social structure depends people acting in accordance with their own plans and
upon the effectiveness of its sanction system. strategies, yet social structure is rarely planned and

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4. System of Anticipated Responses: The intended by them, it results from the unintended
anticipated response system calls upon the consequences of action.

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27

Structure and Function 6

INTRODUCTION theories’: perspectives which instead emphasize
problems and inequalities.
Functionalism views society as a system that is a Although Comte may be defined as a structural-
set of interconnected parts which together form a functionalist, the perspective was developed primarily
whole. Society is a basic unit of analysis and its various through the work of Émile Durkheim, who emphasized
parts are understood primarily in terms of their the central role that moral consensus plays in
relationship to the whole. Thus social institutions such maintaining social order and creating an equilibrium
as the family and religion are analysed as a part of the or a normal state of society. Durkheim was concerned

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social system rather than as isolated units. In particular with the question of how certain societies maintain
they are understood with reference to the contribution internal stability and survive over time.
they make to the system as a whole. CHAPTER AT A GLANCE
Functional analysis involves the prior
conceputalization of a system and definite emphasis FROM POSITIVISM TO FUNCTIONALISM
on the primacy of the system over elements. Auguste Comte (1798-1857) coined the term

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The elements of the system are functionally ‘sociology.’ Like Saint-Simon, he believed the study
interrelated. of social phenomena should employ scientific
Every element of the system has a function which techniques. But Comte was disturbed by the chaos of
contributes positively to continued operation of that French society and was critical of the Enlightenment
system. and the French Revolution. Comte developed an

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Functionalism maintains that the dominant evolutionary theory of social change in his law of the
condition of society is order reinforced by stability and three stages. He argued that social disorder was caused
consensus and not conflcit based on coercion and by ideas left over from the idea systems of earlier stages.
dissention. There are certain functional requisites that Only when a scientific footing for the governing of
must be met if a system is to survive. society was established would the social upheavals of
Functionalism shares a history and theoretical his time cease. Comte also stressed the systematic
affinity with the empirical method (though some of character of society and accorded great importance to
the later functionalists, such as Bronislaw Malinowski the role of consensus. These beliefs made Comte a
and Talcott Parsons, can be seen as partially forerunner of positivism and reformism in classical
antipositivist). Parsons, in fact, saw ‘structural sociological theory.
functionalism’ as descriptive of a particular stage in Durkheim argued that sociology was the study of
the methodological development of the social sciences structures that are external to, and coercive over, the
rather than a specific school of thought. While individual; for example, legal codes and shared moral
functionalism has an affinity with ‘grand theory’ (for beliefs, which he called social facts. In Suicide he made
example, the systems theory of Niklas Luhmann), his case for the importance of sociology by
emphasis may be placed on small units of socialization, demonstrating that social facts could cause individual
such as the family. In the most basic terms, it simply behaviour. He argued that societies were held together
emphasises “the effort to impute, as rigorously as by a strongly held collective morality called the
possible, to each feature, custom, or practice, its effect collective conscience. Because of the complexity of
on the functioning of a supposedly stable, cohesive modern societies, the collective conscience had become
system.” Though it is simplistic to equate the weaker, resulting in a variety of social pathologies. In
perspective directly with political conservatism, the his later work, Dukheim turned to the religion of
tendency of functionalism to emphasize ‘cohesive primitive societies to demonstrate the importance of
systems’ means that it is often contrasted with ‘conflict the collective consciousness. To study social life in

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modern societies, hence he sought to create one of the spoke out against the prevailing trend of delving into
first rigorous scientific approaches to social phen- the historical roots of everything and laid stress on the
omena. Along with Herbert Spencer, he was one of the contemporary significance of the societies he studied.
first people to explain the existence and quality of Radcliffe-Brown was also wary of explaining social
different parts of a society by reference to what function phenomena in psychological terms. Unlike
they served in maintaining the quotidian Malinowski, he avoided psychological explanations.
(i.e. by how they make society ‘work’), and is thus We have repeatedly stated how Malinowski’s functional
sometimes seen as a precursor to functionalism. theory was heavily tilted towards the biological and
Sociological Explanations psychological. Radcliffe-Brown did not fall into this
Durkheim refined the sociological positivism trap. For him, social anthropology was primarily
originally set forth by Auguste Comte, promoting concerned with social rather than biological functions,
epistemological realism and the hypothetico- with the ‘persons’ in a society rather than biological
deductive methodology in social research. For him, ‘individuals’ (Kuper, 1975). Malinowski’s contri-
sociology was a science of institutions, its aim being butions, we may say that he gave a new vision not only
to discover structural ‘social facts’. A social fact to social anthropology but also to inquiry into human
must always be studied according to its relation behaviour in general and by implication into one’s own
with other social facts, never according to the conduct. At the same time he gave new techniques of
individual who studies it. Sociology should observation and data collection. But he lacked the
therefore privilege comparison rather than the study ability to deal with abstractions. In fact, he was quite
of singular independent facts. suspicious of abstract theories. The task of introducing
theoretical concepts to guide anthropological research

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Radcliffe-Brown made a clear distinction between was completed by Malinowski’s contemporary,
social anthropology and ethnology. Ethnologists were Radcliffe-Brown, who established social anthropology
engaged in conjectural history, which was a completely as a branch of natural science.
unscientific exercise according to him. (a) Structural-Functional Approach of
THE PREMISES OF FUNCTIONALISM Radcliffe-Brown: Radcliffe-Brown has often been
The way Radcliffe-Brown and Malinowski use the associated with functionalism, and is considered by
term functionalism, Durkheim cannot be called a

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some to be the founder of structural functionalism.
functionalist. Although Durkheim mentions social Nonetheless, Radcliffe-Brown vehemently denied being
function but his studies can be found as a fine a functionalist, and carefully distinguished his concept
coexistence of dychronic and synchronic approaches of function from that of Malinowski, who openly
to the study of society. advocated functionalism. While Malinowski’s
According to Adam Kuper (1973), 1922 was a

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functionalism claimed that social practices could be
wonder year for functionalism since two monographs directly explained by their ability to satisfy basic
substantiating the functionalist approach were biological needs, Radcliffe-Brown rejected this as
published–Radcliffe-Brown’s Andman Islanders and baseless. Instead, influenced by the process philosophy
Malinowski’s Argonauts of Western Pacific. The of Alfred North Whitehead, he claimed that the
scholars found it very useful and functionalism became
fundamental units of anthropology were processes of
an importand approach till the 1960s and early 1970s
human life and interaction. Because these are by
for sociological study.
FUNCTIONALISM IN SOCIAL definition characterized by constant flux, what calls
ANTHROPOLOGY: RADCLIFFE-BROWN for explanation is the occurrence of stability. Why,
AND MALINOWSKI Radcliffe-Brown asked, would some patterns of social
Radcliffe-Brown held the firm conviction that practices repeat themselves and even seem to become
social anthropology must model itself on the lines of fixed? He reasoned that this would at least require that
the natural sciences. Its methods, concepts and other practices must not conflict with them too much;
conclusions were to be strictly ‘scientific’, objective and that in some cases, it may be that practices grow
and verifiable. Radcliffe-Brown made a clear to support each other, a notion he called ‘co-
distinction between social anthropology and ethnology. adaptation’, deriving from the biological term.
Ethnologists were engaged in conjectural history, which Functional analysis, then, was just the attempt to
was a completely unscientific exercise according to explain stability by discovering how practices fit
him. Radcliffe-Brown stressed that to study primitive together to sustain that stability; the ‘function’ of a
society, insistence on historical details was not really practice was just its role in sustaining the overall social
necessary. Rather than asking ‘how did this come to structure, insofar as there was a stable social structure
be?’ Radcliffe-Brown, in line with Durkheim, preferred (Radcliffe-Brown 1957). This is far from the ‘functional
to ask ‘What does this mean?’ In short Radcliffe-Brown explanation’ later impugned by Carl Hempel and

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STRUCTURE AND FUNCTION / 29

others. It is also clearly distinct from Malinowski’s feelings of people, their motives, were crucial
notion of function, a point which is often ignored by knowledge to understand the way their society
Radcliffe-Brown’s detractors. functioned.
(b) The Functionalism of Malinowski: FUNCTIONALISM OF
Malinowski is renowned as one of anthropology’s most TALCOTT PARSONS (1902-1979) AND
skilled ethnographers. He is often referred to as the ROBERT K. MERTON (1910-2003)
first researcher to bring anthropology ‘off the verandah’ The heuristic scheme Parsons used to analyze
(also the name of a documentary about his work), that systems and subsystems is called the ‘AGIL Paradigm’,
is, experiencing the everyday life of his subjects along ‘AGIL scheme’. To survive or maintain equilibrium
with them. Malinowski emphasised the importance of with respect to its environment, any system must to
detailed participant observation and argued that some degree adapt to that environment (Adaptation),
anthropologists must have daily contact with their attain its goals (Goal Attainment), integrate its
informants if they were to adequately record the components (Integration), and maintain its latent
‘imponderabilia of everyday life’ that were so important pattern (Latency Pattern Maintenance), a sort of
to understand a different culture. cultural template. These are called the system’s
He stated that the goal of the anthropologist, or functional imperatives. It is important to understand
ethnographer, is to grasp the native’s point of view, that Parsons AGIL model is an analytical scheme for
his relation to life, to realize his vision of his world. the sake of theoretical ‘production,’ it is not any simply
–Argonauts of the Western Pacific, Dutton 1961
‘copy’ or any direct historical ‘summary’ of empirical
However, in reference to the Kula, Malinowski also
stated, yet it must be remembered that what appears to reality. Also the scheme itself doesn’t explain ‘anything’
as little as the periodical table in the natural sciences

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us an extensive, complicated, and yet well ordered
institution is the outcome of so many doings and explains anything in and by itself. The AGIL scheme
pursuits, carried on by savages, who have no laws or is a tool for explanations and no better than the quality
aims or charters definitely laid down. They have no of those theories and explanation by which it is
knowledge of the total outline of any of their social processed.
structure. They know their own motives, know the In the case of the analysis of a social action system,
the AGIL Paradigm, according to Parsons, yields four

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purpose of individual actions and the rules which apply
to them, but how, out of these, the whole collective interrelated and interpenetrating subsystems: the
institution shapes, this is beyond their mental range. behavioural systems of its members (A), the personality
Not even the most intelligent native has any clear idea systems of those members (G), the social system (as
of the Kula as a big, organized social construction, such) (I) and the cultural system of that society (L). To
still less of its sociological function and implications. analyze a society as a social system (the I sub-system

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The integration of all the details observed, the
achievement of a sociological synthesis of all the
various, relevant symptoms, is the task of the
of action), people are posited to enact roles associated
with positions. These positions and roles become
differentiated to some extent and in a modern society
Ethnographer...the Ethnographer has to construct the are associated with things such as occupational,
picture of the big institution, very much as the physicist political, judicial and educational roles.
constructs his theory from the experimental data, which Considering the interrelation of these specialized
always have been within reach of everybody, but needed roles, as well as functionally differentiated collectivities
a consistent interpretation. (e.g. firms, political parties), the society can be analyzed
Malinowski anticipated the distinction between as a complex system of interrelated functional
description and analysis and between the views of actors subsystems, namely:
and analysts. This distinction continues to inform The pure AGIL model for all living systems:
anthropological method and theory.  Adaptation
His study of Kula was also vital to the development
 (G) Goal Attainment
of an anthropological theory of reciprocity, and his
 Integration
material from the Trobriands was extensively discussed
in Marcel Mauss’s seminal essay The Gift. Malinowski  (L) Pattern maintenance. (L stand for ‘Latent
also originated the school of social anthropology known function’)
as structural functionalism. In contrast to Radcliffe- The Social System Level
Brown’s structural functionalism, Malinowski argued  The economy-social adaptation to its action
that culture functioned to meet the needs of individuals and non-action environmental systems
rather than society as a whole. He reasoned that when  The polity-collective goal attainment
the needs of individuals are met, who comprise society,  The societal community–the integration of its
then the needs of society are met. To Malinowski, the diverse social components

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 The fiduciary system-processes that function in the Andaman Islands and Western Australia.
to reproduce historical culture in its ‘direct’ Radcliffe-Brown’s emphasis on examining the
social embeddedness. contribution of phenomena to the maintenance of the
The General Action Level social structure reflects the influence of French
 The behavioural organism (or system). (In sociologist Emile Durkheim (Winthrop 1991:129). He
later version, the foci for generalized particularly focused on the institutions of kinship and
‘intelligence’) descent and suggested that, at least in tribal societies,
 The personality system they determined the character of family organization,
 The social system politics, economy, and inter-group relations (Winthrop
 The cultural system 1991:130).
The Cultural Level Structural functionalism is a broad perspective in
 Cognitive symbolization the social sciences which addresses the social structure
 Expressive symbolization in terms of the function of its constituent elements,
 Evaluative symbolization (Sometimes called: namely norms, customs, traditions and institutions. It
moral-evaluative symbolization) studies society as a structure with interrelated parts. A
 Constitutive symbolization common analogy, popularized by Herbert Spencer,
The Generalized Symbolic media regards these interrelated parts of society as “organs”
Social System Level that work toward the proper functioning of the “body”
 (A) Economic system: Money. as a whole. The perspective was implicit in the thought
of the original sociological positivist, Auguste Comte,
 (G) Political system: Political power.
who stressed the need for cohesion after the social

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 (I) The Societal Community: Influence.
malaise of the French Revolution. It was later presented
 (L) The Fiduciary system (cultural tradition):
in the work of Émile Durkheim, who developed a full
Value-commitment
theory of organic solidarity, again informed by
Parsons elaborated upon the idea that each of these positivism, or the quest for “social facts.”
systems also developed some specialized symbolic Structural functionalism has historical affinity with
mechanisms of interaction analogous to money in the

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the application of the scientific method in social theory
economy, e.g. influence in the social community. and research. Sociological positivism asserts that one
Various processes of ‘interchange’ among the sub- can study the social world in the same ways as one
systems of the social system were postulated. studies the physical world, and that social laws are
Parsons’ use of social systems analysis based on directly and objectively observable. Certain
the AGIL scheme was established in his work Economy

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contemporary functionalists have, in contrast, rejected
and Society (with N. Smelser, 1956) and has prevailed empirical methods. Nevertheless, structural
in all his work ever since. However, the AGIL system functionalists are broadly united in the view, firstly,
does only exist in a “rudimentary” form in the that rules and regulations (both informal norms and
beginning and is then gradually elaborated and formal laws) are necessary to organise a society
expanded in the decades which followed. A brief effectively and, secondly, that social institutions (both
introduction to Parsons’ AGIL scheme can be found in traditional and governmental) form the necessary
Chapter 2 of The American University (with G. Platt, constituent parts of the social structure.
1973). There is, however, no single place in Parsons These views were upheld by Radcliffe-Brown,
writing where the total AGIL system is visually who, following Auguste Comte, believed that society
displayed or explained—the complete system have to constitutes a separate ‘level’ of reality, distinct from
be reconstructed from multiple places in his writing. both biological and inorganic matter. Explanations of
The system displayed in ‘The American University’ is social phenomena had therefore to be constructed
only the most basic elements and should not be within this level, individuals being merely transient
mistaken for the whole system. occupants of comparatively stable social roles.
The central concern of structural functionalism is
SELF-ASSESSMENT QUESTIONS a continuation of the Durkheimian task of explaining
Q. 1. What are the assumptions of Radcliffe- the apparent stability and internal cohesion needed by
Brown structural-functional approach? societies to endure over time. Societies are seen as
Ans. A.R. Radcliffe-Brown (1881-1955) was a coherent, bounded and fundamentally relational
founding father of functionalism associated with the constructs that function like organisms, with their
branch known as structural-functionalism. After various parts (or social institutions) working together
completing his degree in 1904, he conducted fieldwork in an unconscious, quasi-automatic fashion toward

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STRUCTURE AND FUNCTION / 31

achieving an overall social equilibrium. All social and satisfied by the social structure of his culture, whose
cultural phenomena are therefore seen as functional function it is to satisfy those human needs. In other
in the sense of working together, and are effectively words, every social institution has a need to satisfy,
deemed to have ‘lives’ of their own. They are primarily and so does every item in a culture. For folklorists,
analyzed in terms of this function. The individual is this means that even the smallest item one collects,
significant not in and of himself but rather in terms of such as a single folk belief, has the function to perform
his status, his position in patterns of social relations, both at the level of the individual and at the level of
and the behaviours associated with his status. The social the society and the culture. Malinowski gives us the
structure, then, is the network of statuses connected by ultimate in a functional approach. Much as Malinowski
associated roles. was interested in the individual and biopsychological
Q. 2. What are the major differences between approaches, Radcliffe-Brown was interested in the
the theoretical approaches of Radcliffe-Brown and functioning of the social structure. Radcliffe-Brown has
Malinowski? had significant influence in both anthropology and
Ans. Malinowski collected data from the Trobriand sociology. The functionalist dimension of Radcliffe-
Islands. Descent groups across the island claim parts Brown’s work, combined with its structural under-
of the land, and to back up those claims, they tell myths pinnings, constitutes the foundations of structural
of how an ancestress started a clan and how the clan functionalism in social anthropology as well as in
descends from that ancestress. Malinowski’s sociological thought. In a period when American
observations followed the research of that found by anthropology under Franz Boas’ influence was putting
Durkheim. increasing emphasis on fieldwork, his main interests
Radcliffe-Brown put himself in the culture of the remained in generalization and theory. His two major

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Andaman Islanders. His research showed that group methodological positions were (a) that the individual
solidification among the islanders is based on music is of no account and that it is only the social system
and kinship, and the rituals that involve the use of that matters, and (b) his use of the organic analogy,
those activities. In the words of Radcliffe-Brown, both these points have often been rejected in American
‘Ritual fortifies Society’. Radcliffe-Brown’s observa- anthropology. Radcliffe-Brown derived his concept of
tions also followed the research of that found by function from physiology. He believed that the term

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Durkheim. “function” in the social sciences meant the same
As one of the great field workers of all time, process as in biology. A different way of putting this is
Malinowski was convinced that every detail of a culture, to say that function is the contribution an element
and this most certainly would include its folklore, had makes to the whole social system. The difference
a function. If any social scientist would have the between Radcliffe-Brown and Malinowski is, then, that

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exclusive rights to be called an arch-functionalist, that Malinowski started with the individual. Individual
would certainly be Bronislaw Malinowski. In needs were incidental to Radcliffe-Brown, who
anthropology, he and Radcliffe-Brown are viewed as regarded the system of human interactions rather than
the founders of modern functionalism. However, their human beings as being central in a functionalist
functionalisms are dramatically different. While approach to society. “Structure” refers to a system or
Radcliffe-Brown’s is a structural functionalism, organized parts. These parts are individual persons who
Malinowski’s functionalism is based on human biology participate in social life, occupying statuses within the
and psychology. It must be noted that this system. The social network is made up of social
biopsychological approach pays close attention to the relationships between individuals of a society. The
individual and de-emphasizes the importance of the individual is in turn controlled by norms or patterns.
social system as having a reason of existence beyond It is the function of folklore to maintain these norms
that of the individual, i.e. for Malinowski functionalism and patterns. It is in his use of the concept of structure,
is a metamorphosis of the seven needs of the individual and its maintenance that Radcliffe-Brown made his
nutrition, reproduction, bodily comforts, safety, major contribution to functionalism. His approach is
relation, movement, and growth into the secondary markedly different than Durkheim’s or Mauss’ view.
needs of society. The needs of the individual are

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32

Structure, Function and Neo-functionalism 7

INTRODUCTION second criticism of functionalism, that it is static and

has no concept of change, has already been articulated
Functionalism shares a history and theoretical above, concluding that while Parsons’ theory allows
affinity with the empirical method (though some of for change, it is an orderly process of change [Parsons,
the later functionalists, such as Bronislaw Malinowski 1961], a moving equilibrium. Therefore, referring to
and Talcott Parsons, can be seen as partially Parsons’ theory of society as static is inaccurate. It is
antipositivist). Parsons, in fact, saw “structural true that it does place emphasis on equilibrium and

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functionalism” as descriptive of a particular stage in the maintenance or quick return to social order, but
the methodological development of the social sciences this is a product of the time in which Parsons was
rather than a specific school of thought. While writing (post-World War II, and the start of the cold
functionalism has an affinity with “grand theory” (for war). Society was in upheaval and fear abounded. At
example, the systems theory of Niklas Luhmann), the time social order was crucial, and this is reflected
emphasis may be placed on small units of socialization, in Parsons’ tendency to promote equilibrium and social

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such as the family. It is also simplistic to equate the order rather than social change.
perspective directly with political conservatism. Furthermore, Durkheim favoured a radical form
Functionalism has been associated with thinkers as of guild socialism along with functionalist
diverse as the post-structuralist philosopher Michel explanations. Also, Marxism, while acknowledging
Foucault. In the most basic terms, it simply emphasises social contradictions, still uses functionalist

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“the effort to impute, as rigorously as possible, to each
feature, custom, or practice, its effect on the functioning
of a supposedly stable, cohesive system.”
explanations. Parsons’ evolutionary theory describes
the differentiation and reintegration systems and sub-
systems and thus at least temporary conflict before
Malinowski and Radcliffe-Brown had initiated a reintegration. “The fact that functional analysis can
new path in functionalism in 1920s which helped it in be seen by some as inherently conservative and by
emerging as a unified methodology and theory in others as inherently radical suggests that it may be
1930s. inherently neither one nor the other.” (Merton 1957:
Neo-functionalism is a theory of regional 39)
integration, building on the work of Ernst B. Haas, an Stronger criticisms include the epistemological
American political scientist. Jean Monnet’s approach argument that functionalism is teleological, that is it
to European integration, which aimed at integrating attempts to account for the development of social
individual sectors in hopes of achieving spill-over institutions solely through recourse to the effects that
effects to further the process of integration, is said to are attributed to them and thereby explains the two
have followed the neo-functional school’s tack. circularly. However, Parsons drew directly on many of
Durkheim’s concepts in creating his theory. Certainly
CHAPTER AT A GLANCE
Durkheim was one of the first theorists to explain a
CRITICISM OF FUNCTIONALISM phenomenon with reference to the function it served
In the 1960s, functionalism was criticized for for society.
being unable to account for social change, or for Further criticisms have been levelled at
structural contradictions and conflict (and thus was functionalism by proponents of other social theories,
often called ‘consensus theory’). The refutation of the particularly conflict theorists, Marxists, feminists and

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STRUCTURE, FUNCTION AND NEO-FUNTIONALISM / 33

post-modernists. Conflict theorists criticised at merging certain aspects of functionalism with those
functionalism’s concept of systems as giving far too better developed critical approaches which have stood
much weight to integration and consensus, and the test of time.
neglecting independence and conflict [Holmwood, (a) Revival in Germany: Niklas Luhmann sees
2005:100]. Lockwood [in Holmwood, 2005:101], in Parsons’ theory as missing the concepts of self-reference
line with conflict theory, suggested that Parsons’ theory and complexity. Self-reference is a condition for the
missed the concept of system contradiction. He did not efficient functioning of systems. It means that a system
account for those parts of the system that might have is able to observe itself, can reflect on itself and can
tendencies to mal-integration. According to Lockwood, make decisions as a result of this reflection. In
it was these tendencies that come to the surface as Luhmann’s theory, the chief task performed by social
opposition and conflict among actors. However, systems is to reduce complexity, which brings more
Parsons’ thought that the issues of conflict and choices and more possibilities; it takes more noes to
cooperation were very much intertwined and sought reach a ‘yes’. Religion or functional equivalents in
to account for both in his model [Holmwood, modern society can provide actors with shared
2005:103]. In this, however, he was limited by his standards of action accepted on faith, which allow
analysis of an ‘ideal type’ of society which was complex sets of interactions to proceed in a world that
characterised by consensus. Merton, through his would otherwise be chaotic and incomprehensible.
critique of functional unity, introduced into Furthermore Luhmann makes the distinction
functionalism an explicit analysis of tension and between risk, a potential harm threatening an
conflict. individual that is based on a decision made by the

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Marxism which was revived soon after the individual, and danger, a potential harm to which an
emergence of conflict theory, criticised professional individual is passively exposed. The critical difference
sociology (functionalism and conflict theory alike) for between the decision-maker and the people affected
being partisan to advanced welfare capitalism by the decision is that what is a risk for one is a danger
[Holmwood, 2005]. Gouldner [in Holmwood, 2005] for the other. Whereas people in primitive societies
were threatened primarily by dangers, people in modern

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thought that Parsons’ theory specifically was an
expression of the dominant interests of welfare society are threatened primarily by risks caused by our
capitalism, that it justified institutions with reference dependency on the decision-makers.
Jurgen Habermas is another stalwart of neo-
to the function they fulfil for society. It may be that
functionalism that emerged in Germany. He initially
Parsons’ work implied or articulated that certain
collaborated a theory of social engineering with

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institutions were necessary to fulfil the functional
Luhmann.
prerequisites of society, but whether or not this is the
(b) Revival in the United States of America:
case, Merton explicitly states that institutions are not
Jeffery Alexander and Paul Colomy are the main
indispensable and that there are functional alternatives.
exponents of neo-functionalism in America. They have
That he does not identify any alternatives to the current
defined neo-functionalism as a self-critical strand of
institutions does reflect a conservative bias, which as functional theory that broadens the intellectual scope
has been stated before is a product of the specific time of functionalism (1985). They have tried to sort out
that he was writing in. the difficulties found in structural functionalism. As
Early 20th Century Functionalism against the classical functionalism which proposed an
The early 20th century functionalism inherited scheme applicable to all societies, neo-functionalism
the issue of social order from its past, but was developed as ‘loosely organized package’
consistently ignored the issue of conflict in society (Alexander and Colomy, 1990). Neo-colonialism tried
since it collected its data from simple societies like to build a more synthetic theory.
Trobriand Islanders (Malinowski) or Andman Neo-Functionalism: Problems
Islanders (Radcliffe-Brown). These societies were that Need to be Surmounted
homogeneous and were changing very slowly unlike There are five main problems in structural
the modern West. functionalism that has to be resolved by the neo-
THE THESIS OF NEO-FUNCTIONALISM functionalist approach. They are anti-individua-
Parsons work gave rise to neo-functionalism first lism, antagonism to change, conservatism, idealism
in Germany and then in USA. Neo-functionalism aims and anti-empiricist bias.

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34 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

MERITS AND DEMERITS effectively with the process of change or conflict; and
OF NEO-FUNCTIONALISM it is conservative. It is viewed as ambiguous and lacking
Unlike previous theories of integration, neo- in adequate methods. Structural functionalism inhibits
functionalism was non-normative and tried to describe certain forms of analysis, such as comparative analysis.
and explain the process of regional integration based Structural functionalism has also been described as both
on empirical data. Integration was regarded as an illegitimately teleological and tautological. The former
inevitable process, rather than a desirable state of affairs implies that structural functionalists rely too heavily
that could be introduced by the political or technocratic on the notion that social structures have purposes or
elites of the involved states’ societies. Its strength goals. This notion is posited to justify the existence of
however was also its weakness: While it understood particular structures without adequate theoretical
that regional integration is only feasible as an reasons or empirical backing. Tautology suggests that
incremental process, its conception of integration as a the conclusion of a theory makes explicit what is
linear process made the explanation of setbacks implicit in the premise of the theory. Thus, structural
impossible. functionalism defines the whole in terms of the parts
Neo-functionalism holds that functional spill-over and the parts in terms of the whole. This gave rise to
occurs from the co-operation and social-integration of neo-functionalism.
technocrats into increasingly political realms. Q. 2. What are the major similarities and
Neo-functionalism nonetheless remains an differences between structural functionalism and
important theory in the study of international relations. neo-functionalism?
Neo-functionalism is often contrasted with inter- Ans. Neo-functionalism was an attempt by

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governmentalism. theorists such as Jeffrey Alexander, among others, to
While Parsons consistently viewed actors as revive the stronger tenets of structural functionalism.
analytical concepts, Alexander defines action as the Neo-functionalism attempted to synthesize portions of
movement of concrete, living, breathing persons as they structural functionalism with other theories. It
make their way through time and space. In addition highlighted the interactional patterning of the elements

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he argues that every action contains a dimension of that constitute society, attended to both action and order,
free will, by which he is expanding functionalism to understood integration as a possibility rather than as
include some of the concerns of symbolic fact, adopted various portions of Parsons’s action
interactionism. systems, and traced the process of social change that
Neil J. Smelser sets out to establish the concept of resulted from differentiation within action systems.

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ambivalence as an essential element of understanding Neo-functionalism is a 1960s revision of British
individual behaviour and social institutions. His structural-functionalism that experienced renewed
approach, based on Freud’s theory, takes intra-psychic activity during the 1980s. Some neo-functionalists
processes rather than roles at the starting point. He influenced by Parsons, analyze phenomena in terms
sees ambivalence (to hold opposing affective of specific functional requisites. Others, although they
orientations toward the same person object or symbol) place less emphasis on functional requisites and
as most applicable in situations where persons are examine a variety of phenomena, also share similarities
dependent on one another. The common element of with functionalism by focusing on issues of social
dependency is in his opinion that freedom to leave is differentiation, integration, and social evolution.
restricted because it is costly either politically, Finally, some neo-functionalists examine how cultural
ideologically or emotionally. Thus, dependence entails processes (including ritual, ideology, and values)
entrapment. Following his views on ambivalence, integrate social structures. Generally, there is little
Smelser argues that attitude surveys should be seen as emphasis on how phenomena meet or fail to meet
distorted structures of reality that minimize and system needs (Turner and Maryanski, 1991).
delegitimizes ambiguity and ambivalence. Neo-functionalism differs from structural-
functionalism by focusing on the modelling of systems-
SELF-ASSESSMENT QUESTIONS level interactions, particularly negative feedback, and
Q. 1. Discuss the major criticism of by emphasizing techno-environmental forces,
functionalism that led to the emergence of neo- especially environment, ecology and population,
functionalism. thereby reducing culture to adaptation (Bettinger,
Ans. There are a number of criticisms of structural 1996:851). Both neofunctionalism and structural-
functionalism. It is a historical; it is unable to deal functionalism explain phenomena with reference to the

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STRUCTURE, FUNCTION AND NEO-FUNTIONALISM / 35

needs they fulfil. They consider problematic cultural that is a general agreement by members of society
behaviours to result largely from benefits they generate concerning what is good and worthwhile. Stratification
that are essential to sustaining or improving the well- system derives from common values it follows from
being of larger systems in which they are embedded, the existence of values that individuals will be evaluated
these systems being cultures in the case of structural- and therefore placed in some form of rank order.
functionalism and ecosystems in the case of neo- Stratification is the ranking of units in a social system
functionalism (Bettinger, 1996:851). in accordance with the common value system. Those
Structural-functionalists believe these benefits are who perform successfully in terms of society’s values
generated by behaviours that reinforce group cohesion, will be ranked highly and they will be likely to receive
particularly ritual, or that provide the individual with a variety of rewards and will be accorded high prestige
effective mechanisms for coping with psychological since they exemplify and personify common values.
threatening situations by means such as religion or According to Kingsley Davis and Moore stratification
magic. Neo-functionalists, on the other hand, are exists in every known human society.
concerned with issues that relate directly to fitness All social system shares certain functional
similar to that in evolutionary biology (Bettinger, prerequisites which must be met if the system is to
1996:852). survive and operate efficiently. One such prerequisite
These emphasis correspond to the kinds of groups is role allocation and performance. This means that
that preoccupy structural-functional and neo-functional all roles must be filled. They will be filled by those
explanation. Structural-functional groups are culturally best able to perform them. The necessary training for
constituted, as cultures, by group-reinforcing cultural them is undertaken and that the roles are performed

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behaviours. Rather than separating humans from other conscientiously. Davis and Moore argue that all
animals, neo-functionalists focus on groups as societies need some mechanism for insuring effective
biologically constituted populations aggregated in co- role allocation and performance. This mechanism is
operative social alliances, by which self-interested social stratification which they see as a system which
individuals obtain fitness benefits as a consequence of attaches unequal rewards and privileges to the positions
group membership (Bettinger, 1996:852).

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in society. They concluded that social stratification is
Since obviously rational, beneficial behaviours a device by which societies insure that the most
require no special explanation, structural-functionalism important positions are conscientiously filled by the
and neo-functionalism focus on finding rationality in most qualified persons.
seemingly irrational behaviours. Neo-functionalism, Q. 2. What do you mean by Neo-functionalism?

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with economic rationality as its basic frame of Ans. Neo-functionalism was an attempt by
reference, believes that what is irrational for the theorists such as Jeffrey Alexander, among others, to
individual in the short run may be rational for the group
revive the stronger tenets of structural-functionalism.
in the long run. Therefore, neo-functionalist expla-
Neo-functionalism attempted to synthesize portions of
nation seemed to provide a bridge between human
structural functionalism with other theories. It
behaviour, which frequently involves cooperation, and
highlighted the interactional patterning of the elements
natural selection, where individual interaction involves
that constitute society, attended to both action and order,
competition more than cooperation. Additionally, this
understood integration as a possibility rather than as
type of argument was traditional in that it emphasized
cultural behaviours whose stated purpose (manifest fact, adopted various portions of Parsons’s action
function) concealed a more important latent function. systems, and traced the process of social change that
However, evolutionary theorists suggest that group resulted from differentiation within action systems.
selection occurs only under rare circumstances, thereby Q. 3. Write short note on structure-
revealing the insufficiency of fitness-related self- functionalism.
interest to sustain among groups of unrelated Ans. Although popular, even dominant, after
individuals over any extended period (Bettinger, World War II, structural functionalism is today
1996:853). generally of only historical interest. Emerging as an
offshoot of organicism, structural-functionalists were
ADDITIONAL IMPORTANT QUESTIONS mainly societal-functionalists who were interested in
Q. 1. What are Functionalist Theories? large-scale social structures and institutions within
Ans. Talcott Parsons believe that order, stability society, how they interrelate, and their constraining
and cooperation in society are based on value consensus effects on actors.

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One of the earliest and better known applications interactions to proceed in a world that would otherwise
of structural-functionalism was the functional theory be chaotic and incomprehensible.
of stratification. This theory argued that stratification Furthermore Luhmann makes the distinction
was universal and necessary for society, and that it was between risk, a potential harm threatening an
therefore functional. Stratification here refers to individual that is based on a decision made by the
positions rather than individuals and to the way that individual, and danger, a potential harm to which an
individuals are placed in the appropriate position. Since individual is passively exposed. The critical difference
some positions are more important, more pleasant, and between the decision-maker and the people affected
require different skills, a system of stratification is by the decision is that what is a risk for one is a danger
necessary to make sure all roles are fulfilled. Much for the other. Whereas people in primitive societies
like other versions of structural-functionalism, this were threatened primarily by dangers, people in modern
theory is criticized as conservative and lacking in society are threatened primarily by risks caused by our
empirical support. dependency on the decision-makers.
Q. 4. Critically analyze structure- Q. 6. Write a note on the contribution of Jeffrey
functionalism. C. Alexander’s neo-functionalism.
Ans. There are a number of criticisms of structural- Ans. At a time when most sociological theorists
functionalism. It is a historical; it is unable to deal were highly critical of functional theorizing, Jeffrey
effectively with the process of change or conflict; and C. Alexander began to argue for a neo-functionalism.
it is conservative. It is viewed as ambiguous and lacking (i) This neo-functionalism involved “an intellectual
in adequate methods. Structural-functionalism inhibits

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tendency” among a diverse range of scholars to retain
certain forms of analyses, such as comparative analysis.
the useful elements of Talcott Parsons’ analytical
Structural-functionalism has also been described as
approach, while downplaying the notion of functional
both illegitimately teleological and tautological. The
requisites. Thus, for Alexander and others, such as Paul
former implies that structural-functionalists rely too
Colomy, (ii) Who have been instrumental in the rise of
heavily on the notion that social structures have
neo-functionalism, sociological theorizing should

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purposes or goals. This notion is posited to justify the
existence of particular structures without adequate visualize society as a system of interrelated parts, retain
theoretical reasons or empirical backing. Tautology the distinctions among cultural, social, and personality
suggests that the conclusion of a theory makes explicit systems, visualize culture as a distinctive realm of social
what is implicit in the premise of the theory. Thus, reality, examine the forces causing both the integration

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structural functionalism defines the whole in terms of and disintegration of social orders, and recognize that
the parts and the parts in terms of the whole. social differentiation is a central feature of social
Q. 5. Write short note on the theory of neo- change. All these had been prominent pieces in the
functionalism analyzed by Niklas Luhmann. complex analytical system built by Parsons, and
Ans. Niklas Luhmann sees Parsons’ theory as Alexander felt that these were still central to
missing the concepts of self-reference and complexity. sociological analysis. However, the most distinctive
Self-reference is a condition for the efficient functioning feature of functional theory, that is, analyzing socio-
of systems. It means that a system is able to observe cultural forces by their functions for sustaining a more
itself, can reflect on itself and can make decisions as a inclusive system-was to be downplayed. Indeed, in
result of this reflection. In Luhmann’s theory, the chief Alexander’s eye, the idea of systems having needs and
task performed by social systems is to reduce requisites cannot fully explain social processes that
complexity, which brings more choices and more operate within these systems; at best, functional
possibilities; it takes more noes to reach a ‘Yes’. requisites establish broad limits for the way that human
Religion or functional equivalents in modern society social action and patterns of social organization
can provide actors with shared standards of action operate.
accepted on faith, which allow complex sets of

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37

UNDERSTANDING POWER

The Conceptual and Theoretical Issues of Power 8

INTRODUCTION belief, and if he encourages it and resolves to make

use of it by intervening in or punishing actions by others
Power may be defined as the ability of a person to who do not comply with his wishes, then he truly has
influence the behaviour of another person or a group power and this power has indeed been conferred upon
of persons in accordance with his/her own wish. him by the attributions, perhaps initially without
Tawney defined power as “the capacity of an individual, foundation, of others.”
or group of individuals, to modify the conduct of other Let us now distinguish the concept of power from

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individuals or groups in a manner in which he desires, other related concepts:
and to prevent his conduct being modified in the (a) Power and Authority: With authority comes
manner in which he does not.” Sociologist deal mainly power. Power is the ability to influence people toward
with the power in social relationships. Various organizational objectives. However, you have limits
sociologist have dealt with different dimensions of on your authority and power. In conjunction with
power. Here the views of six theorists Weber, Marx, your authority, you use power to influence others

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Robert Micheals, Steven Lukes, Anthony Giddens and toward the accomplishment of command goals. You
Micheal Focult have been explained. can use power for personal gain or for the good of the
organization. However, if your subordinates believe,
CHAPTER AT A GLANCE
you use power for personal gain, you will soon suffer
CONCEPT OF POWER an erosion of that power. On the other hand, if

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Social relationship, the concept of power can be subordinates believe you use power to accomplish
understood viz-a-viz. two persons groups since one the organizational goals, your power to influence them
individual group exercises power in relation to another will become stronger. Your power will also become
one. The resistance of disobey of power results in stronger when you share it through delegation of
punishment. Those having resources at their disposal authority.
are powerful. (b) Power and Prestige: According to E.A. Ross
According to Coser (1982), there are two major (1916), prestige is the immediate cause of location of
traditions regarding power: (i) one which focuses on power. However, one must remember that it is power
power as the imposition of the will (e.g. in the writings which gives prestige to a per….. and not the other way
of Weber) and (ii) one which focuses on power as a round.
resource at the disposal of collectivities (e.g. in the (c) Power and Influence: While power
works of Parsons). commands obedience and submission, influence is
One may think that a physically strong person persuasive power is accompanied by sanctions while
welds power and commands while the weak doesn’t influence is not. Newton had influence, but not power,
weld power and obeys the strong. However, it is not a policeman has power, but no influence, but the prime
the physical strength but the resource at hand which is investor has.
considered in sociological literature. According to (d) Power and Dominance: We can observe that
Gerth and Mills (1953), power in itself is simply the power exists and expresses itself in intergroup relations.
probability that one person will act as an another person The status that people occupy in formal organiztaion
wishes. A comprehensive definition can be found in is very closely related to power whereas dominance is
Dennis Wrong (1968) who says, “if an actor is believed associated with one’s personality and may be treated
to be powerful, if he knows that others hold such a as a psychological concept. Compared to dominance,

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38 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

power is associated with the structure of society with other capitalists, Marx believed that more and
(Bierstedt, 1982). Thus, power and dominance though more members of society would eventually become
closely related are different concepts. proletarians in a process he called proletarianization.
THEORETICAL CONSIDERATIONS Society would then be characterized by a very small
Theories of power mainly focus on (i) its potential number of capitalists exploiting a large number of poor
to achieve goals (ii) its potential to generate solidarity proletarians subsisting on low wages. Marx called this
and collective autonomy. group of proletarians the industrial reserve army. Thus,
(a) Max Weber: Power and Domination: Weber the normal operation of the capitalist system, through
(1914-1920) distinguished between power (macht) and competition and exploitation, produces an ever greater
domination (herrschaft). He defined power as an actor’s number of workers who will eventually rise up to
chance to impose his/her William another even against overthrow the system.
the resistance of the latter in social relationship. This (c) Robert Michels: The Iron Law of Oligarchy:
means the degree of submission power is dependent Human beings crave for power. In democracy, this trend
on. Here the basis of power is not important. leads to oligarchic rule known as Robert Michels the
According to Scott (1996), power is a potential iron law of oligarchy. However, this oligarchy keeps
that is realized through the actions of an actor. He renewing itself with the democratic current (Michels
believes that this potential is determined by accidental 1959).
or fortuitous circumstances of the actor’s life. The main When organizations become complex, some people
difference between power and domination is that while are chosen as representations of the masses. Michels
former does not mean the right to command and the (1927) says that with the time democratic organizations

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duty to obey the latter stands for the probability of become oligarchy. This oligarchy preserves stability
gaining willing obedience in a given situation. and prevents unrest. The awareness of these conditions
We can see two types of dominations–one that leads to class struggle. According to Michels, decentra-
involves a rational and calculative maneuvering where lization may not enhance liberty of individuals and
the (small companies selling to more police) individual serves as a mechanism by which weak leaders get away

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is able to convince the subordinate actors, and the from the dominion of the stronger ones. Thus, he
second is excercised through authority. emphasized free inquiry, criticism aand control of the
Power and Dominations leaders among the masses which may strengthen
Weber dealt mainly with power in stable democracy (Zeitlin 1987).
relations and terms dit’ domination’. This is (d) Steven Lukes: Power and Human Agency:

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realized through rationalization of customary According to Lukes (1977), power may be expressed
habitual actions. This rationalization may be of two in two ways—one in which the person exercising power
types–instrumental and value rationalization. has the option to act differently and the another in
Instrumental rationalization helps in evolving which those on whom the power has the alternative to
customary social order into calculative one. Value act differently, in case power was not exercise over
rationalization changes the social order into a them.
legitimacy based order (Scott 1966). This means that even if the actors operate within
Weber explained three types of authority: “structurally determined limits,” they have a certain
(i) traditional authority based on long-standing degree of autonomy and could act in a degree of
traditions, (ii) rational-legal authority based on norms, autonomy and in a different way. Michel gives an
legality, etc. (e.g. Authority of bases in offices police example of an employer who in order to cut costs
men, etc.) and (iii) Charismatic authority (e.g. Gandhi’s declares some workers redundant.
leadership) (Aron 1967). (e) Anthony Giddens: Power as Dependency
(b) Karl Marx: Class and Power: The conflict and Domination: Giddens distinguishes between
created by the contradictory positions of two groups, power in the broad sense and in the narrow sense. The
the proletariat and the capitalists, is at the heart of transformative capacity of human agency is the power
capitalism. Because these represent groups in conflict, explained in the broad sense while power in the narrow
Marx called them classes. For Marx, every period of sense is largely rational. In the former case, capacity
history contained fault lines upon which potential refers to the capability of the individual to bring about
conflict could result, and, thus, every historical period a change through intervention. In the latter cases power
had its own class formations. Because capitalists are is the capability to effect results when these outcomes
continually accumulating capital while also competing depend upon the agency of others.

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THE CONCEPTUAL AND THEORETICAL ISSUES OF POWER / 39

According to Giddens (1976), “Power in either Bottomore (1964) writes about the concept of
the broad or restricted sense, refers to capabilities.” In circulation of elites as explained by Marie Kolabinshka
1984, Giddens suggested that reproduction of structures (a student of Pareto) who studied French society exists
of domination leads to generation of power. It means between 11th to 18th centuries. The circulation may
that power depends upon the distribution of resources take place between different categories of governing
and the capabilities of individuals to make most of them elites or between elites and the rest of the population.
effectively, Giddens says that power is not always POWER ELITE AND VETO GROUPS
oppressive rather it is the capacity to achieve outcomes. The Power Elite is a book written by the
(f) Michel Foucault: Power as Domination: For sociologist, C. Wright Mills, in 1956. In it, Mills called
Foucault power may be identified with domination and attention to the interwoven interests of the leaders of
within the framework of domination the character of the military, corporate, and political elements of society
modern classical power may be distinguished. and suggested that the ordinary citizen was a relatively
While in the modern times the disciplinary power powerless subject of manipulation by those entities.
is constant and pervasive, the sovereign power is The structural basis of The Power Elite was that,
periodic and has low social penetration. In the former following World War II, the United States was the
case, domination takes place through political leading country in military and economic terms.
rationalities and technologies of power while in the The book is something of a counterpart of Mills’
latter case, it is expressed through prohibition. (Stewart 1951 work, White Collar: The American Middle
2001). Classes, which examined the growing role of middle
According to Foucault (1982) the law of truth managers in American society. While White Collar

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involves the defining criterion of modern form of characterized middle managers as agents of the elite,
power. Moreover, this form of power is based on The Power Elite did not differentiate them from the
relations of hierarchy, control, asymmetry and rest of the non-elite in society.
dominations. Foucault is criticized for the fatalism in David Riesman (1953) put forward the concept of
his concept of power. veto groups which are explained–jurisdiction.
THE CONCEPT OF ELITE Kornhauser (1966) has distinguished the power in

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Elite (occasionally spelled élite) is taken originally America as given by Mills and Riesman on five
from the Latin, eligere, ‘to elect’. In sociology as in grounds:
general usage, the elite is a hypothetical group of 1. Structure of power
relatively small size, that is dominant within a large 2. Changes in the structure of power
society, having a privileged status perceived as being 3. Operation of the structure of power

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envied by others of a lower line of order.
The elite at the top of the social strata almost
invariably puts it in a position of leadership, whether
4. Bases of the structure of power
5. Consequences of the structure of power.
POWER IN LOCAL COMMUNITIES
it be expected or volunteered, and often subjects the Community power focuses on decisions about what
holders of elite status to pressure to maintain that is to be done and the powerful person is successful in
leadership position as part of status. taking or carrying out theses decision. Delbert Miller
Vilfredo Pareto emphasized the psychological and argues that the business elite makes decisions in local
intellectual superiority that the elites obtained, he communities while in the view of Robert Dahl power
believed that the elites were the highest accomplishers structure is pluralistic.
in any field and he discussed how there were two types From his interviews of knowledgeable informants
of elites–governing elites; non-governing elites. of the community (Pacific City) using ‘reputational
He also extended on the idea that a whole elite technique’, Miller concluded that businessman could
can be replaced by a new one and how one can circulate get things done. In the “English City”, Miller found
from being elite to non-elite. that labour was significant and also leaders from the
Gaetano Mosca emphasized on the sociological domain of religion, education, status and welfare
and personal characteristics of elites, he said they were groups.
an organized minority and how masses are the Using ‘event analysis’, Dahl concluded that in
unorganized majority. The ruling class is composed of New Heaven many Loci of power exists. Mayors and
the ruling elite and the sub-elites. He divided the world their staff have increasingly become the initiators or
into two groups–ruling class; class that is ruled. Elites organizers of community decision (Spinnad, 1965).
have intellectual, moral, and material superiority that Edward Banfield (1961), studied six specific
is highly esteemed and influential. community problems in Chicago. According to him,

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businessmen occupy positions at the national level but Because power operates both relationally and
they do not dominate critical community decisions. He reciprocally, sociologists speak of the balance of power
agreed with Dahl that main decisions are taken by between parties to a relationship: all parties to all
managers of large organizations. relationships have some power: the sociological
examination of power concerns itself with discovering
SELF-ASSESSMENT QUESTIONS and describing the relative strengths: equal or unequal,
Q. 1. What is concept of Power in Sociology? stable or subject to periodic change. Sociologists usually
Ans. In sociology power is defined as the ability analyse relationships in which the parties have
of an individual or group to fulfil its desires and relatively equal or nearly equal power in terms of
implement its decisions and ideas.It involves the ability constraint rather than of power.
to influence as well control the behaviour of others Even in structuralist social theory, power appears
even against their will. According to Giddens power as a process, an aspect to an ongoing social relationship,
must be recognized as a primary concept in sociological not as a fixed part of social structure.
One can sometimes distinguish primary power:
analysis. It is potentially an aspect of all relationships.
the direct and personal use of force for coercion; and
Power is an aspect of all areas of society and all
secondary power, which may involve the threat of force
institutions. Talcott Parsons defines power as a systems or social constraint, most likely involving third-party
property a capcity to achieve ends whereas Mills viewed exercisers of delegated power.
power as a relationship in which one side prevailed Q. 3. Explain the Marxists theory of power.
over the other. According to Max Weber power is a Ans. In the Marxist tradition, the Italian writer
chance of man or men to realize their own will in a Antonio Gramsci elaborated the role of cultural

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communal action even against the resistance of others hegemony in ideology as a means of bolstering the
who are participating in the action. Marxian analysis power of capitalism and of the nation-state. Drawing
rejects the view that power is societal resource held in on Niccolò Machiavelli in The Prince, and trying to
trust and directed by those in authority for the benefit understand why there had been no Communist
of all. Instead, power is seen to be held by a particular revolution in Western Europe, whilst there had been

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group in society at the expense of rest of the society. in Russia, Gramsci conceptualized this hegemony as a
The source of power in society lies in the economic centaur, consisting of two halves. The back end, the
infrastructure and gradually the power of the ruling beast, represented the more classic, material image of
class extends beyond specific economic relations and power, power through coercion, through brute force,
prevades the entire superstructure. be it physical or economic. But the capitalist hegemony,

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Q. 2. Discuss about analysis and operation of he argued, depended even more strongly on the front
power. end, the human face, which projected power through
Ans. Power manifests itself in a relational manner: ‘consent’. In Russia, this power was lacking, allowing
one cannot meaningfully say (pace advocates of for a revolution. However, in Western Europe,
empowerment) that a particular social actor ‘has power’ specifically in Italy, capitalism had succeeded in
exercising consensual power, convincing the working
without also specifying the other parties to the social
classes that their interests were the same as those of
relationship.
capitalists. In this way revolution had been avoided.
Power almost always operates reciprocally, but Like Gramsci stresses the significance of ideology
usually not equally reciprocally. To control others, one in power structures, Marxist–feminist writers like
must have control over things that they desire or need, Michele Barrett stress the role of ideologies in extolling
but one can rarely exercise that control without a the virtues of family life. The classic argument to
measure of reverse control-larger, smaller, or equal– illustrate this point of view is the use of women as a
also existing. For example, an employer usually wields ‘reserve army of labour’. In war-time it’s accepted that
considerable power over his workers because he has women perform masculine tasks, while after the war
control over wages, working conditions, hiring and the roles are easily reversed. Therefore, according to
firing. The workers, however, hold some reciprocal Barrett, the destruction of capitalist economic relations
power. They may leave, work more or less diligently, is necessary, but not sufficient for the liberation of
group together to form a union, and so on. women.

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41

Class and Legitimacy 9

INTRODUCTION These classes are formed on the basis of objective
material conditions. These conditions in turn, also
Class and legitimacy are important concepts of become a basis for the formation of ‘class-in-itself’
sociology. Karl Marx has dealt class in detail while which gets transformad into a ‘class for itself’ with
legitimacy has been main point of discussion for Max growth of consciousness.
Weber. Compared to the earlier epochs, in the modern
Social classes are the hierarchical arrangements times the class relation is simpler. The two classes,
of people in society as economic or cultural groups. bourgeoisie (the owners of production or haves) and

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Class is an essential object of analysis for sociologists, the proletariat (have-nots), have emerged in the
anthropologists, political economists and social capitalist society. According to Marx, the pauperization
historians. In sociology and political philosophy, the of labour takes place and the very essential conditions
most basic class distinction is between the powerful for the growth of capitalism dig its grave and inevitably
and the powerless. In Marxist theory and historical the proletariat has the last laugh.

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materialism, social class is caused by the fundamental CAPITALISM, CLASS RELATIONS
economic structure of work and property. Various social AND DEVELOPMENT
and political theories propose that social classes with Industry gives rise to the development of
greater power attempt to cement their own ranking commerce, navigation and communication which in
above the lower social classes in the social hierarchy turn pave the way for the extension of industries and

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to the detriment of the society overall. By contrast, free trade. New markets, new technology, surplus value
conservatives and structural functionalists have and exploitation of the proletariat are used by
presented class difference as intrinsic to the structure bourgeoisie class for maximizing profits. Marx
of any society and to that extent ineradicable. explained the sources of profit in terms of theory of
The Marxist conception of class involves a value, wage and surplus value. Workers do not get the
collective group of individuals that share similar wage for the quality of value produced.
economic and social relations relative to each other in The bourgeoisie is very revolutionary and it has
society. A class is a group with intrinsic tendencies been constantly revolutionizing the instruments of
and interests that are different from, and may be production and thereby the relations of production and
opposed to the interests of other groups in society. the society. These developments are accompanied by
the emergence of new forces of contradiction within
CHAPTER AT A GLANCE the capitalist system. The modern working class grows
CLASS RELATION AND CHANGE and gradually they gain more strength and awareness.
The society has been changing and this has been Other sections of the society such as the lower middle
a result of the class struggle says Karl Marx. According class, the artisans, the small manufacturers and
to him, classes are the main agents of social change peasants join the army of the proletariat. The class
and class conflict is the main reason for it. In every consciousness of the proletariat then causes violent
epoch of history there have been two main classes viz. revolution which overthrows the bourgeoisie.
freeman and slave, patrician and plebeian, lord and CONCEPT OF LEGITIMACY
serf, guild-master and journeyman. One is the The lawful and regular activity which could be
oppressor class and the other is the oppressed one. justified on certain reasonable grounds is called

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legitimacy. The legitimate action is not questioned. For The practice of assigning such statuses to
example, use of public money by the government for individuals exists cross-culturally within all
various welfare programmes, legitimate cause for societies and is based on sex, gender, race, family
office leave, children born out of legitimate relationship origins, and ethnic backgrounds. For example, a
like marriage, etc. if the activities of a person are person born into a wealthy family has a high
not according to the norms they would be called ascribed status based solely on the social networks
illegitimate. and economic advantages that one gains from being
WHY LEGITIMACY? born into a family with more resources than others.
The occupation of power whether by people or
LEGAL-RATIONAL AUTHORITY
governments is always justified in order to be called
Rational-legal authority is belief in the legality of
legitimate. For example, democracies have regular
patterns of standard rules and the right of those elevated
elections to get legitimacy from the people. Legitimacy
provides justification for the claim over subordinates to authority under such rules to issue commands.
and the people. Legitimacy, thus, resolves the Authority is held by legally established impersonal
possibilities of conflict between those who govern and orders and extends to people only by virtue of offices
those who are governed and justifies the distribution they hold. The power of government officials is
of power in society. determined by the offices to which they are appointed
or elected because of their individual qualifications.
BASES OF LEGITIMACY: TRADITIONAL, As long as individuals hold these offices, they have a
LEGAL-RATIONAL AND CHARISMATIC certain amount of power, but once they leave office,

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Max Weber identified the concept of legitimacy their rational-legal authority is lost.
and analysed it scientifically. He established it as an
important issue of sociological analysis and described Ideal Type Bureaucracy
its important bases. According to him there are three The ideal type of bureaucracy presented by
main bases of legitimacy–traditional, legal-rational and Weber has been criticized by many scholars on
academic as well as political and moral grounds.

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charismatic. Distinguishing between power and
Here, the eleven characteristics of the ideal type of
authority, Weber stated that legitimate power is bureaucracy as explained by Weber have been kept
authority. in mind while discussing about legal-rational
TRADITIONAL AUTHORITY authority.
Traditional authority is authority in which the The main characteristics of bureaucracy may be

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legitimacy of the authority figure is based around identified as follows:
custom. Legitimacy and power to control is handed 1. Written Rules: Every bureaucratic organization
down from the past and this power can be exercised in has written rules which are followed by every member
quite dictatorial ways. This is the type of authority in of the organization. Only appropriate orders which
which the traditional rights of a powerful and dominant follow rules can be given and not in verbal, but in
individual or group are accepted, or at least not written form. This written form reduces personal biases.
challenged, by subordinate individuals. These could 2. Recruitement and Promotions based on
be religious, sacred or spiritual forms, a well established Rules: The written work on paper is done by permanent
and slowly changing culture, or tribal, family, or clan
employees who are recruited and promoted according
type structures.The dominant individual could be a
to the rules of the organization without any bias, i.e.
priest, clan leader, family head, or some other
without any interference and in a transparent and
patriarchal figure, or dominant elite might govern.
impersonal manner.
Ascribed Status 3. Rationality: Weber believed in rational basis
Ascribed status is the social status a person is for legitimacy not only in public, but private
assigned at birth or assumes involuntarily later in organizations, too.
life. It is a position that is neither earned nor chosen 4. Legal-rational Form of Legitimacy: The
but assigned. These rigid social designators remain legitimacy in bureaucracy is legal-rational that is, it is
fixed throughout an individual’s life and are not based on traditional beliefs or charisma rather it is
inseparable from the positive or negative stereotypes the rules which become the basis of legitimacy in this
that are linked with one’s ascribed statuses. kind of organization.

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CLASS AND LEGITIMACY / 43

However, some scholars have referred to the Ans. Weber considers charisma to be a driving
dysfunction of bureaucracy for misgovernance, and creative force which surges through traditional
incompetence, unnecessary paper work and frustration authority and established rules. The sole basis of
of the people. charismatic authority is the recognition or acceptance
CHARISMATIC AUTHORITY of the claims of the leader by the followers. Charismatic
Charismatic authority exists when the control of authority can be revolutionary in nature, challenging
others is based on an individual’s personal traditional authority and sometimes rational-legal. This
characteristics, such as extraordinary ethical, heroic, type of authority could easily degenerate into traditional
or religious virtuosity. Charismatic leaders are obeyed authority in which the power is exercised by those who
because people feel a strong emotional bond to them.
surround the charismatic leader.
Hitler, Gandhi, Napoleon and Julius Caesar were all
charismatic leaders. Whether such powers actually exist Charismatic authority is the antithesis of routine
is irrelevant; the fact that followers believe that such activities and represents the desire for disruption and
powers exist is what is important. change of the prevailing social order. It is a necessary
part of the dialectic between the human need for
Personal Traits and Qualities
structure and the equally human need for variation and
Charismatic authority is different from rational
or traditional authority in that it develops not from innovation in society. Charismatic authority is different
established orders or traditions, but rather from the from rational or traditional authority in that it develops
special trust the charismatic leader induces in his not from established orders or traditions, but rather
followers, the peculiar powers he exhibits, and the from the special trust the charismatic leader induces

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unique qualities he possesses. According to Weber, in his followers, the peculiar powers he exhibits, and
it is difficult for charismatic leaders to maintain the unique qualities he possesses. According to Weber,
their authority because followers must continue to it is difficult for charismatic leaders to maintain their
legitimize this authority. There is a need for the authority because followers must continue to legitimize
charismatic leader to constantly exhibit leadership this authority. There is a need for the charismatic leader
performance to his followers to reinforce the

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to constantly exhibit leadership performance to his
legitimacy of his authority. followers to reinforce the legitimacy of his authority.
LEGITIMACY AND SOCIAL CHANGES There are various ways that rational-legal authority
The three bases of legitimacy identified by Max could develop. Systems of laws and regulation develop
Weber represent an ideal type at best and with the in many societies and there are many different

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changes occurring in society some more bases may be principles of legality that could occur. With the
found. For example, professional authority represented development of a rational-legal system, there is likely
by doctors, lawyers, chartered accountants, computer to be a political system which becomes rationalized in
personnel, etc., has emerged in modern society which a similar way. Associated with political systems are
has its own say in its specialized field. constitutions, written documents and established
With the changes in society, we come across offices, regularized modes of representation, regular
conflicting claims of legitimacy as is the case in modern elections and political procedures. These are developed
Indian society when one has to find out as to who has
in opposition to earlier systems such as monarchies or
the right claims for deciding about the marriage of a
other traditional forms, where there are no well
boy or girl.
Development of societies has created undesirable developed set of rules.
conditions (Emile Durkheim’s concept of ‘pathological As political systems develop in a rational manner,
conditions of society’ or Marx’s concept of ‘alienation’ authority takes on a legal form. Those who govern
in capitalist society) which cause crisis of legitimacy. either have or appear to have a legitimate legal right
Moreover, C. Wright Mills talks about prevailing to do so. Those who are subordinate within this system
‘uneasiness’ and ‘indifference’ in American society. In accept the legality of the rulers, believing in the right
these situations we fail to decide on how to decide the of those who have legitimate rights to exercise power.
legitimate grounds for actions. Those with the power then exercise power based on
this right of legitimacy.
SELF-ASSESSMENT QUESTIONS
Rational-legal authority may be challenged by
Q. 1. What is the difference between those who are subordinate, but this challenge is unlikely
charismatic and rational-legal authority? Describe. to result in changes in the nature of the system very

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quickly. According to Weber, such power struggles Can charisma be learned? Charisma is a special
could be based on ethnicity, nationalism, not classism, quality that people possess that serves as a magnet, of
and are mostly political struggles. sorts, but it is really made up of many traits. One of
Weber’s examination of legitimate authority led the most important element is self-confidence. People
him to define an ideal type bureaucracy. An ideal type who appear confident instill confidence in those around
is a rationally and systematically constructed pure type them. Another element of charisma is great
of action, which can rarely taken place in reality and communication ability and that starts with a strong
used as a measuring tool to determine the similarity and effective vocabulary.
between actual social institutions and defined ones. The It would be a great idea to build upon those
ideal type bureaucracy Weber developed incorporated elements to make yourself as charismatic as possible.
hierarchy, impersonality, written rules of conduct, Charismatic authority almost always evolves in
promotion based on achievement, specialized division the context of boundaries set by traditional or rational
of labour, and efficiency. Information flows up the chain (legal) authority, but by its nature tends to challenge
of command and directives flow down, according to this authority and is thus often seen as revolutionary.
Weber’s model. Impersonal rules explicitly define However, the constant challenge that charismatic
duties, responsibilities, operating procedures and rules authority presents to a particular society will eventually
of conduct. subside as it is incorporated into that society. The way
Individual offices are highly specialized and in which this happens is called routinization.
appointments are made on the basis of qualifications Routinization is the process by which ‘charismatic
rather than ascribed status. Working together, these authority is succeeded by a bureaucracy controlled by

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characteristics are designed to promote the collective a rationally established authority or by a combination
goals of the organization. This ideal type bureaucracy of traditional and bureaucratic authority’ (Turner,
was intended to promote economic growth and Beeghley, and Powers, 1995). For example,
prosperity. Many of its concepts are echoed in today’s Muhammad, who had charismatic authority as ‘The
capitalist and political systems. Prophet’ among his followers, was succeeded by the
Q. 2. Outline the notion of charisma. How does traditional authority and structure of Islam, a clear

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charisma get reutilized? Explain. example of routinization.
Ans. A charismatic leader is one who provides an Some leaders may employ various tools to create
environment full of energy and positive reinforcement. and extend their charismatic authority; for example,
If you are naturally charismatic, you are very fortunate. utilizing the science of public relations.
This is a trait that is not so easily learned. As in the example of Christianity, a religion which

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Charismatic leaders inspire others and encourage evolves its own priesthood and establishes a set of laws
them to be their best. Employees and group members and rules is likely to lose its charismatic character and
want to impress a charismatic leader, so they work hard move towards another type of authority upon the
and strive to succeed. removal of that leader.
Under charismatic leadership, group members may In politics, charismatic rule is often found in
view success in relation to their leaders. A major various authoritarian states, autocracies, dictatorships
problem with charismatic leadership is that group and theocracies. In order to help to maintain their
success tends to hinge on the leader. The charismatic charismatic authority, such regimes will often establish
leader is the glue that holds a group together. So what a vast personality cult, which can be seen as an attempt
happens if the leader should have to step down or to gain legitimacy by an appeal to other forms of
transfer? Normally, the group dynamic will fizzle and authority. When the leader of such a state dies or leaves
individual members will lose enthusiasm. office and a new charismatic leader does not appear,
Charismatic leadership is great for short-term such a regime is likely to fall shortly thereafter unless
projects. As long as you are working on a task that can it has become fully routinized.
be completed in a semester, you don’t have to worry so ADDITIONAL IMPORTANT QUESTIONS
much about your group falling apart with the loss of
leadership. Q. 1. What is the relation between Power and
Charismatic leaders are great for projects that Legitimacy?
require energy and talent. Drama assignments, writing Ans. Power is the ability, whether personal or
assignments, sports related tasks, art projects—these social, to get things done—either to enforce one’s own
activities could be very successful when led by a will or to enforce the collective will of some group
charismatic person. over others. Legitimacy is a socially constructed and

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CLASS AND LEGITIMACY / 45

psychologically accepted right to exercise power. A 4. Readiness to conform to rules which are
person can have legitimacy, but no actual power (the formally correct and have been imposed by
legitimate king might reside in exile, destitute and accepted procedure.
forgotten). A person can have actual power but not Q. 3. What is the opinion of Max Weber on
legitimacy (the usurper who exiled the king and class?
appropriates the symbols of office). Ans. Class is defined in terms of market situation.
Here, now, we begin to approach an understanding A class exists when a number of people have in common
of what authority is because in all social situations a a specific casual component of their life chances in the
person is treated as an authority only when they have following sense:
both power and legitimacy. We might consider, for This component is represented exclusively by
economic interests in the possession of goods and
example, the phrase uttered so often when someone
opportunities for income under conditions of the
intrudes into our business in order to give commands:
commodity or labour markets.
“You have no authority here.” When market conditions prevail (e.g. capitalism),
What does that mean? It might mean that the property and lack of property are the basic categories
person has no legitimate claim to be heard or heeded. of all class situations. However, the concept of class-
It might mean that the person has no social power - he interest is ambiguous. Collective action based on class
has not the ability to enforce his will over the objections situations is determined by the transparency of the
of others. Or, it might be both. In any event, both must connections between the causes and the consequences
be present for authority to exist (socially) and be of the class situation. If the contrast between the life
acknowledged (psychologically). chances of different class situations is merely seen as

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Q. 2. What are the bases of Legitimacy? an acceptable absolute fact, no action will be taken to
Ans. Legitimacy may be ascribed to an order by change the class situation.
those subjects to it in the following ways: A class in and of itself does not constitute a group
1. Tradition, belief in legitimacy of what has According to Gemeinschaft, “The degree in which social
always existed. action and possibly associations emerge from the mass

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2. Affectual attitudes, legitimizing the validity behaviour of the members of a class is linked to general
of what is newly revealed or is a model to cultural conditions, especially those of an intellectual
imitate. sort.’’ If classes as such are not groups, class situations
3. Rational belief in its absolute value. emerge only on the basis of social action.

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46

Power: Functional Perspective 10

INTRODUCTION NINETEENTH CENTURY
This period was dominated the ideas of progress
The word power has been derived from the Latin on society (Auguste Comte). According to Herbert
words ‘potis’, ‘posse’ or ‘pot-ere’ which mean ‘to be Spencer, society was an organism with evolution in
also’. In daily life, power is used in various meanings which the state has the prime position in the functioning
such as ‘horse power’, ‘powerloom’, etc. These of the society. In France, when the Third Republic got
meanings imply that power gives a person to increase established in 1871 the intelligentsia tried to make it a
capacity or energy and enables enlarging scope. During success through educating civil service, technicians and

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the 17th and 18th centuries, three political thinkers— leaders. Durkheim proposed that the teachers should
Hobbes, Locke and Rousseau reflected upon the need be trained first for educating the people of various fields
for making the Republic functional.
of power for society and the nature of power acceptable
TWENTIETH CENTURY WRITERS
to members of the society. Political and sociological Robert M. MacIver was one of the most important
discussions show the limits of power and sovereignty. sociologist of the 20th century who wrote the book
Max Weber and Talcott Parsons discussed power’s

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‘State’. Here, he did not accept that the sovereignty of
nature and its legitimacy in society. While Weber state was absolute and indivisible (Austin) and argued,
explains their scope for power holders, Parsons deals “the state is not coeval and coextensive with society.”
with the capacity of the social system to realize common At the best it was only one of the great associations in
goals and increase its capacity. society. His elaborate views can be found in the book

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‘Society’, which he wrote with Charles H. Page.
CHAPTER AT A GLANCE
In the U.K., Harold Laski wrote Grammar of
EARLY WRITERS: Politics in which he opined that there were plural centres
HOBBES, LOCKE, ROUSSEAU of power in society and state was one of them.
Hobbes, Locke and Rousseau have shown links of MAX WEBER AND TALCOTT PARSONS
power with function. Power relation relate to unequal Max Weber commented upon the nature of power
positions. According to Hobbes, the nature of man and its legitimacy.
produces three causes of quarrel among them– Max Weber: An Introduction
competition, diffidence and glory. This quarrel calls for Weber was born in 1864, in Erfurt in Thuringia,
the need of laws of nature and a common power to keep Germany, the eldest of seven children of Max Weber
them in awe and answer need for maintaining order. Sr., a wealthy and prominent politician in the
John Locke (1632-1704) advocates the need for civil National Liberal Party (Germany) and a civil
servant, and Helene Fallenstein, a Protestant and a
government in order to maintain law and order and
Calvinist, with strong moral absolutist ideas. Weber
believes that this avoid the misuse of liberty by the was a member of the German delegation during the
victim and the justice could be delivered by the common peace negotiations in Versailles. He first wanted
consent. Germany not to sign the treaty, but he feared that
Rousseau (1712-1778) had a very great influence this would only make things worse for Germany after
on French Revolution (1789). According to him, man a while and doubted for months what would be the
was born free, but everywhere he is in chains. From the best solution—signing or not. His experience as a
state of nature, human beings moved to develop a member of a family which had a background of
general will which provided them the rationale for active politicians, professors and religious schools
exercise of power. The general will was so powerful helped him in understanding the political processes,
that even kings and tyrants could not ignore it. capitalistic and bureaucratic working.

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POWER: FUNCTIONAL PERSPECTIVE / 47

(a) Tradition: The first type discussed by Weber and influence (for the societal community) had
is rational-legal authority. It is that form of authority institutional functions, which essentially was structurally
which depends for its legitimacy on formal rules and similar to the general systemic function of money.
established laws of the state, which are usually written Utilizing Roman Jakobson’s idea of ‘code’ and
down and are often very complex. The power of the ‘message’, Parsons divided the components of the media
rational legal authority is mentioned in the constitution. into a question of value-principle versus coordination
Modern societies depend on legal-rational authority. standards for the ‘code-structure’ and the question of
Government officials are the best example of this form factor versus product control within those social process
of authority, which is prevalent all over the world. which carried the ‘message’ components. In this way,
(b) Bureaucracy: The second type of authority is while ‘utility’ could be regarded as the value-principle
traditional authority, which derives from long- for the economy (medium: money), ‘effectiveness’ was
established customs, habits and social structures. When the value-principle for the political system (medium:
power passes from one generation to another, then it is political power) and solidarity for the societal
known as traditional authority. The right of hereditary community (medium: influence). Parsons would
monarchs to rule furnishes an obvious example. The eventually chose the concept of value-commitment as
Tudor dynasty in England and the ruling families of the generalized symbolic medium for the fiduciary
Mewar, in Rajasthan (India) are some examples of system with integrity as the value-principle.
traditional authority. POLITY AS A SUBSYSTEM
(c) Charisma: The third form of authority is Parsons and Smelser agree that a subsystem
charismatic authority. Here, the charisma of the behaves like a system. For example, economy and polity
individual or the leader plays an important role.

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are subsystems, but behave as a system. This means that
Charismatic authority is that authority which is derived a subsystem reproduces the characteristics of a system
from ‘the gift of grace’ or when the leader claims that and acquires its properties. In the political subsystem,
his authority is derived from a ‘higher power’ (e.g. God central, state and union territories are different levels
or natural law or rights) or ‘inspiration’, that is superior of governments with some differences in power.
to both the validity of traditional and rational-legal Moreover, the political power is distributed to the lower

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authority and followers accept this and are willing to levels and all these level exercise power in vaying
follow this higher or inspired authority, in the place of degrees. The exercise of power has to be functional for
the authority that they have hitherto been following. the units concerned and four requisites (AGIL) have to
Some of the most prominent examples of charismatic be fulfilled the continuity of the system.
authority can be politicians or leaders, who come from

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a movie or entertainment background. These people SELF-ASSESSMENT QUESTIONS
become successful, because they use their grace and
charm to get more votes during elections. Examples in Q. 1. Are state and society the same? Examine
this regard can be NT Rama Rao, a matinee idol, who all sides of this question.
went on to become one of the most powerful Chief Ans. A state is a set of institutions that possess the
Ministers of Andhra Pradesh. authority to make the rules that govern the people in
one or more societies, having internal and external
TALCOTT PARSONS sovereignty over a definite territory. In Max Weber’s
In 1963, Parsons published two important articles; influential definition, it is that organization that has a
one on political power and other on the concept of “monopoly on the legitimate use of physical force within
influence. The two articles represented Parsons’s first a given territory.” It thus includes such institutions as
published attempt to work out the idea of Generalized the armed forces, civil service or state bureaucracy,
Symbolic Media as an integral part of the exchange courts, and police.
processes within the AGIL system. This was a theoretical Although the term often refers broadly to all
development, which Parsons had worked on ever since institutions of government or rule—ancient and
the publication of Economy and Society (1956). The modern—the modern state system bears a number of
prime model for the generalized symbolic media was characteristics that were first consolidated in Western
money and Parsons was reflecting on the question Europe, beginning in earnest in the 15th century, when
whether the functional characteristics of money the term ‘state’ also acquired its current meaning. Thus
represented an exclusive uniqueness of the economic the word is often used in a strict sense to refer only to
system or whether it was possible to identify other modern political systems.
generalized symbolic media in other subsystems as well. Within a federal system, the term state also refers
Although each medium had unique characteristics, to political units, not sovereign themselves, but subject
Parsons claimed that power (for the political system) to the authority of the larger state, or federal union, such

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48 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

as the ‘states and territories of Australia’ and the ‘states’

ADDITIONAL IMPORTANT QUESTIONS
in the United States. Within a monarchy, two or more
states may share personal union under the same Q. 1. What are the functions of the state?
monarch, but retain an individual identity, even unto a Ans. The major functions of the state are to arbitrate
separate legislature and/or government. disputes between private parties to contribute to social
Society or human society is the set of relations control of the society to serve as the agent of inter-social
among people, including their social status and roles. relations, to provide planning and direction for the
By extension, society denotes the people of a region or society and increasingly in recent times to provide for
country, sometimes even the world, taken as a whole. the welfare of those unable to care for themselves.
Used in the sense of an association, a society is a body Q. 2. What are the bases of power?
of individuals outlined by the bounds of functional Ans. Power, the ability to realize one’s will in a
interdependence, possibly comprising characteristics communal action even against the resistance of others
such as national or cultural identity, social solidarity, rest either on the threat of physical force or the ability
language or hierarchical organization. Human societies to offer valuable contingent upon compliance with
are characterized by patterns of relationships between commands.
individuals sharing a distinctive culture and institutions. Q. 3. What is concept of Power in Sociology?
Like other communities or groups, a society allows its Ans. In sociology power is defined as the ability of
members to achieve needs or wishes they could not fulfil an individual or group to fulfil its desires and implement
alone. its decisions and ideas. It involves the ability to influence
A society, however, may be ontologically as well control the behaviour of others even against their

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independent of, and utterly irreducible to, the qualities will. According to Giddens power must be recognized
of constituent individuals; it may act to oppress. The as a primary concept in sociological analysis. It is
urbanization and rationalization inherent in some, potentially an aspect of all relationships. Power is an
particularly Western capitalist, societies, has been aspect of all areas of society and all institutions. Talcott
associated with feelings of isolation and social ‘anomie’. Parsons defines power as a systems property a capacity
More broadly, a society is a economic, social or to achieve ends, whereas Mills viewed power as a

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industrial infrastructure, made up of a varied collection relationship in which one side prevailed over the other.
of individuals. Members of a society may be from According to Max Weber power is a chance of man or
different ethnic groups. A society may be a particular men to realize their own will in a communal action even
ethnic group, such as the Saxons; a nation-state, such against the resistance of others who are participating in
as Bhutan; a broader cultural group, such as a Western the action. Marxian analysis rejects the view that power

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society. is societal resource held in trust and directed by those
Q. 2. Is conflict functional? Explain. in authority for the benefit of all. Instead power is seen
Ans. The emergence of conflict between or among to be held by a particular group in society at the expense
groups of people that are characteristically different of rest of the society. The source of power in society
from each other in terms of beliefs, values, and feelings lies in the economic infrastructure and gradually the
towards an issue or problem creates unity within each power of the ruling class extends beyond specific
group in the same way that the conflict divides these economic relations and prevades the entire
groups. This is especially true when the consequences superstructure.
of the conflict are too valuable to be ignored and can Q. 4. What do you mean by Elite Theory of
be detrimental to the functioning of both groups. Lewis Power?
Coser, in his book entitled, The Functions of Social Ans. Societal power is concentrated in elite groups
Conflict, discusses both the benefits and detriments of who control resources of key social institutions and are
social conflict within society—what makes conflict not accountable to the masses, origins of societal power
functional or dysfunctional for the welfare of society lie in control of social organizations, regardless of how
or the common good. Analyzing social conflict from a undemocratic a society may be, Elites hold the bulk of
sociological perspective, adopting Georg Simmel’s power; use all and any means to retain power, power
discussion on conflict in particular, Coser puts forth becomes end in itself.
one of the strongest arguments in the book, which Q. 5. Explain the various facets of Power.
posits that social conflict has a function within society, Ans. Various meanings are often attributed to the
and this is to bring internal cohesion among its term ‘social power’. Francis Bacon for instance, said
members. that ‘knowledge is power’. The terms is also variously

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POWER: FUNCTIONAL PERSPECTIVE / 49

identified with prestige, influence, dominance, authority interesting facts of this distinction, dominant individuals
and even force. play roles in powerless groups and submissive
E.A. Ross, the American sociologist, referred to individuals play roles in powerful ones.” It follows,
the close association between power and prestige when therefore, that dominance is a problem in social
he made the following observations—“The immediate psychology, power a problem in sociology. We have
cause of the location of power is prestige. The class distinguished power from prestige, from influence and
that has the most prestige will have the most power.” from dominance. Two other distinctions are called for
Undoubtedly, prestige is sometimes related to power in in order to make the meaning of power free from
the sense that powerful groups tend to be prestigious ambiguity. These are the distinctions between power and
and prestigious groups powerful. But the two force and between power and authority. Force may be
phenomena are not identical. The teachers enjoy a defined as ‘manifest power’. When a robber armed with
considerable amount of prestige in society. They do not, a revolver holds out a threat to his victim “Your money
however, enjoy power in the sense that they can impose or your life”, he is apparently applying coercion or force
their will on others. A police constable, on the other and offers only two options to the victim. A robber armed
hand, enjoys power in the sense that, within limits, he with a revolver is certainly a powerful man. His power
can impose his will on others. But ordinarily he does manifests itself in the force which he applies against his
not lay claim to prestige to the extent that a teacher does. victim. In this sense, force is a manifest power. It may
It follows, therefore, that prestige does not suffice to be viewed as a latent force. The robber in question has
create power, and that the two phenomena, both at his command force which he may apply if he wants
sociologically important, are not identical and may or to or if circumstances so require. Power and force are,
thus, inextricably mixed.

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may not appear together.
Similarly, there is a very intimate connection While discussing the relationship between authority
between power and influence. But a line of distinction and power, it should be recognised that authority is by
should be drawn between the two for the simple reason no means a purely political phenomenon in the narrow
that the way an influential person uses his influence is sense of the term. Authority appears, not only in the
different from the way a powerful person uses his power. political organisation of society, but in every association

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A writer may be very influential in the sense that he in society, no matter how temporary it may be.
influences the thinking of those who read his works. He Before discussing the nature of authority, it will be
does not certainly impose his opinions on others against convenient if we distinguish it from two other
their will. Marx, for example, was very influential. But phenomena with which it is sometimes confused. The
he did not wield any power. Stalin, on the other hand, first of these is competence. Sometimes we describe a

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was very powerful in the sense that he was in a position person as an authority on a certain subject when we
to impose his will on others, often against their wishes. actually refer to his competence in the subject. We
It is doubtful if he ever enjoyed influence in the sense voluntarily respect the competence of others, but
that Marx did. It is, therefore, necessary to distinguish authority requires submission. That is, competence
the two phenomena because power is coercive while exerts influence; authority exerts obedience.
influence is persuasive. As eloquent speaker may be very The second phenomenon with which authority is
influential because he is able to persuade his audience sometimes confused is the phenomenon of leadership.
to his line of thinking by his oratory of reasoned In the opinion of some sociologists, Max Weber was
arguments. Yet he is not in a position to make them mainly responsible for this confusion. He spoke of three
accept his views against their wishes. He is influential, types of authority–the traditional, the rational-legal and
but not powerful. the charismatic. The first two may be regarded genuine
The term ‘dominance’ is sometimes used to mean authority inasmuch as the decision-making power is
‘power’. It is, however, relatively easy to distinguish conferred by the group or society. In the case of the
power from dominance. Power is a sociological third, the essential attribute in leadership. “A charismatic
phenomenon, dominance is psychological. Power vests leader is believed to be different from other men; he
in an individual and also in groups, most often in the rises above them because he is touched with divinity;
latter. Power is a function of various factors which are there is something of the celestial afflatus about him,
mostly social. Dominance, on the other hand, is a and almost tangible magnetism. He operates beyond the
function of personality or of temperament. It is a boundaries of legitimacy. He needs no extant
personal quality. “A timid rubber, who flaunts his gun, organisation in society because he creates his own, a
has more power than his unarmed victim, however, new and sometimes revolutionary one.” Thus, Gandhiji
dominant or aggressive the latter may be in his normal and Lenin were charismatic leaders. But leadership, even
social relationships. Furthermore, and one of the most charismatic leadership, is not authority. As in the case

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50 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

of competent person no one is required to follow type a association we are concerned with. In a voluntary
involuntarily a leader’s directives or to satisfy his wishes. association, membership is a matter of consent, and
The situation with regard to authority is quite different. people voluntarily give their allegiance to it. In
“A leader can only request, an authority can require.” involuntary associations, on the other hand, voluntary
In the case of leadership, personal qualities of the leader withdrawal of membership is not possible and coercion
are of crucial importance. In the case of authority, is very much present in the exercise of authority in such
however, relationship ceases to be personal. One associations. It is, therefore, said that in voluntary
individual or a group, entrusted and recognized by the associations authority is ‘institutionalized leadership’
society to issue commands of a binding character, may and that in involuntary associations it is ‘institutionalised
be designated as authority.” In a leadership relation the power’.
person is basis; in a authority relation personal identity The solution is not very satisfactory. In voluntary
is irrelevant.” Like competence, leadership is a species associations, an individual is free to join or not to join.
of influence. Authority, on the contrary, is a function of If, however, he refuses to carry out the obligations of
power. the association, he is simply asked to resign. Element
After having distinguished authority from of consent applies to the fact of membership and not to
competence and from leadership, we may proceed to the acceptance of authority. From this point of view,
discuss the locus of authority. Authority is always a power phenomenon is not absent from institutionalized
property of social organization. Where there is no leadership. It seems desirable therefore, to assert that
organization, there is no authority. Moreover, “the authority is always a power phenomenon and to define
exercise of authority never extends beyond the limits of authority as institutionalized power.
the organization or association in which it is Q. 6. Explain views of Talcott Parsons on Power.

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institutionalized and which gives it support and Ans. Talcott Parsons rejects the ‘constant-sum’
sanction.” view of power. In his view, power does not belong to an
Besides, authority is always attached to statuses and individual or a group but to the society as a whole. This
never to individuals. An individual, for instance, social power is utilised or employed for the attainment
exercises the authority of a principal in a college only of goals of the society, for the furtherance of collective

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so long as he occupies that status and ceases on exercise interests. The power of the society is thus contingent
it when he resigns, or when he is removed, or when his upon the efficiency of the society in achieving its goals.
term of office expires. “The exercise of authority is The greater the efficiency, the greater is the power and
wholly and indeed exclusively a function of vice versa. This view is sometimes known as a ‘variable-
associational status.” sum’ concept of power in as much as power is not

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It will be illuminating for an understanding of constant or fixed, but variable in the sense that it may
authority to examine the process in which an increase or decrease.
unorganized group is transformed into an organized one. Parsons’ views on power are developed from his
First, informal procedures and patterns of interaction general theory of society. He assumes that consensus
come to be standardised as statuses. The institutional- among members of society with regard to values is
isation of procedures into norms and of roles into essential for social stability. The next step is to have
statuses results in the formal organization of the common goals which they all share. The power of the
association. Such institutionalization is necessary “in social system lies in the extent to which the society is
order that the stability of the association may be assured able to realise these goals. The more able a society is to
and its continuity guaranteed”. realise these goals, the greater is the power that resides
We have now to answer a question: What sustains in the social system. Parsons also assumes that since
the authority exercised by some people over others? The goals are shared by the collectivity, the power of the
answer is that the person who exercises authority is society will be used toward the furtherance of the interest
recognized as an agent of the group. He acts not in his of the collectivity and not toward the furtherance of
own, but in the group’s name. It is apparent that any sectional interests.
disinclination to obey authority is “a threat not to a Parsons’ analysis of the basis of political power
personal relationship but is the continued existence of in Western democracies provides a typical illustration
the group”. of his views on the nature of power. He says, “Political
The next question is as to whether authority is a support should be conceived of as a generalised grant
phenomenon exercised by coercion or by consent. That of power which, if it leads to electional success, puts
is, does a person who obeys the command of a superior elected leadership in a position analogous to a banker.
authority does so because he has to or because he wants The deposits’ of power made by constituents are
to? The answer is both yes and no, depending on the revocable, if not at will, then at the next election.” Just

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POWER: FUNCTIONAL PERSPECTIVE / 51

as money is deposited in a bank, members of society a communal action even against the resistance of others
deposit power in political leaders. Just as the depositor who are participating in the action”. Defined thus,
can withdraw his money from the bank, so the power is, therefore, power over others and, as such,
electorate can withdraw its grant of power from power is an aspect of social relationships. Nobody can
political leaders at the next election. In this sense power hold power in isolation. “This is a very broad definition
resides ultimately with members of society as a whole. of power since it enters into every aspect of social life.
Finally, just as money generates interest for the It extends from parents assigning domestic chores to
depositor, so grants of power generate benefits for the their children to teachers enforcing discipline in the
electorate since they are used primarily to further classroom, from a manager organizing his workforce
collective goals. In this way total power in society can to a political party enacting legislation. In each case,
increase. an individual or group have power to the degree to
Parsons’ views on the nature and application of which others comply with their will. Many sociologists
power have been criticized. First, Parsons simply argue that ‘political sociology’ is the study of power
translates into sociological jargon the arguments which in its broadest sense.”
the holders of power in society advance by way of Weber’s definition of power represents a view
justifying their use and enjoyment of power. Second, which is sometimes known as a ‘constant-sum’ concept
Parsons has failed to appreciate that power may not of power. The reason is that according to Weber’s
always be applied in furtherance of collective interest. definition those who hold power do so at the expense
That power is not infrequently used in furtherance of of others. If some hold power, others do not. The
sectional interest is common knowledge. Marxian underlying assumption is that the amount of power is
analysis of power, emphasizes this aspect. constant.

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Q. 7. Describe the Constant-sum view of Power.
Ans. Max Weber defined power as “the chance of
a man or a number of men to realize their own will in

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52

Power and Institutions 11

INTRODUCTION in which the person or group just accepts the dictation

of others and do not speak up because of the impending
Power in human societies and social groups is a consequences.
universal phenomenon and is possessed in both Comparing Condign and Compensatory Power
individuals and social groups. Generally, it is experienced Both condign and compensatory power are
in an unbalanced situation and this imbalance becomes objective and visible. Persons or groups accepting
the root cause of most of the social problems. The concept the will of others are conscious about their act and

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of power has been understood in two main ways. For are acting out of deliberate calculation as a better
example, thinkers like Hobbes and Locke discuss power course of action. Those exercising the power are
as a kind of generalised capacity to act. According to this also purposefully aware of what they are doing.
approach, power enhances the capacities of those who However, the difference between condign and
possess it, and is imposed on those who do not possess. compensatory power is the difference between
The second approach discusses the power which includes negative and affirmative reward. Condign power

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both the capacity and a right to act which derives from threatens the physical or emotional pain while
compensatory offers the individual a reward or
the consent of those on whom power is exercised
payment sufficiently advantageous.
(Foucault, 1980).
(Galbraith, 1984)
The way scholars look at power also differs. For
example, Marx, Weber and some others (Mills, 1959) The conditioned power is subjective and neither

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discuss power as a ‘zero-sum’ concept whereby, power is
defined in a mutually exclusive way. This means that if
one person or party wins, the other necessarily loses.
the exerciser of the power or those upon whom power
is excercised are aware of its exertion. In situation the
attitude and belief of the individual or group is changed.
Another approach looks at power as a ‘non-zero sum’ By way of education, commitment or persuasion the
concept (Parsons, 1961). They believe that each person or initiative seems to be right. This kind of power is very
party shares power to the extent that both the parties gains. pervasive and the crucial for the functioning of the
For our discussion, we may define power as the modern society.
ability of an individual or group to carry out its wishes SOURCES OF POWER
to control, influence or manipulate the behaviour of We have several sources of power as identified by
others, even against their will. different scholars. Bierstedt (1969) identified three
sources—number of people; social organization and
CHAPTER AT A GLANCE resources while Mann (1986) explained four sources
INSTRUMENTS OF POWER of power—ideological, economic, military and political
relationships. Moreover, Tumin (1992) identified five
Power can be enforced by three main instruments—
sources of power—role-specific authority, goods and
coercive or condign, compensatory and conditioned services, skills and abilities, personal qualities and
power. These instruments may sometime overlap. coercive power. According to Galbraith (1984), there
The power that wins acceptance by threatening, are three sources—personality, property and
intimidating others with dire consequences. Coercive organization. However, we can discern from these and
power can be understood at two levels—a situation in other scholars that all the classifications on sources of
which a person or a group who undergo a very painful power have some common elements—number of
experience in absence of the alternative; and a situation people, resources or property, personality, organization,

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POWER AND INSTITUTIONS / 53

skills, abilities and knowledge, coercive force and

SELF-ASSESSMENT QUESTIONS
media.
Q. 1. How would you define power? Can you
Distinguishing Legitimate and Illegitimate
differentiate power from dominance, prestige and
Sources and Uses
We can distinguish between legitimate and influence?
acceptable powers from illegitimate and unaccep- Ans. A world of system designed to keep people in
table ones. We may note that all illegitimate power unjust and unequal positions is held in place by several
have the same bases as those of legitimate power. interrelated expressions of power over—political power,
For example, terrorists, prostitutes, gangsters, economic power, physical force, and ideological power
gamblers, etc. exercise power because of their role- (Bishop, 1994). So, we can say power is defined as a
specific authorities or because of their material possession of control, authority or influence over others.
resources like skill, physical coercion. Further, these In terms of power of dominant groups over subordinate
persons can also try to secure resources through groups. We define power as domination of one group
illegitimate means and can use it for legitimate as of people over another in major important spheres of
well as illegitimate purpose. Similarly, those life. Power inequities have been in existence throughout
securing money from legitimate means may apply it the history of humanity and the ways of manifestation
for illegitimate purposes. (Tumin, 1992) evolved from extreme overt oppression to subtle, covert
A number of combinations may take shape oppression. Three major forms of power inequalities
regarding the sources of power and they also include discussed are based on property (class), domination of
both legitimate and illegitimate sources of power whites over others (race) and men over women (gender).

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(Parsons, 1967) having different consequences for Property owners as a dominant group have power over
power weilding. a subordinate group who do not own property. Karl
CONTEXTS OF POWER Marx, one of the greatest economists of the 19th century,
Power can be exercised mainly in four contexts— defines domination from the purely economic point of
personal relationships, institutional patterning, ensuring view. To Marx, a class is defined according to the

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life chances and political affairs (Tumin, 1992). In ownership and control of the means of production; and
political context, power relates to both individuals and therefore two major classes present in capitalism are
groups. For example, in Indian state, the Union bourgeoisie and proletariat. Bourgeoisie owns and
government has greater power than states. controls the means of production. Proletariat, on the
The interplay of roles in the basic institutions, such other hand, owns nothing and it sells its labour as a

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as family, educational system, religious institutions and commodity in return for money. The power presented
the polity and economy is based on power and this
here is this constant antagonism between those who own
context is called power in institutional pattern. Power
and control and those who do not possess the means of
operates in the competition for share of valued life
chances like educational attainment, surviving in the first production. By possessing control over these means of
year of life, having good health, etc., during our life, we production, they ultimately control labour force itself.
meet people in the market, in buses, trains, planes, Bourgeoisie makes proletariat to work long hours with
stadiums, etc., when we try to come closer to these less pay, makes workers comparative with jobs, and
people we keep in our mind that whether these alienated workers just make enough for living. For, if
people will help in realizing our interests, desires and you are forced to sell your labour force as a commodity
movements. Hence, power plays an important role in in order to survive, you are treated by those who buy
deciding our relations. this same commodity not differently that any other
Measurement of Amount of Power commodity available on the market that is necessary
We can measure the amount of power exercised for the multiplication of capital. In Marx’s time, workers
by an individual by calculating the ratio of his lacked bargaining power through unions, legal strikes
successful power acts to all of his attempted power or sabotage (Grabb, 1997). As a result, they could not
acts or by certain criteria like the difference between form a united front against employers, and give
different powerholders. There are two principal themselves a power of collective resistance. In our
criteria which may be used to measure the amount society, we still can recognize basic elements of Marx’s
of power by a powerholder: the number of actions theory.
over which control is realise; and the number of Power inequalities related to racism issue have its
persons so controlled. (Goldhamer and Shils, 1969) base in one, dominant group–whites, labelling the other

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groups as inferior and restricting their rights. According group of people to one’s own will. Usually people who
to Mills a society that is dominated by white is racist. possess beauty, significant sums of money, good jobs
Beliefs and images categorize people of real or attributed and so on will possess social influence on other,
differences when compared self whites (subject) with ‘ordinary’ people. So, even if the person doesn’t possess
other (object) (Mills, 1989). Racism is socially any ‘real’ or political power, but possesses the things
constructed by white over the course of history. The listed above (good looks, money, etc.), he could
way racial power over subordinate group was persuade other people into doing something. However,
manifested range from institutionalized overt racism to good looks are not solely why attractive people are able
covert polite racism that is very common in our society. to exert more influence than average looking people,
The example of the institutionalized racist system is the e.g. confidence is the by-product of good looks.
apartheid system in South Africa. In that society, all Therefore, the individual’s self-esteem and perceived
whites, regardless of their origin enjoyed comparatively persona is the critical factor in determining the amount
greater rights, simply based on their skin colour. Legal of influence one exerts.
policies, laws and regulations were created to visibly Q. 2. What are the sources of power? Describe
separate population of black people from whites. at least four sources.
Oppression of women is evident in past centuries as Ans. Legitimate Power: From holding a formal
well as in today society. position. Others comply because they accept the
Previously, women were believed to be the property legitimacy of the position of the power holder.
of men, and they were considered to be subordinate to Reward Power: Target complies in order to obtain
their husbands and to men in general. Men as a rewards controlled by the agent.

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domination group determined what roles are suitable Coercive Power: Compliance is to avoid
for women and what are not, and excluded women from punishments controlled by the agent.
any form of power in the society. This concept of a Expert Power: Based on a person’s expertise,
women’s role was socially constructed by men so that competence and information in a certain area.
is naturally defined to fulfil roles that are important for Referent Power: The target person comply

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men’s well being (Hubbard, 1998: 32). Power because they respect and like the power holder (agent).
relationship and inequalities on the basis of gender are Another conceptualization of power sources is as
present in all spheres of life because norms and rules follows:
are defined by the dominant group–men. An obvious Position Power: Formal authority, control over
example of this is a question of a gender-based language. rewards, control over punishments, control over

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Other aspects of gender inequalities are skills and body. information and ecological control.
Masculine skills are more mechanical and logical, better Personal Power: Expertise, friendship or loyalty
paid and males enjoy higher status. On other side and charisma.
feminine skills are delicate and more soft which lead to Political Power: Control over decision processes,
low paid and low status. Third one inequality is gender coalitions, co-optation and institutionalization.
bodies. Woman’s body is seen as a sexual and woman French and Raven developed what is regarded as a
is sex objects in male’s eyes that can lead to sexual classic scheme for categorizing the various bases of
harassment. Again sexual harassment is way of male power.
domination and controlling woman through sex. Positional Power: Legitimate power (sometimes
Prestige is a word commonly used to describe called authority or formal power) is that which is derived
reputation or esteem, though it has three somewhat from the person’s position in the organization. It exists
related meanings that, to some degree, may be because organizations find it advantageous to assign
contradictory, which meaning applies depends on the certain powers to individuals so that they can do their
historical context and the person using the word. jobs effectively. All managers have some degree of
Social influence occurs when an individual’s legitimate power.
thoughts or actions are affected by other people. Social Reward power is based on the individual’s ability
influence takes many forms and can be seen in to reward desirable behaviour. It stems partly from
conformity, socialization, peer pressure, obedience, legitimate power. Managers because of their positions
leadership, persuasion, sales, and marketing. Harvard have control over certain rewards, such as pay increases,
psychologist, Herbert Kelman identified three broad promotions, work schedules, status symbols and
varieties of social influence. Social influence can also recognition awards, which they can use to reward
be described as power—the ability to influence a person/ desirable behaviour.

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POWER AND INSTITUTIONS / 55

Coercive power is the opposite of reward power, A wise leader realizes that in order to be an effective
and is based on the ability of the individual to sanction leader he/she can not rely exclusively on positional
(punish) or prevent someone from obtaining desirable power. There is a delicate dance that must take place
rewards. Rewards and punishment are powerful between positional and personal power for a manager
motivational tools, and leaders are generally better to be considered an effective leader.
served by the exercise of reward power than by the The fascinating thing about power is that people
exercise of coercive power. But only if reward power is who hold it are expected to use it or they risk losing
used effectively. Look at these three types of power as respect for not exercising power. When Reagan was
positional power and conferred on one from the President of United States he was an example of a person
organization, e.g., they come with the position of that totally fulfilled the role of the powerful President,
almost like royalty. While at the same time, Carter, who
manager, and each manager has at least some of each of
made a big deal out of carrying his own bags, was not
the three ‘powers of office.’ The remaining four,
perceived as having a lot of personal power. It is a
however, are in a different domain entirely.
delicate balance but people do need to exercise their
Personal Power: Expert power derives from legitimate power. Regardless of whether a person is the
having knowledge that is valued by the organization or CEO or the secretary they are expected to exercise their
individuals with whom the person interacts. Expertise power. Power is a neutral tool, so exercising the power
in a particular field or at problem solving or at does not have to be a negative action. Rather, an
performing critical tasks is types of expert power. Expert individual needs to use their legitimate power to do their
power is personal to the individual who has the expertise; job more effectively.

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hence it is different from the other three sources of Q. 3. Discuss the various contexts in which
power. However, the possession of expert power may power is exercised.
be the basis for rising to a management position in the Ans. The presence of power is manifest wherever
area of the expertise, now providing the incumbent with two or more people are gathered together and have any
expert power as well that legitimate, reward and coercive kind of relationship. Its deeper and sometimes darker

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power. qualities emerge as soon as the omnipresent factor of
Referent power results when the individual inequality makes itself felt.
engenders admiration, loyalty and emulation to the The presence and operation of power are not limited
extent that the person gains the power to influence other. of course to the life of human-kind. If the findings of
Charismatic leaders have referent power. They have a those who study animal behaviour are to be accepted,

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vision for the organization that they lead, strong power is an indispensable element in the preservation
convictions about the correctness of the vision, and great of the group life of the species in the animal world.
confidence in their ability to realize the vision, and are Power manifests itself in the creation of order. This order
perceived by their followers as agents of change. which is essential for the maintenance of animal life
seems to be derived from the pervasive fact of the
Connection power is more commonly referred to
inequality of power. Perhaps to a greater degree than
as ‘networking’ these days. It is who you know, vertically
we care to admit, the principle of the relation between
and horizontally, both within and outside the order and inequality may function in the organization
organization. This may be referred to in some circles as of life at the human level.
the ‘Old Boys Club’ and represents many of the political If power is roughly defined as the ability to make
dynamics that make up organizations. or establish a claim on life, then the range of the presence
Information power is a power that can be either of power may be broadened to include the notion that
personal or positional. A manager should have more power is coextensive with life itself. To be alive, in any
information power than his or her direct reports but it sense, is to make some claim, large or small. To be alive
isn’t always the case. As a result, an individual that is is to exercise power in some degree.
actively involved in the ‘grapevine’ often has more The principle involved may be extended still further
accurate information than the manager. The ‘grapevine’ to the level of metaphysical generality. If value is
is thought to be primarily rumor but, when studied, the coterminous with reality, as it is in all metaphysical
‘grapevine’ has proven to be about 80% correct. systems, then the discussion of power becomes
Therefore, the person in the organization with the most correlative with the analysis of being or actuality itself.
reliable information is thought to have quite a bit of In this most general perspective, to be actual means to
power. exercise power.

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(ii) Power is exercised over other individuals and

ADDITIONAL IMPORTANT QUESTIONS
may involve resistance and conflict;
Q. 1. Describe the meaning of power. (iii) It implies that there are differences in interests
Ans. According to Weber’s classic definition, power between powerful and powerless;
is “the probability that one actor within a social (iv) Power is negative, involving restrictions and
relationship will be in a position to carry out his will deprivations for those subjected to
despite resistance regardless of the basis on which this domination.
probability rests. Power is always relational. To exercise Power may be exercised blatantly or subtly, legally
power it is necessary to have some control over whatever or illegally, justly or unjustly. It may be derived from
it is that others desire, to be able to withhold what they many sources, such as wealth, status, prestige, numbers
need. or organizational efficiency. Its ultimate basis, however,
Q. 2. Discuss the examples of power beyond the is the ability to compel obedience, if necessary through
rule. the threat or use of force.
Ans. Revolution: Political revolution is the The use of power may be either legitimate or
overthrow of one political system in order to establish illegitimate. Power is considered legitimate; only
another. While reform involves change within a system, people generally recognize that those who apply it have
revolution means change of the system itself. Several the right to do so. Weber called illegitimate power,
general patterns characterize revolutions. These include coercion.
a rise in expectations, an unresponsive government, a One criticism of the Weberian approach is that, by
radical leadership by intellectuals, and the establishment its emphasis on agency and decision-making, it fails to

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of a new legitimacy. recognize that non decision-making may also be an
Terrorism: Terrorism constitutes random acts of exercise of power. His definition is deliberately
violence or the threat of such violence employed by an unspecific about the resources which can be used in the
individual or group as a political strategy. Four insights exercise of power. In fact, anything which gives one
are offered about terrorism. First, terrorists try to paint person or group a degree of control over what others

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violence as a legitimate political tactic. Second, want or need can be seen as a power resource.
terrorism it is not just employed by groups, but also by In Marxist sociology, power is regarded as a
governments. State terrorism is the use of violence, structural relationship, existing independently of the will
generally without support of the law, by government of individual. The existence of power is a consequence
officials. Third, democratic societies are especially of the class structure of the societies. In this context,

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vulnerable to terrorism because they afford extensive power has the following features:
civil liberties to their people and have less extensive (i) Power cannot be separated from economic
police networks. Finally, terrorism is always a matter and class relations;
of definition. (ii) Power involves class struggle and not simply
Q. 3. Write short note on characteristics of conflicts between individuals;
power. (iii) The analysis of power cannot be undertaken
Ans. Weber’s definition of power has following without some characterization of the mode
characteristics: of production.
(i) Power is exercised by individual and
therefore involves choice, agency and
intention;

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57

Power/Knowledge 12

INTRODUCTION knowledge and power are interdependent. Both would

be found to exist at the same site.
Power is generally defined as the ability to impose He cites prison as an example of such a site of power
one’s will on others even if others resist it. Power within in ‘Discipline and Punish’. Prison was the same place
a social relationship does not depend on the basis on where knowledge, essential to the modern social
which it rests (Weber, Basic Concepts in Sociology).
sciences, was produced. Similarly, reciprocally the ideas
Power can be observed in between two persons or
from which the social sciences were formulated were

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groups. Further, power almost always operates
also the same that gave birth to the prison. According to
reciprocally.
Foucault, it is one of the greatest fallacies of the human
Michel Foucault (1926-1984) wrote Madness and
era to believe that a scientist can arrive at an objective
Civilization, The Birth of Clinic showing his lifelong
conclusion. This shows his preference for compounding
interest in the relationship between power and
the term power/knowledge instead of referring to power
knowledge. His analysis of power is one of the most

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and knowledge.
important works.
Foucault’s thought were influenced by German According to Foucaults the concept of
philosophers such as Frederick Nietzsche and Martin ‘discourse’ is central which he describes as ways of
Heidegger. According to Nietzsche, truth, knowledge identifying truth and knowledge at particular

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and power are inextricably associated. Heidegger historical moments. A set of rules defining realities
criticized ‘our current technological understanding of are provided by these discourses.
being’. Foucault dealt with the shifting patterns of power Scientific discourses, legitimated by the
within a society and the ways in which it relates to the rationality paradigm, find it particularly important.
self. Moreover, he tried to understand how everyday Since particular truths and knowledge are established
practices enabled people to define their identities and by discourses hence these contain power, and their
systemize knowledge.according to Foucault; events may power is exercised through creation and sustenance
be understood as the outcomes of God, nature or human of social practices, institutions and norms.
efforts and every kind of understanding had its own POWER/KNOWLEDGE AND DISCOURSE
advantages and disadvantages. Foucault had analysed the relationship between
CHAPTER AT A GLANCE power, knowledge and discourse and has studied the
emergence of several kinds of rationalities in history. A
DEFINITION OF POWER particular kind of rationality (e.g. of Enlightenment),
We don’t find any definition of power in Foucault’s pre-supposes that the field of knowledge is tightly linked
writings except a power relation. He says, “The exercise with an empirical field. Since a form of reason or any
of power is not simply a relationship between partners, form of knowledge is embodied in an empirical field, it
individuals or collective; it is a way in which actions has no ‘being’ beyond any set of practices. Hence,
modify others. Which is to say, of course, that something knowledge defines a field of power and viceversa.
called power with or without a capital letter, which is Foucault locates the nature of modern power within
assumed to exist universally in a concentrated or the framework of post-modernism and criticizes the
diffused form, does not exist.” According to Foucault, universalizing claims of modern rationality, and

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emphasizes multiplicity, discontinuity and The ‘repressive hypothesis’ has been criticized by
fragmentation. He wants us to focus on ‘theoretical Foucault who states that the idea of sexual repression is
production’ (Foucault 1980:81) which is independent, a mechanism situated within ‘the regime of power-
localized and free from traditional discourse. knowledge-pleasure’ (Foucault, 1978), which creates
FOUCAULT’S ARCHEOLOGICAL WRITINGS and sustains the discourse on sexuality and focuses on
In his discussion about archaeology of knowledge, the body as the site of control.
Foucault deconstructs the underlying unconscious SELF-ASSESSMENT QUESTIONS
rationalities of historically specific domains. In Madness
and Civilization (original French 1961: English edition Q. 1. What is the relationship between power/
1965), he makes an attempt at the evolution of the knowledge? Does one always imply the other?
relationship between insanity and modern reason and Discuss.
examines the historical and discursive process in which Ans. Setting goals is considered by most to be a
insanity is constructed in opposition to rationality and vital part of success. Some people do it as a matter of
is systematically separated from reason through habit; some do it once in a while, and some are so
“discourses of exclusion and institutions of disappointed by past failures that the mere mention of
confinement”. goals or goal-setting makes them very uncomfortable.
Each of these levels of interest in goal-setting is
Foucault says that the “scientific psychiatry” indicative of degrees of success, from very successful
(Foucault1965: 158) which emerged during the 19th to very unsuccessful.

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century contains morality, and the scientific Very successful people are clear on the value of
treatment of the insane was done through setting goals, have little or no emotional charge on the
confinement where the power mechanisms were subject, and consistently set goals. They achieve most
more repressive than the previous era. or all of them, and then set more goals. Those who fail
In his The Order of Things (original French edition to attain are re-inspect in regard to validity, workability,

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1966), describes the most elaborate archaeological and value, and then decide whether to reward them, or
exposition. In this book, he discusses the emergence of eliminate them and set different goals. They objectively
the human and socia! sciences as the product of the review what didn’t work and then do something about
underlying rules, assumptions and ordering procedures it. They don’t criticize themselves or feel guilty. Their
self-esteem is high, and it stays high, regardless of

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of the Renaissance, classical and modern eras (Best and
Kellner, 1991) and the creation of man as a discursive outcomes. They don’t allow failure to attain a goal to
construct of scientific inquiry and knowledge. influence how they view themselves.
People who are moderately successful set goals in
FOUCAULT’S GENEALOGICAL WRITINGS
a sort of random fashion. They are, for the most part,
Similar to archaeological writings, Foucault’s
unaware of the value so are not purposeful and deliberate
genealogy explores discursive discontinuities and
in their goal-setting. Setting their goals is a hit-and-miss
clarifies the historical contexts of positions which are
affair, and often, so is the attainment of their goals.
presented as absolute. Genealogy, too, focuses on the
Q. 2. Reflect on Foucault’s genealogical
multiplicities and pluralities within a field of discourse.
approach. What are the advantages of such an
However, as opposed to archaeology, genealogy aims
approach?
at political and economic institutions and practices; and
Ans. Discipline and punish marks the transition to
the relations discursive and non-discursive domains and
what commentators generally characterize as Foucault’s
becomes a broader concept.
‘genealogical’ period, in contrast to the preceding
Discipline and Punish (original French edition
‘archaeological’ period. In 1969, he published The
1975; English edition 1979), is Foucault’s first
Archaeology of Knowledge, a methodological treatise
genealogical work which describes ‘the historical
that explicitly formulates what he took to be the implicit
formation of the soul, body, and subject’ within
‘disciplinary matrices of power. These operate in historical approach (archaeology) he deployed in The
hospitals, schools, armies, prisons and factories. The History of Madness, The Birth of the Clinic, and The
relationship between modern social institutions and the Order of Things. The premise of the archaeological
power of rationality is thus examined. method is that systems of thought and knowledge

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POWER/KNOWLEDGE / 59

(epistemes or discursive formations, in Foucault’s Think of it this way: If it is true that we are the sum of
terminology) are governed by rules, beyond those of our experiences (the knowledge we encounter), then
grammar and logic, that operate beneath the those in control of our early life experiences have
consciousness of individual subjects and define a system enormous power. In an isolated family, a child’s
of conceptual possibilities that determines the knowledge depends upon just a few people. In a sense,
boundaries of thought in a given domain and period. those few people create the child’s identity. The child
So, for example, The History of Madness should, cannot know anything, but what is communicated by
them.
Foucault maintained, be read as an intellectual
Discourse joins power and knowledge, and its
excavation of the radically different discursive
power follows from our casual acceptance of the “reality
formations that governed talk and thought about
with which we are presented” (Peter Weir, dir., on his
madness from the 17th through the 19th centuries.
The Truman Show). If our identity is created by the
(Admittedly, his archaeological method was only media, as it is increasingly, our world view is limited to
adumbrated in this early work, but it was fully developed the world view of those isolated, rich, individuals; we
in The Order of Things.) are made to think that we, too, should have a mercedes
Archaeology was an essential method for Foucault (thereby making those in control even richer). Discourse
because it supported a historiography that did not rest is created and perpetuated by those who have the power
on the primacy of the consciousness of individual and means of communication. Those who are in control
subjects; it allowed the historian of thought to operate decide who we are by deciding what we discuss. All

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at an unconscious level that displaced the primacy of discourse acts this way. For example, by inundating us
the subject found in both phenomenology and in with images of the Star Wars prequel, the media limits
traditional historiography. However, archaeology’s us to the Force and Yoda, not allowing us to see a
critical force was restricted to the comparison of the
segment on, say, poverty in rural America.
different discursive formations of different periods. Such
According to Foucault, truth, morality, and meaning
comparisons could suggest the contingency of a given

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are created through discourse. Every age has a dominant
way of thinking by showing that previous ages had
group of discursive elements that people live in
thought very differently (and, apparently, with as much
unconsciously. In the past, the idea of individualism was
effectiveness). But mere archaeological analysis could
prominent in American discourse. To not be
say nothing about the causes of the transition from one
individualistic, i.e. be ‘communist’, was to be evil. So

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way of thinking to another and so had to ignore perhaps
that discourse in a college class, more specifically, will
the most forceful case for the contingency of entrenched
ultimately privilege ideas of what is normal (‘good’ and
contemporary positions. Genealogy, the new method
deployed in Discipline and Punish, was intended to ‘normative’ morals); by stressing these values, education
remedy this deficiency. will implicitly marginalize those who don’t hold those
Foucault intended the term ‘genealogy’ to evoke values.
Nietzsche’s genealogy of morals, particularly with its Visualize discourse as an arrangement of ideas and
suggestion of complex, mundane, inglorious origins - concepts within which the world is known—or a box of
in no way part of any grand scheme of progressive crayons. The fact that we do not know a ‘colour’ (burnt
history. The point of a genealogical analysis is to show umber, for instance) makes us reject that colour out of
that a given system of thought (itself uncovered in its hand and this makes perfect sense: If we can bring no
essential structures by archaeology, which therefore past knowledge to bear on a new ‘colour’ it is natural to
remains part of Foucault’s historiography) was the result reject that ‘colour’ as perverse, that is, unnatural.
of contingent turns of history, not the outcome of Discourse assists in explaining how historical events
rationally inevitable trends. like the Red Scare occur.
Change may only happen when a new counter-
ADDITIONAL IMPORTANT QUESTIONS discursive element begins to receive wide attention
Q. 1. Write a short note on discourse or power/ through the means of communication. If you are within
knowledge. the discourse of the South during the time of slavery, as
Ans. In the simplest sense discourse is conversation, a slave you will only understand yourself in the terms
or information. For Michel Foucault, it is through that this discourse allows. In other words, the slave
discourse (through knowledge) that we are created. (often) believes and conforms to the picture that this

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discourse draws of him or her. Naturally, the master’s power strikes, but rather the fact that certain bodies and
free will is just as much curtailed. Change requires the discourses are constituted as individual is an effect of
possession of the means of communication, of self- power. Power must not be seen as a single individual
representation. A discourse is never totally ‘pure’, it will dominating others or as one group or class dominating
always contain some measure of counter-discursive others.
elements Foucault makes it very difficult to locate
Q. 2. Define Foucault’s concept of Power. domination, including domination in gender relations.
Ans. Power must be understood in the first instance Hartstock argues that this is a consequence of
as the multiplicity of force relations immanent in the looking at power from the top down. Foucault resists
sphere in which they operate and which constitute their power from the perspective of a white male citizen of a
own organization: as the process which, through colonizer country (who sees all power relations as
ceaseless struggle and confrontations, transforms, largely equivalent and stresses resistance but not social
strengthens, or even reverses them; as the support which transformation).
these force relations find in one another, thus forming a Foucault says power is exercised generally through
chain or a system, or on the contrary, the disjunctions a ‘net-like organization’ and that individuals ‘circulate
and contradictions which isolate them from one another;
between its threads.’
and lastly, as the strategies in which they take effect,
Domination is not a part of this image; rather the
whose general design or institutional crystallization is
embodied in the state apparatus, in the formulation of image of a network in which we all participate carries
implications of equality and agency rather than the

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the law, in the various social hegemonies.
An understanding of power must not be sought in a systematic domination of the many by the few.
unique source of sovereignty from which secondary and For example, he argues that the 19th century family
descendent forms would emanate; it is the moving should be understood as a “network of pleasures and
substrate of force relations which, by virtue of their powers linked together at multiple points.” But this
inequality, constantly engender states of power, but the formulation, she says, fails to take account of the

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later are always local and unstable….Power is important power differentials within the family.
everywhere not because it embraces everything, but Let’s evaluate the critique that systemic power
because it comes from everywhere. And ‘Power’, in so relations are lost in Foucault’s work:
far as it is permanent, repetitious, inert, and self- Does he really say that large scale social structures
reproducing, is simply the overall effect that emerges

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should not be analyzed? Is he saying they are irrelevant
from all these mobilities, the concatenation that rests
to an understanding of power as Harststock implies, or
on each of them and seeks in turn to arrest their
movement…power is not an institution, and not a is she misreading him, or is he contradictory?
structure; neither is it a certain strength we are endowed Let’s look back at his definition. What about his
with; it is the name that one attributes to a complex concept of cumulative strategies? He says we simply
strategical situation in a particular society. can’t understand power relations if we begin with the
Q. 3. Critically examine Foucault’s Theory of macro level of analysis of class oppression or gender
Power. oppression. To truly understand it we need to begin
Ans. Systemic power relations ultimately vanish with the local and see the patterns of practices and
in Foucault’s work. (Nancy Hartsock, Feminism and discourses and their interrelations and how they have
Post-modernism) become inert and seemingly fixed.
Much of what Foucault has to say about power The goal is to see power acting in the world in a
stresses the systemic nature of power and its presence new way—not to deny its general design or institutional
in multiple social relations. At the same time, however,
crystallization, but rather to see it as more insidious and
his stress on heterogeneity [differing forms] and the
specificity of each situation leads him to lose track of complex than previously thought. Hartsock’s critique
social structures and instead to focus on how individuals seems to be a rejection of Foucault’s ideas based in part
experience and exercise power. Individuals, he argues, on an oversimplification.
circulate among the threads of power. They are always Foucault’s notion of the omnipresence and
in the position of simultaneously undergoing and specificity of power relations contradicts his call for
exercising power. Individuals are not like an atom which resistance and makes social change untenable.

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POWER/KNOWLEDGE / 61

Foucault frequently uses language that argues that If power is pervasive in all interactions and if it is
power ‘pervades the entire social body’ or is mobile is there anything that can be done to change
‘omnipresent’. Thus all of social life comes to be a oppressive situations?
network of power relations. And some critics, like He seems to call for resistance to power (he is
Hartsock, have argued that if power is everywhere at clearly critical of the status quo). For example, he
all times it is functionally equivalent to saying power is suggests that a counter attack against the deployment
nowhere. Power just is. And anything you try to do to of sexuality ought not to be sex-desire, but bodies and
counter power is within the system of omnipresent power pleasure, and he imagines a future without the current
relations and may indeed lead to further oppressions. knowledge/power discourse. He also suggests that
(This was Foucault’s critique of Marxist discourse in resistance is implicit in all power relations and this
the wake of Stalinism, for example.) allows the possibility of change.
It seems that Foucault would certainly disagree with The claim that Foucault’s rhetoric is intended to
incite us to action is unsatisfactory because it is never
this analysis of his work:
clear—even in a specific local situation—how one is to
The Genelogy method is an attempt to show how
act and why. The appeal to specificity and locality
looking at the particulars of power discourse across time
doesn’t help us to elucidate the ethical-political question
and contexts helps us understand mechanism of power
of how one is to act. It only relocates the issue on a
(such as the discourse of liberation better so that we
local level.
can resist them better). Nancy Fraser says, Because he lacks a normative

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Seeing power in all interactions can certainly be standard—a clear ethical standard in his formulation
disheartening, but it is not the same as saying power is about truth and freedom, for example, he leaves himself
irrelevant. open to misunderstanding.
There is still the question of agency and whether Many followers of Foucault and post-modern
Foucault’s notion of power gives any guidance about philosophy have adopted a kind of ethical ultra-
how or when to resist.

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relativism that is, in part, based on the kind of
Many critiques are based on the seeming deconstructive practice that Foucault developed.
contradictions in Foucault’s work and the ways in which
he appears to advocate a kind of relativism at the same
time as he advocates resistance.

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62

THEORY OF CAPITALISM
Evolution, Development and Function of Capitalism 13
INTRODUCTION describes capitalism as the organization of production
for a distant market. But capitalism could be regarded
Economists have referred to capitalism in a purely as being present as soon as the production and retail
technical sense for describing methods of production. sale were first separated in space and time by the
This approach towards capitalism refers only to their wholesale merchant. The notion of capitalism as a
economic origin and the extent of their use and not to commercial system is a lineal descendent of the scheme
how the instruments of production are owned. Another presented by the German Historical School, which

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view of capitalism identifies it with a system of distinguishes ‘natural economy’ of the medieval times
unfettered individual enterprise making virtually and the money economy succeeding it.
synonymous with a regime of laissez faire. In this According to Bucher, the essential criterion is “the
system, economic and social relations are ruled by relation which exists between the production and
contract. consumption of goods”. Prof. Naussbaum identifies

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CHAPTER AT A GLANCE capitalism with ‘exchange economy’ in which principle
of economic activity is oriented towards unrestricted
HISTORICAL INTERPRETATIONS profit. Moreover, the population is differentiated into
OF CAPITALISM ‘owners and propertyless workers’.
There are three different meanings assigned to the (c) Capitalism as a Particular Mode of

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concept of capitalism given by historical research and Production: Karl Marx referred to capitalism as a
historical interpretation: particular mode of production which includes the way
(a) Capitalism as a Spirit of Enterprise: Werner in which the means of production were owned and the
Sombart sought the essence of capitalism, not in social relations between men which resulted from their
anyone aspect of its economic anatomy or its with the process of production.
physiology, but in the totality of those aspects as The concentration of ownership means of
represented in the geist (spirit) that inspired the life production in the hands of a class, consisting of only a
of a whole epoch. This was the spirit of enterprise minority was a historical prerequisite of capitalism.
with ‘bourgeois spirit’ of calculation and rationality. The existence of trade and of moneylending and
He discovered, in this way, the origin of capitalism in the presence of a specialized class of financiers
the development of states of mind. differentiates this definition from others.
Earlier, economic activity was conceived as simply (d) Reflections on the Origin of Capitalism:
catering to natural wants since the pre-capitalist man Sombart’s conception of the capitalist spirit and a
was ‘a natural man’. conception of capitalism as primarily a commercial
According to Max Weber, in capitalism uses the system have certain deficiencies. They emphasize on
method of enterprise for fulfilling the needs of a human acquisitive investment of money and are insufficiently
group by industrial provision. For him, the spirit which restrictive to confine the term to one period of history.
seeks profit rationally and systematically is the spirit of They also suggest that almost all epochs of history have
capitalism. been capitalist, at least into some extent. Sombart and
(b) Capitalism as a Commercial System: This Weber say that capitalism as an economic form is the
concept of Capitalism as a Commercial System creation of the capitalist spirit but if the capitalist spirit

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EVOLUTION, DEVELOPMENT AND FUNCTION OF CAPITALISM / 63

itself is a product of history then what caused it to Smith and David Ricardo. Marx studied the theories
happen. This riddle has no satisfactory answer than the critically to expose the true nature of capitalism and
accidental coincidence in time of various states of mind provided a new scientific model for the analysis of
and there is no material base for it. capital.
Protestantism and Capitalism (b) Political Economy of Capitalism: We can
The Protestant Ethic and the Spirit of study capitalism in two ways to know its character. The
Capitalism is a book written by Max Weber, a first way is to study its history as to how it developed.
German sociologist, economist, and politician, in This implies a study not only of the economic process
1904 and 1905 that began as a series of essays. but of the development of the whole bourgeoisie society.
The original edition was in German and has been However, such studies start not from the historical
released. Considered a founding text in economic origins but from the economic structure of capitalist
sociology and sociology in general, the book was society. This approach was followed by Marx follows
translated into English for the first time by Talcott in ‘Capital’.
Parsons and appeared in 1930.
Dialectical Logic
In the book, Weber wrote that capitalism in
For this logic one has to start with agriculture
northern Europe evolved when the Protestant
and the category of ground rent.
(particularly Calvinist) ethic influenced large numbers
Marx follows the path of dialectical logic by
of people to engage in work in the secular world,
taking capital as starting point and finishing point.

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developing their own enterprises and engaging in trade
and the accumulation of wealth for investment. In other His method presupposes the concrete complete
words, the Protestant ethic was a force behind an totality of the system. Marx assumes his method as
unplanned and un-coordinated mass action that moving from the abstract to the concrete. According
influenced the development of capitalism. This idea is to him it is rich totality of many determinations
also known as ‘the Weber thesis’. Weber, however, and relations which forms the concrete reality

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rejected deterministic approaches, and presented the before us.
Protestant ethic as merely one in a number of ‘elective COMMODITY PRODUCTION
affinities’ leading toward capitalist modernity. Weber’s AND CAPITALIST PRODUCTION
term Protestant work ethic has become very widely Capitalist economy is a form of commodity

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known. The work relates significantly to the cultural production for sale, that is, production for the market.
‘rationalization’ and so-called ‘disenchantment’ which It is due to this reason that Marx begins his analysis of
Weber associated with the modern West. the capitalist mode of production with the analysis of
DEVELOPMENT AND FUNCTION commodities. However, not all commodity production
OF CAPITALISM is already capitalist since commodity production
(a) Stages of Capitalism: Capitalism as a system emerged thousands of years ago before capitalism.
developed incrementally from the 16th century in Marx explains that production of commodities, of goods
Europe, although capitalist-like organizations existed for exchange, developed gradually and for a long time,
in the ancient world, and early aspects of merchant it plays only a subordinate role. But in capitalist
capitalism flourished during the late middle ages. production it becomes the completely dominant form
Capitalism became dominant in the Western world of production.
following the demise of feudalism. Capitalism gradually According to Marx, the capitalist mode of
spread throughout Europe, and in the 19th and 20th production comes into being when capital moves into
centuries, it provided the main means of industrialization the sphere of production, when it gets hold of the means
throughout much of the world. of production and begins controlling and directing
Marx analysed capitalism because he wanted to production. Now producers do not control the means
understand it in order to facilitate practical critique of of production. Capitalist production needs workers,
capitalism, its overthrow by the proletariat. The subtitle people who sell their labour power. This brings
‘Capital’ puts it, ‘Capital’ is ‘A Critique of Political separation of producers and means of production so
Economy’ where political stands for the economic that the producers are forced by economic compulsion
theory developed by the classical economists like Adam to sell their power.

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64 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

EXPANSION OF MARKETS in the race of the market. In case, a capitalist does not
AND PRODUCTION invest in new technology, does not expand production,
The expansion of market is considered to be one others will move ahead and conquer the market. He
of the pre-condition for the development of capitalism. must take some capital and put it aside for reinvestment.
During the 16th century, a commercial revolution took That part becomes new capital. This shows the trend
place in Europe and the expansion of the market was the concentration of capital in large-scale production
encouraged and hence the growth of capitalism. and this concentration again becomes the basis for the
(a) The Production of Surplus Value: In Marx’s centralization of the ownership and control of capital
value theory, the extra or surplus value has a specific in the hands of a few persons in society.
meaning, which is not the new value added to the output MONOPOLY CAPITALISM
of products, but rather the amount of the increase in AND IMPERIALISM
the value of capital upon investment in production, As against the notion of free competition,
i.e. the yield or increment in value, regardless of monopoly capitalism developed through cartels, trusts,
whether this takes the form of profit, interest or rent. holdings and fusions. In this process, capitalists move
Marx calls the process of this increase ‘valorization’. to protect the rate of profit against the effects of free
He regarded his reduction of profit, interest, and rent competition. Marxists tried to provide a theoretical
income to the one category surplus value, and sourcing framework for the analysis of this new phase of
surplus value to surplus labour as one of his greatest capitalism. For instance, the Austrian Marxist Rudolf
theoretical achievements. In his manuscript Theories Hilferding write ‘Finance Capital–The Latest Phase

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of surplus value he discusses critically how of Capitalist Development’ ( 1910) and Rosa
philosophers and economists had previously theorized Luxemburg came out with her study ‘The Accumulation
about value creation in market-oriented societies. of Capital’ (1913), the Russian Marxist N Bukharin
For Marx, the gigantic increase in wealth and wrote ‘Imperialism and World Economy’ (1915) and
population from the 19th century onwards was mainly Lenin finished his ‘Imperialism, the Highest Stage of

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due to the competitive striving to obtain maximum Capitalism’ (1916). Lenin did not agree with
surplus value from the employment of labour, resulting Hilferding’s hypothesis that monopolization would
in an equally gigantic increase of productivity and eliminate all free competition within a national
capital resources. To the extent that increasingly the economy though he made use of his views.
economic surplus is convertible into money and Basic Features of Imperialism

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expressed in money, the amassment of wealth is
possible on a larger and larger scale
The Capitalist Entrepreneur
Imperialism may be defined as “the creation
and maintenance of an unequal economic, cultural
and territorial relationship, usually between states
The emergence of capitalism is traced to the and often in the form of an empire, based on
stage when money ceases to be only a means of domination and subordination.” It has certain basic
exchange. This facilitates the exchange of commo- features:
dities and the increase of money, adding new value,  Concentration of production and capital is
becomes the aim of economic transactions. The so high that it creates monopolies which play
capitalist entrepreneur does it by subordinating the a decisive role in economic field;
process of production purpose. He becomes the  The export of capital gains exceptional
importance;
owner of the means of production and products of
 Bank capital is merged with industrial
the labour, the actual producer. After selling them,
capital, and the creation of a financial
he makes a profit but where does this additional
oligarchy on the basis of this ‘finance
money come from? Marx finds the course of profit
captial’;
hidden in the commodity of labour-power which
 A complete territorial division of the whole
the capitalist buys from the market.
world among the biggest capitalists; and
(b) The Never-ending Process of Profit-making:  The international monopolist capitalist
The capitalist tries to increase the rate of surplus value associations are formed which share the
and accumulates capital in order to compete and remain world among themselves.

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EVOLUTION, DEVELOPMENT AND FUNCTION OF CAPITALISM / 65

SELF-ASSESSMENT QUESTIONS That is, more and more is produced for the purpose of
market trade, rather than for own use. The initial result
Q. 1. Is commodity production a recent is known as ‘merchant capitalism’, which flourished
phenomenon? Give some of its characterstics. in Western European cities in the 17th and 18th century.
Ans. Simple exchange of commodities is as old as However, the transformation from simple
the history of trade, in so far as it has progressed beyond commodity production into capitalist production
barter, and occurred for thousands of years before most accompanying industrialization requires profound
production became organised in the capitalist way. It changes in property relations, because it must be
begins when producers in a simple division of labour possible to trade freely in means of production and
(e.g. farmers and artisans) trade surpluses to their own labour power (the factors of production). Only when
requirements, with the aim of obtaining other products that trade becomes possible, can the whole of
with an equal value, for their own use. Through the production be reorganised to conform to commercial
experience of trade, regular exchange values become principles.
established for products, which reflect an economy of For that purpose, many legal, political, religious
labour-time. and technical restrictions imposed on trade must be
Engels argued explicitly that the Marxian law of overcome. The unification of a ‘home market’ among
value also applied also to simple exchange, this law people in a country who speak the same language
being modified in the capitalist mode of production typically stimulated nationalist ideologies. But
depending on the existing social systems, the
when all the inputs and outputs of production

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transformation might occur in many different ways.
(including means of production and labour power)
Typically, though, it has involved wars, violence and
become tradeable commodities. This interpretation is
revolutions, since people were unwilling to just give
however not accepted by all Marxists, some of whom
away assets, rights and income that they previously
see capitalist markets as functioning in a completely had. Communally owned property, inherited plots of
different way from pre-capitalist markets. Engels aimed land, the property of religious orders and state property

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to give a consistent explanation of the evolution and had to be privatised and amalgamated, in order to
development of market economy from simple become tradeable assets in the process of capital
beginning to the complexities of modern capitalist accumulation. The ideology of the rising bourgeoisie
markets, but some argue he disregards the typically emphasized the benefits of privately owned

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transformation of the relations of production involved. property for the purpose of wealth creation and
That is to say, simple commodity production is industriousness.
not specific to any particular mode of production, and Marx refers to this process as the primitive
might be found in many different modes of production, accumulation of capital, a process which continues
with various degrees of sophistication. It does not particularly in developing countries to this day.
necessarily imply that all inputs or outputs of productive Typically, previously independent producers on the land
activity are commodities traded in markets. Thus, for are proletarianized and migrate to the urban centres,
example, simple commodity producers could produce in search of work from an employer.
some products for their own use on their own land, Simple commodity production nevertheless
while trading another part of their products. They might continues to occur on a large scale in the world
buy or trade some tools and equipments, but also make economy, particularly in peasant production. It also
some themselves. persists within industrialized capitalist economies in
The large-scale transformation of simple the form of self-employment by free producers.
commodity production into capitalist production based Capitalist firms sometimes contract out specialized
services to self-employed producers, who can produce
on the wage-labour of employees occurred only in the
them at a lower cost, or provide a superior product.
last two centuries of human history. It is preceded by
Q. 2. What is the role of new technology in
the strong growth of merchant trade, supported by
capitalist production? Does it alter ownership and
financiers who earn rents, profit and interest from the control of capital?
process. The merchants not only act as intermediary Ans. The capitalist invests in new technology to
between producers and consumers, but also integrate expand production. This helps him to move ahead of
more and more of production into a market economy. others and conquer the market. The capitalist tries to

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66 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

increase the rate of surplus value and accumulates demand and price are mostly set by market forces rather
capital in order to compete and remain in the race of than economic planning; and profit is distributed to
the market. The investment in technology becomes a owners who invest in businesses. Capitalism also refers
new capital and concentration of capital in large-scale to the process of capital accumulation.
production and this concentration again becomes the There is no consensus on the definition of
basis for the centralization of the ownership and control capitalism, nor how it should be used as an analytical
of capital in the hands of a few. category. There are a variety of historical cases over
which it is applied, varying in time, geography, politics
ADDITIONAL IMPORTANT QUESTIONS and culture. Economists, political economists and
Q. 1. Define historical development of historians have taken different perspectives on the
capitalism. analysis of capitalism. Scholars in the social sciences,
Ans. During the course of the 18th and 19th including historians, economic sociologists,
centuries, there was a gradual movement in Europe economists, anthropologists and philosophers have
and in the states that Europeans had founded, for the debated over how to define capitalism, however there
reduction of trade barriers, in particular restrictions is little controversy that private ownership of the means
on production and labour, the use of non-standard of production, creation of goods or services for profit
weights and measures, restrictions on the formation of in a market, and prices and wages are elements of
new businesses, and the curtailing of royal prerogatives capitalism; although these fundamental elements, such
that interfered with the conduct of commerce. Two as private property, often have various different
parallel doctrines emerged to describe and justify this meanings in different disciplines and in different

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process. One was the legal doctrine that the rightful theories.
owner of land or exerciser of a property right was the Economists usually put emphasis on the degree
that government does not have control over markets
one that could make the best economic use of it, and
(laissez faire), and on property rights, while most
that this principle must be reflected in the property
political economists emphasize private property, power
laws of each nation. The other was the political doctrine
relations, wage labor and class. There is a general

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of laissez-faire economics, namely that all coercive agreement that capitalism encourages economic
government regulation of the market represents growth. The extent to which different markets are
unjustified interference, and that economies would ‘free’, as well as the rules determining what may and
perform best with government only playing a defensive may not be private property, is a matter of politics and
role in order to ensure the operation of free markets. policy and many states have what are termed ‘mixed

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The next major revision of the theoretical basis of economies.’
capitalism began in the late 19th century with the Capitalism as a system developed incrementally
expansion of corporations and finance, the from the 16th century in Europe, although capitalist-
globalization of production and markets and the like organizations existed in the ancient world, and
increasing desire to tap the productive capacity of the early aspects of merchant capitalism flourished during
capital sectors of economies in order to secure the the Late Middle Ages. Capitalism became dominant
markets and resources required to continue economic in the Western world following the demise of feudalism.
growth. The state came to be viewed by many, Capitalism gradually spread throughout Europe, and
particularly by the wealthy, as a vehicle for improving in the 19th and 20th centuries, it provided the main
business conditions, securing markets and gaining means of industrialization throughout much of the
access to scarce materials, even when such objectives world.
could only be achieved through military force. In the Variants on capitalism may include, depending on
1920s this philosophy found its most publicly the theorists, such concepts as anarcho-capitalism,
prominent voice in President Calvin Coolidge’s corporate capitalism, crony capitalism, finance
assertion that “the business of America is business”. capitalism, laissez faire capitalism, techno-capitalism,
Critics of this period label it “corporatism”, while its Neo-capitalism, late capitalism, post-capitalism, state
adherents generally regard it as a logical extension of capitalism and state monopoly capitalism. There are
the ‘laissez faire’ principles of natural liberty. also anti-capitalist movements and ideologies including
Q. 2. What do you mean by capitalism? anti-capitalism and negative associations with the
system such as tragedy of the commons, corporatism
Ans. Capitalism is an economic system in which
and wage slavery.
the means of production are privately owned; wage
labour is predominant over self-employment; supply,

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67

Rationality, Work and Organization 14

INTRODUCTION state. It was jural rationalism which made possible the

rise of the absolute state.
The concepts of rationality, work and organization However, modern capitalism first developed in
are important in our daily life. They have been dealt England, the country that was much less influenced
by sociologists like Karl Marx, Max Weber and Emile by Roman law than continental countries. The modern
Durkheim. These thinkers have analysed the structure state, characterized by the presence of a professional
of capitalism and its ramifications for a just and fair administration and based upon citizenship was

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social order. A comprehensive analysis of organizations certainly not entirely an outcome of economic rationali-
has been provided by the organization theory and zation and in part preceded it. But the development of
sociology of organizations. national and international markets and destruction of
CHAPTER AT A GLANCE the influence of the local groups gave rise to one
universalistic coercive institution.
RATIONALITY (b) Modern Capitalistic Enterprise: According

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According to Weber, modernity has been deserted to Weber, modern capitalistic enterprise was essentially
by the gods with the increasing rationality and man related to rational calculation of profits and losses.
has made calculable and predictable what earlier Modern capitalism is inconceivable without the
seemed to happen by chance. Weber has documented development of rationality. In Weber’s concept rational
this development in his works. He trace the complicated constitutes of what makes the modern type of economic

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ways in which the gradual ‘rationalisation of religious activity dissimilar to prior sorts of capitalistic activity.
life’ had displaced magical procedure by Wertrational
systematisation of man’s relation to the divine. He Pre-requisites of Modern Capitalism
showed how charismatic prophets had undermined An absence of restrictions upon economic
priestly powers based on tradition. In the same manner exchange in the market and the development of
he explained how the emergence of ‘book religion’ the rationality. The detachment of the productive
final systematization and rationalization of the enterprise from the household. The economic
religious sphere gave rise to Protestant ethic. attributes could not exist without the rational legal
system of the modern state. This is as distinctive a
Weber also showed that a similar course followed
characteristic of contemporary capitalist order as is
in the field of law from a ‘kadi Justiz’ to the,
the class division between capital labour in the
rationalized and impersonal justice of the modern
economic sphere.
world. According to him, hereditary political authority
changed to cool heads of state, ruling within limits of ORGANIZATION THEORY
prescriptions and rationally enacted law. Even a AND SOCIOLOGY OF ORGANIZATIONS
modern symphony orchestra music showed Different scholars have been using the organization
rationalising tendencies of Western society. theory and sociology of organizations interchangeably.
(a) The Spread of Secular Rationalism: However, we must remember that the former has a
According to Weber, European development was broader scope than the latter as it also covers work by
distinctive because of its particular form of the state non-sociologists. We find various types of organization
and the existence law. In this, Roman law played a in our society or social life. Among these some
great role for the subsequent social and economic organizations are relevant to the sociology of
development and especially in the rise of the modern organizations and certain characteristics of their own.

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68 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

(a) Typologies of Organizations: In the dominance of one former identifies occupational

typologies of organizations, sociologists try to group specialization
organizations according to different characteristics. For
Division of Labour
instance, who benefits from their operation or how they
Durkheim views the growth of the division of
obtain compliance from their members during their
labour as the integrating consequences of
operation. Peter Stau, Amitai Etzioni, Robert Blauner
specialisation rather than in formation of class
and Tom Burns and others have studied in this field.
systems. He also discusses class not as providing a
(b) Organizations as Social Systems: Social
basis for the revolutionary restructuring of society
systems approach is particularly identified with Talcott
as symptomatic of deficiencies in the moral co-
Parson’s structural functionalist theory of action. In
ordination of occupational groups within the division
Phillip Selznick there is a more focused work on
of labour.
organizations. Organizations consist of social systems
in interaction with other social system hence open According to him, ‘forced’ division of labour is
values and goals are oriented to those of the wider largely separate from the ‘anomie’ labour, and
society. Parsons says that the main requirements for mitigation of the first will not in itself cope with posed
organizational maintenance were to be the overriding by the second. He argued that the socialism of Marx
goal of any organization in question. concerned with the alienation of the forced division of
(c) Organizations as Empirically Contingent labour.
Structures: This approach is specially associated with (b) The Problem of Bureaucratic Organization:
the United Kingdom, the University of Aston. To Marx analyses the extension of the division of labour
overcome the problem unresolved by the social system

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in which formation of capitalist enterprise, the
theory, the Aston applies insights derived form expropriation of the worker means of production is
psychology, together with statistical such as scaling given pride of place. According to him, this essential
and factor analysis to relate measures of performance condition for the emergence of bourgeois society, and
to different dimensions of organizational structure, along an historical dimension, the formation of the
degree of specialisation of tasks and centralization are class relationship capital and labour, which is implicit

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then related to independent contextual variables, for in the capitalist mode of production.
example, location of the enterprise, technology, etc. Contribution of Weber is important with regard to
(d) Organizations as Structures of Action: The bureaucratic organization. He focuses on promoting
circumstances determining the actions of individuals rationalization on the ‘level of meaning’. Weber upon
in organizations are the main focus of this approach. tracing the nexus of social relationships, which both

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Herbert Simon’s work on satisficing was an important
influenced by the growth in rationalization. In Weber’s
contribution. David Silverman’s work is influenced by
view, it is not the degree but the ‘direction’ assumed
phenomenology. Moreover, the informal culture of
by rationalization in the more specifically, in
work within organizations has been focused by
capitalism, differs from that of the other civilizations.
sociologists of the Chicago School. For example,
Human Relations in the Restaurant Industry, 1948, There are various areas in which rationalization has
Restriction and Goldbricking in a Machine Shop’, and proceeded in a direction, as well as to unknown in other
Howard Becker (Boys in White, 1961). areas.
This approach has been criticized for its personal, Hence Weber denies that the expropriation of the
normative bias; for its individualistic analysis of the means of production has been confined to the
members, for being more inclination to psychology, immediate owner. In his thesis any form of organi-
than by power and control in society. zation, which has a form of authority can become
subject to a process of expropriation. Weber replaces
WORK AND ORGANIZATION
Marxian notion of the ‘means of production’ with the
(a) Theoretical Perspectives on Division of
‘rationalization of administration’.
Labour: According to Marx, there are two directly
(c) Bureaucracy and Democracy: Bureaucratic
related sources of alienation rooted in the capitalist
state is closely linked with the process of
mode of production. One is alienation in the labour-
process, in the activity of the worker while the other is democratisation. The reason behind this is the demands
the alienation of the worker from his product. Giddens made by political representation and for equality before
calls the former as ‘alienation’ and latter as ‘market the law come under administrative and juridical
alienation’. Both of these form the division of labour provisions. The close connection between democracy
involved in capitalist production. The organization of and bureaucratisation in modern capitalist system is
productive relationships upon an exploitative one of the most biggest sources of tension.

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RATIONALITY, WORK AND ORGANIZATION / 69

Aspects of Rationality There were many competitors to the sovereign

According to Weber, rationality is one of the most nation-state as capitalism was emerging. In particular,
poignant examples of the contradictions which can there had been Empire, the Church and feudal relations.
exist between the formal and substantive action. It Feudalism, emerging from the ruins of the Roman
has been found that the abstract legal procedures Empire, after it had finally been overrun by Germanic
reintroduce a new form of detachment. In some tribes, was a decentralized, fragmented mode of social
sense, it is ‘arbitrary’ and autonomous as compared organization. In it, families enjoyed personal rule over
to the breaucratic organization. It thus is opposed to areas defined by manses and allods; land was generally
the bureaucratic organization which is promoted by inherited rather than sold; rank was gained by birth
the democractic, impersonal selection for rather than earned by labour; and protection was sought
administration. – not from a centralized state, but from knights who
(d) Bureaucracy and Socialism: It has been had emerged from an earlier warrior elite and, being
observed that the bureaucratization of the modern wealthy, could afford to buy horses. They were rewarded
economy on a socialist basis comparable to that of with land, which over time ceased to be a temporary
capitalism may require a great increase in the reward and became part of the hereditary structure of
importance of professional bureaucrats. Moreover, the rule. Serfs, tied to the land, owed obligations to the
division of labour, which is an integral characteristic landlords, who also fulfilled juridical functions.
of the modern society, needs the precise coordination According to Gill, the structure was ‘disarticulated,
of functions for a proper system. However, in a socialist decentralized and cellular’. The power of the central
state there would be a considerably higher degree of monarch declined as feudal lords gained in power.
The Weberian definition of the modern state cited

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bureaucratization because it will cover wider range of
administrative tasks. above is useful for designating what the modern state
(e) Modern Features of Bureaucracy: Modern does, but it is less useful in designating what it is. Weber
bureaucracy is ‘escape proof’. Since it is characterised famously distinguished between the different modes
by a much higher level of rational specialization than of legitimacy of any state–traditional, legal and
patrimonial organizations, it is even more resistant to charismatic. In his own society, these three followed

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any attempt to rise society from its grip. This kind of in close succession: Bismarck, Weimar, and then
apparatus does not allow ‘revolution’ to take place Nazism. However, the persistence of the legal form,
easily. the rationalism and impersonal forms of rule in
SELF-ASSESSMENT QUESTIONS capitalist society that Weber talks about demand
explanation more than they explain. We can very well

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Q. 1. Discuss the characteristics of the modern say what law does in a circular way–law is a system of
state? Explain its relation to rationality. rules governing conduct, enforced by the state with its
Ans. If the emergence of capitalism, often attended monopoly of violence. But why law? Why not, for
by vicious class struggle, provided sufficient conditions instance, religious injunction? If we can say why law
for the rise of the modern state to occur, it might be is the universal mode of regulation in modern societies,
remarked that this did not rule out other sufficient we will come closer to an understanding of the modern
conditions being available. Weber’s definition of the state.
modern state is that it is ‘an administrative and legal The modern state is a capitalist state; its key
order’ which “claims binding authority … over the characteristics cannot be disarticulated from the social
members of the state, the citizens … also to a very processes from which it emerged. In no way need this
large extent over all action taking place in the area of invite a view that reduces the state to being a mere
its jurisdiction”, and with “the monopoly on the instrument of the bourgeoisie, but it is thoroughly
legitimate use of force”. It is characterized by constituted by social and economic relations that it
bureaucracy, centralism and impersonal means of supervises and reproduces.
control which are supposed to safeguard the objectivity Q. 2. Describe what is an organization? Make
of decisions being made; although in practice the state a list of their basic characteristics.
is connected through various means to extraneous Ans. In sociology ‘organization’ is understood as
interests - political parties, NGOs, interest groups, planned, coordinated and purposeful action of human
businesses etc. Another feature characteristic of the beings to construct or compile a common tangible or
modern state is that, although the nation-state does intangible product. This action is usually framed by
not usually coincide with a homogenous ethnic group, formal membership and form (institutional rules).
the state has often tried to legitimize itself through
Sociology distinguishes the term organization
national identity, a suffusion of affect in the general
into planned formal and unplanned informal
population.

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(i.e. spontaneously formed) organizations. Sociology notable factors mentioned by Weber included the
analyzes organizations in the first line from an rationalism of scientific pursuit, merging observation
institutional perspective. In this sense, organization is with mathematics, science of scholarship and
a permanent arrangement of elements. These elements jurisprudence, rational systematization of government
and their actions are determined by rules so that a administration, and economic enterprise. In the end,
certain task can be fulfilled through a system of the study of the sociology of religion, according to
coordinated division of labour. Weber, merely explored one phase of the freedom from
An organization is defined by the elements that magic, that ‘disenchantment of the world’ that he
are part of it (who belongs to the organization and who regarded as an important distinguishing aspect of
does not?), its communication (which elements Western culture.
communicate and how do they communicate?), its The affinity between capitalism and Protestantism,
autonomy (Max Weber termed autonomy in this the religious origins of the Western world, the force of
context: Autocephaly (which changes are executed charisma in religion as well as in politics, the all
autonomously by the organization or its elements?), embracing process of rationalization and the
and its rules of action compared to outside events (what bureaucratic price of progress, the role of legitimacy
causes an organization to act as a collective actor?). and of violence as offsprings of leadership, the
By coordinated and planned cooperation of the ‘disenchantment’ of the modern world together with
elements, the organization is able to solve tasks that the never ending power of religion, the antagonistic
lie beyond the abilities of the single elements. The price relation between intellectualism and eroticism: all these
paid by the elements is the limitation of the degrees of are key concepts which attest to the enduring
freedom of the elements. Advantages of organizations fascination of Weber’s thinking.

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are enhancement (more of the same), addition
ADDITIONAL IMPORTANT QUESTIONS
(combination of different features) and extension.
Disadvantages can be inertness (through coordination) Q. 1. Write a short note on Theories of
and loss of interaction. Rationality.
Q. 3. Explain Weber’s concept of ‘disenchant- Ans. The German sociologist Max Weber proposed
an interpretation of social action that distinguished

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ment’. How does this affect economic progress?
Ans. Weber’s work in the field of sociology of between four different types of rationality. The first,
religion started with the essay The Protestant Ethic which he called Zweckrational or purposive/
and the Spirit of Capitalism, which grew out of heavy instrumental rationality, is related to the expectations
“field work” among Protestant Sects in America, and about the behaviour of other human beings or objects
in the environment. These expectations serve as means

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continued with the analysis of The Religion of China:
Confucianism and Taoism, The Religion of India: The for a particular actor to attain ends, ends which Weber
Sociology of Hinduism and Buddhism, and Ancient noted were ‘rationally pursued and calculated.’ The
Judaism. His work on other religions was interrupted second type, Weber called Wertrational or value/belief-
by his sudden death in 1920, which prevented him from oriented. Here the action is undertaken for what one
following ancient Judaism with studies of Psalms, Book might call reasons intrinsic to the actor: some ethical,
of Jacob, Talmudic Jewry, early Christianity and Islam. aesthetic, religious or other motive, independent of
His three main themes were the effect of religious ideas whether it will lead to success. The third type was
on economic activities, the relation between social affectual, determined by an actor’s specific affect,
stratification and religious ideas, and the distingui- feeling, or emotion – to which Weber himself said that
shable characteristics of Western civilization. this was a kind of rationality that was on the borderline
His goal was to find reasons for the different of what he considered “meaningfully oriented.” The
development paths of the cultures of the Occident and fourth was traditional, determined by ingrained
the Orient, although without judging or valuing them, habituation. Weber emphasized that it was very unusual
like some of the contemporary thinkers who followed to find only one of these orientations: combinations
the social Darwinist paradigm; Weber wanted primarily were the norm. His usage also makes clear that he
to explain the distinctive elements of the Western considered the first two as more significant than the
civilization. In the analysis of his findings, Weber others, and it is arguable that the third and fourth are
maintained that Calvinist (and more widely, Protestant) subtypes of the first two. These kinds of rationality
religious ideas had a major impact on the social were ideal types.
innovation and development of the economic system The advantage in this interpretation is that it
of Europe and the United States, but noted that they avoids a value-laden assessment, say, that certain kinds
were not the only factors in this development. Other of beliefs are irrational. Instead, Weber suggests that a

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RATIONALITY, WORK AND ORGANIZATION / 71

ground or motive can be given–for religious or affect mystery and magic. Disenchantment, then, refers to
reasons, for example–that may meet the criterion of the process of emptying the world of magical or
explanation or justification even if it is not an spiritual forces. Part of this, of course, is in the religious
explanation that fits the Zweckrational orientation of sense of secularization. Peter Berger (1967) provides
means and ends. The opposite is therefore also true: us with a good definition of secularization: “By
some means-ends explanations will not satisfy those secularization we mean the process by which sectors
whose grounds for action are ‘Wertrational’. of society and culture are removed from the domination
Weber’s constructions of rationality have been of religious institutions and symbols.” Thus, both
critiqued both from a Habermasian (1984) perspective secularization and disenchantment refer to the
(as devoid of social context and under-theorised in narrowing of the religious or spiritual elements of the
terms of social power) and also from a feminist world. If we think about the world of magic or primitive
perspective (Eagleton, 2003) whereby Weber’s religion, one filled with multiple layers of energies,
rationality constructs are viewed as imbued with spirits, demons, and Gods, then in a very real way the
masculine values and oriented toward the maintenance world has been subjected to secularization from the
of male power. An alternative position on rationality beginning of religion. The number of spiritual entities
(which includes both bounded rationality (Simons and has steadily declined from many, many gods to one;
Hawkins, 1949), as well as the affective and value- and the presence of a God has been removed from
based arguments of Weber) can be found in the critique immediately available within every force (think of the
of Etzioni (1988), who reframes thought on decision- gods of thunder, harvest, and so on) to completely
making to argue for a reversal of the position put divorced from the physical world, existing apart from

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forward by Weber. Etzioni illustrates how purposive/ time (eternal) and space (infinite). In our more recent
instrumental reasoning is subordinated by normative past, secularization, and demystification and rationali-
considerations (ideas on how people ‘ought’ to behave) zation, have of course been carried further by science
and affective considerations (as a support system for and capitalism.
the development of human relationships). This general process of rationalization and
Q. 2. ‘The prime forces bringing about demystification extends beyond the realm of religion.

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modernity is the process of rationalization.’ Because of the prominence of bureaucracy, means–ends
Comment. calculation, science, secularization, and so forth, our
Ans. The historical and cultural trends that interest world is emptier. Weber sees this move toward
Weber the most, and continue to be a focus of Weberian rationalization as historically unavoidable; it is above
sociology, concern the broad sweeping movement

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all else the defining feature of modernity. Yet it leads
toward rationalization and rational-legal legitimation. inexorably to an empty society. The organizational,
Weber argues that one of the prime forces bringing intellectual and cultural movements toward rationality
about modernity is the process of rationalization. He
have emptied the world of emotion, mystery, tradition,
uses the word rationalization in at least three different
and affective human ties. We increasingly relate to our
ways: He uses it to talk about means-ends calculation,
world through economic calculation, impersonal
in which rationality is individual and specific.
relations, and expert knowledge.Weber (1948) tells us
Rational action is action based on the most efficient
that as a result of rationalization the “most sublime
means to achieve a given end. Secondly, Weber uses
the term to talk about bureaucracies. The bureaucratic values have retreated from public life” and that the
form is a method of organizing human behaviour across spirit “which in former times swept through the great
time and space. Initially we used kinship to organize communities like a firebrand, welding them together”
our behaviours, using the ideas of extended family, is gone .Weber sees this not only as a condition of the
lineages, clans, moieties, and so forth. But as the religious or political institutions in society, he also sees
contours of society changed, so did our method of the creative arts, like music and painting, as having
organizing. Bureaucracy is a more rational form of lost their creative spirit as well. Even our food is subject
organization than the traditional and emotive kinship to rationalization, whether it is the McDonaldized
system. experience (Ritzer, 2004a) or the steak dinner that is
Finally, Weber uses the term rationalization in a subjected to the ‘fact’ that it contains in excess of 2000
more general sense. One way to think about it is to see calories and 100 gram of fat. Thus, for Weber, the
rationalization as the opposite of enchantment. process of modernization brings with it a stark and
Specifically, an enchanted world is one filled with barren world culture.

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Q. 3. What do you mean by organization in decentralization. Centralized decision structures are

sociology? referred to as ‘tall’ organizations because important
Ans. Organizational sociologists took a wider decisions usually emanate from a high level and are
perspective, setting the organization within its passed down through several channels until they reach
environmental framework–specifically in relation to the lower end of the hierarchy. Conversely, flat
society and its institutions. Some sociologists have organizations, which have decentralized decision-
examined formal organizational structures, particularly making structures, employ only a few hierarchical
in relation to technology (for example, Burns and levels. Such organizations are typically guided by a
Stalker, 1961). Morgan (1986) provides a (by now) management philosophy that is favourably disposed
classical interpretation of organizations as a series of toward some form of employee empowerment and
metaphors. Dating from Weber’s early work on individual autonomy.
bureaucracy, sociologists have taken a particular A formalized system of rules and policies is the
interest in non-profit making organizations. third standard organizational characteristic. Rules,
Q. 4. Write short note on basic organizational policies and procedures serve as templates of
characteristics. managerial guidance in all sectors of organizational
Ans. Organizations differ greatly in size, function, production and behaviour. They may document the
and makeup. Nevertheless, the operations of nearly all most efficient means of accomplishing a task or provide
organizations—from the multinational corporation to standards for rewarding workers. Formalized rules
a a newly opened delicatessen—are based on a division provide managers with more time to spend on other
of labour, a decision-making structure; and rules and problems and opportunities and help ensure that an
organization’s various subsystems are working in

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policies. The degree of formality with which these
aspects of business are approached vary tremendously concert. Ill-conceived or poorly implemented rules, of
within the business world, but these characteristics are course, can actually have a negative impact on business
inherent in any business enterprise that utilizes the efforts to produce goods or services in a profitable or
talents of more than one person. satisfactory manner.
Thus, organizations can be categorized as informal
Organizations practice division of labour both

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or formal, depending on the degree of formalization of
vertically and horizontally. Vertical division includes
rules within their structures. In formal organizations,
three basic levels–top, middle, and bottom. The chief
say researchers, management has determined that a
function of top managers, or executives, typically is to
comparatively impersonal relationship between
plan long-term strategy and oversee middle managers.
individuals and the company for which their work is
Middle managers generally guide the day-to-day

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viewed as the best environment for achieving
activities of the organization and administer top level organizational goals. Subordinates have less influence
strategy. Low level managers and labourers put strategy over the process in which they participate, with their
into action and perform the specific tasks necessary to duties more clearly defined.
keep the organization operating. Informal organizations, on the other hand, are less
Organizations also divide labour horizontally by likely to adopt or adhere to a significant code of written
defining task groups, or departments, and assigning rules or policies. Instead, individuals are more likely
workers with applicable skills to those groups. Line to adopt patterns of behaviour that are influenced by a
units perform the basic functions of the business, while number of social and personal factors. Changes in the
staff units support line units with expertise and services. organization are less often the result of authoritative
In general, line units focus on supply, production, and dictate and more often an outcome of collective
distribution, while staff units deal mostly with internal agreement by members. Informal organizations tend
operations and controls or public relations efforts. to be more flexible and more reactive to outside
Decision-making structures, the second basic influences. But some critics contend that such
organizational characteristics, are used to organize arrangements may also diminish the ability of top
authority. These structures vary from operation to managers to effect rapid change.
operation in their degree of centralization and

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73

Entrepreneurship and Capitalism 15

INTRODUCTION Capitalism and his idea about entrepreneurship can

be identified. Many analogies can even be attributed
The concepts entrepreneurship and capitalism has Marx and many are yet to be explained (MacDonald,
been discussed by various social scientists. However, 1971). In his analysis, Schumpeter started with the idea
the contribution of Weber, the sociologist and that of of Marx in analysing social aspect of entrepreneurship
Schumpeter, the economist stand out. Weber’s idea of and tried to link with the development of capitalism,
entrepreneurship is generally identified with his theory but his approach and conclusions are entirely non-
of charisma. This perspective helped the explanation Marxian. Weber too attacked on Marx’s idea of

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of development of capitalism in primitive stage of materialistic explanation of history and challenge his
society. theory on the ground of his own idealistic theory
Apart from Weber and Schumpeter, Durkheim and (Bendix, 1960).
other contemporary sociologists have also contributed Later, in 1980, Schumpeter asserted that his
to understanding the concept of entrepreneurship. exposition on entrepreneurship and development of

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CHAPTER AT A GLANCE capitalism depends on the fundamental distinction
between static and dynamic situations taking place in
MEANING OF ENTREPRENEURSHIP society.
The term entrepreneurship has been debated CONTRIBUTION OF MAX WEBER
widely. However, scholars agree about the Weber opposed Marx’s view that the capitalist was
entrepreneurship that includes a part of administration

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equipped by new techniques and driven by rational
and its functions in decision-making in an organization procurement. This allowed him to always discard the
for regulation. The root of the word is French which old traditional method and attitudes. Moreover, he
apparently means ‘to do something’. In the early 16th imposed on society his own ethos and a specific mode
century, persons engaged in leading military of production. According to Weber, this was never a
expeditions were called entrepreneurs. However, after realistic situation for the process of capitalistic
1700, the French used the term for government road, development. He could see many changing situations
bridge, harbour and fortification contractors and later during his own life time.
to the architects. By 1800, the French economists gave
a special meaning to term that catered to the need of Weber and Economics
economics. Although Weber is always treated as a
sociologist but he also devoted his time to the
THEORETICAL BACKGROUND
approach which was sociological but blended with
OF ENTREPRENEURSHIP
economics (Swedberg, 1988). He also devoted about
WITH SPECIAL REFERENCE TO
two years in teaching economics at ‘two’ leading
MAX WEBER AND JOSEPH SCHUMPETER
universities of Germany.
Theoretical background of entrepreneurship is
very interesting. The concept was analysed by Max All aspects of Weber’s career can be observed in
Weber and Schumpeter who developed theories to his idea about the entrepreneurship and development
explain its role in the development of capitalism. of capitalism. His theoretical propagation of
Schumpeter identified pre-scientific vision and entrepreneurship is generally identified with the theory
assumed entrepreneur merely a manager, circular flow of charisma. According to him, a positive condition
development system. Weber’s developed his idea of for entrepreneurial works had emerged which led the
capitalism in his The Protestant Ethic and Spirit of capitalistic development (Bendix, 1960). In beginning

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of his career, Weber laid much emphasis on connection, it is difficult to elicit the causes. Moreover,
entrepreneurship as the skilful direction of enterprises. in another article, he suggests there may be inadvertent
This was more related to opportunities in market interrelation between entrepreneur and crime in society.
situation for making profit than the personality of an Thus, innovation is unavoidable phenomenon but there
individual entrepreneur who acted as an entrepreneur. is also another situation, the members who do not
Entrepreneurship and Capitalism succeed in goal attainment, they are likely to adopt
After 1910, Weber shifted his idea of unfair means to succeed which will lead the crime and
entrepreneurship to bureaucrats. According to him, deviance in the society (1968). Sociologists have looked
when society becomes more rationalized, entrepreneurship in comparative frame, for example,
bureaucracy dominates both state and enterprise. If Lipset (Cardoso, 1967).
political bureaucracy succeeds in handling all of the SELF-ASSESSMENT QUESTIONS
economic activities, for example, by socialist system,
capitalistic development is changed to a dictatorship. Q. 1. Is Weber’s and Schumpeter’s analysis on
entrepreneurship similar or different? Explain.
CONTRIBUTION OF SCHUMPETER Ans. Schumpeter was probably the first scholar to
Schumpeter applied a variety of approaches develop theories of entrepreneurship. He gave two
including psychology, economic theory, economic theories. In the first one, Schumpeter argued that the
history and sociology. However, he never produced a innovation and technological change of a nation comes
concrete guidance for the behaviour of entrepreneurs from the entrepreneurs, or wild spirits. He coined the
as business schools have been formulating it. He word Unternehmergeist, German for entrepreneur-
emphasized that when ordinary economic behaviour spirit. He believed that these individuals are the ones

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is more or less automatic, the entrepreneur has always who make things work in the economy of the country.
to think seriously over his/ her action which is to be In the second theory, he asserted that the actors that
taken. This is important because entrepreneur is drive innovation and the economy are big companies
involved in doing something is very new in society. which have the resources and capital to invest in
Schumpeter’s Typology of Entrepreneurs research and development. Both arguments might be

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Schumpeter typologies are based on: (i) the complementary today.
introduction of new goods; (ii) the introduction of Max Weber’s position on capitalism is much more
new mode of production; (iii) the initiating of new ambivalent and contradictory. One may say that he is
market: (iv) innovating a new source of supply of torn between his bourgeois condition which is identified
raw materials; and (v) the creation of a new industrial with the destiny of German capitalism and its imperial

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organisation. His second typology is related with the power, and his intellectual identity, sensitive to the
three motivation of entrepreneur: the dream will to arguments of the romantic, anti-capitalist
find out a private kingdom; the will to conquer; and Zivilizationkritik so influential on German university
the joy of creating something new. mandarins at the turn of the century. From this point
(Schumpeter, 1934, 1961) of view he is comparable to another bourgeois
intellectual of that era in Germany who was also torn–
STUDIES ON ENTREPRENEUR if not schizophrenically–between bourgeois and
OTHER THAN WEBER intellectual persuasions: Walter Rathenau, a Prussian
One of such studies is Durkheim’s notion about and a Jew, entrepreneur capitalist and critic of
change of society can be explained as more the density mechanistic civilization.
of population, more the demand, and more the Q. 2. Outline the role of Calvinism in
specialization and division of labour takes place to fulfil reinterpreting religious ideology.
the demand. Specialization of work may imply that an Ans. The term ‘Calvinism’ is applied to the
entrepreneur throughout his/her carrier innovates the teachings linked to John Calvin (1509-1564), a French
avenues for professionalization and expertisation of theologian and church reformer, whose Institutes of
work to succeed in the field of its own. Hence, idea of the Christian Religion (1536) provided the five basic
specialisation of division of labour itself hints a doctrines of the Protestant churches and Reformed
theoretical genesis of entrepreneurship. Probably, this tradition: (i) total depravity–the “complete corruption
social condition during 18th century might have led of humanity resulting from Original Sin”;
French revolution and industrial resolution which (ii) unconditional election–“the predestined salvation
seemly was a beginning phase of the development of or damnation of every individual”; (iii) irresistible
capitalism in European society. Merton states that most grace–necessary for conversion but available to the
of the discoveries had taken accidentally. In this ‘elect’ only; (iv) perseverance of the saints–‘the

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ENTREPRENEURSHIP AND CAPITALISM / 75

enduring justification and righteousness of the effectual calling. On the one hand, they could follow
converted’; and (v) limited atonement–‘Christ’s gift their ‘general (effectual) calling’ and further God’s
of life through His death, but only for those already glory by worshiping his creation, that is, by heeding
predestined for heaven’ (Elliott, p. 187). In short, Christ’s dictum to love their fellow human beings.
Calvin stressed the sovereignty of a deliberate God and “Thou shalt love the Lord thy God with all thy heart,
denied the innately depraved individual all agency. and with all thy soul, and with all thy mind. This is
Calvinistic faith flourished in early America. The the first and great commandment. The second is like
pilgrims, under the leadership of Governor William unto it, Thou shalt love thy neighbour like thyself”
Bradford (1590-1657), planted it in New England in (Matthew 22:37-39). On the other hand, they were
November of 1620. Only ten years later, roughly one encouraged to follow their ‘particular (effectual)
thousand Puritans, led by John Winthrop (1588-1649), calling’ and demonstrate their love and usefulness for
set sail for Massachusetts Bay. Particular Baptists others by thriving in their vocation. In theory, then,
removed it to Virginia, Massachusetts and Providence, Puritan theology considered all legal occupations equal.
Rhode Island. George Fox’s (1624-1691) Quakers, It measured the public utility and worth of individuals
whom the church historian Sydney Ahlstrom by their dedication to their predestined vocation and
characterized as the “most important and enduring
not in terms of social status.
manifestation of Puritan radicalism in either England
Although the Puritans’ covenant withered and
or America”, brought it to Rhode Island and
Pennsylvania. The Dutch Reformed transferred their finally collapsed in the mid-18th century, its biblical
‘predominately Puritan’ ethic to New York, New Jersey, theme stipulating grace for reciprocal altruism, an
and Maryland. The Scotch and Scotch-Irish ascetic work ethic, and disregard for class differences

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Presbyterians introduced their faith to the Carolinas persisted. Even Benjamin Franklin (1706-1790), a
and parts of Georgia. By 1730 Puritan Calvinism paragon of the American Enlightenment who dismissed
represented a firmly established theology in the soon- revealed religion, epitomized Puritan precepts. In his
to-be United States. Its ideological and rhetorical legacy Autobiography (1791), Franklin boasted his “modesty
for American culture and literature proved both and . . . disinterestedness” and his “industry and
profound and multifaceted. frugality”, which, if paired with “respect to all”, proved

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Puritan ideology with its emphasis on a “means of obtaining wealth and distinction”.
predestination and simultaneous insistence on the Franklin set for himself the “arduous project of arriving
indistinguishability of the ‘elect’ (the ‘invisible at moral perfection” and strove to perform “the most
church’), Calvinist theology might have led to the acceptable service of God, [that is,] . . . doing good to
erosion of standards and values. To prevent this from man”. Thus, Franklin’s Autobiography reflected the

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occurring and to help their congregations cope with Calvinist belief that God helped those who helped
the uncertainty of unconditional election, 17th century themselves and other members of the ‘imagined
New England Puritan ministers introduced the doctrine community.’
of preparationism or ‘covenant theology.’ Covenant Q. 3. What is Schumpeter’s vision of an
theology substituted divine decree as the basis for entrepreneur? Elaborate.
election with a compact between God and his Ans. The analysis that led Schumpeter to his
worshipers. In exchange for absolute obedience, God conclusion differed totally from Karl Marx’s. Marx
allowed human beings to prepare for grace. believed that capitalism would be destroyed by its
Preparation, however, did not guarantee election. enemies (the proletariat), whom capitalism had
Rather, it demanded from the believer a display of a purportedly exploited, and he relished the prospect.
heretofore unseen degree of self-reflection, Schumpeter believed that capitalism would be destroyed
paradoxically paired with a relatively large portion of
by its successes, that it would spawn a large intellectual
self-confidence. To doubt one’s election was indicative
class that made its living by attacking the very
of the lack of grace and revealed vulnerability to the
temptations of the devil. To act as one saw fit was bourgeois system of private property and freedom so
equally disgraceful, as human beings reliance on the necessary for the intellectual class’s existence. And
moral faculty was not only misleading but also unlike Marx, Schumpeter did not relish the destruction
presumptuous. In order to gain certainty of salvation of capitalism. ‘If a doctor predicts that his patient will
or certituto salutis, then, Puritans had to follow their die presently’, he wrote, ‘this does not mean that he
‘effectual calling’ or fides efficax: they had to dedicate desires it.’
their lives to the glorification of God. Capitalism, Socialism, and Democracy is much
Based on their readings of the Bible, the Puritans more than a prognosis of capitalism’s future. It is also
believed that there were two ways to answer the a sparkling defence of capitalism on the grounds that

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capitalism spark entrepreneurship. Indeed, Schumpeter creation is a common activity among U.S. workers over
was among the first to lay out a clear concept of their course of their careers.” And in recent years has
entrepreneurship. He distinguished inventions from the been documented by scholars such as David Audretsch
entrepreneur’s innovations. Schumpeter pointed out to be a major driver of economic growth in both the
that entrepreneurs innovate not just by figuring out United States and Western Europe.
how to use inventions, but also by introducing new Entrepreneurial activities are substantially
means of production, new products, and new forms of different depending on the type of organization that is
organization. These innovations, he argued, take just being started. Entrepreneurship ranges in scale from
as much skill and daring as does the process of solo projects (even involving the entrepreneur only
invention. part-time) to major undertakings creating many job
Innovation by the entrepreneur, argued opportunities. Many ‘high value’ entrepreneurial
Schumpeter, leads to gales of ‘creative destruction’ as ventures seek venture capital or angel funding in order
innovations cause old inventories, ideas, technologies, to raise capital to build the business. Angel investors
skills, and equipment to become obsolete. The question generally seek returns of 20-30% and more extensive
is not “how capitalism administers existing structures, involvement in the business. Many kinds of
... [but] how it creates and destroys them.” This creative organizations now exist to support would-be
destruction, he believed, causes continuous progress entrepreneurs, including specialized government
and improves the standards of living for everyone. agencies, business incubators, science parks, and some
Schumpeter argued with the prevailing view that NGOs. In more recent times, the term entrepreneurship
‘perfect’ competition was the way to maximize has been extended to include elements not related
economic well-being. Under perfect competition all necessarily to business formation activity such as

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firms in an industry produce the same good, sell it for conceptualizations of entrepreneurship as a specific
the same price, and have access to the same technology. mindset (see also entrepreneurial mindset) resulting
Schumpeter saw this kind of competition as relatively in entrepreneurial initiatives e.g. in the form of social
unimportant. He wrote: “[What counts is] competition entrepreneurship, political entrepreneurship, or
from the new commodity, the new technology, the new knowledge entrepreneurship have emerged.

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source of supply the new type of organization ... Q. 2. Discuss the importance of entre-
competition which ... strikes not at the margins of the preneurship.
supply and the outputs of the existing firms but at their Ans. Entrepreneurship is increasingly recognized
foundations and their very lives.” as an important driver of economic growth,
productivity, innovation and employment, and it is
ADDITIONAL IMPORTANT QUESTIONS

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widely accepted as a key aspect of economic dynamism:
Q. 1. Write a short note on Entrepreneurship. the birth and death of firms and their growth and
Ans. Entrepreneurship is the act of being an downsizing. As firms enter and exit the market, theory
entrereneur, which is a French word meaning “one who suggests that the new arrivals will be more efficient
undertakes innovations, finance and business acumen than those they displace. Existing firms that are not
in an effort to transform innovations into economic driven out are forced to innovate and become more
goods”. This may result in new organizations or may productive in order to compete. Many studies have
be part of revitalizing mature organizations in response given empirical support to this process of ‘creative
to a perceived opportunity. The most obvious form of destruction’ first described by Joseph Schumpeter.
entrepreneurship is that of starting new businesses; However, while academic studies have long recognised
however, in recent years, the term has been extended the importance of entrepreneurship, policy-makers
to include social and political forms of entrepreneurial have only recently explicitly discovered it. Indeed,
activity. When entrepreneurship is describing activities entrepreneurship was long considered an exogenous
within a firm or large organization it is referred to as factor in government policies, and policy efforts were
intra-preneurship and may include corporate venturing, often directed simply towards the large population of
when large entities spin-off organizations. very small firms rather than aimed at stimulating
According to Paul Reynolds, entrepreneurship entrepreneurs able to introduce new products, processes
scholar and creator of the Global Entrepreneurship or organisational forms in order to exploit new markets
Monitor, “by the time they reach their retirement years, and grow. However, many OECD countries have made
half of all working men in the United States probably entrepreneurship an explicit policy priority in recent
have a period of self-employment of one or more years; years, and governments’ policies now seek to affect
one in four may have engaged in self-employment for the rate and type of entrepreneurship. As globalization
six or more years. Participating in a new business reshapes the international economic landscape and

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ENTREPRENEURSHIP AND CAPITALISM / 77

technological change creates greater uncertainty in the combination, we propose, can be understood as a social
world economy, the dynamism of entrepreneurship is formation with its own cohesion and resistance–what
believed to be able to help to meet the new economic, may be called an economic order. Actors know how to
social and environmental challenges. Governments act; and profit is low and even in these orders.
increasingly consider entrepreneurship and innovation Entrepreneurship, in contrast, breaks them up by
to be the cornerstones of a competitive national creating new ways of doing things and, in doing so,
economy, and in most countries entrepreneurship produces entrepreneurial profit. This profit inspires
policies are in fact closely connected to innovation imitators until a new order for how to do things has
policies, with which they share many characteristics been established; and profit has become low and even
and challenges. Both are associated with ‘doing once more. Entrepreneurship is defined as the act of
something new’ and, designed correctly, they can be creating a new combination that ends one economic
mutually reinforcing. The dynamic process of new firm order and clears the way for a new one. The
creation introduces and disperses innovative products, implications of this approach for a number of topics
processes and organisational structures throughout the related to entrepreneurship are also discussed.
economy. Entrepreneurship objectives and policies Q. 4. Write about the Meaning and
nevertheless differ considerably among countries, Presuppositions of Modern Capitalism by Weber.
owing to different policy needs and diverse perspectives Ans. Capitalism is present wherever the industrial
on what is meant by entrepreneurship. In some provision for the needs of a human group is carried
countries, entrepreneurship is linked to regional out by the method of enterprise. A rational capitalistic
development programmes and the creation of new firms enterprise is one with capital accounting, according to
is stimulated to boost employment and output in the methods of modern-bookkeeping and the striking

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depressed regions. In others, entrepreneurship is a key of a balance. In a given economy, parts may be
element of strategies designed to facilitate the capitalistically organized, and other parts not so. An
participation of certain target groups, such as women epoch is capitalistic if the provision of its wants is
or minorities, in the economy. Some countries simply organized capitalistically to such a degree that the
seek to increase firm creation as such, while others set whole economic system would collapse if we take away

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out to support high-growth firms. While many countries the capitalistic form of organization.
are making serious efforts to support entrepreneurship, General presuppositions for the existence of
results appear to vary. Countries want to understand modern day capitalism (thinking along the ideal type
the determinants of and obstacles to entrepreneurship, line):
and they need to analyse the effectiveness of different 1. Rational capital accounting. This involves the

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policy approaches. The lack of internationally appropriation of all physical means of
comparable empirical evidence has however production as the property of autonomous
constrained our understanding of entrepreneurship and private enterprises.
many questions remain unanswered. Ultimately, policy 2. Freedom of the market, in the sense of the
making must be guided, as far as possible, by evidence absence of irrational limits on trading in the
and facts. To tackle these issues, the OECD, in market.
association with Eurostat and many others, has 3. Rational technology, to permit the required
undertaken to build a new, and more robust, inter- calculability. This implies mechanization.
national knowledge base. 4. Calculable law, the dependability of
Q. 3. What are Schumpeter’s ideas on calculable adjudication and administration.
Entrepreneurship? 5. Free (not slave or serf) labour, people legally
Ans. Schumpeter’s idea in Theory of Economic in the position to, and economically compelled
Development that the economy can be conceptualized to, sell their labour on the market without
as a combination and innovations as new combinations. restriction.
Schumpeter also spoke of resistance to 6. Commercialization of economic life: general
entrepreneurship. By linking the ideas of combination use of commercial instruments to represent
and resistance, we are in a position to suggest a theory share rights in enterprise and also in property
of capitalist entrepreneurship. An existing ownership.

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78

Freedom and Liberty

16
INTRODUCTION CHAPTER AT A GLANCE
To understand liberty, it is important to understand BERLIN’S AND THE REPUBLICAN THEORY
the concepts of liberalism and libertarianism. A cluster After the brief discussion above, the concepts of
of political ideals advocated within a tradition of liberty and freedom can now be analysed as follows:
political thought by Locke, Montesquieu, de Toqueville, Isaiah Berlin: Negative and Positive Philosophy

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T.H. Green, J.S. Mill and others who emphasised Two concepts of liberty was one of the seminal
individual liberty. Libertarianism may be defined as contributions to political philosophy. Berlin
the theoretical concept of one which strictly restricts distinguishes negative and positive liberty. In this sense,
the competence of government to collective defence, different meanings of liberty are elicited as the answers
the protection of negative rights, enforcement contracts to two questions. First, what is the area within which
and rights of non-interference. a person or a group of persons is able to do without

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Liberty is a political value, it is always normative, interference from others? This liberty is negative liberty.
always accompanied by a positive ethical charge. The We must remember that political liberty is the area
distinction between liberty can be understood by within which a person can act unobstructed by others.
looking at liberty as more broader term and freedom Second, is about the source of control or interference
as carrying less evaluative charge. In his essay, On

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that can determine someone to this rather than that.
Liberty, John Stuart Mill says that not the so-called This is form of positive liberty.
liberty which is opposed to the misnamed doctrine of Negative Liberty
necessity; but civil, or social liberty was the subject of According to Hobbes, a free man as one who by
his essay. his strength and wit is able to do, is not hindered to do
Democracy and Civil Liberty what he has or a will to. This was certainly negative
It is an open question whether the question of liberty which was being defined. Berlin wants us to
liberty is exhausted when we have investigated the recognize is that different fundamental values may
nature and limits of the power, which can be conflict. The demands of justice or security may require
exercised by society over the individual. Mill imposes truncation and vice versa, in circumstances of moral
this latter restriction deliberately because he believes dilemma or irresoluble situation.
that, in his day, democracy poses sharp threats to Berlin and Positive Liberty
civil liberty. He has in mind the possibility of and According to Berlin, the ‘positive’ sense of the
the levelling spirit of democracy, which may lead to word liberty derives from the wish on the part of the
an intolerant social experimentation and personal individual to be his own master. For example, the
eccentricity. He believed in Tocqueville’s reports of individual wishes that his life depends on decisions
democracy at work in America; gave a power to taken by him, not on external forces. He wants to be
everyone at the town meeting, and conformity will the instrument of his own, not of acts of will of others.
soon become a parochial priority. These dangers are He wants to be a subject, not an object and wants
real, but liberty may require democratic institutions carry out his life on his own terms.
just as surely as democratic institutions require (a) Self-control and Self-realisation: Self- control
strong liberties. is linked to working on individual’s own desires –

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FREEDOM AND LIBERTY / 79

ordering, strengthening them in line with a conception form of society in which he is socialised. However, he
of what it is right or good for desire. According to rejects a complete historical relativism. Marx does not
Berlin, it is a complex notion, with its heart in a adopt such a psychological model. According to Marx,
sophisticated freedom of action. Locke, Rousseau, Kant the individual is the social being and the individual
and Hegel have explained this concept in their writings. human life and species life are not different things as
(b) Paternalism: Further, Berlin continues, if the may be understood by some scholars.
individual is not able to exercise this self-control he (a) Freedom of Action: In Locke, Rousseau and
may be what is best for him. It is possible that he is not Kant and in Hegel’s Philosophy of Right, we can find
able to understand the full value of alternatives. We significant elements of free action. It one about
behave like a child in such situations and need to be autonomous action we are free when we are in do,
guided by paternal care. acting against what, phenomenological, by reason or
(c) Social Self-control: About social control he morality or the ethical demands we recognize as
says, if the individual exercises his freedom through authoritative sociological parlance.
self-control, and if others promote his freedom by (b) Autonomy: The value of freedom is the value
appropriate paternalistic intervention, may the of getting what we want, doing as we desire. Hence, it
individual’s freedom be further enhanced by amounts to the value of whatever we want, which our
institutional measures that he supports. Rousseau’s instrumental status is enabling us to do. Kantian
social contract that in republic citizens achieve moral autonomy is a condition in which an individual gets
and political liberty by enacting laws, backed by significant opportunities to work out what thing to do,
coercive sanctions and here we find a sense of social but if this is the core value of freedom then freedom

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self control. does not provide the best situation in which autonomy
(d) State Servitude: Moreover, if there is an may emerge.
unwise citizen, who is unable to exercise immediate (c) Moral Freedom: For Rousseau, moral freedom
self-control and is insufficiently far-seeing to enact or is the freedom, which is attained by those who can
support devices of social coercion, he too can attain control their own desires. The concept of Kant’s
freedom indirectly. On the other hand, if the state

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autonomous willing develop it further which stresses
controls us in our real interest we can be free whether how we bring to bear our resources rational deliberation
we disapprove of the state or follow it is not important.
in the face of our heteronomous desires which we are
THE VALUE OF FREEDOM
caused to suffer by the nexus of our internal and
Marx treats ‘freedom’ very similar to the
external human nature in different situations.
autonomous self-control concept of Durkheim, and is

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definitely not being identified with the utilitarian view. Limits on Democracy
For Marx, the words ‘free’ and rational are very much We must understand specifications of the
similar in concept to that of Hegel. Hegel rejected the institutions, which promote political liberty with
utilitarian view that a man is free to the extent of his some condition that sets limits on the competence
wishes. of the democratic decision procedures. Moreover,
an implicit implication of Mill’s principle is that
Individual and Society the wrongs which may be prohibited consistently
It may be seen that the position of the with liberty do not include wrongs which citizens
individual in society will be analogous to that for may do to themselves alone is the issue of
example of the scientists within the scientific paternalism per say.
community. It may be pointed out here that the
scientist who works according to the norms, which (d) Toleration: It may be observed that toleration
define scientific activity is not less free compared is significant because people who live together may
to one who deliberately rejects those norms or rules. find that there are deep differences between their moral
As against this, by being a member of the scientific beliefs, which cannot be settled by argument from
community, he is also to participate in a collective accepted grounds. This situation is not possible due to
which allows him to enlarge, and to creatively the deep conflicts that arise in our society.
employ, his own desire in this way. Here, acceptance FREE STATES AND FREE CITIZENS
of moral requisites is not the external obstruction, According to Rouseau, man’s free will provides
but is the recognition of the rational aspect to which him with freedom in state of nature. Moreover, as
the individual is subjected. contractors, we shall be with nothing less than that
However, Durkheim asserts that the individual social state. In a state, natural freedom is lost, but the
personality is influenced by the characteristics of the thought of it gives a benchmark by which we can

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80 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

understand the institutions of state. For Rousseau, a ‘freedom from’, namely freedom from instinctual
measure of freedom can be recovered in society on three determination of his actions.” For Fromm, then,
lines–moral freedom, social freedom and civil freedom. negative freedom marks the beginning of humanity as
(a) Democratic Freedom: State gives its citizens a species conscious of its own existence free from base
the opportunity to participate in making laws which instinct.
will govern their conduct. In Kant’s view, autonomous The distinction between positive and negative
action can be obtained if we follow the laws, which we liberty is considered specious by socialist and Marxist
have determined for ourselves. political philosophers, who argue that positive and
(b) Civil Liberty: Those citizens who value liberty negative liberty are indistinguishable in practice, or
and express it in democratic institutions would not like that one cannot exist without the other.
to interfere in the lives of their fellow citizens, whether Q. 2. Describe the egoistic opposition between
by law or less formal mechanisms of the society. They individual and society. Can this be reversed or
would always want to introduce laws which promotes eradicated?
Ans. Stirner’s account of the developing historical
individual liberty.
relationship between the individual and society is
SELF-ASSESSMENT QUESTIONS advanced in a series of parallels which are designed to
Q. 1. Outline concept of ‘negative liberty’. portray egoism as the embodiment of a more advanced
Discuss its shortcomings. civilization. At one point, he neatly inverts the terms
Ans. The concept of negative liberty refers to of a familiar progression (rehearsed by countless early
modern political thinkers) from a state of nature to
freedom from interference by other people. According

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civil society. It is membership of society, and not
to Thomas Hobbes, “a free man is he that in those things isolation, Stirner suggests, which is humankind’s “state
which by his strength and wit he is able to do is not of nature”, in that, it constitutes an early stage of
hindered to do what he hath the will to do.” The development whose inadequacies are, in due course,
distinction between negative and positive liberty was outgrown. Elsewhere, he describes the developing
drawn by Isaiah Berlin in his lecture ‘Two Concepts of relationship between the individual and society as
Liberty.’ According to Berlin, the distinction is deeply

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analogous to that between a mother and her child. As
embedded in the political tradition. The notion of the individual (the child) develops a mature preference
negative liberty is associated with British philosophers for a less suffocating environment, it must throw off
such as Locke Hobbes, and Adam Smith, and positive the claims of society (the mother) which seeks to
liberty with continental thinkers, such as Hegel, maintain it in a subordinate position. In both cases,

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Rousseau, Herder and Marx. Stirner draws the lesson that the individual must move
In Berlin’s words, “liberty in the negative sense from social to egoistic relationships in order to escape
involves an answer to the question: ‘What is the area subjection.
within which the subject – a person or group of persons What is meant by ‘egoism’, however, is not always
– is or should be left to do or be what he is able to do or clear. Stirner is occasionally portrayed as a
be, without interference by other persons’.” Restrictions psychological egoist, that is, as a proponent of the
on negative liberty are imposed by a person, not by descriptive claim that all (intentional) actions are
natural causes or incapacity. Helvetius expresses the motivated by a concern for the self-interest of the agent.
point clearly: “The free man is the man who is not in However, this characterisation of Stirner’s position
appears mistaken. Not least, The Ego and Its Own is
irons, nor imprisoned in a gaol, nor terrorized like a
structured around the opposition between egoistic and
slave by the fear of punishment ... it is not lack of
non-egoistic forms of experience. Indeed, he appears
freedom not to fly like an eagle or swim like a whale.”
to hold that non-egoistic action has predominated
Frankfurt School psychoanalyst and humanistic historically (in the epochs of realism and idealism).
philosopher Erich Fromm drew a similar distinction Moreover, at one point, Stirner explicitly considers
between negative and positive freedom in his 1941 adopting the explanatory stance of psychological
work, The Fear of Freedom, that predates Berlin’s essay egoism only to reject it. In a discussion of a young
by more than a decade. Fromm sees the distinction woman who sacrifices her love for another in order to
between the two types of freedom emerging alongside respect the wishes of her family, Stirner remarks that
humanity’s evolution away from the instinctual activity an observer might be tempted to maintain that
that characterizes lower animal forms. This aspect of selfishness has still prevailed in this case since the
freedom, he argues, “is here used not in its positive woman clearly preferred the wishes of her family to
sense of ‘freedom to’, but in its negative sense of the attractions of her suitor.

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FREEDOM AND LIBERTY / 81

Stirnerian egoism is perhaps best thought of, not of people to freely express themselves and develop their
in terms of the pursuit of self-interest, but rather as a potential. Freedom in this sense is the condition in
variety of individual self-government or autonomy. which people can develop their creativity and
Egoism properly understood is to be identified with capabilities.
what Stirner calls ‘ownness [Eigenheit]’, a type of Both these aspects of freedom – the absence of
autonomy which is incompatible with any suspension, external constraints as well as the existence of
whether voluntary or forced, of individual judgement. conditions in which people can develop their talents –
“I am my own”, Stirner writes, “only when I am master are important. A free society would be one which
of myself, instead of being mastered … by anything enables all its members to develop their potential with
else” . This Stirnerian ideal of self-mastery has external the minimum of social constraints.
and internal dimensions, requiring both that we avoid Q. 3. What is the importance of individual
subordinating ourselves to others and that we escape freedom?
being ‘dragged along’ by our own appetites. In short, Ans. Individual freedom means that every
Stirner not only rejects the legitimacy of any individual human being in the society is free to act
subordination to the will of another, but also according to his own free will. He is at the centre of
recommends that individuals cultivate an ideal of the social system to which he belongs. Political thinkers
emotional detachment towards their own appetites and and social scientist explain this ‘as an attitude of mind
ideas. which makes man to act according needs and interest’.
ADDITIONAL IMPORTANT QUESTIONS In doing it he should have freedom for adjustments. It

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is an essential condition for man’s happiness and of
Q. 1. What do you mean by liberty? the development of his personality. It regards the state
Ans. “Liberty means the power of doing what we as a necessary evil. It is an evil because its activities
ought to do”. – Montesquieu necessarily restrict the freedom of the individual. Such
“Liberty means the absence of restraints” a restriction is necessary because mankind has not yet
– Prof. Seely reached that stage of evolution where the authority of

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The meaning of liberty finds its positive the state may be completely done away with. As the
affirmation in the thought of T.H.Green who describes state is an evil its functions should be reduced to the
it as the power to do or enjoy something that is worth minimum. The best state is one, which exists the least.
doing or enjoying in common with others. Liberty is The prominent exponent of individual freedom was
the eager maintenance of that atmosphere in which John Stuart Mill of England.

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men have the opportunity to be their best selves. Population consists of individuals, great men,
Liberty means the positive power of doing or leaders and reformers. Just how much of political
enjoying. – T.H. Green development is attributable to the spirit of the time
Taken together, it must be understood that, liberty that results from general causes and how much to the
exists not merely in the absence of restraints but in the conscious effort of individuals is one of the most
presence of opportunities as well. The following difficult of problems and historians have held widely
definition embraces both aspects of liberty: divergent opinions concerning it. In spite of the fact
“Liberty is the product of rights. It is the maximum that, great men, leaders and reformers, it is each
opportunity to do desired things with a minimum of individual composing the states is a being that wills
controls and regulations consonant with a well-ordered and acts. Without the cooperation of individual, no
society”. change is possible.
Q. 2. What is freedom? The need for individual freedom and thus the
Ans. A simple answer to the question ‘what is necessity to safeguard it arises. It is accepted that man
freedom’ is absence of constraints. Freedom is said to can consciously modify the physical condition of the
exist when external constraints on the individual are external world. When the can do so, he may also
absent. In terms of this definition an individual could influence those psychical bonds that create nations and
be considered free if he/she is not subject to external states; and as the control of man over nature makes
controls or coercion and is able to make independent progress rapid in material civilization, so the conscious
decisions and act in an autonomous way. However, effort of man to modify his political system, makes
absence of constraints is only one dimension of possible the revolutions and reforms that marks the
freedom. Freedom is also about expanding the ability path of state development and nation-building.

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82 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

Q. 4. What is the difference between the with the inviolable area of non-interference and not
negative and positive conception of liberty? with the conditions in society, outside this area, as such.
Ans. ‘Negative liberty’ seeks to define and defend Of course negative liberty would like to expand this
an area in which the individual would be inviolable, minimum area as much as is possible keeping in mind,
in which he or she could ‘do, be or become’ whatever however, the stability of society. Generally, they both
he or she wished to ‘do, be or become’. This is an area go together and support each other, but it can happen
in which no external authority can interfere. It is a that tyrants justify their rule by invoking arguments of
minimum area that is sacred and in which whatever positive liberty.
the individual does, is not to be interfered with. The Q. 5. What is meant by social constraints? Are
existence of the ‘minimum area of non-interference’ is constraints of any kind necessary for enjoying
the recognition that human nature and human dignity freedom?
need an area where the person can act unobstructed by Ans. No individual living in society can hope to
others. How big should this area be, or what should it enjoy total absence of any kind of constraints or
contain, are matters of discussion, and will continue restrictions. It becomes necessary then to determine
to be matters of debate since the bigger the area of which social constraints are justified and which are
non-interference the more the freedom. All we need to not, which are acceptable and which should be
recognize is that the negative liberty tradition argues removed. To understand which social constraints are
for an inviolable area of non-interference in which the necessary, discussions on freedom need to look at the
individual can express himself or herself. If the area is core relationship between the individual and the society
too small then human dignity gets compromised. (or group, community, or state) within which she/he is

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In contrast, the arguments of positive liberty are placed. That is, we need to examine the relationship
concerned with explaining the idea of ‘freedom to’. between individual and society. We would need to see
They are in response to the answer ‘who governs me?’ which features of the society allow the individual the
to which the ideal answer is ‘I govern myself ’. Positive freedom to choose, decide or act, and which do not.
liberty discussions have a long tradition that can be We would need to determine which features are

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traced to Rousseau, Hegel, Marx, Gandhi, Aurobindo, desirable and which are not, which should be removed
and also to those who draw their inspiration from these and which should not. Further we need to see if the
thinkers. It is concerned with looking at the conditions principles which we use to differentiate necessary from
and nature of the relationship between the individual unnecessary constraints also apply to the relationships
and society and of improving these conditions such between individuals and groups and nations.

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that there are fewer constraints to the development of Thus far we have defined freedom as the absence
the individual personality. The individual is like a of constraint. To be free means to reduce or minimize
flower that blossoms when the soil is fertile, and the social constraints that limit our ability to make choices
sun is gentle, and the water is adequate, and the care freely. However, this is only one aspect of freedom. To
is regular. put it in another way, freedom also has a positive
The individual to develop his or her capability must dimension. To be free a society must widen the area in
get the benefit of enabling positive conditions in which individuals, groups, communities or nations, will
material, political and social domains. That is, the be able to charter their own destiny and be what they
person must not be constrained by poverty or wish to be. Freedom, in this sense, allows the full
unemployment; they must have adequate material development of the individual’s creativity, sensibilities
resources to pursue their wants and needs. They must and capabilities–be it in sports, science, art, music or
also have the opportunity to participate in the decision- exploration. A free society is one that enables one to
making process so that the laws made reflect their pursue one’s interests with a minimum of constraints.
choices, or at least take those preferences into account. Freedom is considered valuable because it allows us to
Above all, to develop their mind and intellect, make choices and to exercise our judgement. It permits
individuals must have access to education and other the exercise of the individual’s powers of reason and
associated opportunities necessary to lead a reasonably judgement.
good life. Restrictions on the freedom of individuals may
Positive liberty recognizes that one can be free only come from domination and external controls. Such
in society (not outside it) and hence tries to make that restrictions may be imposed by force or they may be
society such that it enables the development of the imposed by a government through laws which embody
individual whereas negative liberty is only concerned the power of the rulers over the people and which may

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FREEDOM AND LIBERTY / 83

have the backing of force. This was the form of regarding whether a particular film should be
constraint represented by colonial rulers over their screened, all these, and many other issues, can
subjects, or by the system of apartheid in South Africa. lead to conflict and violence, perhaps even loss of
Some form of government may be inevitable, but if the life. Therefore, every society needs some
government is a democratic one, the members of a state mechanisms to control violence and settle disputes.
could retain some control over their rulers. That is why So long as we are able to respect each other’s views
democratic government is considered to be an and do not attempt to impose our views on others
important means of protecting the freedom of people. we may be able to live freely and with minimum
But constraints on freedom can also result from constraints. Ideally, in a free society we should be
social inequality of the kind implicit in the caste system, able to hold our views, develop our own rules of
or which result from extreme economic inequality in a living, and pursue our choices.
society. The quotation from Subhash Chandra Bose on But the creation of such a society too requires some
freedom draws attention to the need for the country to constraints. At the very least, it requires that we
work to remove such constraints. be willing to respect differences of views, opinions
We cannot live in a world where there are no and beliefs. However, sometimes, we think that a
constraints. We need some constraints or else strong commitment to our beliefs requires that we
society would descend into chaos. Differences may must oppose all those who differ from or reject
exist between people regarding their ideas and our views. We see their views or ways of living as
opinions, they may have conflicting ambitions, unacceptable or even undesirable. Under such
they may compete to control scarce resources. circumstances we need some legal and political

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There are numerous reasons why disagreements restraints to ensure that differences may be
may develop in a society which may express discussed and debated without one group
themselves through open conflict. We see people coercively imposing its views on the other. Worse
around us ready to fight for all kinds of reasons still, we may we confronted with attempts to bully
ranging from the serious to the trivial. Rage while or harass us so that we conform to their wishes. If

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driving on the roads, fighting over parking spaces, so, we may want stronger support from law to
quarrels over housing or land, disagreements ensure that my freedom is protected.

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84

Alienation
17
INTRODUCTION political economy, although he did not himself invent
the concept. It refers roughly to that part of the new
Estrangement or separation of individuals from value created by production which is claimed by
one another or from a process or situation may be called enterprises as ‘generic gross profit’. Marx argues its
alienation. Marx developed his theory of alienation to ultimate source is unpaid surplus labour performed by
reveal the human activity that lies behind the seemingly the worker for the capitalist, and that the surplus-value

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impersonal forces dominating society. He showed how,
is the primary basis for capital accumulation.
although aspects of the society we live in appear natural
The German equivalent word ‘Mehrwert’ means
and independent of us, they are the results of past
simply value-added (an output measure of the net
human actions. For Hungarian Marxist Georg Lukács
increase in product wealth), but in Marx’s value theory,
Marx’s theory ‘dissolves the rigid, unhistorical, natural
the extra or surplus–value has a specific meaning,
appearance of social institutions; it reveals their
which is not the new value added to the output of

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historical origins and shows therefore that they are
subject to history in every respect including historical products, but rather the amount of the increase in the
decline’. Marx showed not only that human action in value of capital upon investment in production, i.e.
the past created the modern world, but also that human the yield or increment in value, regardless of whether
action could shape a future world free from the this takes the form of profit, interest or rent. Marx calls

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contradictions of capitalism. Marx developed a the process of this increase “valorization”. He regarded
materialist theory of how human beings were shaped his reduction of profit, interest, and rent income to the
by the society they lived in, but also how they could one category surplus-value and sourcing surplus value
act to change that society, how people are both ‘world to surplus labour as one of his greatest theoretical
determined’ and ‘world producing’. For Marx, achievements. In his manuscript Theories of Surplus
alienation was not rooted in the mind or in religion, as Value he discusses critically how philosophers and
it was for his predessesors Hegel and Feuerbach. economists had previously theorized about value-
Instead Marx understood alienation as something creation in market-oriented societies.
rooted in the material world. Alienation meant loss of For Marx, the gigantic increase in wealth and
control, specifically the loss of control over labour. To population from the 19th century onwards was mainly
understand why labour played such a central role in due to the competitive striving to obtain maximum
Marx’s theory of alienation, we have to look first at surplus value from the employment of labour, resulting
Marx’s ideas about human nature. in an equally gigantic increase of productivity and
capital resources. To the extent that increasingly the
CHAPTER AT A GLANCE economic surplus is convertible into money and
DE-HUMANIZATION OF LABOUR expressed in money, the amassment of wealth is
In a capitalist system, the labour is dehumanized possible on a larger and larger scale. Total surplus value
which can be explained on the basis of surplus value in an economy (Marx refers to the mass or volume of
and concept of alienation in the analysis of Karl Marx surplus value) is basically equal to the sum of net
as given below: distributed and undistributed profit, net interest, net
(a) Theory of Surplus Value: Surplus value is a rents, net tax on production and various net receipts
concept used famously by Karl Marx in his critique of associated with royalties, licensing, leasing, certain

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ALIENATION / 85

honorariums etc. Of course, the way generic profit over time the social relations of production, class
income is grossed and netted in social accounting may relations, evolve through this struggle of the classes
differ somewhat from the way an individual business and pass through definite stages (primitive
does that. communism, slavery, feudalism, capitalism). The legal,
Marx’s own discussion focuses mainly on profit, political, ideological and other aspects (e.g. art) of
interest and rent, largely ignoring taxation and royalty- society are derived from these production relations as
type fees which were proportionally very small is the consciousness of the individuals of which the
components of the national income when he lived. society is composed.
Relative Surplus Marx says that in developed capitalist society there
According to Marx, absolute surplus value is is only a capitalist and a proletarian class. The former,
obtained by increasing the amount of time worked who are also called the bourgeoisie, are described in
per worker in an accounting period. Relative surplus the Communist Manifesto as ‘owners of the means of
value is obtained mainly by reducing wages–this can social production and employers of wage labour.’ In
only go to a certain point, because if wages fall bellow the same place, the proletariat are said to be “the class
the ability of workers to purchase their means of of modern wage-labourers who, having no means of
subsistence, they will be unable to reproduce production of their own, are reduced to selling their
themselves and the capitalists will not be able to find labour-power in order to live.”
sufficient labour power. ALIENATION AS A PROCESS
Reducing the cost of wage-goods by various means, Marx identifies four types of alienation in labour
so that wage increases can be curbed increasing the under capitalism. These include the alienation of the

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productivity and intensity of labour generally, through worker from his or her ‘species essence’ as a human
mechanization and rationalization, yielding a bigger being, not a cog in a machine; alienation among
output per hour worked. workers, since capitalism reduces labour to a
The attempt to extract more and more surplus- commercial commodity to be traded on the market,
value from labour on the one side, and on the other rather than a social relationship; alienation of the
side the resistance to this exploitation, are according

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worker from the product, since its design and
to Marx at the core of the conflict between social
production are appropriated by the capitalist class and
classes, which is sometimes muted or hidden, but at
escape the worker’s control; and alienation from the
other times erupts in open class warfare and class
act of production itself, so that work boils down to an
struggle.
endless sequence of discrete, repetitive, trivial and
Concept of Alienation

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meaningless motions, offering little, if any, intrinsic
Marx’s theory of alienation (Entfremdung in
satisfaction.
German), as expressed in the writings of the young
Marx also put emphasis on the role of religion in
Karl Marx (in particular The Manuscripts of 1844),
refers to the separation of things that naturally belong the alienation process, independently from his famous
together, or to put antagonism between things that quotation on the opiate of the masses.
are properly in harmony. In the concept’s most Wages, Price and Profit
important use, it refers to the social alienation of In Wage Labour and Capital and Value, Price
people from aspects of their ‘human nature’ and Profit, Karl Marx argued that by transferring
(Gattungswesen, usually translated as ‘species- money (capital) or charging rent on land the
essence’ or ‘species-being’). He believed that capitalists were not adding value, but appropriating
alienation is a systematic result of capitalism. it and using if for their own ends.
Marx’s theory relies on Feuerbach’s The Essence Marx pointed out that labour was a commodity
of Christianity (1841), which argues that the idea of and like all commodities it was bought and sold.
God has alienated the characteristics of the human The crucial difference is that when a capitalist pays
being. Stirner would take the analysis further in The a worker he does not pay the worker for the value he
Ego and Its Own (1844), declaring that even ‘humanity’ puts into the production of another commodity,
is an alienating ideal for the individual, to which Marx instead the capitalist pays for labour power.
and Engels responded in The German Ideology (1845).
(b) Emergence of Classes: Humankind’s history The capitalist tries to pay as little for this labour
is fundamentally that of the struggle between social power as he reasonably thinks he can get way with–
classes. The productive capacity of society is the basically enough to provide for the week-by-week
foundation of society, and as this capacity increases upkeep of the workers and their families.

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86 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

The capitalist exploits the worker by not paying Capitalist Mode of Production
for the full value of his or her work and trying to push In Marxian economic discourse the capitalist
the workers to work longer and harder to increase the mode of production refers to the socio-economic
extraction of surplus value (profits) from the worker.
base of capitalist society which began to grow
In general, the total wealth and total profits of the
rapidly in Western Europe from the end of the
capitalist class grow at a greater rate than workers’
living standards. 18th century, and later extended to most of the
(a) Features of Alienation: Alienation denotes the world. It is characterised by the predominantly
estrangement of people from their humanity ‘species- private ownership of the means of production;
essence’, which is a systematic result of capitalism. distribution and exchange in a mainly market
Under capitalism, the fruits of production belong to economy (commodity production), and capital
the employers, who expropriate the surplus created by accumulation (production for profit). The owners
others, and so generate alienated labourers. Alienation of capital (capitalists) are the dominant class
objectively describes the worker’s situation in (bourgeoisie). A defining feature of capitalism is
capitalism – his or her self-awareness of this condition the dependency on wage-labour for a large
is unnecessary. segment of the population; specifically, the
DIVISION OF LABOUR working class (proletariat) do not own capital and
Karl Marx, a past sociologist who looked at the must live by selling their labour power in
division of labour in relation to society in a general
exchange for a wage.
sense, focused on how divisions of labour have

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negatively impacted society. He argued that the division The capitalist mode of production may exist within
of labour was an ‘original cause of alienation’ Marx societies with differing state systems (e.g. liberal
believes that those of a low ranking or position in the democracy, fascism), and different social structures.
workplace are likely to feel alienated, as they are Although capitalism has existed in the form of simple
excluded from performing particular tasks that hold commodity production in previous stages of history it
high status and provide a feeling of self-belief. Marx was minor and secondary to the dominant forms of

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also believed that the division of labour was a primary
social organization and production.
cause of inequality between social classes, as it divides
society, leading to social rankings and senses of (a) Objectification: The object, which labour
superiority and inferiority. Marx stated that the division produces, its product, confronts the labourer as a
of labour ‘impoverishes the worker and reduces him strange thing, as a power independent of the producer.

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to a machine’ (Duncan, 1973: 78-79.). Marx believed The product of labour is labour, which fixes itself in
that the division of labour led to social class inequalities the object, it becomes a thing, it is the objectification
as workers were divided between ‘blue-collar jobs’– of labour. The ‘making real’ or realization, of labour
typically working class occupations such as manual is its objectification. The realization of labour appears
labour–and more middle class jobs such as supervising. as the ‘making unreal’ or loss of reality of, the
He argued that the abolition of private property, and labourer, objectification as the loss of and slavery to
establishment of a communist society with no divisions the object, appropriation as estrangement, as
of labour, would reduce class inequalities. However, alienation.
in his later works Marx retracted this belief and argued The realization of labour manifests itself so much
that instead industrial societies require the division of as a loss of reality, that the worker becomes unreal to
labour and therefore it is separate to class, as divisions
the point that he starves to death. The objectification
would still exist even in a socialist society
(Abercrombie, 2000: 102). Marx also associates the of labour manifests itself so much as a loss of objects,
division of labour with the dehumanization of labour that the labourer is robbed of the most necessary objects,
in the opposing capitalist society. He believes that the not only to maintain his own life, but even objects to
division of labour is dehumanizing because it removes labour with. Indeed, labour itself becomes an object,
all creative, imaginative and interesting features and which only with the greatest effort and with random
aspects of work, leaving only repetitive tasks that offer interruptions can be acquired. Appropriation of objects
no stimulation for workers and are boring to perform manifests itself so much as estrangement, that, the more
(Abercrombie, 2000: 102). Again, workers are made objects the labourer produces, the fewer he can own
to repeatedly perform uniform tasks that contributed and so he plunges deeper under the mastery of his
to a large product but had no function on their own. product–capital.

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ALIENATION / 87

Marx’s Work Ethic organized, and how it affects us physically and

According to Marx, labour is the selfexpression mentally. This lack of control over the work process
of man, an expression of his individual physical and transforms our capacity to work creatively into its
mental powers. In this process of genuine activity opposite, so the worker experiences ‘activity as
man develops himself, becomes himself; work is not passivity, power as impotence, procreation as
only a means to an end–the product–but an end in emasculation, the worker’s own physical and mental
itself, the meaningful expression of human energy; energy, his personal life – for what is life but activity?
hence work is enjoyable. – as an activity directed against himself, which is
independent of him and does not belong to him’. The
Marx’s central criticism of capitalism is not the process of work is not only beyond the control of the
injustice in the distribution of wealth; it is the workers, it is in the control of forces hostile to them
perversion of labour into forced, alienated, meaningless because capitalists and their managers are driven to
labour, hence the transformation of man into a ‘crippled make us work harder, faster and for longer stints. In
monstrosity.’ Marx’s concept of labour as an expression addition, as Harry Braverman points out, ‘in a society
of man’s individuality is succinctly expressed in his based upon the purchase and sale of labour-power,
vision of the complete abolition of the lifelong dividing the craft cheapens its individual parts’, so
submersion of a man in one occupation. Since the aim the bosses also have an interest in breaking-down the
of human development is that of the development of
labour process into smaller and smaller parts. The
the total, universal man, man must be emancipated
resulting rigidly repetitive process buries the
from the crippling influence of specialization. In all

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individual talents or skills of the worker, as Marx
previous societies, Marx writes, man has been “a
hunter, a fisherman, a shepherd, or a critical critic, described:
and must remain so if he does not want to lose his Factory work exhausts the nervous system to the
means of livelihood; while in communist society, where uttermost, it does away with the many-sided play of
nobody has one exclusive sphere of activity, but each the muscles, and confiscates every atom of freedom,
can become accomplished in any branch he wishes, both in bodily and intellectual activity... The special

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society regulates the general production and thus makes skill of each individual insignificant factory operative
it possible for me to do one thing today and another vanishes as an infinitesimal quantity before the science,
tomorrow, to hunt in the morning, fish in the afternoon, the gigantic physical forces, and mass of labour that
rear cattle in the evening, criticize after dinner, just as are embodied in the factory mechanism and, together,
I have a mind, without ever becoming hunter, with that mechanism, constitute the power of the

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fisherman, shepherd or critic.”
SELF-ASSESSMENT QUESTIONS
master.
Modern methods of production have increased the
fragmentation of the labour process since Marx’s day.
Q. 1. What mode of production is used in the The organization of modern production is still based
Indian state? Discuss. on the methods of the assembly line. Scientific research
Ans. In India, too, capital plays an important role. is used to break the production process down into its
It is true that in Punjab there are capitalist farmers on component parts. This has led, firstly, to the deskilling
the one hand and share-croppers in other parts of India of white collar jobs and to a situation where managers
making out a meager existence which appears to be a have a monopoly of control over the production process:
pre-capitalist condition, but this appearance may be ‘The unity of thought and action, conception and
misleading since even where no technological changes execution, hand and mind, which capitalism threatened
have taken place and where the old society still is alive from it beginnings, is now attacked by a systematic
culturally and ideologically capital may be found to dissolution employing all the resources of science and
dominate in economy. the various engineering disciplines based upon it.’
Q. 2 . Explain the phenomenon of alienation in Conditions of work, from the length of the working
the production process. Can this be reduced or day to the space we occupy, are predetermined: ‘The
eliminated? Comment. entire work operation, down to it smallest motion, is
Ans. The phenomenon of alienation in the conceptualised by the management and engineering
production process Marx identified is a lack of control staff, laid out, measured, fitted with training and
over the process of production. We have no say over performance standards–all entirely in advance.’
the conditions in which we work and how our work is Workers are treated as machines, with the aim of

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88 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

transforming the subjective element of labour into ‘In exchange for his creative power the worker receives
objective, measurable, controlled processes. In some a wage or a salary, namely a sum of money, and in
brilliant passages in History and Class Consciousness, exchange for this money he can purchase products of
Lukács describes how the increasingly rationalised and labour, but he cannot purchase creative power. In
mechanised process of work affects our consciousness. exchange for his creative power, the worker gets
As the following extract shows, his analysis was things’. This creativity is lost to the worker forever,
prophetic and gives a strikingly accurate picture of which is why under capitalism work does not stimulate
today’s white collar work: or invigorate us and ‘open the door to unconquered
In consequence of the rationalization of the work- territory’, but rather burns up our energies and leaves
process the human qualities and idiosyncrasies of the us feeling exhausted.
worker appear increasingly as mere sources of error This domination of dead labour over living labour
when contrasted with these abstract special laws lies behind Marx’s assertion in the Manuscripts that
functioning according to rational predictions. Neither ‘the alienation of the worker means not only that his
objectively nor in his relation to his work does man labour becomes an object, an external existence, but
appear as the authentic master of this process; on the that it exists outside him, independently of him and
contrary, he is a mechanical part incorporated into a alien to him, and begins to confront him as an
mechanical system. He finds it already pre-existing and autonomous power; that the life which he has bestowed
self-sufficient, it functions independently of him and on the object confronts him as hostile and alien’. For
he has to conform to its laws whether he likes it or not. Marx this state of affairs was unique to capitalism. In

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Q. 3. Discuss the process of ‘objectification’. previous societies those who work harder could usually
What effect does this have on the production be expected to have more to consume. Under
process? capitalism, those who work harder increase the power
Ans. The ‘objectification’ is the process in which of a hostile system over them. They themselves, and
the worker becomes a living appendage of a lifeless their inner worlds, become poorer. ‘The worker
mechanism of the capitalist division of labour. The becomes an ever cheaper commodity the more goods

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worker is alienated from the object he produces because he creates. The devaluation of the human world
it is owned and disposed of by another, the capitalist. increases in direct relation with the increase in value
In all societies people use their creative abilities to of the world of things.’
produce objects which they use, exchange or sell. Under ADDITIONAL IMPORTANT QUESTIONS
capitalism, however, this becomes an alienated activity

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because ‘the worker cannot use the things he produces Q. 1. What do you mean by alienation?
to keep alive or to engage in further productive Ans. Under capitalism, the relationship between
activity... The worker’s needs, no matter how desperate, labour and human expression changes; rather than
do not give him a licence to lay hands on what these labouring to fulfil their needs or express ideas, workers
same hands have produced, for all his products are the do so at the demands of capitalists. Workers are
property of another.’ Thus workers produce cash crops alienated from their labour because it no longer belongs
for the market when they are malnourished, build to the worker, but rather to the capitalist. This alienates
houses in which they will never live, make cars they workers in four ways:
can never buy, produce shoes they cannot afford to wear, Workers are alienated from their productive
and so on. activity, in that they no longer labour to satisfy
Marx argued that the alienation of the worker from their own needs.
what he produces is intensified because the products Workers are alienated from the product of their
of labour actually begin to dominate the labourer. In labour, which now belongs to the capitalist.
his brilliant Essays on Marx’s Theory of Value, Rubin Instead of finding expression in producing,
outlines a quantitative and a qualitative aspect to the workers turn to consuming to express
production of commodities. Firstly, the worker is paid themselves.
less than the value he creates. A proportion of what he The cooperative nature of work is destroyed
produces is appropriated by his boss; the worker is, through the organization of the labour process,
therefore, exploited. Qualitatively, he also puts creative alienating workers from their fellow workers.
labour into the object he produces, but he cannot be Additionally, workers often must compete
given creative labour to replace it. As Rubin explains, against one another for work and pay.

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ALIENATION / 89

Workers are alienated from their human divisions can be made, however, the most important
potential, as the transformative potential of subgroup in capitalism being petite bourgeoisie (small
labour is lost under capitalism. bourgeoisie), people who possess their own means of
Q. 2. Explain the Marxist conception of Class. production but utilize it primarily by working on it
Ans. The Marxist conception of class involves a themselves rather than hiring others to work on it. They
collective group of individuals that share similar include self-employed artisans, small shopkeepers and
economic and social relations relative to each other in many other professionals. Jon Elster has found mention
society. A class is a group with intrinsic tendencies in Marx of 15 classes from various historical periods.
and interests that are different from, and may be Q. 3. What do you mean by Proletarianization?
opposed to the interests of other groups in society. For Ans. The most important transformation of society
example, it is in the labourers’ best interest to maximize for Marxists has been the massive and rapid growth of
wages and benefits and in the capitalists best interest the proletariat in the world population during the last
to maximize profit at the expense of such, leading to a two hundred and fifty years. Starting with agricultural
contradiction within the capitalist system, even if the and domestic textile labourers in England and Flanders,
labourers and capitalists themselves are unaware of more and more occupations only provide a living
these class dichotomies. through wages or salaries. Private enterprise or self-
For Marx, class involves two factors: employment in a variety of occupations is no longer as
Objective factors: A class shares a common viable as it once was, and so many people who once
relationship to the means of production. That is, all controlled their own labour-time are converted into
proletarians. Today groups which in the past subsisted

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people in one class make their living in a common
way in terms of ownership of the things that produce on stipends or private wealth—like doctors, academics
social goods. A class may own things, own land, own or lawyers—are now increasingly working as wage
people, be owned, own nothing, but their labour. A labourers. Marxists call this process proletarianization,
class will extract tax, produce agriculture, enslave and and point to it as the major factor in the proletariat
work others, be enslaved and work, or work for a wage. being the largest class in current societies in the rich

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Subjective factors: The members will necessarily countries of the ‘first world.’
have some perception of their similarity and common The increasing dissolution of the peasant-lord
interest. Marx termed this class consciousness. Class relationship initially in the commercially active and
consciousness is not simply an awareness of one’s own industrializing countries, and then in the
class interest (for instance, the maximisation of unindustrialized countries as well, has virtually

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shareholder value; or, the maximization of the wage eliminated the class of peasants. Poor rural labourers
with the minimization of the working day), class still exist, but their current relationship with production
consciousness also embodies deeply shared views of is predominantly as landless wage labourers or rural
how society should be organized legally, culturally, proletarians. The destruction of the peasantry, and its
socially and politically. conversion into a rural proletariat, is largely a result
The first criteria divides a society into the owners of the general proletarianization of all work. This
and non-owners of means of production. In capitalism, process is today largely complete, although it was
these are capitalist (bourgeoisie) and proletariat. Finer arguably incomplete in the 1960s and 1970s.

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90

STATE AND SOCIETY

Sovereignty
18
INTRODUCTION any other power or state. While in abstract terms a
sovereign state can exist without being recognised by
We may find the core of the concept of sovereignty other sovereign states, unrecognised states will often
in the definition of Hinsley who defines it as “the idea find it hard to exercise full treaty-making powers and
that there is a final and absolute political authority in engage in diplomatic relations with other sovereign
the political community … and that no final and states.

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absolute authority exists elsewhere. Sovereignty is the Different cultures and governments have, under-
chief characteristic of the state. It is essentially a juristic standably, had different ideas about sovereignty. The
concept implying supreme and final power. In every Roman jurist Ulpian observed that
state there is a sovereign body endowed with supreme The imperium of the people is transferred to the
power to translate in legal terms the ‘Will’ of the state. Emperor.
This sovereign body may be a person or a body of The Emperor is not bound by the law.

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persons. Its ‘Will’ is binding over all individuals and The Emperor’s word is law.
associations within its confines. In case of conflict The Emperor is the law making and abiding force.
between persons inter se or associations inter, the Ulpian was expressing the idea that the Emperor
sovereign body is the referee and the final arbiter. It exercised a rather absolute form of sovereignty,
adjusts and harmonises the conflicting claims of although he did not use the term expressly. Ulpian’s

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different individuals and associations. Hence, statements were known in Medieval Europe, but
sovereignty is synonymous with final, absolute and
sovereignty was not an important concept in medieval
unlimited power. There is no legal limit to sovereignty.
times. Medieval monarchs were not sovereign, at least
The state exercises its sovereign power either
through force or consent or, very often, through a not strongly so, because they were constrained by, and
blending of both. The nature of application of the shared power with, their feudal aristocracy. Further
sovereign power primarily depends upon the structure more, both were strongly constrained by custom.
of the state and the nature and dimension of political Sovereignty existed during the medieval period
mobilisation. In an authoritarian state, the governing as the de jure rights of nobility and royalty, and in the
class has a tendency to glorify the role of force, its de facto right and capability of individuals to make
power is not derived from the consent of the governed. their own choices in life.
But in a democratic state which operates through choice Around c. 1380-1400, the issue of feminine
and discussion, the role of force is greatly reduced. sovereignty was addressed in Geoffrey Chaucer’s
Law, in a democratic state, is supposed to represent an Middle English Collection of Canterbury Tales,
active public opinion, and hence, the popular acquies- specifically in The Wife of Bath’s Tale.
cence in it is likely to be broad-based. A later English Arthurian Romance, The Wedding
of Sir Gawain and Dame Ragnell (c. 1450), uses much
CHAPTER AT A GLANCE
of the same elements of The Wife of Bath’s tale, yet
THE RISE OF SOVEREIGN STATES changes the setting to the court of King Arthur and
A sovereign state (commonly referred to as a state) the Knights of the Round Table. The story revolves
is a political association with effective internal and around the Knight Sir Gawain granting to Dame
external sovereignty over a geographic area and Ragnell, his new bride, what is purported to be wanted
population which is not dependent on, or subject to most by women sovereignty.

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SOVEREIGNTY / 91

Sovereignty reemerged as a concept in the late the body politic resided in the person of the King, whose
1500s, a time when civil wars had created a craving authority was absolute and indivisible.
for stronger central authority, when monarchs had The theory of sovereignty as initiated by Rousseau,
begun to gather power into their own hands at the was given its completed and coherent form by Hegel,
expense of the nobility, and the modern nation-state the German political thinker, who made it more
was emerging. Jean Bodin, partly in reaction to the definitely philosophical and metaphysical. “The State”,
chaos of the French wars of religion; and Thomas he said “is ‘perfected rationality’, the eternal and
Hobbes, partly in reaction to the English Civil War, necessary essence of spirit, the rational in itself and
both presented theories of sovereignty calling for strong for itself, an absolute fixed end in itself.” Hegel
central authority in the form of absolute monarchy. completely identifies the State with society and asserts
The Modern Age that only through the State does the individual receive
Sovereignty is the quality of having supreme, what makes life worth living, without it, he is nothing.
independent authority over a territory. It can be found The right of the state are unlimited, legally as a matter
in a power to rule and make law that rests on a of fact and morally as a matter of right and the
political fact for which no purely legal explanation individual lives in order to make his contribution to
can be provided. The concept has been discussed, the common life of the state. He must be prepared to
debated and questioned throughout history, from the enjoy and sacrifice what the good of the common life
time of the Romans through to the present day, of the state either grants him or demands from him.
although it has changed in its definition, concept, The state being not the agent of society, does not exist
and application throughout, especially during the for the performance of some specific purposes and with

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Age of Enlightenment. The current notion of state clearly defined functions. The state, for Hegel, is the
sovereignty was laid down in the Treaty of supreme community and organised moral life is only
Westphalia (1648), which, in relation to states, possible within the state. It is the source of morality
codified the basic principles of territorial integrity, and of all civilised existence.
border inviolability, and supremacy of the state The legal theory of sovereignty received its logical
(rather than the Church). A sovereign is a supreme analysis at the hands of John Austin, an English jurist.

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law-making authority. Austin’s conclusions formed the basis of the prevailing
systems of jurisprudence and they exercised immense
CONCEPTIONS OF SOVEREIGNTY influence on political thought in England and United
The new reality of sovereignty of the state was States of America. Till recently, sovereignty has been
given its philosophical justification by a Frenchman, viewed as absolute internal sovereignty and complete
Jean Bodin, and an Englishman, Thomas Hobbes, each

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external independence. The Pluralists, the recent school
writing during the full agony of the civil and religious of thought, reject outright the concept of absolute
wars of his country. Both Bodin and Hobbes defended authority of the state and plead for division of
the need for one single unified authority, which should sovereignty between the state and various other
be accepted by all and against which no group or associations present within its territorial limits. They
individual could raise the objection of any earlier rights regard the state as an association like various other
to independence or resistance. Rights were what the associations with a specific purpose to perform. The
state granted, compatible with the unity of the state functions of the state are well-defined and it has no
and keeping peace and order within it. There could be rightful claim to eminence. The pluralists, in brief,
only one power within the community, they urged, maintain that sovereignty is divisible and the state is
which could not be limited, or divided and shared. It not supreme and unlimited in its authority.
meant supreme power ruling over the entire body LEGAL AND POLITICAL SOVEREIGNTY
politic. He defined sovereignty as “a power supreme According to Bodin, sovereign makes laws, but is
over citizens and subjects, itself not bound by the laws.” not bound by those laws as is the case with the state.
It gave orders and received orders from none. The author A.V. Dicey argued that legal sovereignty
In this way, the concept of sovereignty took a resided in parliament and political sovereignty rested
definite form at the moment. In Thomas Hobbes it with the electorate, because the electorate chooses
reached its perfection when the sovereign power of the parliamentary representatives. Political sovereignty is
King was held to be natural and inalienable. Once the defined in terms of unlimited political power, while
people had agreed upon the fundamental law of the legal sovereignty is defined in terms of absolute legal
kingdom, and given the King and his descendants authority. Legal sovereignty is to do with supreme
power over them, they were deprived of any right to power over decision-making on certain political issues,
govern themselves, and the full natural right to rule whereas legal sovereignty is to do with supreme power

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with legal issues. Legal sovereignty is paramount contract (popular sovereignty). Much of modern
control of the constitution and frame of government political theory tries to decide precisely where
and its administration. It describes a self-sufficient sovereignty should be located. For example, early
source of political power, from which all specific thinkers like Machiavelli, Bodin and Hobbes want that
political powers are derived. Political sovereignty also it should be vested in the hands of a single monarch.
describes the international independence of a state, The biggest merit of vesting sovereignty in a single
combined with the right and power of regulating its individual was that sovereignty would then be
internal affairs without foreign dictation. indivisible.
Political Conception of Sovereignty However, Locke, Rousseau and many other later
thinkers departed from this absolutist notion and
It has been observed that all states seek a
believed that ultimate authority is vested in the people
monopoly of coercive power and prevent or at least
themselves. In modern democratic theory, this doctrine
limit their citizens’ access to it. However, not all use of popular sovereignty forms the basis of sovereignty.
the force for ruling. There are states, democratic ones, Locating Sovereignty: The representative and
which persuade citizens to follow rules. On the constitutional governments that were formed in the
contrary, Nazi Germany and Pol Pot’s action of West and later in other parts of the world assumed
establishing an exclusive political form of their different forms following the English and the French
ability to repress, manipulate and coerce the citizen Revolutions in 1688 and 1789, respectively. Locating
is an example of forced rule. sovereignty was, however, difficult. John Austin found
(a) Characteristics of Sovereignty: The main that it is sovereignty is neither vested in the Crown
characteristics of sovereignty are as follows: nor in the people, but in the ‘Monarch in Parliament’.

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Absoluteness: This characteristic means that the Today in democratic states, sovereignty resides in the
sovereign’s authority is absolute and unlimited state or political community as a whole. Now there are
compared to other associations in a society. It is absolute so many checks and balances in democratic states and
in the sense of not subject to any restraints, legal or the internal and external constraints. This condition
otherwise in any situation. makes the issue about the precise location of
sovereignty obsolete. More apparopriately, it is the

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Exclusive: Another aspect of sovereignty is that
external sovereignty which has become more
the sovereign power of the state is exclusive because important.
no association can compete with it. We have seen that EXTERNAL SOVEREIGNTY
there can be sovereign authority in a state which can As viewed from inside a state, sovereignty is
legally command obedience of inhabitants. Any rival supreme authority and as viewed is self-governing

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authority in any condition is not allowed by the authority. Alternatively, external sovereignty the state’s
sovereignty. place in the international order and therefore to its
Permanence: Permanence is another main independence in relation to other states of the world.
characteristic. Till its existence, the state is the supreme In the modern times, sovereignty, international
form of authority. relations, has become synonymous with state useful to
Universality: All individuals and groups of conceive of external sovereignty as constitutional. The
individuals within the jurisdiction of a sovereign state state possesses a constitution, written or unwritten,
are bound by its laws. This means that no group or otherwise, which makes it independent from other
individual can claim immunity from its jurisdiction. states. It is the sovereign state which has the exclusive
Inalienability: Since sovereignty forms the jurisdiction over its territory, its occupants, resources
essential personality of the state, hence, the sovereignty, events that take place in that particular state.
of the state cannot be separated, its separation from Westphalian International Society
the state would amount to the destruction of the state Two principles formed the basis of Westphalian
and its disappearance. international society. The first was rex est imperotor
Indivisible: The powers of a sovereign state can in regno suo meaning the king is emperor in his
not be divided. Different organs of the government or own, This norm specifies that sovereigns are not
other institutions are under one sovereign state. subjects to any higher political authority. Every king
INTERNAL SOVEREIGNTY is independent and equal to every other king. The
Internal sovereignty is the relationship between a society’s second principle was cujus region, ejus
sovereign power and its own subjects. A central concern religio which meant that the ruler determines the
is legitimacy by what right does a political body (or religion of his realm. It specifies that outsiders have
individual) exercise authority over its subjects? Possible no right to intervene in a sovereign jurisdiction on
answers include, by the divine right of kings or by social religious grounds for any reason.

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SOVEREIGNTY / 93

SELF-ASSESSMENT QUESTIONS Q. 2. Does sovereignty lie in the state or the

political community? Discuss.
Q. 1. Comment upon the ideas of Rousseau and Ans. It will be evident that the whole subject of
Locke with reference to sovereignty. sovereignty is a hopeless confusion of a number of
Ans. The concept of sovereignty in the modern different issues and viewpoints. This is essentially due
democratic state owes to great extent to the contribution to the confusion, in the past as well as in our own times,
of Rousseau and Locke. Towards the end of medieval between what is and what some people would like the
times, people began to realise that the King was a part State to be. Extreme idealistic sovereignty is German
of the governmental machine and, accordingly, an in origin and tends to justify state absolutism which
agent rather than master, and, as such, he possessed had been the traditional policy of Prussia and the gospel
subordinate and delegated authority, which could be of Hegel. This theory found its echoes later in the
revoked at the will of the master, the people. It was a totalitarianism of the Nazis and the Fascists. Then,
protest against absolute monarchy. It began with John some of the thinkers were exploring the abstract nature
Locke, an English political philosopher, who justified of sovereignty. There is a second confusion between
the Glorious Revolution, and found its fullest legal theory and political practice. The legal theory of
expression in the French Revolution. The French sovereignty vests ultimate legal power in some definite
Revolution made the people sovereign, ‘and not only person or body of persons. The authority of the
transferred power to it.’ The state, in its corporate sovereign is supreme and possesses the power to enforce
capacity, was endowed with all the attributes of obedience to its will. But where is that ultimate
sovereignty which the monarch previously possessed. authority to be found? There is not one single answer
Two factors reinforced the absolutism of the new

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to this question. The legal sovereign, in all democracies,
democratic State. One was nationalism which added must ultimately bow to the political sovereign. But,
the claims of the nation to those of the sovereign people. what is this political sovereignty and where is such a
The ‘Nation State’ claimed not only unlimited authority sovereign? The problem of the real location of political
at home over its members. The second factor was the sovereignty has not yet been solved. Finally, there is
enormous increase in the province of the state following confusion between the actual authority and its source.

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the Industrial Revolution. The activities of the state Soltau writes, “that all authority comes from the people
were not only limited to protection, administration and is not to say the people actually govern”. Rousseau
dispensation of justice, but it became “an organizer of said that the people actually govern, he introduced in
economic life, an educator, an agent in practically every their governance that mystic element of General Will,
aspect of the collective existence. which made it possible for his disciples to justify the

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The concept of popular sovereignty and the omnicompetent and omnipotent state, where
identification of the people with the state was actually sovereignty rested in the hands of a small number of
the result of the teachings of Jean Jacques Rousseau. men who make up the government. Because of these
Rousseau made popular sovereignty, the doctrine of confusions and the unreality of the elaborate
individual freedom, but the myth of the General Will, justification of the omnipotent state. Laski and others
which was ‘always right’, made of it a vindication of have suggested that the theory of sovereignty should
much more comprehensive state power than any be kept out of political discussions. But dropping of
previous political thinkers had offered since Plato. sovereignty itself does not simplify matters. It is
Rousseau injected into the nascent modern democracies impossible to drop it, because it exists and since it
a notion of sovereignty which was destructive of exists, we cannot avoid controversy. Indeed, one of the
democracy and pointed towards the totalitarian state. most effective means of getting to know the character
People and the state having become one, the personality of any system of government is to find out where
of the individual is merged in the social whole, for it is sovereignty can actually be located and how it is really
only the power of the state which makes the freedom exercised. The different forms in which sovereignty is
of its members. Rousseau, asserted that the will of the expressed are given below:
state is the will of the individual in so far as he has (i) Titular Sovereignty: Since the term
accepted this identification of himself with the sovereignty is used in different contexts titular
community. Thus, the mystical operations of the sovereignty is one of them. The origin of titular
‘General Will’ create conditions of unheard absolutism. sovereignty goes back to the 17th century, immediately
Rousseau’s state was the Leviathan of Hobbes, crowned after the emergence of the ‘nation state’. The nation-
with the ‘General Will’ instead of the crown of absolute states were headed by absolute monarchies and the
monarchs, who were described as tyrants. Kings personified the sovereignty of the state. There

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was soon a conflict between the kings and their people. aside the will of the people. If it does, there are
The people challenged the absolute and unlimited possibilities of revolution. In fact, the tendency with
authority of the Kings and demanded their own rights every modern state is to make legal sovereignty
and privileges. responsive to the popular demand as quickly as
(ii) Legal Sovereignty: The sovereignty of the possible. We cannot, under the circumstances, ignore
State may further be looked at from two point of views– the force of ‘popular sovereignty.’
legal and political. Legal sovereignty is the conception
of sovereignty in terms of law, and it refers to that ADDITIONAL IMPORTANT QUESTIONS
person or body of persons who, by law, have the power Q. 1. Define the Sovereignty.
to issue final commands. The authority of the sovereign Ans. Sovereignty is an essential element of the
being unlimited, he has the legal right to will whatever state. State cannot exit without sovereignty. State is
he may happen. All rights enjoyed by citizens are regarded superior to other associations only because
granted and enforced by the legal sovereign and there of sovereignty. In fact, modern theory of state got its
can be no rights against him. This implies that if the proper shape and perfection only when the concept of
legal sovereign can grant rights, he can take them back sovereignty was introduced in it. When we try to search
or even annul them. for the origin of this concept we find that the term
(iii) Political Sovereignty: The conception of legal sovereignty is the product of modern political thinking,
sovereignty is grounded in formal law. It does not take but the idea goes back to the time of Aristotle who
cognizance of the logic of political realities. As Dicey referred to it as the ‘supreme power’ of the state.
observed, “Behind the sovereign which the lawyer In middle ages Roman jurist and civilians were

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recognizes, there is another sovereign to whom the legal also familiar to this idea. But it was Jean Bodin who
sovereign must bow.” This is known as the political developed for the first time the theory of sovereignty
sovereign. systematically in his book “Six Books on the Republic”.
(iv) Nominal and Real Sovereignty: In ancient
The term sovereignty is derived from the Latin
times many states had monarchies and their rulers were
word ‘Superanus’ meaning supreme. It is basically a
monarchs. They wielded absolute power and their

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legal concept. It denotes supremacy of state. To
senates and parliaments were quite powerless. At the
time they exercised real sovereignty. Therefore, they understand the term sovereignty, it is desirable to look
are regarded as real sovereigns. For example, Kings into some definitions of the given by some political
were sovereigns and hence they were all powerful in thinkers.
England before 15th century, in U.S.S.R. before 18th Jean Bodin defined sovereignty as “absolute and

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and 19th centuries and in France before 1789. The state perpetual power of commanding in a state. It is supreme
of affairs changed in England after the Glorious power over citizens and subjects unrestrained by law.”
Revolution in 1688. Now the King is like a rubber Pollock says that “Sovereignty is that power which
stamp. is neither temporary nor delegated nor subject to
(v) Popular Sovereignty: The doctrine of popular particular rules, which it cannot alter, nor answerable
sovereignty is the product of the 16th and 17th to any other power on the earth.”
centuries. It emerged as an expression of resentment Burgers described sovereignty as “original
of the people against the despotic authority of the Kings absolute unlimited power over the undivided subjects
and their reliance on the theory of Divine Right. and over all associations of subjects. It is the underived
Popular sovereignty attributes ultimate sovereignty to and independent power to command and compel
the people. This theory, first hinted by John Locke, obedience.”
was later expounded by Rousseau and it became the D.F Russell defines sovereignty as “the strongest
slogan of the French Revolution. According to power and supreme authority within a state, which is
Rousseau the state came into existence by explicit or unlimited by law or anything else.”
tacit agreement. Explicitly, people said: “We want to According to Laski sovereign is “legally supreme
be a state, a community.” For Rousseau the state and over any individual or group. It possesses supreme
the people were one. The state exists for the people coercive power.”
and the mechanism of the state, that is, government, The above definitions may differ from each other,
should function in accordance with the wishes of the but one thing is very clear and there is no doubt about
people. While sovereignty in the legal sense may not the superior authority of sovereignty.
be placed in the people, yet they are potentially a check The basic idea is that the sovereignty is able to
on the legal sovereign. No legal sovereign can brush declare law, issue commands and take political

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SOVEREIGNTY / 95

decisions, which are binding on individuals and There is none to question its validity. Legal
associations within his jurisdiction. sovereign grants rights to its citizens and there can be
Q. 2. Discuss the aspects of sovereignty. no rights against him. It means rights of citizens depend
Ans. There are two aspects of sovereignty. on the will of legal sovereign and any time he can take
(a) Internal sovereignty. away. Legal sovereign has following characteristics:
(b) External sovereignty. 1. The legal sovereignty is always definite and
Internal sovereignty means that the sovereign is determinate.
the supreme authority over the individual and 2. Legal sovereignty may reside either in one
associations, within its territory. External sovereignty person or in a body of persons.
means that the sovereign is an independent entity, free 3. It is definitely organized, precise and known
from alien rule or control, in its conduct with other to law.
states and international organization. 4. Rights of citizens are gift of legal sovereign.
Modern state claims supremacy in internal matter 5. The will of state is expressed by the legal
and freedom from the control of external government sovereign only.
on the basis of he attribute of the sovereignty. 6. Legal sovereignty is absolute. It cannot be
Sovereignty has the following characteristics: question.
1. Sovereignty is absolute from the legal point of In Britain King in Parliament is the sovereign. In
view. U.S the legal sovereign consists of the constitutional
2. Sovereignty is permanent. It lasts as long as the authorities that have the power to amend constitution.
state. Change in government does not end sovereignty, But behind the legal sovereignty there is another

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but only transfers it to the next bearer. power, which is unknown to law. It is political
3. Sovereignty of the state is universal. It extends sovereignty. In practice absolute and unlimited
to all within its territory. authority of the legal sovereignty does not exist
4. Sovereignty is inalienable. Sovereignty of the anywhere. Even a dictator cannot act independently
state cannot be given away without destroying the state. and exclusively. The will of legal sovereignty is actually

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5. Sovereignty cannot be divided between or shared sharpened by many influences, which are unknown to
by a plurality. To Gettell – “If sovereignty is not absolute law. All these influences are the real power behind the
no state exists; if sovereignty is divided more than one legal sovereign; and this is called political sovereignty.
state exists, but with the emergence of the concept of As Professor GilChrist says–“The political sovereign
federalism, the idea of dual sovereignty was provided is the sum total of the influences in the state which lie

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by Tocqueville, Wheaton and Halleck. behind the law.” The political sovereignty is not known
6. Sovereignty is exclusive. State alone has the to law. In modern representative democracies the
sovereign authority and legitimate power to make political sovereignty is very often identified with either
citizens obey its dictates. It is again important to note the whole mass of he people or with electorate or with
that all these characteristics of sovereignty are peculiar public opinion. The legal sovereign cannot act against
to the legal notion of sovereignty. They are best the will of political sovereign.
represented by an absolute monarchy. Dicey says that “body is politically sovereign which
In the actual working of the state–especially in the lawyers recognize there is another sovereign to
the case of democratic, federal, pluralist and whom the legal sovereign bows– that body is political
constitutional government–it becomes extremely sovereignty; that which is ultimately obeyed by the
difficult to discover the seat or real character of citizens of the state.”
sovereignty. A lot of confusion arises when we attempt the exact
Q. 3. Differentiate between Legal and Political definition of political sovereignty. It is a vague and
Sovereignty. indeterminate and cannot be located with exactness. It
Ans. Distinction is some times drawn between is suggested by some writers that there is no justification
legal and political sovereignty. The sovereign is for making a distinction between legal and political
supposed to be absolute and omnipotent. It functions sovereignty, as that involves the division of sovereignty,
according to its own will. Law is simply the will of which is not possible.
sovereign.

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96

State; Power as Elaborated 19

by Marx, Weber, Parsons and Others
INTRODUCTION capitalist it becomes more and more complex and there
arises some central organising agency to control.
Karl Marx, Max Weber and some other thinkers Consequently, it leads to the formation of state.
have discussed the concept of State and Power by Marx finds that the state rules by force and
defining and giving details of components of these excercises power and authority for promoting the
terms. They look into the political and historical interests of the dominant class. Moreover, it suppresses

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necessity of the terms using different methodologies. and exploits the weaker classes who are collectively
The contribution of Marx and Weber is significant in called as proletariat in the context of capitalist society.
understanding the features of modern State in relation For the Marxists, the state is a product of class struggle
to power in society. Later, theoretical models developed and is an instrument of class rule. Hence, for Marx,
in response to these two thinkers, for example, pluralist, the state is essentially an organization of one class
neo-Marxist, elitist, etc.

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dominating over other classes. This state will wither
CHAPTER AT A GLANCE away after the proletariat revolution.
Dialectical Materialism
THE CONCEPT OF STATE
Marx studies society using the method of
State has been defined by different scholars in
dialectical materialism. He observes that all history

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different manners. In the words of MacIver, “the state
can be explained by the conflict between opposing
is an association, which acting through law as forces, thesis and anti-thesis. Every stage carries
promulgated by government endowed to this end with within itself the seeds of its own destruction. Every
coercive power, maintains within a community stage becomes the thesis and in the process of its
territorially demarcated universal external conditions development grows its opposite or anti-thesis, and
of social order.” In other words, a state has a definite from the conflict between the two a new synthesis
territory inhabited by a group of people settle perma- becomes the thesis until the classless society has
nently and who have government of their own, free been established. This inevitability of change,
from any kind of external control (Das and Choudhury, propounded by Marx, as a result of the struggle of
1999). According to Aristotle, “State may be defined opposites and determined by concrete realities
as a union of families and villages having, for its end, rather than ideas is called dialectical materialism.
a perfect and self-sufficing life which means happy This philosophy owes a lot to Hegel’s philosophy.
and honourable life.” In order to keep the society
together, the state uses judicial, military and planning Marxism
powers. Karl Marx’s writings gave rise to a theoretical
MARX ON STATE system known as Marxism. Hence, Marxism was the
Marx has discussed the concept of state in various product of the attempt by later Marxists to condense
ways. In his analysis the emergence of the state is Marx’s ideas and theories into a systematic and
closely related to the division of labour. According to comprehensive. A variety of Marxist traditions can
him, primitive societies are simple and less complex. be identified, including ‘classical’ Marxism (the
This means they have very low level of division of Marxism of Marx), ‘orthodox’ Marxism or
labour. With the growth of societies primitive to ‘dialectical materialism’, the mechanistic form of

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STATE; POWER AS ELABORATED BY MARX, WEBER, PARSONS AND OTHERS / 97

Marxism that served as the basis for Soviet construct. These concepts try to explain some unique
communism, and ‘Western’, ‘Modern’ or ‘Neo’ aspect of power (Kakabadse, 1984). Power is often
treated as the ability to bring about the outcomes as
Marxism. These traditions tend to view Marxism as
one desire or volition.
a humanist philosophy and are skeptical about its MARX ON POWER
scientific and determinist pretensions. Based on Marx explains power in terms of coercion. He
theory of Marxism, states like USSR and others have views power to be held by a particular group in society
been established which have failed, but Marxism still at the expense of rest of the society. He believed that
remains one of the foremost theoretical formulations the source of power in society lies in economic
of class, power, state and society even today. infrastructure and those who own the modes of
production.
WEBER ON STATE According to Marxists argument, particular ideas
In Politics as a Vocation, Max Weber observed come to prevail through various key agencies of
that the state is a human community or a special kind socialisation. Institution like the family, education
of institution that claims the monopoly of legitimate systems and the mass media play a crucial role in
use of physical force within a given territory (Weber promoting the class interests of the dominant or the
1948). Here, it is clear that he meant not only that the powerful group.
state had the ability to ensure the obedience of its
Dominance and Subordination
citizens, but also the acknowledged right to do so.
According to Marxists, the institutions like
Hence, a monopoly of legitimate violence is the
education, state and mass media justify the stereotypical
practical expression of the state sovereignty. For Weber,
images of superiority and inferiority coinciding with

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the state was the most powerful institution in modern
society. He discusses four features of modern state–it class position. The relationship of dominance and
has a legal and administrative order; it has an subordination in the infrastructure is justified and
administration which works in accordance with legalised by the super structure. This means that in
legislation; the state has binding authority on all its capitalist society the infrastructure produces particular
members and over the acts carried out in its territory kind of state, education system, family structure etc.
These institutions of super structure reinforce the power

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and; state can use force if that is legally prescribed and
permitted per say. and privilege of the ruling class in the capitalist society
Weber opposed Marx’s economic determinism and that reflect the domination of class structure.
considering concentration of the means of WEBER ON POWER
administration as most important factor in the nation- Weber has discussed power mainly in the context
state. Weber talks about three types of domination– of society and state. Distinguishing between power and

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charismatic, traditional and legal-rational, however, domination, Weber put forward two types of solution
in modern state legal-rational domination is more to the problem of order. According to him, power
predominant. Weber asserts that bureaucracy is the represents action likely to succeed even the opposition
organiza-tional apparatus of the modern state and the and resistance of those to whom it is applied. This is
modern capitalist state is completely dependent upon the situation typical of class conflict, but it has the
bureaucratic organisation for its continued existence limitation of unstable as long term source of order.
in future. (Turnner, 1996).
DURKHEIM ON STATE Along with Weber’s analysis of state and
In his work, Professional Ethics and Civic Morals bureaucracy, his concept of class, status and party is
(1957), Durkheim discusses the nature and features of the centre of his concept of power. He says that each
the state. His explanation of state is very much grouping is focused around or oriented towards power
associated to his explanation of division of labour and as an independent point of conflict. Each of these
types of solidarity. Durkheim believe that the function concepts represents an aspect of and a basis for power
of state was to mediate between different interests and in Weber’s analysis.
in particular to protect the individual against the power PARSONS ON POWER
of smaller groups. It is in this manner that state protects For Parsons, power is something that is possessed
group interests and individuals. by society as a whole. Hence, power is a generalized
THE CONCEPT OF POWER facility or resource in the society. He sees it as the
The concept of power has been discussed in social capacity to mobilise the resources of the society for the
science literature on a conceptual framework based attainment of goal for which a general public
around power as a commodity, power as characteristic commitment has been made. Hence, the amount of
of individual, power as interpersonal construct, power power in society is measured by the degree to which
as causal construct and power as philosophical collective goals are realised. This view is called a

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variable sum concept of power as different from Marx defined “communism” as a classless,
Weberian and Marxian constant sum concept of power. egalitarian and stateless society. To Marx, the notion
(Haralambos 1980, Turner 1996) of a Communist state would have seemed an oxymoron,
OTHER THEORETICAL MODELS as he defined communism as the phase reached when
ON STATE AND POWER class society and the state had already been abolished.
A number of sociological theories/ models of State Once the lower stage towards communism, commonly
and Power each offering different accounts of its origin, referred to as socialism, had been established, society
development and impact can be found. One of the old would develop new social relations over the course of
theories is liberal theory. The history of liberal theory several generations, reaching what Marx called the
of state can be traced to the writings of the social higher phase of communism when not only bourgeois
contract theorists such as Hobbes and Locke. They relations, but every class social relations had been
pointed out that the society had risen out of voluntary abandoned. Such a development has yet to occur in
agreement, or a social contract, made by individuals any historical self-claimed socialist state.
who recoganized that only the establishment of a Socialist states have contained two new distinct
sovereign power could safeguard them from the classes–those who are in government and therefore
insecurity, disorder or brutality of the ‘state of nature’. have power, and those who are not in government and
In this analysis the state is a neutral arbiter amongst do not have power. Sometimes, this is taken to be a
competing groups and individuals in society capable different form of capitalism, in which the government,
of protecting each citizen from the encroachment of as owner of the means of production, takes on the role
his or her fellow citizens. Thus, the state is a neutral formerly played by the bourgeois class; this
entity, acting in the interests of all and representing arrangement is referred to as ‘State capitalism’. These

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the ‘common good’ or ‘public interest’. statist regimes have generally followed a command
There is pluralist theory of state and power. Some economy model without making a transition to this
of the main pluralist theorists are Arnold Rose, Peter hypothetical final stage.
Bentley, Robert Dahl, Talcott Parsons, Neil Smelser. Q. 2. What are the salient features of Weber’s
Robert Dahl, termed rule by many as ‘polyarchy’. state? Compare and contradict the views of Marx
Pluralist perspective holds that competition between and Weber on state.

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two or more political parties is an essential feature of Ans. The two approaches can be contrasted on the
representative government. (Smith 1995) basis that the Marxist view is politico-economic, class-
According to the elite theory of state, all societies based perspective and the Weberian approach is
are divided into two main groups–the ruling and the sociological, violence-as-legitimizer point-of-view. It
ruled. Vilfredo Pareto, Gaetano Mosca and Michels is a generally accepted proposition that, despite the

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argued that the power always lies in the hands of small voluminous works he left behind, Karl Marx himself
elite and the egalitarian ideas such as socialism never developed a specific theory of the state. His
(Marxist theory) and democracy (pluralist theory) are writings, however, gave numerous indications of his
a myth. thoughts on the matter and, as expected, those
ruminations revolve around the division between
SELF-ASSESSMENT QUESTIONS capital and labour–and class distinctions inherent in
Q. 1. Elucidate the different models of state that division. The fact that Marx did not specify his
depicted by Karl Marx. theory of the state has consequently led to several
Ans. Communist governments have historically different ‘Marxist’ interpretations of the state, both as
been characterized by state ownership of productive a matter of theoretical consideration–and as a result of
resources in a planned economy and sweeping the changing face of the state, capital and labour
campaigns of economic restructuring such as themselves.
nationalization of industry and land reform (often Today, most Western states more or less fit the
focusing on collective farming or state farms). While influential definition of the state in Max Weber’s
they promote collective ownership of the means of Politics as a Vocation. According to Weber, the modern
production, Communist governments have been state monopolizes the means of legitimate physical
characterized by a strong state apparatus in which violence over a well-defined territory. Moreover, the
decisions are made by the ruling Communist Party. legitimacy of this monopoly itself is of a very special
Dissident communists have characterized the Soviet kind, ‘rational-legal’ legitimacy, based on impersonal
model as state socialism or state capitalism. Further, rules that constrain the power of state elites.
critics such as Leon Trotsky and Rosa Luxemburg have However, in some other parts of the world states
often claimed that a Stalinist or Maoist system of do not fit Weber’s definition as well. They may not
government creates a new ruling class, usually called have a complete monopoly over the means of legitimate
the nomenklatura. physical violence over a definite territory, or their

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STATE; POWER AS ELABORATED BY MARX, WEBER, PARSONS AND OTHERS / 99

legitimacy may not be adequately described as rational- With the development and accumulation of
legal. But they are still recognizably distinct from feudal bourgeois property, i.e. with the development of
and absolutist states in the extent of their bureaucrati- commerce and industry, individuals grew richer and
zation and their reliance on nationalism as a principle richer while the state fell ever more deeply into debt.
of legitimation. Since Weber, an extensive literature This phenomenon was evident already in the first Italian
on the processes by which the ‘modern state’ emerged commercial republics; later, since the last century, it
from the feudal state has been generated. Marxist showed itself to a marked degree in Holland, where the
scholars, for example, assert that the formation of stock exchange speculator Pinto drew attention to it as
modern states can be explained primarily in terms of early as 1750, and now it is again occurring in England.
the interests and struggles of social classes. It is therefore obvious that as soon as the bourgeoisie
Scholars working in the broad Weberian tradition, has accumulated money, the state has to beg from the
by contrast, have often emphasized the institution- bourgeoisie and in the end it is actually bought up by
building effects of war. For example, Charles Tilly has the latter. This takes place in a period in which the
argued that the revenue gathering imperatives forced bourgeoisie is still confronted by another class, and
on nascent states by geopolitical competition and consequently the state can retain some appearance of
constant warfare were mostly responsible for the independence in relation to both of them. Even after the
development of the centralized, territorial bureaucracies state has been bought up, it still needs money and,
that characterize modern states in Europe. States that therefore, continues to be dependent on the bourgeoisie;
were able to develop centralized tax gathering bureau- nevertheless, when the interests of the bourgeoisie
cracies and to field mass armies survived into the demand it, the state can have at its disposal more funds
modern era; states that were not able to do so did not. than states which are less developed and, therefore, less

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Q. 3. Compare the perspective of Marx and burdened with debts. However, even the least developed
Durkheim on the state. states of Europe, those of the Holy Alliance, are
Ans. Marx’s ideas about the state can be divided inexorably approaching this fate, for they will be bought
up by the bourgeoisie; then Stirner will be able to console
into three subject areas–pre-capitalist states, states in
them with the identity of private and state property,
the capitalist (i.e. present) era, and the state (or absence
especially his own sovereign, who is trying in vain to
of one) in post-capitalist society. Overlaying this is the
postpone the hour when political power will be sold to

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fact that his own ideas about the state changed as he the ‘burghers’ who have become ‘angry’.
grew older, differing in his early pre-communist phase, Q. 4. Outline the Parsonian view of State and
the ‘Young Marx’ phase which predates the Power.
unsuccessful 1848 uprisings in Europe, and in his Ans. According to Parsons, one achieves the
mature, more nuanced work. In Marx’s 1843 Critique compliance of another to a desired course of action

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of Hegel’s Philosophy of Right, his basic conception is through power. This compliance can be secured by
that the state and civil society are separate; however, applying positive (rewards) or negative (coercion)
he already saw some limitations to that model: “The sanction. However, in most cases, there is no overt
Political State everywhere needs the guarantee of sanction (either positive or negative) employed when
spheres lying outside it.” power is excercised. In this way, possession or use of
He as yet was saying nothing about the abolition power should not be necessarily identified with the use
of private property, does not express a developed theory of force as many scholars do. This means that state
of class, and “the solution [he offers] to the problem of does not always uses overt action to get its rules obeyed.
the state/civil society separation is a purely political Q. 5. Examine how pluralists and elitists differ
solution, namely universal suffrage.” in their deliberations on state and power.
By the time of The German Ideology (1846) he is Ans. Pluralism, a contending approach, gained
seeing the state as a creature of the bourgeois economic greater adherence in the United States. Within the
interest. Two years later that idea was put explosively pluralist tradition, Robert Dahl developed the theory
in The Communist Manifesto. The executive of the of the state as a neutral arena for contending interests
modern state is nothing, but a committe for managing or its agencies as simply another set of interest groups.
the common affairs of the whole bourgeoisie. With power competitively arranged in society, state
This represents the high point of conformance of policy is a product of recurrent bargaining. Although
the state theory to a strict economic interpretation of pluralism recognizes the existence of inequality, it
history: The forces of production determine peoples’ asserts that all groups have an opportunity to pressure
production relations; their production relations the state. The pluralist approach suggests that the
determine all other relations, including the political. modern democratic state’s actions are the result of
The bourgeoisie control the economy, therefore they pressures applied by a variety of organized interests.
control the state. The state, in this theory, is an Dahl called this kind of state a polyarchy.
instrument of class rule.

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100

Citizenship
20
INTRODUCTION Church and religion, the universal suffrage including
the lower strata and equitable distribution of the
Citizenship is the state of being a citizen of a national income. During the 18th and 19th centuries,
particular social, political or national community. the place of Church was defined and the idea of
Generally citizenship is seen as the relation between citizenship also took a clear shape and in the 20th
an individual and a particular nation. In ancient Greece, century the western countries gave workers the

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the main political entity was the city-state, and citizens citizenship rights. In Asia and Africa, however, the
were member of particular city-states. In the past five worker have been part of the democratic process from
hundred years, with the rise of the nation-state, the very beginning of democratic process.
citizenship is most closely identified with being a DEFINITION
member of a particular nation. To some extent, certain The concept of citizenship is composed of three
entities cross-national boundaries such as trade main elements or dimensions. The first is citizenship

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organizations, non-governmental organizations as well as a legal status, defined by civil, political and social
as multinational corporations and sometimes the term rights. Here, the citizen is the legal person free to act
‘citizen of the world’ applies in the sense of people according to the law and having the right to claim the
having less ties to a particular nation and more of a law’s protection. It need not mean that the citizen takes
sense of belonging to the world in general. A citizen is

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part in the law formulation, nor does it require that
a member of a political community who enjoys the rights be uniform between citizens. The second
rights and assumes the duties of membership. considers citizens specifically as political agents,
CHAPTER AT A GLANCE actively participating in a society’s political institutions.
The third refers to citizenship as membership in a
Idea of Citizenship political community that furnishes a distinct source of
The idea of citizenship in a democracy includes identity. Discussions about citizenship usually have,
both the claims of government on the citizen as well as their point of reference, one of two models–the
as the rights of citizen. More involvement by people
republican or the liberal. The republican model’s
in decisions affecting them would improve both
sources can be found in the writings of authors like
government and people’s quality of life. Some believe
Aristotle, Tacitus, Cicero, Machiavelli, Harrington and
that people’s participation is a basic right (regardless
Rousseau, and in distinct historical experiences from
of whether one is a ‘legal citizen’), and that
Athenian democracy and Republican Rome to the
constructive engagement with government, if
Italian city-states and workers’ councils.
possible, is the best way to address social and
T.H. Marshall wrote a seminal essay on
economic problems and conflict. Participation of
the governed in their government is, in theory, the citizenship, entitled ‘Citizenship and Social Class’.
cornerstone of democracy—a revered idea that is This was published in 1950, based on a lecture. He
vigorously applauded by virtually everyone. analysed the development of citizenship as a
development of civil, then political, then social rights.
HISTORICAL PERSPECTIVE These were broadly assigned to the 18th, 19th and 20th
There are three main issues which have dominated centuries respectively. His distinctive contribution was
the concept of citizenship in modern era—the place of to introduce the concept of social rights. He claimed

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CITIZENSHIP / 101

that a citizen is only a full citizen if he possess all into society, citizenship is frequently held out as both
three kinds of rights, and that this possession of full a goal of and a tool for promoting integration. But by
rights is linked to social class. studying the issue from the perspective of migration,
Marshall’s analysis of citizenship has been it is clear that citizenship carries important legal and
criticized on the basis that it only applies to males in political status that goes beyond such efforts at social
England (England rather than Britain). Marxist critics integration. Locals of the adoptive country resent this
point out that Marshall’s analysis is superficial as it situation.
does not discuss the right of the citizen to control In India, dual citizenship gives the emigrant an
economic production, which they argue is necessary unfair advantage of having the cake and eating it too.
for sustained shared prosperity. From a feminist It is argued that the migration of well-educated and
perspective, the work of Marshall is highly constricted well-off Indian should be treated like any other
in being focused on men and ignoring the social rights migration as they were not forced to migrate.
of women and impediments to their realization. There STATE AND THE CITIZEN
is a debate among scholars about whether Marshall Like many other organization in society, state is
intended his historical analysis to be interpreted as a also an organization which is established to achieve
general theory of citizenship or whether the essay was certain objectives. State has a pervasive impact due to
just a commentary on developments within England. universality. People of the state are known as citizens
GLOBAL CITIZENSHIP and the relation between the two is very important.
In the era of globalization, the concept of The role of state in life of the citizen, use of coercive
citizenship has undergone a fundamental change. force by the state to maintain law and order are some

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Global citizenship applies the concept of citizenship of issues which are important in the relation of the
state and citizen.
at global level, and is strongly connected with the
NATION-STATE AND THE CITIZENSHIP
concepts of globalization and cosmopolitanism. World
The emergence of ethno-religious identity has
citizenship is a related term which can be distinguished
questioned the basic premise of the nation-state. Hence,
from global citizenship. According to some accounts,
the strong faith reposed in the idea of nation-state and

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citizenship is motivated by local interests (love of citizenship as means of striking equality, protecting
family, communal fairness, self-interest), global liberty and promoting fraternity among the people of
interests (a sense of universal equality), and concern diverse socio-economic groups has been shattered.
for fellow human beings, human rights and human RIGHTS AND DUTIES OF THE CITIZENSHIP
dignity. The key tenets of global citizenship include According to Harold J. Laski, every state is known

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respect for any and all fellow global citizens, regardless by the rights that it maintains. In the concept of state
of race, religion or creed and give rise to a universal not only its sovereignty and its power to be obeyed is
sympathy beyond the barriers of nationality. Thus in include, but the rights of the citizens are also closely
this new type of citizenship, the effort is put to dilute linked. This means both the state and the citizen has
the narrow national identity. an obligation towards each other.
The Information Age CIVIL SOCIETY
In 1960s, Marshal Mcluhan conceived the idea Civil society was central to the work of some of
of a global village which is now a reality. Many the most important political thinkers from the 17th
sociologists like Manuel Castells say that in this century onwards. Among others, Hobbes, Locke and
information age, new social networks are emerging. Hegel distinguished between the state and civil society,
that is the organized society over which the state rules.
In this situation, a world without borders is taking
Such a distinction is not entirely valid, since the state
shape where nationalism is taking a backseat. Now,
is itself part of society. The distinction, and the conse-
the Upnishadic vision of vasudhaiv kutumbkam (the
quent importance of civil society as a concept,
whole world is one family) is becoming the new
originates with the state of nature theorists, especially
mantra. Hobbes and Locke. They held that political authority
DUAL CITIZENSHIP was at least hypothetically dispensable, that is, they
In the era of globalization, a lot of free movement argued as though it was possible not to have a state
is being encouraged and dual citizenship is one of such and they therefore needed a concept to describe the
instruments. In this instrument, the migrant need not remaining institutions.
assimilate into the host community. As Europe The term ‘Civil Society’ has a fairly long history,
struggles to integrate growing numbers of immigrants but it is certainly not as old as political science. The

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102 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

term first originated in Europe at the end of the 18th terms. As Steven B. Smith writes in his Hegel’s Critique
century and enjoyed a remarkable career. of Liberalism: ‘‘While civil society comprehends the
The concept of civil society (Burgerhche activity of the Burger, or bourgeois who as a private
Gesellschaft) was first used by George Wilhelm person engages in competitive struggles with others
Freidrich Hegel (1770-1831) in his Philosophy of Right in the market place, the state is the realm of the citizen,
published in 1821 in which he discusses civil society, who is related to others by certain shared ethical
law, the bureaucracy, the king, war etc., his objective understanding or mutual recognition’’.
being the restoration of harmony and overcoming of It is not out of the place to refer to two broad views
the contradiction immanent within a liberal state. He on the nature of the state. Karl Marx regards the state
defines civil society as organised bodies that are as an apparatus of coercion and class oppression. On
intermediate between the state and the family. He the other hand, the liberal philosophers treat the state
describes it as a stage in the dialectical development and civil service as synonymous. According to liberal
from the family to the state. He said civil society was philosophy, both provide a legal and institutional
separate from the state, and, had its own organs of framework for the pursuit of individual interests. Karl
governance. The state was equipped with military, Marx did not share the Hegelian conception of the state.
policing, legal, administrative organs. This is known to everyone. But he borrowed the
The civil society is different and comprises non- anatomy of the civil society from Hegel and reduced it
state institutions which are market-regulated, to economic terms.
voluntarily organised. Civil society is autonomous Ideal of the State
although one must be absolutely clear that it is subject According to Marx, two divisions or classes grow

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to state and its governmental authority. The state is a up simultaneously in society which are in sharp
political community pursuing national goals through contrast to the idealism of universal interests as
a central government. Civil society is an aspect of the represented by the modern state and the abstractness
modern state. Civil society is an arena in which the of the concept of a citizen. A citizen is moral because
individual legitimately gratifies his self-interest, he goes beyond his narrow interest, with the
materialism of real, sensuous man in civil society

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develops his individuality, learns the value of group
action, social solidarity and dependency of his welfare and the an ideal state serves the purpose of human
on others. All these educate him for citizenship and beings. This mean that the essence of the state would
prepare him for participation in the political arena of be found in the civil society’s features, in economic
the state. relations. Therefore, in order to resolve the conflict

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of civil society and to realize the full potential of
Civil society, then, is the framework within which
human beings, both civil society and its product, that
those without political authority live their life–
is political society must be abolished. This implies a
economic relationships, family and kinship structures,
social as well as a political revolution to liberate
religious institutions and so on. It is a purely analytic
human beings.
concept because civil society does not exist indepen-
dently of political authority, nor vice versa, and it is MULTICULTURALISM
generally believed, neither could long continue without AND THE CITIZENSHIP
the other; therefore, no very clear boundary can be In era of globalization, multicultural accommo-
drawn between. dation has become very important. A wide range of
According to Hegel dominant characteristics of state measures taken to facilitate identity groups’ norms
civil society are particularity and subjectivity, that is, and practices is called accommodation. The term
self-interest and personal choice. In civil society, men identity group includes a range of religious, ethnic or
interact with the minimum of ethical or legal cultural groups which have their distinct norms,
constraints. Civil society implies the existence of customs, traditions, values, etc.
various civil and economic rights such as the right of Multiculturalism is concerned with the power of
association, the right to a trial by jury, the right to the state and dominant social groups to erode identity
promote group interests. Civil society articulates groups. This view emphasizes the role of culture in
structure which provides duties also. constituting a person’s understanding of who they are,
The term ‘civil society’ did not emerge as a of their fundamental defining characteristics as a
separate one until in the 18th century. Traditionally human being. We form our identities and our
‘civil society’ and state were treated synonymously. conceptions of ourselves as free and equal agents
Hegel was the political philosopher who separated these through a dialogical process, using certain given

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CITIZENSHIP / 103

cultural scrips, opines Charles Taylor in his essay The Pluralism or tolerance is the idea that we maintain
Politics of Recognition. whatever social identities we came into this country
with without abandoning them and fully assimilating.
SELF-ASSESSMENT QUESTIONS For example, some people came here who were
Q. 1. Distinguish between state and citizens. In Protestants, some who were Catholics, other Buddhists,
what way is each the reflection of the other? Hindu, Muslim. Should we expect these people to
Ans. State is an organization like any other abandon their religions? And what would they abandon
organization in society. It is established to achieve it for? There is no any national religion in America.
certain objectives. State has a pervasive impact due to That is why people came here in the first place to obtain
universality. People of the state are known as citizens the liberty to practice their respective religions. This
and the relation between the two is very important. does not apply just to religion, but also to ethnicity. To
The role of state in life of the citizen, use of coercive this day many Italian and Polish Americans still retain
force by the state to maintain law and order are some a sense of their ethnic identity despite being more or
of issues which are important in the relation of the less fully assimilated into American culture. And more
state and citizen. Since the citizen strives to achieve recent immigrants, like South Asians, East Asians,
their desired end through state it is considered to reflect Latin Americans are doing the same. It is not anti-
the citizen’s consciousness. If the state does not works American for them to be doing that. In fact it is what
as a means to satisfy citizens’ needs, it will be opposed. America stands for. That you have the freedom to
Q. 2. Distinguish between multiculturalism and practice your religion. That is pluralism and tolerance.
As for multiculturalism, it is a perspective that

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the pluralism in social culture.
Ans. Multiculturalism is the acceptance or we must not only tolerate the existence of other social
identities, but that we should also know about them
promotion of multiple ethnic cultures, applied to the
and appreciate how they are different from whatever
demographic make-up of a specific place, usually at
our own identities may be. This is the whole premise
the organizational level, e.g. schools, businesses,
behind events like multicultural fairs where you get
neighbourhoods, cities or nations. In this context,

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the opportunity to sample other foods, like Indian
multiculturalists advocate extending equitable status
curries or middle eastern kababs. This is also the
to distinct ethnic and religious groups without
premise behind multicultural parades where different
promoting any specific ethnic, religious, and/or cultural
groups show off elements of their culture (dress, dance,
community values as central. The policy of
etc.). These are good events because they do increase

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multiculturalism is often contrasted with the concepts our knowledge of other cultures which helps to
assimilationism and social integration. maintain pluralism and inter group harmony by making
Multiculturalism is seen by its supporters as a other groups seem less mysterious and strange. In
fairer system that allows people to truly express who addition, you get exposed to new foods you might like.
they are within a society, that is more tolerant and that
adapts better to social issues. They argue, culture is ADDITIONAL IMPORTANT QUESTIONS
not one definable thing based on one race or religion, Q. 1. What do you mean by National
but is the result of multiple factors that change as the citizenship?
world changes. Ans. Generally citizenship is seen as the relation
Criticism of multiculturalism often debates between an individual and a particular nation. In
whether the multicultural ideal of benignly co-existing ancient Greece, the main political entity was the city-
cultures that interrelate and influence one another, and state, and citizens were members of particular city-
yet remain distinct, are sustainable, paradoxical or even states. In the past five hundred years, with the rise of
desirable. Nation-states that, in the case of many the nation-state, citizenship is most closely identified
European nations, would previously have been with being a member of a particular nation. To some
synonymous with a distinctive cultural identity of their extent, certain entities cross national boundaries such
own lose out to enforced multiculturalism and that this as trade organizations, non-governmental organiza-
ultimately erodes the host nation’s distinct culture. tions as well as multinational corporations and
Other critics argue that multiculturalism leads sometimes the term ‘citizen of the world’ applies in
directly to restrictions in the rights and freedom for the sense of people having less ties to a particular nation
certain groups and that as such, it is bad for democracy, and more of a sense of belonging to the world in
undemocratic and against universal human rights. general.

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104 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

Citizenship has been defined as full and equal shared by all the members of the state. Democratic
membership of a political community. In the states usually try to define their identity so that it is as
contemporary world, states provide a collective political inclusive as possible — that is, which allows all citizens
identity to their members as well as certain rights. to identify themselves as part of the nation. But in
Therefore we think of ourselves as Indians, or Japanese, practice, most countries tend to define their identity in
or Germans, depending on the state to which we belong. a way which makes it easier for some citizens to identify
Citizens expect certain rights from their state as well with the state than others. It may also make it easier
as help and protection wherever they may travel. for the state to extend citizenship to some people and
Q. 2. What is the relationship between not others. This would be as true of the United States,
citizenship, equality and rights? which prides itself on being a country of immigrants,
Ans. Citizenship is not merely a legal concept. It as any other country.
is also closely related to larger notions of equality and France, for instance, is a country which claims to
rights. A widely accepted formulation of this be both secular and inclusive. It includes not only
relationship was provided by the British sociologist, people of European origin, but also citizens who
T.H. Marshall (1893-1981). In his book Citizenship originally came from other areas such as North Africa.
and Social Class (1950), Marshall defined citizenship Culture and language are important features of its
as “a status bestowed on those who are full members national identity and all citizens are expected to
of a community. All who possess the status are equal assimilate into it in the public aspects of their lives.
with respect to the rights and duties with which the They may, however, retain their personal beliefs and
status is endowed.” practices in their private life. This may seem like a

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The key concept in Marshall’s idea of citizenship reasonable policy but it is not always simple to define
is that of ‘equality’. This implies two things–first, that what is public and what is private and this has given
quality of the given rights and duties improves. Second, rise to some controversies. Religious belief is supposed
that the quantity of people upon whom they are to belong to the private sphere of citizens but sometimes
bestowed grows. Marshall sees citizenship as involving religious symbols and practices may enter into their

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three kinds of rights–civil, political and social. Civil public lives. You may have heard about the demand of
rights protect the individual’s life, liberty and property. Sikh school boys in France to wear the turban in school,
Political rights enable the individual to participate in and of Muslim girls to wear the head scarf with their
the process of governance. Social rights give the school uniforms. This was disallowed by some schools
individual access to education and employment. on the ground that it involved bringing religious

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Together they make it possible for the citizen to lead a symbols into the public sphere of state education. Those
life of dignity. Marshall saw social class as a ‘system whose religions did not demand such practices
of inequality’. Citizenship ensures equality by naturally did not face the same problem. Clearly,
countering the divisive effects of class hierarchy. It thus assimilation into the national culture would be easier
facilitates the creation of a better-integrated and for some groups than for others.
harmonious community. The criteria for granting citizenship to new
Q. 3. What is the relation between citizenship applicants vary from country to country. In countries
and nation-state? such as Israel, or Germany, factors like religion, or
Ans. The concept of nation-state evolved in the ethnic origin, may be given priority when granting
modern period. One of the earliest assertions regarding citizenship. In Germany there has been a persistent
the sovereignty of the nation-state and democratic demand from Turkish workers, who were at one time
rights of citizens was made by the revolutionaries in encouraged to come and work in Germany, that their
France in 1789. Nation-states claim that their children who have been born and brought up in
boundaries define not just a territory, but also a unique Germany should automatically be granted citizenship.
culture and shared history. The national identity may This is still being debated. These are only a few
be expressed through symbols like a flag, national examples of the kinds of restrictions which may be
anthem, national language, or certain ceremonial placed on citizenship even in democratic countries
practices, among other things. which pride themselves on being inclusive.
Most modern states include people of different Q. 4. Write a short note on Universal
religions, languages and cultural traditions. But the Citizenship.
national identity of a democratic state is supposed to Ans. When we think of refugees, or illegal
provide citizens with a political identity that can be migrants, many images may come to our mind. One

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CITIZENSHIP / 105

may be of people from Asia or Africa who have paid The problem of stateless people is an important
agents to smuggle them into Europe or America. The one confronting the world today. Borders of states are
risks are high but they seem willing to make the effort. still being redefined by war or political disputes and
Another image may be of people displaced by war or for the people caught up in such disputes the
famine. Such images are often shown on the television. consequences may be severe. They may lose their
Refugees in the Darfur region of Sudan, Palestinians, homes, political identitiy, and security, and be forced
Burmese or Bangladeshis, the examples are many. All to migrate.
these are people who have been forced to become Q. 5. What do you mean by global citizenship?
refugees in their own, or neighbouring countries. We Ans. We live today in an interconnected world.
often assume that full membership of a state should be New means of communication such as the Internet,
available to all those who ordinarily live and work in and television, and cell phones, have brought a major
the country as well as to those who apply for citizenship. change in the way in which we understand our world.
But although many states may support the idea of In the past it might have taken months for news about
universal and inclusive citizenship, each of them also developments in one part of the world to become known
fixes criteria for the grant of citizenship. These would in other parts. But new modes of communication have
generally be written into the Constitution and laws of put us into immediate contact with developments in
the country. States use their power to keep unwanted different parts of the entire world. We can watch
visitors out. However, in spite of restrictions, even the disasters and wars on our television screen as they are
building of walls or fences, considerable migration of taking place. This has helped to develop sympathies
peoples still takes place in the world. People may be and shared concerns among people in different

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displaced by war, or persecution, famine, or other countries of the world. Supporters of global citizenship
reasons. If no state is willing to accept them and they argue that although a world community and global
cannot return home, they will become stateless or society does not yet exist, people already feel linked to
refugees. They may be forced to live in camps, or as each other across national boundaries. They would say
illegal migrants. Often they cannot legally work, or that the outpouring of help from all parts of the world

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educate their children, or acquire property. The problem for victims of the Asian tsunami and other major
is so great that the U.N. has appointed a High calamities is a sign of the emergence of a global society.
Commissioner for Refugees to help them. They feel that we should try to strengthen this feeling
Decisions regarding how many people can be and work towards a concept of global citizenship.
absorbed as citizens in a country pose a difficult The concept of national citizenship assumes that

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humanitarian and political problem for many states. our state can provide us with the protection and rights
Many countries have a policy of accepting those fleeing which we need to live with dignity in the world today.
from persecution or war. But they may not want to But states today are faced with many problems which
accept unmanageable numbers of people or expose the they cannot tackle by themselves. In this situation are
country to security risks. India prides itself on providing individual rights, guaranteed by the state, sufficient to
refugees to persecuted peoples, as it did with the Dalai protect the freedom of people today Or has the time
Lama and his followers in 1958. Entry of people from come to move to a concept of human rights and global
neighbouring countries has taken place along all the citizenship?
borders of the Indian state and the process continues. One of the attractions of the notion of global
Many of these people remain as stateless peoples for citizenship is that it might make it easier to deal with
many years or generations, living in camps, or as illegal problems which extend across national boundaries and
migrants. Only a relatively few of them are eventually which therefore need cooperative action by the people
granted citizenship. Such problems pose a challenge and governments of many states. For instance, it might
to the promise of democratic citizenship which is that make it easier to find an acceptable solution to the issue
the rights and identity of citizen would be available to of migrants and stateless peoples, or at least to ensure
all people in the contemporary world. Although many them basic rights and protection regardless of the
people cannot achieve citizenship of a state of their country in which they may be living.
choice, no alternative identity exists for them.

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106

Civil Society and Democracy

21
and political interaction– which are organized by privat
INTRODUCTION or voluntary arrangements between individuals and
The concepts of ‘civil society’ and ‘democracy’ groups outside the direct control of the state.” In 1990s,
have occupied a very important place in academic a renewed interest was witnessed in civil society with
world. Both the concepts have undergone a radical the global trends towards democracy which found space
change in their meaning and essence. They are as old even in dictatorial countries. In the United States and

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as the social sciences and their proper understanding Western Europe, too, it gained significance as a social
needs a birdview at historical perspectives in which renewal. The privatization drives in the developing
they have been discussed by different thinkers. countries also attracted the attention of civil society.
DEMOCRACY: A UNIVERSAL APPEAL
CHAPTER AT A GLANCE Democracy has also been changing in its meaning
CIVIL SOCIETY: A RETROSPECTION and essence through time and space. It has acquired

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The popularity of the ‘civil society’ concept rose different forms from ancient Athenian democracy to
during 1980 and 1990s in the wake of movements modern liberal democracy, representative and
against tyranny in Latin America, Africa and the deliberative or constitutional and national democracy.
erstwhile communist societies. During this period the However, it has remained a system which depends on
idea was established that if the invigorated civil society the consent of the governed people.

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could bring democratic transformation then it could Since democracy is contextual it should be
be used for consolidation of democracy also. reconstructed in the changed context. Schmitter and
In the writing of Greek philosophers along with Karl define democracy ‘as a system of governance in
Cicero and other Romans, we can find the concept ‘civil which rulers are held accountable for their actions in
society’ being discussed. During the enlightenment the public realm by citizens, acting indirectly through
period in 18th century, this concept gained renewed the cooperation of their elected representatives.’
expression in the writings of the scholars from Thomas THE SCOPE OF CIVIL SOCIETY
Paine and others upto George Hegel. In Hegel’s Although non-governmental organizations
conception, civil society included market as compared devoted to people’s causes and concerns fight for
to today’s concept as a non-profit area. His idea women’s issues, election monitoring, human rights and
reflected the changing economic realities–the rights of the disabled, etc., but they can not be equated
bourgeoisie, the private property and the market with civil society. The civil society encompasses all
competition. the organizations and associations that exist outside
However, the concept ‘civil society’ was not in the state and includes market oriented organizations
vogue in mid-19th century as sociologists and political and political parties. It even includes the mafia and
philosophers focused on the results of industrial militia groups.
revolution. After the World War II, Marxist thinker RELATIONSHIPS BETWEEN
Antonio Gramsi used the term to describe a special CIVIL SOCIETY AND DEMOCRACY
nucleus of independent political activity which Civil society can contribute to the democratization
struggled against tyranny. Recently, David Held stated, of dictatorial regimes and may help sustain a
“Civil society retains a distinctive character to the democratic system as has been stated earlier. In a
extent that it is made up of areas of social life–the democratic system, civil society orangisations help
domestic world, the economic sphere, cultural activities citizens in pursuing common interests in social,

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CIVIL SOCIETY AND DEMOCRACY / 107

political and spiritual fields. They considerably 1. Public Education: It brings awareness among
influence social attitudes and government policies. the people by educating them about laws and
People’s Power institutions through handbooks, newsletters,
In West, civil society movements have acted as workshops, etc.
‘people power’ movements and the civil society has 2. Voice to Stakeholders: Civil society
been strengthened in democractic systems. It is also organization give voice to the women, and the disabled-
called ‘democratic promotion tool kit’. The potential the neglected sections of the society.
collaborative role of the civil society with the 3. Policy Inputs: The inputs provided by the civil
international community for consolidating society influences government policies to a great extent.
democracy has been shown by Thomas Carothers 4. Transparency of Governance: Civil society
and Marina Ottaway. Aiding Democracy Abroad may pressurize the government to bring transparency
deals with the democracy promotion by the US. in regulatory frameworks and operations where the
Crothers claims that democracy promotion is a blend could by allowed for public scrutiny.
of the strategy and realist security interests or idealist 5. Public Accountability: Various concerned
motivations. agencies can be made accountable to the public and
Carothers substantiates these points by discussing be pressed for corrective measures,.
three central aspects of democracy aid, namely, electoral 6. Legitimacy: The above actions may bring
assistance, institutional reform and civil society legitimate democratic rule where people accept th right
assistance. of the governing body to govern over them.
FUNCTIONS OF CIVIL SOCIETY It must be noted that in the above discussion

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IN A DEMOCRATIC ORDER democracy encompasses the global governance.
In his article, ‘Rethinking Civil Society’ (1996), THE DEMOCRATIC DANGERS
Larry Diamond explains the promotion of democracy OF CIVIL SOCIETY
by the civil society by stating, “Civil society plays a There are seven negative possibilities when civil
significant role in building and consolidating society may abstract popular rule:
democracy.” He thinks that civil society has the 1. Civil society activities may not essentially pursue

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following functions that are important: democratic purposes. Not all voluntary associations
1. Limits state power by checking its violations have the promotion of democracy on their agenda. They
of laws and political abuses. may like to promote their private petty interest and
2. Empowers citizens through increase in skill privileges. Moreover, racist, uttra-nationalists and
of the democratic citizen and his/her political religious fundamentalist groups work against

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efficacy. democracy.
3. Inculcates and promote an arena for the 2. Civil society might draw away from democracy
development of democratic attributes among if its efforts are poorly planned and designed or
the citizens. executed. For promoting democracy, the civil society
Fundamental Liberties organizations must understand the institutional
Stephen finds these institutional guarantees as a arrangement of governance.
necessary but not a sufficient condition for the 3. Ill-equipped government agencies can not
functioning of democracy because despite free and handle civil society inputs. Government agencies and
fair elections and large majority of the governments, officials must have expertise to handle inputs offered
the political society lacks quality unless it is able to by the civil society within a proper time period.
produce a Constitution which would provide 4. The state funding and benefits could corrupt
minority rights, fundamental liberties along with the volunteers of the civic organizations. Short-term
institutions and checks and balances to limit state gains of civil society organizations may be harmful.
power. 5. Inadequate representation could seriously
CIVIL SOCIETIES AS undermine the very fabric of democracy - civil society
A PROMOTER OF DEMOCRACY must ensure the access of all strata of the civil society
Dr. Jan Aart Scholte makes an analysis of positive to the authorities.
and negative aspects of the relationship between the 6. Civil society concern for global democracy could
civil society and democracy in her article Civil Society be insensitive towards the local cultural practices. The
and democracy in Global Governance. civil society bodies may marginatise grassroot circles
She identified six areas in which civil society can and may not respond to the local contexts. This may
help to promote democracy: prove harmful.

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7. Civil society may lack internal democracy. competence, and thus on pluralism, one of the most
Internal democracy may be absent in the civil society important foundations of political democracy.
organizations which may suppress debate in the name (Almond and Verba 1963:321)
of welfare. They may not maintain transparency in their Nie, Powell and Prewitt also investigate the
work. These would be against democracy. democratic functions of civil society in terms of its
effects on political participation. As the density and
SELF-ASSESSMENT QUESTIONS
complexity of economic and secondary organizations
Q. 1. What is civil society? What are its increases, greater proportions of the population find
functions in a democracy? themselves in life situations that lead to increased
Ans. Civil society is a concept located strategically political information, political awareness, sense of
at the cross-section of important strands of intellectual personal political efficacy, and other relevant attitudes.
developments in the social sciences. To take account These attitude changes, in turn, lead to increase in
of the diversity of the concept, CCS adopted an initial political participation (Nie, Powell, and Prewitt
working definition that is meant to guide research 1969:808).
activities and teaching, but is by no means to be Civil society has yet another democratic function,
interpreted as a rigid statement. that of facilitating democratic transitions. Montesquia
Civil society refers to the arena of uncoerced clearly believed from a theoretical perspective that civil
collective action around shared interests, purposes and society should function as a counterbalance to
values. In theory, its institutional forms are distinct governments in order to inhibit their tyrannical
from those of the state, family and market, though in tendencies; he also suggested that civil society actually

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practice, the boundaries between state, civil society, did perform in this capacity (Harbeson 1994:26). This
family and market are often complex, blurred and is enforced by the empirical finding by Inglehart that
organizational membership does show a statistically
negotiated. Civil society commonly embraces a
significant linkage with changes in levels of democracy
diversity of spaces, actors and institutional forms,
from 1990 to 1995 (Inglehart 1997:193). Weigle and
varying in their degree of formality, autonomy and
Butterfield’s case studies of the democratic transitions

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power. Civil societies are often populated by
in the Eastern European countries and in the former
organisations such as registered charities, development Soviet Union also show the important role played by
non-governmental organisations, community groups, the civil society.
women’s organisations, faith-based organisations, Q. 2. What is the relationship between civil
professional associations, trades unions, self-help society and democracy?

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groups, social movements, business associations, Ans. The literature on relations between civil
coalitions and advocacy group. society and democratic political society has their roots
Civil society is composed of the totality of in early liberal writings like those of Alexis de
voluntary civic and social organizations and institutions Tocqueville. However they were developed in
that form the basis of a functioning society as opposed significant ways by 20th century theorists like Gabriel
to the force-backed structures of a state (regardless of Almond and Sidney Verba, who identified the role of
that state’s political system) and commercial political culture in a democratic order.
institutions of the market. They argued that the political element of many
Democratic Functions of a Civil Society voluntary organizations facilitates better awareness and
The democratic functions of civil society seem long a more informed citizenry, who make better voting
recognized. As Almond and Verba conclude from the choices, participate in politics, and hold government
examination of the survey data from five nations–the more accountable as a result. The statuses of these
organizational member, political or not, compared with organizations have often been considered micro-
the nonmember, is likely to consider himself more constitutions because they accustom participants to the
competence as a citizen, to be a more active participant formalities of democratic decision-making.
in politics. The member, in contrast with the non- More recently, Robert D. Putnam has argued that
member, appears to approximate more closely what even non-political organizations in civil society are vital
we have called the democratic citizen. He is competent, for democracy. This is because they build social capital,
active, and open with his opinions (Almond and Verba trust and shared values, which are transferred into the
1963:320). The most striking finding is that any political sphere and help to hold society together,
membership—passive membership or membership in facilitating an understanding of the interconnectedness
a nonpolitical organization—has an impact on political of society and interests within it.

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CIVIL SOCIETY AND DEMOCRACY / 109

Others, however, have questioned how democratic using ‘dialectic’, a form of rational dialogue to uncover
civil society actually is. Some have noted that the civil truth. According to Socrates, public argument through
society actors have now obtained a remarkable amount ‘dialectic’ was imperative to ensure ‘civility’ in the polis
of political power without anyone directly electing or and ‘good life’ of the people. For Plato, the ideal state
appointing them. Finally, other scholars have argued was a just society in which people dedicate themselves
that, since the concept of civil society is closely related to the common good, practice civic virtues of wisdom,
to democracy and representation, it should in turn be courage, moderation and justice, and perform the
linked with ideas of nationality and nationalism. occupational role to which they were best suited. It
was the duty of the ‘Philosopher King’ to look after
ADDITIONAL IMPORTANT QUESTIONS people in civility. Aristotle thought the polis was an
Q. 1. Write a short note on civil society and ‘association of associations’ that enables citizens to
democracy. share in the virtuous task of ruling and being ruled.
Ans. The concept of ‘civil society’ arose at the The concept of societas civilis is Roman and was
very dawn of the modern age, as a theory of political introduced by Cicero. The political discourse in the
economy and market capitalism in the writings of classical period, places importance on the idea of a
Locke, Rousseau, Smith, and Hegel. After Marx ‘good society’ in ensuring peace and order among the
subsumed it under his analysis of ‘bourgeois society,’ people. The philosophers in the classical period did
a linguistically identical term in German, the concept not make any distinction between the state and society.
remained bound to its evil twin from then until the Rather they held that the state represented the civil
1980s. Scholars then revived and redefined it, drawing form of society and ‘civility’ represented the
requirement of good citizenship. Moreover, they held

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on Habermas’ account of the public sphere and
Tocqueville’s analysis of the voluntary association. that human beings are inherently rational so that they
Gramsci’s theory of hegemony and Foucault’s concept can collectively shape the nature of the society they
of discourse, both popular in the 1970s and 1980s, had belong to. In addition, human beings have the capacity
pointed a way out of Marxism by drawing attention to voluntarily gather for the common cause and
from economics to culture as the central locus of maintain peace in society. By holding this view, we

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contestation and power in civil society. Meanwhile, can say that classical political thinkers endorsed the
the rise of gender studies—perhaps the most genesis of civil society in its original sense.
consequential site of scholarly innovation into the The Middle Ages saw major changes in the topics
1990s—offered a host of ways to embed civil society’s discussed by political philosophers. Due to the unique
history in private life and public ideologies. Today, political arrangements of feudalism, the concept of

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interest in civil society forms a cornerstone of the new classical civil society practically disappeared from
inters disciplinarity, embracing historians, sociologists, mainstream discussion. Instead conversation was
and political scientists working on all regions of the dominated by problems of just war, a preoccupation
modern world. that would last until the end of Renaissance.
Q. 2. Explain how the civil society originates. The Thirty Years’ War and the subsequent Treaty
Ans. From an historical perspective, the actual of Westphalia heralded the birth of the sovereign states
meaning of the concept of civil society has changed system. The Treaty endorsed states as territorially-based
twice from its original, classical form. The first change political units having sovereignty. As a result, the
occurred after the French Revolution, the second during monarchs were able to exert control domestically by
the fall of communism in Europe. emasculating the feudal lords and to stop relying on
Pre-modern History of Civil Society the latter for armed troops. Hencefore, monarchs could
The concept of civil society in its pre-modern form national armies and deploy a professional
classical republican understanding is usually connected bureaucracy and fiscal departments, which enabled
to the age of enlightenment in the 18th century. them to maintain direct control and supreme authority
However, it has much older history in the realm of over their subjects. In order to meet administrative
political thought. Generally, civil society has been expenditures, monarchs controlled the economy. This
referred to as a political association governing social gave birth to absolutism. Until the mid-eighteenth
conflict through the imposition of rules that restrain century, absolutism was the hallmark of Europe.
citizens from harming one another. In the classical The absolutist nature of the state was disputed in
period, the concept was used as a synonym for the good the Enlightenment period. As a natural consequence
society, and seen as indistinguishable from the state. of Renaissance, Humanism, and the scientific
For instance, Socrates taught that conflicts within revolution, the Enlightenment thinkers raised
society should be resolved through public argument fundamental questions such as “What legitimacy does

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heredity confer?”, “Why are governments instituted?”, John Locke had a similar concept to Hobbes about
“Why should some human beings have more basic the political condition in England. It was the period of
rights than others?”, and so on. These questions led the Glorious Revolution, marked by the struggle
them to make certain assumptions about the nature of between the divine right of the Crown and the political
the human mind, the sources of political and moral rights of Parliament. This influenced Locke to forge a
authority, the reasons behind absolutism, and how to social contract theory of a limited state and a powerful
move beyond absolutism. The enlightenment thinkers society. In Locke’s view, human beings led also an
believed in the inherent goodness of the human mind. unpeaceful life in the state of nature. However, it could
They opposed the alliance between the state and the be maintained at the sub-optimal level in the absence
Church as the enemy of human progress and well-being of a sufficient system (Brown 2001:73). From that
because the coercive apparatus of the state curbed major concern, people gathered together to sign a
individual liberty and the Church legitimated monarchs contract and constituted a common public authority.
by positing the theory of divine origin. Therefore, both Nevertheless, Locke held that the consolidation of
were deemed to be against the will of the people. political power can be turned into autocracy, if it is not
Strongly influenced by the atrocities of Thirty brought under reliable restrictions (Kaviraj 2001:291).
Years’ War, the political philosophers of the time held Therefore, Locke set forth two treaties on government
that social relations should be ordered in a different with reciprocal obligations. In the first treaty, people
way than in natural law conditions. Some of their submit themselves to the common public authority. This
attempts led to the emergence of social contract theory authority has the power to enact and maintain laws.
that contested social relations existing in accordance The second treaty contains the limitations of authority,
with human nature. They held that human nature can i.e. the state has no power to threaten the basic rights

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be understood by analyzing objective realities and of human beings. As far as Locke was concerned, the
natural law conditions. Thus they endorsed that the basic rights of human beings are the preservation of
nature of human beings should be encompassed by the life, liberty and property. Moreover, he held that the
contours of state and established positive laws. Thomas state must operate within the bounds of civil and natural
Hobbes underlined the need of a powerful state to laws.
maintain civility in society. For Hobbes, human beings Both Hobbes and Locke had set forth a system, in

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are motivated by self-interest (Graham 1997:23). which peaceful coexistence among human beings could
Moreover, these self-interests are often contradictory be ensured through social pacts or contracts. They
in nature. Therefore, in state of nature, there was a considered civil society as a community that maintained
condition of a war of all against all. In such a situation, civil life, the realm where civic virtues and rights were
life was “solitary, poor, nasty, brutish and short” . Upon derived from natural laws. However, they did not hold

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realizing the danger of anarchy, human beings became that civil society was a separate realm from the state.
aware of the need of a mechanism to protect them. As Rather, they underlined the co-existence of the state
far as Hobbes was concerned, rationality and self- and civil society. The systematic approaches of Hobbes
interests persuaded human beings to combine in and Locke (in their analysis of social relations) were
agreement, to surrender sovereignty to a common largely influenced by the experiences in their period.
power . Hobbes called this common power, state, Their attempts to explain human nature, natural laws,
Leviathan. the social contract and the formation of government
The social contract theory of Thomas Hobbes set had challenged the divine right theory. In contrast to
forth two types of relationship. One was vertical, divine right, Hobbes and Locke claimed that humans
between the Leviathan and the people; therefore, the can design their political order. This idea had a great
latter submitted themselves to the former. The second impact on the thinkers in the enlightenment era.
system was the realm of horizontal relationship among The enlightenment thinkers argued that human
the people. In that system, people, under the beings are rational and can shape their destiny. Hence,
surveillance of Leviathan, were compelled to limit their no need of an absolute authority to control them. Both
natural rights in a way that would not harm the rights Jean-Jacques Rousseau and Immanuel Kant argued that
of others. The first system denotes the state and the people are peace lovers and that wars are the creation
second represents civil society. In Hobbes’s paradigm, of absolute regimes (Burchill 2001:33). As far as Kant
the formation of the civil society led to the formation was concerned, this system was effective to guard
of government, state, and laws. Therefore, in his view, against the domination of a single interest and check
the state is imperative to sustain civility among men. the tyranny of the majority (Alagappa 2004:30).
Thus, Hobbes’s concepts of the ‘state of nature’ and Modern History
the ‘sovereignty of the state’ led to the later germination G.W.F. Hegel completely changed the meaning of
of realism that defined the nature of the relationship civil society, giving rise to a modern liberal
between the state and civil society. understanding of it as a form of market society as

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opposed to institutions of modern nation-state. Unlike Left assigned civil society a key role in defending people
his predecessors, the leading thinker of the against the state and the market and in asserting the
Romanticism considered civil society as a separate democratic will to influence the state. At the same time,
realm, a ‘system of needs’, that stood for the satisfaction Neo-liberal thinkers consider civil society as a site for
of individual interests and private property. Hegel held struggle to subvert Communist and authoritarian
that civil society had emerged at the particular period regimes. Thus, the term civil society occupies an
of capitalism and served its interests: individual rights important place in the political discourses of the New
and private property (Dhanagare 2001:169). Hence, Left and Neo-liberals.
he used the German term ‘bürgerliche Gesellschaft’ to Post-modern History
denote civil society as ‘civilian society’ - a sphere The post-modern way of understanding civil
regulated by the civil code. For Hegel, civil society society was first developed by political opposition in
manifests contradictory forces. Being the realm of the former Soviet block East European countries in
capitalist interests, there is a possibility of conflicts the 1980s. From that time stems a practice within the
and inequalities within it. Therefore, the constant political field of using the idea of civil society instead
surveillance of the state is imperative to sustain moral of political society. However, in the 1990s with the
order in society. Hegel considered the state as the emergence of the non-governmental organizations and
highest form of ethical life. Therefore, the political state the New Social Movements (NSMs) on a global scale,
has the capacity and authority to correct the faults of civil society as a third sector became a key terrain of
civil society. Alexis de Tocqueville, after comparing strategic action to construct ‘an alternative social and
despotic France and democratic America, contested world order.’ Henceforth, post-modern usage of the idea
Hegel, putting weight on the system of civilian and of civil society became divided into two: as political

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political associations as a counterbalance to both liberal society and as the third sector - apart from plethora of
individualism and centralization of the state. Hence, definitions.
Hegel’s perception of social reality was followed in The Washington consensus of the 1990s, which
general by Tocqueville who distinguished between involved conditioned loans by the World Bank and IMF
political society and civil society. to debt-laden developing states, also created pressures
This was the theme taken further by Karl Marx. for states in poorer countries to shrink. This in turn

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For Marx, civil society was the ‘base’ where productive led to practical changes for civil society that went on
forces and social relations were taking place, whereas to influence the theoretical debate. Initially the new
political society was the ‘superstructure’. Agreeing with conditionality led to an even greater emphasis on ‘civil
the link between capitalism and civil society, Marx held society’ as a panacea, replacing the state’s service
that the latter represents the interests of the bourgeoisie provision and social care, Hulme and Edward suggested
(Edwards 2004:10). Therefore, the state as super- that it was now seen as ‘the magic bullet.’ Some

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structure also represents the interests of the dominant
class; under capitalism, it maintains the domination
of the bourgeoisie. Hence, Marx rejected the positive
development political scientists cautioned that this view
created new dangers. For instance, in ‘Let’s get Civil
Society Straight’ Whaites argued that the often
role of state put forth by Hegel. Marx argued that the politicized and potentially divisive nature of civil
state cannot be a neutral problem solver. Rather, he society was being ignored by some policy-makers.
depicted the state as the defender of the interests of the By the end of the 1990s civil society was seen less
bourgeoisie. He considered the state and civil society as a panacea amid the growth of the anti-globalization
as the executive arms of the bourgeoisie; therefore, both movement and the transition of many countries to
should wither away. (Brown 2001:74) democracy; instead, civil society was increasingly
This negative view about civil society was rectified called on to justify its legitimacy and democratic
by Antonio Gramsci (Edwards 2004:10). Departing credentials. This led to the creation by the UN of a
somehow from Marx, Gramsci did not consider civil high level panel on civil society. Post-modern civil
society as coterminous with the socio-economic base society theory has now largely returned to a more
of the state. Rather, Gramsci located civil society in neutral stance, but with marked differences between
the political superstructure. He underlined the crucial the study of the phenomena in richer societies and
role of civil society as the contributor of the cultural writing on civil society in developing states. Civil
and ideological capital required for the survival of the society in both areas is, however, often viewed as a
hegemony of capitalism (Ehrenberg 1999:208). Rather counter-poise and complement rather than an
than posing it as a problem, as in earlier Marxist alternative in relation to the state, or as Whaites stated
conceptions, Gramsci viewed civil society as the site in his 1996 article, ‘the state is seen as a precondition
for problem-solving. Agreeing with Gramsci, the New of civil society’.

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112

THE CONTEMPORARY ISSUES

OF ETHNICITY AND IDENTITY
22
Conceptualizing Ethnicity
A similar view is expressed in beyond the melting
INTRODUCTION pot written by Glazer and Moynihan.
The idea of being different and separate whether Re-thinking Ethnicity
in terms of boy and girls or ‘us’ and ‘them’ are the In Re-thinking Ethnicity: Arguments and
thinking patterns of our behaviour that are basic to the explorations, Richard Jenkins writes that on since
understanding of ethnicity in sociological terms. the early decades of the 20th century the concepts of
Derived from the Greek word ethos, ethnicity means

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ethnicity and ethnic group have been variously
‘arrange of situations where there is a sense of
discussed (stone, 1996). They have become central
collectivity of humans that live and act together’
(Ostergard, 1992) and is of translated as ‘nation’ or to the politics of group differentiation and advantage
‘people’ (Jenkins, 1997). Yankee city series (1941) in the democracies of North America and Europe,
popularized the term in common American language. the societies which are culturally diverse. With ‘race’
W. Lyod Warner’s the status system of a modern falling into disrepute since 1945 ethnicity has steeped

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community (1942) and the social life of a modern city in and the obscenity of ‘ethnic cleansing’ is very
(1941) by Paul S. Lunt pointed out the various similar to earlier like the final solution’ and ‘racial
paradoxes and ambiguities of the term ethnicity. Warner hygiene’ (1997).
used the Greek noun ethnos meaning nation, people Jenkins view suggests that ‘ethnicity’ and ethnic
and ‘others’ to define ethnicity as a ‘trait’ that separates group’ exist side by side. Moreover, ‘ethnic group’

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individuals from some classes and identifies him with appeared as a natural and neutral option to the concept
others (Sollars, 1981). In the post-World War II, of race.
ethnicity became a search for American identity versus CONSTRUCTION OF ETHNICITY
‘minority identities’ or ‘immigrant identities and it may In Economy and Society (1922/1968), Max Weber
be seen in Philip Gleason’s work (1980). regards ethnic group as a group whose members share
One common thread can be discerned in different a belief that they have a common ancestor. It seems
studies ethnicity and that is they are conducted in that Weber did not accept the role of biology in ‘sense
relation to ‘others’ with a focus on the internal of belonging’ and perceived ethnic group as a status
(voluntary, subjective) and the external (involuntary group which may be rooted in shared religion, culture
and objectives). or language. The members of this group do not allow
CHAPTER AT A GLANCE others to enter their group. They function together to
protect each other’s honour and dignity. This explains
CLASS AND ETHNICITY how the political subversion by the group seeking
The Marxian concept of class also includes the sovereignty is celebrated as patriotic by its members
notion of ‘class consciousness’ which builds ‘in-group while those governing the nation states call it treason.
solidarity. Ethnicity is also based on ‘bonding’ and Broadly, there are three approaches to the
‘collectively’. The class solidarity is strengthened due understanding of ethnicity, namely-primordialist,
to the ‘exploitation’ of the ‘others’. Similarly, in the instrumentalist and constructivist approaches.
concept of ethnicity, ‘common experiences’ develop a PRIMORDIALIST APPROACH
sense of ‘ethnic consciousness’. Although ethnicity is This view considers biology to be the determining
not class, but there is a crucial relationship between aspect of ethnic identity. These biological roots help
the two as was put forward by Daniel Bell (1975) in in forming the close knit-kin groups: close relatives
his essay Ethnicity and Social Change. are favoured by the persons in commanding positions.

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CONCEPTUALIZING ETHNICITY / 113

Today this is called nepotism which is condemned. in such dialectics of the objective and subjective in the
According to Pierre Van den Bergue, ethnicity process of ethnic identity formation and maintenance,
continues to be present even in the most industraliased even the negotiable ethnic character of ethnic
mass societies (1981). The primordialist approach is boundaries emphasized by Barth tended to reificate.
primarily rooted in evolutionary construction of human Ethnicity’s mercurial nature is accounted for when it
societies. ‘Recognition of group affiliation is genetically is defined as a set of socio-cultural diacritics (i.e.
encoded, being a product of early human evolution, physical appearance, name, history, nationality,
when the ability to recongnise the members of one’s language, religion) which define a shared identity for
family group was necessary for survival’ say Shaw and members and non-members and a series a
Wong (1989). dichotomisation of inclusiveness and exclusiveness
In the construction of modern civil society, flourish (Cohen, 1978).
differences in terms of language, religion and culture JENKIN’S MODEL OF ETHNICITY
are celebrated but the perpetuation of these primary A basic social anthropological model of ethnicity
attributes is unacceptable if they are used for was presented by Jenkins which was relevant for
establishing separate ‘political identities’. sociological understanding also. According to this
Concept of Ethnos model, ethnicity is about cultural differentiation
The term ethnos was defined by Y.U. Bromley (Jenkins, 1996), it is mainly concerned with culture
(1974) as a ‘group of people, speaking one and the (shared meaning), it keeps changing and as a social
same language and admitting common origin, identity ethnicity is collective and individual
characterized by a set of customs and a life style (externalized in social interaction and internalized in
personal identification) (Jenkins, 1997).

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which are preserved and sanctified by tradition,
which distinguishes it from others of the same kind’. According to Jenkins, ethnicity and culture is not
Similar primordialist views were put forward by other something to which they belong or they have, rather it
Russian Scholars also. is a complex repertories which people experience, learn
Simple socio-biological explanations of ethnicity and do, within which they construct ongoing sense of
were supported by some scholars such as Clifford themselves and an understanding of their fellows

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Geertzi (1973) who argued that ‘ties of blood, (1997). In this manner, Jenkins belongs to modern
language and culture are seen by actors to be ineffable constructivist scholar.
and obligatory; that they are seen as natural’- as The Plasticity of Ethnicity
members of society.’ The plasticity, fixity and solidity of ethnicity are
INSTRUMENTALIST APPROACH applicable only upto a limit and although ethnicity

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Ethnicity may be discussed an aspect of human is imagined, but is not imaginary to acknowledge
nature or as wholly socially constructed concept. The its antiquity and modernity.
latter part constitutes the instrumentalist approach. RACE AND ETHNICITY
This approach became popular in late 1960s and early It’s very difficult to describe the complex
1970s. Fredril Barthg and Paul Brass are well known relationship between race and ethnicity. Race is
for their instrumentalist approach. Sometimes this considered to have derived from diverse roots including
approach is known as situation list perspective and it generation, root nobility of blood, etc. (Sollors, 1996).
emphasizes plasticity of maintaining ethnic group In mid-1950s the term ethnic group was introduced
boundaries. According to this approach, people can and served as a neutral system of classifying human
change membership from one ethnic group to another groups based on cultural differences rather than on the
because of the demands of circumstances or as says disrepute racial characteristics.
Paul Brass the change which may be due to political
manipulations. SELF-ASSESSMENT QUESTIONS
Paul Brass has closely examined the issues of Q. 1. Outline the features of Barth’s Model of
ethnicity and nationalism in the concept of India in Ethnicity.
his two books–Language, Religion and Politics in Ans. In his most famous book, Ethnic Groups and
North India (1985) and ethnicity and Nationalism: Boundaries (1969), he focused on the concern that
Theory and Comparison (1991). boundaries are now a replacement for ‘cultural
CONSTRUCTIVIST MODEL OF ETHNICITY differences.’ He argued that ethnic groups are not
This model is based on the post-modernist groups formed on the basis of a shared culture, but
paradigm. Here, interpretation emphasis shifts to rather the formation of groups on the basis of cultural
negotiation of multiple subjects over group boundaries differences. Barth states that “It is the everyday actions,
and identity. According to Sokolovskii and Tishkov, choices, situations and conditions in which each

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individual finds himself or herself, and with which they Barth emphasizes that identity formation involves
choose to identify, which makes a difference in how complex processes from the micro-cosmic (child
ethnic groups are made up.” Barth also created a model socialization) to macro-cosmic (state/global).
on how to analyze complex everyday situations by Cultural differentiation historically been linked to
dividing them up by micro, median, and macro levels different environmental adaptations (‘culture area’
with each model acting as a feedback mechanism on concept for native American cultures, e.g. plain
the other. By connecting the levels he saw how a group Indians) and group competition for resources, but
has a sense of itself based on it how it interacts with ethnic difference now takes place in the context of
others in the world community. powerful organized state structures; the state in turn is
Fredrik Barth’s Constructionist (‘instrumentalist’ an ‘actor’ regulating access to resources by the creation
or ‘emergent’) Model of Ethnicity’ stresses fluid, of categories of people for exclusion or entitlement.
sitituational, volitional (self-ascription) and dynamic Q. 2. Discuss the relationship between race and
character of ethnic identification. Ethnicity as a ethnicity and bring out the points of comparison.
‘negotiated status, determined by an interplay between Ans. Race describes biological descent. Ethnicity
external ascription and individual self-identification.’ describes cultural heritage.
Cultural pluralists disagree that all ethnics will The finish line: Ethnicity is learned, race is
‘melt’. inherited. Race describes biological descent. Ethnicity
Ethnic Groups and Boundaries: Frederik Barth’s describes cultural heritage. Third opinion - Race is just
Revolutionary Reconceptualization of Ethnicity/ The an archaic version of ethnicity. Black is an ethnicity,
“Cultural Constructionist” Model of Ethnicity (1969, White is an ethnicity, so is Caucasoid. They’re all ethnic

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1991 publications); Barth’s work is ‘revolutionary’ and constructions. Fourth opinion- Race means subspecies.
has stood the test of time ethnic identity as a feature of One can argue with that there are no ‘subspecies’ of
social organization, not culture (which is nebulous); the Human species, thus meaning that ‘race’ does not
Barth shifts the focus from cultural ‘difference’ as the exist, leaving ethnicity as the only characteristic trait
basis of ethnic identity to ‘the social organization of of the two in describing a human.
culture difference’ based upon corporate group theory ADDITIONAL IMPORTANT QUESTIONS

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from British anthropology focus is on the boundary, Q. 1. What is ethnicity?
its maintenance, and recruitment, not the ‘cultural stuff’ Ans. Ethnicity is a sense of peoplehood or
the boundary encloses; ethnic groups are situational, nationhood that is culturally transmitted. Ethnicity
not primordial; that is, they are a creation of particular denotes a group of individuals who consider

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interactional, historical, economical and political themselves, or are considered by others, to share
circumstances ethnic identity depends upon ascription common characteristics which differentiate them from
and self-ascription; only as individuals embrace it, are other collectivities within a society. Distinct cultural
constrained by it, act on it, and experience it will behaviours are developed, and ethnic groups can be
ethnicity make an organizational difference cultural identifiable in terms of religion, politics, occupation,
differences of significance are those people use to mark or language. Because it is based on cultural differences,
the difference, not the outside analyst’s ideas of ethnicity is social in nature. Ethnic groups are fluid in
what cultural differences are significant. The composition and subject to changes in definition. For
‘entrepreneurial’ role in mobilization of ethnic example, the ‘Asian’ category has historically been
identities is critical. Leaders pursue political enter- treated as both a racial category and an ethnic category
prises, not an expression of cultural ideology of the - if an individual of Asian ancestry is living in the
group or the popular will U.S., that individual’s ancestry is typically referred to
(a) Ethnic relations and boundary constructions as part of their ethnic identity. However, Asian is also
in plural societies are not about strangers, but adjacent recognized as a racial category as well which points to
and familiar ‘others’ e.g. Chinese-Americans, the usage problems of terms such as race and ethnicity.
Mexican-Americans, Native Americans, Euro- Both of these concepts differ from nationality.
Americans. What separates us is what he calls Nationality refers to an individual’s relationship with
‘discontinuities’ in the continuous global variation or their state of origin, meaning that this relationship is
spectrum of culture: some kind of created boundary political in nature. Often some times, nationality and
marker which is largely symbolic and overstates the ethnicity are linked but this may not always be the case.
nature of difference. Culture’ is defined by Barth “as For example, within the U.S. There are different ethnic
flux, in a field of continuous, distributed variation.” groups such as Aleuts (Native Alaskans) and Catawba

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CONCEPTUALIZING ETHNICITY / 115

Indians (native to Carolina region of the U.S.) that Q. 4. What is prejudice?

claim a U.S. nationality. Ans. Prejudice is a judgement based on group
Q. 2. What is race and how has it been used by membership or social status. Sociologists termed
society? prejudice an adaptive behaviour. Biased views may be
Ans. A race is a human population that is believed important at times for survival. There is not always
to be distinct in some way from other humans based enough time to form a legitimate view about a potential
on real or imagined physical differences. Racial foe before adopting a defensive stance that could save
classifications are rooted in the idea of biological lives. Prejudice is non-adaptive when it interferes with
classification of humans according to morphological survival or well-being. A prejudice is a pre-judgement,
features such as skin colour or facial characteristics. i.e. a preconceived belief, opinion, or judgment made
An individual is usually externally classified (meaning without ascertaining the facts of a case. The word
someone else makes the classification) into a racial prejudice is most commonly used to refer to a
group rather than the individual choosing where they preconceived judgement toward a people or a person
belong as part of their identity. Conceptions of race, as because of race, social class, gender, ethnicity, age,
well as specific racial groupings, are often controversial disability, political beliefs, religion, sexual orientation
due to their impact on social identity and how those or other personal characteristics. It also means a priori
identities influence someone’s position in social beliefs (without knowledge of the facts) and may
hierarchies. Race is a socially constructed category that include “any unreasonable attitude that is unusually
draws on observations of physical differences among resistant to rational influence.” Although positive and
different groups of individuals. A race is a population negative prejudice both exist, when used negatively,

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that shares visible physical characteristics from “prejudice” implies fear and antipathy toward such a
inbreeding and that thinks of itself or is thought of by race.
outsiders as distinct. It has been used by societies to Cognitive Prejudice refers to what people
justify poor treatment of minority groups. believe to be true, metaphysical or
Q. 3. What is a minority group? methodological philosophy at the expense of
Ans. A minority group is one that has less power other philosophies which may offer a more

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and influence than the dominant group. A minority is complete theoretical explanation.
a sociological group that does not constitute a politically Affective Prejudice refers to what people like
dominant voting majority of the total population of a and dislike, for example, in attitudes toward
society. A sociological minority is not necessarily a members of particular classes such as race,
numerical minority - it may include any group that is ethnicity, national origin, or creed.

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subnormal with respect to a dominant group in terms Behavioural Prejudice refers to how people are
of social status, education, employment, wealth and inclined to behave. It is regarded as an attitude
political power. To avoid confusion, some writers prefer because people do not act on their feelings. An
the terms ‘subordinate group’ and ‘dominant group’ example of cognitive prejudice may be found
rather than ‘minority’ and ‘majority’, respectively. In in expressions of what should be done if the
socio-economics, the term ‘minority’ typically refers opportunity presents itself.
to a socially subordinate ethnic group (understood in Q. 5. What is discrimination?
terms of language, nationality, religion and/or culture). Ans. Discrimination involves treating someone
Other minority groups include people with disabilities, differently because of his or her group membership or
‘economic minorities’ (working poor or unemployed), social status. Discrimination is a sociological term
‘age minorities’ (who are younger or older than a referring to the treatment taken toward or against a
typical working age) and sexual minorities. person of a certain group in consideration based solely
The term ‘minority group’ often occurs alongside on class or category. Discrimination is the actual
a discourse of civil rights and collective rights which behaviour towards another group. It involves excluding
gained prominence in the 20th century. Members of or restricting members of one group from opportunities
minority groups are prone to different treatment in the that are available to other groups. The United Nations
countries and societies in which they live. This explains: ‘Discriminatory behaviours take many forms,
discrimination may be directly based on an individual’s but they all involve some form of exclusion or rejection.’
perceived membership of a minority group, without Discriminatory laws such as redlining have existed in
consideration of that individual’s personal many countries. In some countries, controversial
achievement. It may also occur indirectly, due to social attempts such as racial quotas have been used to redress
structures that are not equally accessible to all. negative effects of discrimination.

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There are two main types of discrimination - direct negatively, ‘prejudice’ implies fear and antipathy
and indirect discrimination. toward such a race.
Direct Discrimination Cognitive prejudice refers to what people believe
When a person is treated less well, in comparison to be true, metaphysical or methodological philosophy
with someone else, because of his or her racial or ethnic at the expense of other philosophies which may offer a
origin, religion or belief, disability, age or sexual more complete theoretical explanation.
orientation. Affective prejudice refers to what people like and
Examples of direct discrimination are a shop dislike, for example, in attitudes toward members of
owner who refuses to hire suitably qualified people particular classes such as race, ethnicity, national
simply because they are of a certain race or ethnic origin, or creed.
origin, or an employer who specifies in a job advert Behavioural Prejudice refers to how people are
that only young people should apply even though the inclined to behave. It is regarded as an attitude because
job in question could be done perfectly well by an older people do not act on their feelings. An example of
person. conative prejudice may be found in expressions of what
Indirect Discrimination should be done if the opportunity presents itself.
When an apparently neutral specification, criteria These three types of prejudices are correlated, but
or practice would disadvantage people on the grounds all need not be present in a particular individual.
of racial or ethnic origin, religion or belief, disability, Someone may believe that a particular group possesses
age or sexual orientation unless the practice can be low levels of intelligence, but harbor no ill-feeling
objectively justified by a legitimate aim. towards that group. A group may be disliked because

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Examples of indirect discrimination are a of intense competition for jobs, but still recognize no
translation company insists that all those applying for differences between groups.
jobs as translators have driving licences because there ‘Discrimination’ is a behaviour (an action), with
is an occasional need to deliver or collect work from reference to unequal treatment of people because they
clients. Since this prevents some people with are members of a particular group. Farley also we can
disabilities from applying and as driving is not a core

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put discrimination into three categories:
requirement for doing the job, the company is Personal / Individual Discrimination is directed
effectively discriminating against this particular group toward a specific individual and refers to any act that
of people, unless it can demonstrate that there is an
leads to unequal treatment because of the individual’s
objective reason to justify this measure.
real or perceived group membership.
A department store prohibits its employees from

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Legal Discrimination refers to ‘unequal treatment,
wearing hats when serving customers. This rule means
on the grounds of group membership, that is upheld
that people whose religious beliefs require them to cover
by law.’ Apartheid is an example of legal
their heads, such as Muslim women, are prevented from
discrimination, as are also various post-civil war laws
working in the shop. The store is indirectly
in the southern United States that legally disadvantaged
discriminating against this group of people unless it
can demonstrate that there is an objective reason to Negros with respect to property rights, employment
justify the policy. rights and the exercise of constitutional rights.
Q. 6. What is the relationship between prejudice Institutional Discrimination refers to unequal
and discrimination? treatment that is entrenched in basic social institutions
Ans. Prejudice and discrimination can exist resulting in advantaging one group over another. The
separately but are most often mutually reinforcing. A Indian caste system and European feudal system are
prejudice is a pre-judgement, i.e. a preconceived belief, historical examples of institutional discrimination.
opinion, or judgement made without ascertaining the As with prejudice generally, these three types of
facts of a case. The word prejudice is most commonly discrimination are correlated and may be found to
used to refer to a preconceived judgment toward a varying degrees in individuals and society at large.
people or a person because of race, social class, gender, Many forms of discrimination based upon prejudice
ethnicity, age, disability, political beliefs, religion, are outwardly acceptable in most societies.
sexual orientation or other personal characteristics. It Q. 7. What are the basic patterns of race and
also means a priori beliefs (without knowledge of the ethnic group relations?
facts) and includes ‘any unreasonable attitude that is Ans. The basic patterns of race and ethnic relations
unusually resistant to rational influence.’ Although are amalgamation (blending two or more groups into
positive and negative prejudice both exist, when used a society that reflects the cultural and biological traits

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CONCEPTUALIZING ETHNICITY / 117

of the group), assimilation, pluralism, structured identity is further marked by the recognition from
inequality, population relocation and extermination. others of a group’s distinctiveness.
Q. 8. How do conflict theorists define inter- Q. 11. What do you mean by Ethno-
group conflict and what are the five major factors nationalism?
that might contribute to it? Ans. Ethno-nationalism is a form of nationalism
Ans. When conflict exists between two groups the wherein the ‘nation’ is defined in terms of ethnicity.
group that gains the most power, wealth and prestige Whatever specific ethnicity is involved, ethnic
becomes the majority regardless of its size. The five nationalism always includes some element of descent
major factors that contribute to such conflict are visible from previous generations. Furthermore, the central
differences between groups, competition for resources, theme of ethnic nationalists is that ‘...nations are
racist ideology, potential for exploitation and the defined by a shared heritage, which usually includes a
minority group response to the majority definition of common language, a common faith, and a common
the situation. ethnic ancestry.’ It also includes ideas of a culture
Q. 9. What are some of the possible sources of shared between members of the group, and with their
prejudice and discrimination? ancestors, and usually a shared language; however it
Ans. Prejudice may be formed through both is different from purely cultural definitions of ‘the
individual and group influences including nation’ (which allow people to become members of a
socialization, rationalizing through stereotypes, the nation by cultural assimilation) and a purely linguistic
scapegoating process, reinforcement of a self-fulfilling definitions (which see ‘the nation’ as all speakers of a
prophecy ramification of an authoritarian personality specific language).
and degree of contact with minority groups. The central political tenet of ethno-nationalism is

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Q. 10. What do you mean by ethnic group? that each ethnic group on earth is entitled to self-
Ans. An ethnic group is a group of people whose determination. The outcome of this right to self-
members identify with each other, through a common determination may vary, from calls for self-regulated
heritage that is real or assumed - sharing cultural administrative bodies within an already established
characteristics. This shared heritage may be based upon society, to an autonomous entity separate from that

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putative common ancestry, history, kinship, religion, society, to a sovereign state removed from that society.
language, shared territory, nationality or physical In international relations, it also leads to policies and
appearance. Members of an ethnic group are conscious movements for irredentism - to claim a common nation
of belonging to an ethnic group; moreover ethnic based upon ethnicity.

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118

23
Construction of Identities
context, here the religion was the marker for such
INTRODUCTION purpose.
Identity may be defined as a vision, quest and Construction of Identity
internalization of a attitude which provides image of Identity may refer to the quality of sameness
self and others. The term has been interpreted where persons associate and become associated by
differently in different context and became popular in the others on the basis of certain common features,

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1950s. the International Encyclopedia of the Social e.g. ‘Ethnic identity’. Further the term identity has
Sciences (1968) recognized it by publishing two articles been used for various groups and categories like
on identity. families, classes, communities and nations.
The term ‘identity’ was introduced by a ERIKSON’S CONTRIBUTIONS
psychoanalytic theorist, Erik H. Erikson (1959). It is TO IDENTITY CONSTRUCTION
derived from Latin word idem and is in common use In 1963, the reprinted book of Erikson, Childhood

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in the English language since 16th century. The and Society became very popular. He studied Mahatma
technical and philosophical use of the term was Gandhi’s personality. According to Hein, identity is
explained by the Philip Gleason (1983).‘There are located in the core of the individual and also in the
many definitions of identity but for our purpose identity core of his communal culture. Erikson also dealt with
may be defined as the sameness of a person or thing at the developing American identity which seemed to him

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all times or in all circumstances provided that the supporting an individual’s ego identity (1963).
person or thing itself (and not something else) is Erikson stated that adolescence is the age of the
individuality or personality in every case. final establishment of a dominant positive ego identity.
According to Jenkins (1998), ethnic identity
CHAPTER AT A GLANCE should be conceptualized as a basis of human
THE SEARCH FOR IDENTITY experience. Our ethnic identities are constructed and
Psychology defines personal identity is the reconstructed by us on the turf of our experiences which
condition or fact of remaining the same person may differ from situation to situation (Byron, 2002).
throughout the various phases of existence. In social IDENTITY AND IDENTIFICATION
sciences, identity is traced to Locke’s essay Concerning The term ‘identification’ is closely related to
Human Understanding (1690) and David Hume’s identity. Earlier used in psychology by Sigmund Freud
Treatise on Human Nature. The evolutionary to describe a process by which a child relates and
anthropological theory which considered peychic unity assimilates to itself external person and objects. Later,
of mankind as a fact denied the notion of identity or in 1954, this term was extended by Gordon W. Allport
individuality. to explore ethnicity in his book The Nature of Prejudice.
The work of Langbaum describes how Locke’s Concept of Identification
challenge to the notion of ‘unity of the self’ was taken Social values and attitudes are the obvious areas
up by the writers and poets like D.H. Lawrence and where identification may take place. A child
William Wordsworth. Immigration played an important confronting a social value for the first time may ask
role in strengthening configurations of identity. Oscar his parents about it. For example He may ask, ‘what
Kandlin’s The Uprooted (1951) which treated identity are we? Are we Jews, Protestants or Catholics?’ The
significantly (Gleason 1983). Will Herberg’s parents answer to these type of questions satisfies
Protestant-Catholic Jew (1955) placed ‘identity’ and the child and he accepts his membership.
‘identification’ as key to locating oneself in a social (Allport, 1954)

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CONSTRUCTION OF IDENTITIES / 119

Allport’s work influenced Ralph Linton and The different processes of identification is
Merton in their sociological theories of role and conceptualized by sociological theory within the
reference group. Further, Foote (1951) added general purview of process of assimilation and a similar
‘motivation in social interactions’ to Allports identity expression is found in the writings of Yinger (1997),
concept and put forward different explanation of Stem and Hill (1977) and Sandra Wallman (1986).
identification as that of Freud.. Identification was NATIONAL CHARACTER
examined by J.Milton Singer as a consequence of AND IDENTITY STUDIES
The domain of personal was shifted to constructing
process of assimilation.
natural identity in the post–World War II era. This
IDENTITY IN SOCIOLOGICAL THEORY
called for definng national character and ensuring it
The notion of identity developed by Erikson as a moral value. New boundaries and large scale
influenced formulation of constructs of social identity. migrations made it a necessary requirement. The works
In his book, The Study of Man (1936), Linton came of anthropologists like Margaret Mead and Ruth
close to analyzing notions of identity through his Bendict in 1940s became very important in sociology
concepts of role and status. This role theory focused and gave rise to Erikson’s concept of identity.
on the interactive nature of identity which was later
Eriksons Conceptualization of Identity
criticized by Foote who emphasized motivations in
According to Erikson, Functioning American
the formation of identity. bases his final ego-identity on some tentative
In an essay titled, Contributions to the Theory of combination of dynamic polarities like migratory and
Reference Group Behaviour (1950), Robert Merton sedentary, individualistic and standardized, etc.
along with Alice S. Kitt introduced the term in (Erikson, 1963). He also uses terms like ‘subliminial

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sociological writings. Merton further refined the panic’ during the war and ‘historical change’ which
concept of reference group in his Social Theory and has reached a stage where American identity
Social Structure where his primary concern was with experiences threat. (Cf-Gibbson, 1983)
examining social structures. He indirectly referred to
identity and identification by emphasizing the need to SELF-ASSESSMENT QUESTIONS
place these concepts in the context of reference group

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Q. 1. To what extent is identity formed in the
theory. adolescent years? What are its social components?
Self and Identity Discuss.
Symbolic interactions brought the concept, the Ans. Identity formation is the process of the
concept of identity to the centre of sociological development of the distinct personality of an individual

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literature. This school came into prominence in the regarded as a persisting entity (known as personal
1940s and attempted to explain how social continuity) in a particular stage of life in which
interaction mediated through shared symbolic individual characteristics are possessed by which a
systems, shaped the self-consciousness of the person is recognized or known (such as the
individual (Merton, 1968). The thinkers of this establishment of a reputation). This process defines
school such as Charles Harton Cooley and George individuals to others and themselves. Pieces of the
Herbert Mead used ‘the self’ for identity. Later entity’s actual identity include a sense of continuity, a
Erving Goffman (1963) substituted ‘the self’ by sense of uniqueness from others, and a sense of
‘identity’. His work Stigma: Notes on the affiliation. Identity formation leads to a number of
Management of Spoiled Identity followed and issues of personal identity and an identity where the
Berger’s Invitation to Sociology: A Humanistic individual has some sort of comprehension of him or
Approach, the term identity became permanent herself as a discrete, separate entity. This may be
sociological literature. through individuation whereby the undifferentiated
individual tends to become unique or undergoes stages
MULTIPLE IDENTITIES through which differentiated facets of a person’s life
Today an individual bears multiple identities tend toward becoming a more indivisible whole.
which may be mutually exclusive or compatible. Yiger During the interpersonal identity development an
(1997) has explained this complex creation of identity. exchange of propositions and counter-propositions
In his paper, Dilemma of Identity Assertion in a occurs resulting in a qualitative transformation of the
Pluralistic Society: A Case Study of Indian Polity, individual in the direction of the interaction. The aim
Mehta makes similar assertions by examining ‘core’ of the interpersonal identity development is to try to
and ‘peripheral identities’ while discussing multiple resolve the undifferentiated facets of an individual. The
identities. individuals existence is undifferentiated, but this upon

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examination, is found to be indistinguishable from At this stage, adolescents often reject their parents,
others. Given this, and with other admissions, the and all that they stand for so that they can make a
individual is lead to a contradiction between self and clean break from childhood as they attempt to form an
others; thus, forcing the withdrawal of the identity of their own. They are hungry for role models
undifferentiated self as a truth. In resolution of this and can be rather indiscriminate about where they find
incongruence, the person integrate or rejects the them. With their sense of identity in flux, teens will
encountered elements which results in a new identity. often turn to peer groups for that missing sense of
During each of these exchanges human beings belonging. This explains some of the cult-like
encounter when they go through life, the person succeed tendencies amongst early adolescents to worship the
in resolving the exchange and faces future exchanges. same heroes (movie stars, singers), wear the same
The exchanges are recurring, as the changing world clothes and ‘rebel’ against traditional authority. The
constantly presents exchanges between individuals thus interesting thing about this so called rebellion is that
allowing individuals to redefine themselves. An it’s often actually another form of conformity–Gina
individual is also influenced by their family, whether wants a tattoo or a navel ring because everyone else is
they be biological, extended or even adoptive families, getting them. Everyone has platform shoes so she’ll
they each have their own influence on identity through feel like an outcast if she’s not wearing them.
the interaction that takes place between the family At this stage of development (usually early teens),
members. “Information regarding possible identities role models can make a critical difference in choices
of possible selves comes from various contexts that adolescents make, choices that could affect the course
surround adolescents and temporal commitments are of their lives. At this age, teens have a strong need to
tested and practiced in interaction with others.” idealize others, especially those who are older and more

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Basically stating that an individual’s identity (more worldly, qualities they desperately want to possess. They
specifically an adolescent) is influenced by the people can be as easily awed by an older (that is, 18 or 19
around them and the environment in which they live. year-old) who drives a fancy car and pushes drugs, as
Also if a family does not have integration, this seems by a sports hero who espouses clean living, hard work
to help form identity diffusion (this is one of James and dedication.

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Marcia’s four identity statuses, meaning that an Those of us who parent or counsel young teens
individual has not made commitments and does not want them to make healthy choices. For a time, it may
try to make commitments.) in both males and females. feel to parents as if they have little control over this, as
Proving that a family has influence on an individual though the media, school, peers and other influences
no matter if the influence be good or bad. outside the home have a far stronger hold on their

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Children edge closer and closer to adulthood, it teenagers than they do. One thing parents can do to
seems they reach a point where they want to be defined gain some sense of efficacy is to provide their kids with
by anything but their parents. They stop wanting to healthy role models in their lives. Often people look
spend time with family, and may even detest being seen back on their adolescence and identify a sports coach,
with their parents. “Please drop me off a block from teacher, neighbour or relative that had a relatively
school, Mom. I want to walk the rest of the way.” These fleeting but powerful impact on their lives. If you‘re
words are painful to a mother who has devoted many suddenly no longer your son or daughter’s hero as they
years of her life to meeting all of her teenage son’s move through adolescence, try to make sure there are
needs. Suddenly, he’s embarrassed to be seen in the other worthy candidates to fill the void.
same car with her. The other thing to do when counselling adolescents
The process of separation from parents is a natural searching for a sense of identity is to encourage them
one. Erik Erikson was the first major psychological to look inside themselves, rather than outside, for the
theorist to develop the notion of an adolescent ‘identity answers. This is not always easy. With one client I’ll
crisis.’ In his view, all of the earlier crystallizations of call Mary, it took great patience and lots of long, uneasy
identity formed during childhood come into question silences to begin to separate out her true desires from
during adolescence with the overwhelming those of her peers and parents. But if she continues to
combination of physical changes, increased sex drive, do this, and withstands pressure from others to
expanded mental abilities, and increasing and conform, she’ll be a much healthier young adult with
conflicting social demands. To develop a sense of a strong sense of her own identity.
identity amidst the confusion, Erikson stated in Ultimately, as a parent, you are your children’s
Identity: Youth and Crisis that adolescents need to try most important role model. While there may be times
on a variety of roles and “must often test extremes when your teenager seems to be rejecting your values
before settling on a considered course.” and all that you stand for, recognize this as a phase,

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CONSTRUCTION OF IDENTITIES / 121

and something they need to do to develop a sense of

ADDITIONAL IMPORTANT QUESTIONS
self. If your parenting has been consistent, and you’ve
communicated good sense and good values throughout Q. 1. Write about the contribution of theory of
your children’s lives, trust that as they’re sorting identity by Erik Erikson.
through what to keep and what to discard in the turmoil Ans. Erik Erikson was one of the earliest
of adolescence, they will hold on to some of the good psychologists to be explicitly interested in identity. The
things you have given them. But be prepared to Eriksonian framework rests upon a distinction among
compromise, to accept that your children’s choices may the psychological sense of continuity, known as the
not be the same as your own. They will ultimately ego identity (sometimes identified simply as “the self”);
choose the mix that fits them best as a unique the personal idiosyncrasies that separate one person
individual. from the next, known as the personal identity; and the
Q. 2. Relate and compare reference group collection of social roles that a person might play,
theory to the personal identity theory. known as either the social identity or the cultural
Ans. A reference group is a concept referring to a identity. Erikson’s work, in the psychodynamic
group to which an individual or another group is tradition, aimed to investigate the process of identity
compared. formation across a lifespan. Progressive strength in the
Sociologists call any group that individuals use as ego identity, for example, can be charted in terms of a
a standard for evaluating themselves and their own series of stages in which identity is formed in response
to increasingly sophisticated challenges. On some
behavior a reference group.
readings of Erikson, the development of a strong ego
Reference groups are used in order to evaluate and
identity, along with the proper integration into a stable

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determine the nature of a given individual or other society and culture, lead to a stronger sense of identity
group’s characteristics and sociological attributes. It in general. Accordingly, a deficiency in either of these
is the group to which the individual relates or aspires factors may increase the chance of an identity crisis or
to relate himself or herself psychologically. It becomes confusion. (Cote and Levin, 2002,)
the individual’s frame of reference and source for Although the self is distinct from identity, the
ordering his or her experiences, perceptions, cognition, literature of self-psychology can offer some insight into

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and ideas of self. It is important for determining a how identity is maintained (Cote and Levin, 2002).
person’s self-identity, attitudes and social ties. It From the vantage point of self-psychology, there are
becomes the basis of reference in making comparisons two areas of interest: the processes by which a self is
or contrasts and in evaluating one’s appearance and formed (the ‘I’), and the actual content of the schemata
performance. which compose the self-concept (the ‘Me’). In the latter

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Reference groups provide the benchmarks and
contrast needed for comparison and evaluation of group
and personal characteristics. Robert K. Merton
field, theorists have shown interest in relating the self-
concept to self-esteem, the differences between complex
and simple ways of organizing self-knowledge, and
hypothesized that individuals compare themselves with the links between those organizing principles and the
reference groups of people who occupy the social role processing of information. (Cote and Levin, 2002)
to which the individual aspires. The “Neo-Eriksonian” identity status paradigm
Reference groups act as a frame of reference to emerged in later years, driven largely by the work of
which people always refer to evaluate their achieve- James Marcia. This paradigm focuses upon the twin
ments, their role performance, aspirations and concepts of exploration and commitment. The central
idea is that any individual’s sense of identity is
ambitions. A reference group can be either from a
determined in large part by the explorations and
membership group or non-membership group. An
commitments that he or she makes regarding certain
example of a reference group being used would be the personal and social traits. It follows that the core of
determination of affluence. An individual in the U.S. the research in this paradigm investigates the degrees
with an annual income of $80,000, may consider to which a person has made certain explorations, and
himself affluent if he compares himself to those in the the degree to which he or she displays a commitment
middle of the income strata, who earn roughly $32,000 to those explorations.
a year, If, however, the same person considers the A person may display either relative weakness or
relevant reference group to be those in the top 0.1% of relative strength in terms of both exploration and
households in the US, those making $1.6 million or commitments. When assigned categories, four possible
more, then the individual’s income of $80,000 would permutations result: identity diffusion, identity
make him or her seem rather poor. foreclosure, identity moratorium, and identity

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122 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

achievement. Diffusion is when a person lacks both identity remarks upon: place, gender, race, history,
exploration in life and interest in committing even to nationality, sexual orientation, religious beliefs and
those unchosen roles that he or she occupies. ethnicity. National identity is an ethical and
Foreclosure is when a person has not chosen extensively philosophical concept whereby all humans are divided
in the past, but seems willing to commit to some into groups called nations. Members of a “nation” share
relevant values, goals, or roles in the future. a common identity, and usually a common origin, in
Moratorium is when a person displays a kind of the sense of ancestry, parentage or descent.
flightiness, ready to make choices but unable to commit A religious identity is the set of beliefs and
to them. Finally, achievement is when a person makes practices generally held by an individual, involving
identity choices and commits to them. adherence to codified beliefs and rituals and study of
Q. 2. Write a short note on self-concept of ancestral or cultural traditions, writings, history and
identity. mythology, as well as faith and mystic experience. The
Ans. Self-concept or self-identity is the sum total term ‘religious identity’ refers to the personal practices
of a being’s knowledge and understanding of his or related to communal faith and to rituals and communi-
her self. The self-concept is different from self- cation stemming from such conviction.
consciousness, which is an awareness of one’s self. In business, a professional identity is the ‘persona’
Components of the self-concept include physical, of a professional which is designed to accord with and
psychological, and social attributes, which can be facilitate the attainment of business objectives. A
influenced by the individual’s attitudes, habits, beliefs professional identity comes into being when there is a
and ideas. These components and attributes can not be philosophy which is manifest in a distinct corporate
condensed to the general concepts of self-image and culture - the corporate personality. A business

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the self-esteem. professional is a person in a profession with certain
Cultural identity is the (feeling of) identity of a types of skills that sometimes requiring formal training
group or culture, or of an individual as far as she/he is or education. The career development of an individual
influenced by her/his belonging to a group or culture. focuses on how individuals manage their careers within
Cultural identity is similar to and has overlaps with, and between organizations and how organizations

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but is not synonymous with, identity politics. There structure the career progress of their members, can be
are modern questions of culture that are transferred tied into succession planning within some organi-
into questions of identity. An ethnic identity is the zations.
identification with a certain ethnicity, usually on the In sociology, gender identity describes the gender
basis of a presumed common genealogy or ancestry. with which a person identifies (i.e. whether one

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Recognition by others as a distinct ethnic group is often perceives oneself to be a man, a woman, or describes
a contributing factor to developing this bond of oneself in some less conventional way), but can also
identification. Ethnic groups are also often united by be used to refer to the gender that other people attribute
common cultural, behavioural, linguistic, ritualistic, to the individual on the basis of what they know from
or religious traits. Processes that result in the emergence gender role indications (social behaviour, clothing, hair
of such identification are summarized as ethnogenesis. style, etc.). Gender identity may be affected by a variety
Various cultural studies and social theory investigate of social structures, including the person’s ethnic group,
the question of cultural and ethnic identities. Cultural employment status, religion or region, and family.

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123

24
Boundaries and Boundary Maintenance
of boundaries between groups of people. Barth’s view
INTRODUCTION is that such groups are not discontinuous cultural
After the discussion on the concepts of ethnicity isolates, or logical a prioris to which people naturally
and identity in previous chapters now make the belong.
explanation of boundaries and boundary maintenance Barth wants to part with anthropological notions
a necessity. While the importance of the notion of ethnic of cultures as bounded entities, and ethnicity as

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identity in globalized world is clear its must be primordialist bonds, replacing it with a focus on the
rembered how it sometimes translates to itself as interface between groups.
nationalism. sometimes it is responsible for creating Ethnic Groups and Boundaries, therefore, is a
sub-nationalities and for determining notions of focus on the interconnectedness of ethnic identities.
citizenship within political nation-states. Barth writes. “[...] categorical ethnic distinctions do
CHAPTER AT A GLANCE not depend on an absence of mobility, contact and

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information, but do entail social processes of exclusion
DEFINITIONS OF ETHNIC GROUP
and incorporation whereby discrete categories are
The definitions of Ethnic Group provided by
maintained despite changing participation and
Macmillian’s Dictionary of Anthropology (1986)
membership in the course of individual life histories.”
explains ethnic group as a group set apart from other
Furthermore, Barth accentuates that group categories

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groups based on linguistic, racial or cultural criterion.
It includes social classes, racial or national minority i.e. ethnic labels–will most often endure even when
groups and includes both social and cultural criteria. individual members move across boundaries or share
Max Weber’s definition mentions common descent an identity with people in more than one group.
as the basis of ethnic group. This belief is formed The interdependency of ethnic groups is a pivotal
because of similarities in physical type or of customs. argument throughout both the introduction and the
According to these definitions, we can see that following chapters in Barth’s edited book. As
ethnic groups form boundaries at cultural, linguistic interdependent, ethnic identities are the product of
and religious levels. According to Frederik Barth continuous so called ascriptions and self-ascriptions,
(Ethnic Groups and Group Boundaries, 1969), these whereby Barth stresses the interactional perspective
boundaries persist despite a flow of personnel across of social anthropology on the level of the persons
them. He adds that ethnic distinctions do not depend involved instead of on a socio-structural level. Ethnic
on an absence of social interaction and acceptance. identity becomes and is maintained through relational
FREDRIK BARTH: processes of inclusion and exclusion.
ETHNIC GROUP AND BOUNDARIES ASCRIPTION AS THE CRITICAL FACTOR
Narroll (1964) defines ethnic group as an ideal The members of the ethnic groups ascribe
type which is viewed as race = culture = language themselves to the status categories since ethnic groups
= society. However, Barth does not accept this definition are recognized as status categories. Cultural emblems
since it allows to assume that boundary maintenance such as symbols, dress and dialect play important role
is unproblematic and follows from the isolation. Barth in assertion of ascription. Barth (1969) stresses this
was the editor of Ethnic Groups and Boundaries (1969) criterian of ascription and points out that the nature of
in which he outlines an approach to the study of continuity of ethnic units depends on the maintenance
ethnicity which focuses on the on-going negotiations of boundary.

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124 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

POLY-ETHNIC SOCIETIES need to be analysed. Complex organization of behaviour

In his concept of ‘ethnic boundaries, Barth uses and social relations. The identification of another
the term ‘poly-ethnic’ instead of ‘multi-ethnic’. Earlier, person as a fellow member of an ethnic group implies
Furnivall (1944) had stated that in a plural society a sharing of criteria for evaluation and judgement. It
‘poly-ethnic society integrated in the market place thus entails the assumption that the two are
under the control of a state system dominated by one fundamentally ‘playing the same game’, and this means
of the groups, but leaving large areas of cultural that there is between them a potential for diversification
diversity in the religious and domestic sectors activity. and expansion of their social relationship to cover
These differentiations are experienced in India in day- eventually all different sectors and domains of activity.
to-day activities. On the other hand, a dichotomization of others as
MELTING POT AND BEYOND strangers, as members of another ethnic group, implies
In the post-World War II America, the individual a recognition of limitations on shared understandings,
ethnic nuclei was submerging in the larger concept of differences in criteria for judgement of value and
national identity. This was expressed by Bourne that performance, and a restriction of interaction to sectors
America was emerging as an example of a ‘melting of assumed common understanding and mutual
pot of races’ where all races and groups from different interest. This makes it possible to understand one final
parts of the world settle in America and melt their form of boundary maintenance whereby cultural units
boundaries in a common pot called ‘American National and boundaries persist. Entailed in ethnic boundary
Identity’. maintenance are also situations of social contact
In his work, Assimilation in American Life, Milton between persons of different cultures–ethnic groups
Gardon (1964) distinguished between pluralism and only persist as significant units if they imply marked

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assimilation process. Newman has given a formula difference in behaviour, i.e. persisting cultural
A+B+C=A to explain the assimilation process. Here, differences. Yet where persons of different culture
A is the dominant culture and others are expected to interact, one would expect these differences to he
merge their differences in this culture. Sometimes reduced, since interaction both requires and generates
A+B+C=D may be true where different cultures a congruence of codes and values – in other words, a

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assimilate to evolve a different identity. similarity or community of culture (Cf. Barth 1966,
CRITIQUE OF BARTH’S MODEL for my argumentation on this point). Thus the
Barth has provided an interesting insight into persistence of ethnic groups in contact implies not only
processes of cultural configurations but to argue that criteria and signals for identification, but also a
there is no structure is difficult to comprehend. Louis structuring of interaction which allows the persistence

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Dumont says that ideas and values can not be separated of cultural differences. The organizational feature
from structure. which, I would argue, must be general for all inter-
According to Jenkins and Moner Cohen, Barth ethnic relations is a systematic set of rules governing
fails to incorporate dynamic nature of ethnicity when interethnic social encounters. In all organized social
he evolves his model of ‘enclosures’. Moreover, Talat life, what can be made relevant to interaction in any
Asad (1972) places Barth in Hobbesian tradition. particular social situation is prescribed (Goffman,
1959). If people agree about these prescriptions, their
SELF-ASSESSMENT QUESTIONS agreement on codes and values need not extend beyond
Q. 1. Outline Barth’s position on boundary that which is relevant to the social situations in which
maintenance and then discuss its various aspects. they interact. Stable inter-ethnic relations presuppose
Ans. The critical focus of investigation from this such a structuring of interaction: a set of prescriptions
point of view becomes the ethnic boundary that defines governing situations of contact, and allowing for
the group, not the cultural stuff that it encloses. The articulation in some sectors or domains of activity, and
boundaries to which we must give our attention are of a set of proscriptions on social situations preventing
course social boundaries, though they may have inter-ethnic interaction in other sectors, and thus
territorial counterparts. If a group maintains its identity insulating parts of the cultures from confrontation and
when members interact with others, this entails criteria modification.
for determining membership and ways of signalling Q. 2. Explain the concept of the ‘melting pot’
membership and exclusion. Ethnic groups are not theory.
merely or necessarily based on the occupation of Ans. A theory that it is socially beneficial to
exclusive territories; and the different ways in which encourage ethnic groups to assimilate into a host
they are maintained, not only by a once-and-for-all society. Sporting contacts between different ethnic
recruitment, but by continual expression and validation, groups may facilitate this assimilation when members

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BOUNDARIES AND BOUNDARY MAINTENANCE / 125

of a team come from different backgrounds, but if the absorption of million of immigrants from Southern and
team members come from the same background, Eastern Europe was especially strong among
assimilation is less likely. eugenicists such as scientists Madison Grant and
The melting pot is a metaphor for a heterogeneous Lothrop Stoddard, who believed in the ‘racial’
society becoming more homogeneous, the different superiority of Americans of Northern European descent
elements ‘melting together’ into a harmonious whole as member of the ‘Nordic race’ and therefore demanded
with a common culture. It is particularly used to immigration restrictions to stop a ‘degeneration’ of
describe the assimilation of immigrants to the United America’s white racial ‘stock’. They believed that
States; the melting together metaphor was in use by complete cultural assimilation of the immigrants from
the 1780s. Southern and Eastern Europe was not a solution to the
After 1970 the desirability of assimilation and the problem of immigration because intermarriage with
melting pot model was challenged by proponents of these immigrants would endanger the racial purity of
multiculturalism, who assert that cultural differences Anglo-America. According to eugenist criminologist
within society are valuable and should be preserved, Edward A. Ross, such intermarriage (often termed
proposing the alternative metaphor of the salad bowl– ‘amalgamation’) would lead to ‘race suicide’. The
different cultures mix, but remain distinct. controversy over immigration faded away after
The concept of multiculturalism was preceded by immigration restrictions were put in place with the
the concept of cultural pluralism, which was first enactment of the Johnson-Reed Act in 1924.
developed in the 1910s and 1920s, and became widely In the United States, where the term melting pot
popular during the 1940s. The concept of cultural is still commonly used, despite being largely
pluralism first emerged in the 1910s and 1920s among disregarded by modern sociologists as an outdated and

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intellectual circles out of the debates in the United diffuse term, the ideas of cultural pluralism and
States over how to approach issues of immigration and multiculturalism have largely replaced the idea of
national identity. assimilation. Alternate models where immigrants retain
The First World War heightened tensions between their native cultures such as the ‘salad bowl’ or the
Anglo-American and German-Americans. The War ‘symphony’ are more often used by prominent

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and the Russian Revolution, which caused a ‘Red Scare’ sociologists to describe how cultures and ethnicities
in the U.S. also fanned feelings of xenophobia. During mix in the United States. Nonetheless, the term
and immediately after the First World War, the concept assimilation is still used to describe the ways in which
of the melting pot was equated by Nativists with immigrants and their descendants adapt, such as by
complete cultural assimilation towards an Anglo- increasingly using the national language of the host

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American norm (‘Anglo-conformity’) on the part of society as their first language.
immigrants, and immigrants who opposed such Since the 1960s, most of the research in Sociology
assimilation were accused of disloyalty to the United and History has disregarded the melting pot theory for
States. describing inter ethnic relations in the United States
The newly popularized concept of the melting pot and other counties. The theory of multiculturalism
was frequently equated with ‘Americanization’, offers alternative analogies for ethnic interaction
meaning cultural assimilation, by many ‘old stock’ including salad bowl theory, or, as it is known in
Americans. In Henry Ford’s Ford English School Canada, the cultural mosaic. In the 1990s, political
(established in 1914), the graduation ceremony for correctness in the U.S. emphasized that each ethnic
immigrant employees involved symbolically stepping and national group has the right to maintain and
off an immigrant ship and passing through the melting preserve its cultural distinction and integrity, and that
pot, entering at one end in costumes designating their one doesn’t need to assimilate or abandon one’s
nationality and emerging at the other end in identical heritage in order to blend in or merge into the majority
suits and waving American flags. However, not all ‘old European/Anglo-Saxon/American society.
stock’ Americans believed that immigrants could be In the multicultural approach, each ‘ingredient’
assimilated. Supporters of Anglo-Saxonism and 100 retains its integrity and flavour, while contributing to
per cent Americanism, such as Milton Gordon and a successful final product. In recent years, this approach
Henry Pratt Fairchild believed in the cultural has been officially promoted in traditional melting-pot
superiority of white Anglo-Americans to non-whites societies such as Australia, Canada and New Zealand,
and the new immigrants from Southern and Eastern with the intent of becoming more tolerant of immigrant
Europe, and perceived acculturation and intermarriage diversity. The decision of whether to support a melting-
with Southern and Eastern European immigrants as a pot or multicultural approach has developed into an
threat to Anglo-Americans. Opposition to the issue of much debate within some countries. For

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126 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

example, the French and British governments and Economic factors have been identified as one of
populace are currently debating whether Islamic the major causes of conflict. Theorists believe that
cultural practices and dress conflict with their attempts competition for scarce resources is a common factor in
to form culturally unified countries. almost all ethnic conflicts. In multi-ethnic societies
ethnic communities violently compete for property,
ADDITIONAL IMPORTANT QUESTIONS rights, jobs, education, language, social amenities and
Q. 1. Write a short note on Ethno-national good health care facilities. The working of economic
conflict. forces makes for tension between groups with
Ans. Sometimes ethnic groups are subject to competing interests.
prejudicial attitudes and actions by the state or its Ethnicity and ethnic conflict appear to be a
constituents. In the twentieth century, people began to response to the uneven development, which caused
argue that conflicts among ethnic groups or between ethnic groups to mobilise to compete for resources
members of an ethnic group and the state can and along ethnic lines. It follows that multi-ethnic countries
should be resolved in one of two ways. Some, like are likely to experience distributional conflicts. Another
Jürgen Habermas and Bruce Barry, have argued that major cause of ethnic conflict is psychology, especially
the legitimacy of modern states must be based on a the fear and insecurity of ethnic groups during
notion of political rights of autonomous individual transition. It has been opined that extremists build upon
subjects. According to this view, the state should not these fears to polarise the society. Additionally,
acknowledge ethnic, national or racial identity but memories of past traumas magnify these anxieties.
rather instead enforce political and legal equality of These interactions produce a toxic brew of distrust and
all individuals. Others, like Charles Taylor and Will suspicion that leads to ethnic violence. The fear of white

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Kymlicka, argue that the notion of the autonomous Afrikaners in South Africa on the eve of democratic
individual is itself a cultural construct. According to elections was a good case in point.
this view, states must recognize ethnic identity and Gurr’s (1970) relative deprivation theory offers an
develop processes through which the particular needs explanation based on an ethnic groups’ access to power
of ethnic groups can be accommodated within the and economic resources. This is closely related to
boundaries of the nation-state. Horowitz, (1985) who wrote that group worth is based

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The 19th century saw the development of the on the results of economic and political competitions.
political ideology of ethnic nationalism, when the According to Lake and Rothschild, (1996) ethnic
concept of race was tied to nationalism, first by German conflict is a sign of a weak state or a state embroiled in
theorists including Johann Gottfried von Herder. ancient loyalties. In this case, states act with bias to
Instances of societies focusing on ethnic ties, arguably favour a particular ethnic group or region, and
behaviours such as preferential treatment fuel ethnic

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to the exclusion of history or historical context, have
resulted in the justification of nationalist goals. Two conflicts. Therefore, in critical or difficult political
periods frequently cited as examples of this are the situations, the effectiveness of governance is dependent
19th century consolidation and expansion of the on its ability to address social issues and human needs.
German Empire and the 20th century Third Reich Recently, scholars have come out with different
(Greater German). Each promoted the pan-ethnic idea approaches to conceptualizing ethnicity. Faced with
that these governments were only acquiring lands that the proliferation of separatist conflicts in North
had always been inhabited by ethnic Germans. The America, the inadequacies underlying modernization
history of late-comers to the nation-state model, such theory are being exposed. The notion that modernity
as those arising in the Near East and South-eastern would result in smooth transition from gemeinschaf
Europe out of the dissolution of the Ottoman and (community) to gessellschaft (association), with
Austro-Hungarian Empires, as well as those arising gradual dissolution of ethnic affiliations, simply did
out of the former USSR, is marked by inter-ethnic not work. Ethnicity has persisted in North America,
conflicts. Such conflicts usually occur within multi- Africa and elsewhere. This failure simply means
ethnic states, as opposed to between them, as in other ethnicity will remain, and that the stability of African
regions of the world. Thus, the conflicts are often states is threatened not by ethnicity per se, but the
misleadingly labelled and characterized as civil wars failure of national institutions to recognize and
when they are inter-ethnic conflicts in a multi-ethnic accommodate ethnic differences and interests.
state. According to this argument, the lesson for ethnic
Q. 2. Mention at least five sources of ethno- conflict management is that governments should not
national conflict. discriminate against groups or they will create conflict.
Ans. Ethnic conflicts are therefore often caused The second theory is from the primordial school
by an attempt to secure more power or access more and stresses the uniqueness and the overriding
resources. importance of ethnic identity. From their point of view,

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BOUNDARIES AND BOUNDARY MAINTENANCE / 127

ethnicity is a biological and fixed characteristic of According to theorists, conflict management

individuals and communities. (Geertz, 1963) means constructive handling of differences. It is an art
The third theoretical approach is the of designing appropriate institutions to guide inevitable
Instrumentalist Argument. (Barth.1969, Glazer and conflict into peaceful channels. The importance of
Moynihan, 1975) In Africa where poverty and conflict management cannot be overemphasised. It is
deprivation are becoming endemic, mostly as a result when leaders and states fail to address important issues
of distributive injustice, ethnicity remains an effective and basic needs that violence brews. Nowhere is conflict
means of survival and mobilization. Ethnic groups that management and peaceful resolution of conflict more
form for economic reasons, easily disband after important than in Africa. African leaders should take
achieving their objectives. This corresponds with a second look at their behaviour and policy choices.
Benedict Anderson’s (1991) argument that ethnicity Emphasis here should be on discouraging corruption,
is “a construct” rather than a constant. embracing transparency and good governance.
Additionally, scholars’ attention has also shifted Q. 3. How does the complex of ethnic minorities
to the nature of ethnic conflict and violence because lead to ethnic conflict?
the post Cold War era has been marked by the Ans. Sometimes ethnic groups are subject to
resurgence of ethnic conflict and even genocide in some prejudicial attitudes and actions by the state or its
societies like Rwanda, Bosnia, and Zaire. constituents. In the twentieth century, people began to
An important theory on conflict and conflict argue that conflicts among ethnic groups or between
management is John Burton’s (1979, 1997) human members of an ethnic group and the state can and
needs theory. This approach to ethnic conflict explains should be resolved in one of two ways. Some, like
that ethnic groups fight because they are denied not Jürgen Habermas and Bruce Barry, have argued that

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only their biological needs, but also psychological needs the legitimacy of modern states must be based on a
that relate to growth and development. These include notion of political rights of autonomous individual
peoples’ need for identity, security, recognition, subjects. According to this view, the state should not
participation, and autonomy. This theory provides a acknowledge ethnic, national or racial identity but
plausible explanation of ethnic conflicts in Africa, rather instead enforce political and legal equality of
where such needs are not easily met by undemocratic all individuals. Others, like Charles Taylor and Will

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regimes. Kymlicka, argue that the notion of the autonomous
Here is the main section focus on John Burton’s individual is itself a cultural construct. According to
theory to explain ethnic conflict in Nigeria and South this view, states must recognize ethnic identity and
Africa, because it provided cogent reasons for the develop processes through which the particular needs
conflicts in the case studies. (Burton, 1979) The human of ethnic groups can be accommodated within the

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needs theory was introduced to debunk the other boundaries of the nation-state.
theories that attribute causes of conflict to the innately The 19th century saw the development of the
aggressive nature of human beings. (John Burton 1990) political ideology of ethnic nationalism, when the
The importance of this theory to ethnic conflict concept of race was tied to nationalism, first by German
management in Africa is that it moves beyond theories theorists including Johann Gottfried von Herder.
that blame African conflicts on a primordial past. Instances of societies focusing on ethnic ties, arguably
Instead, it points to ineffective institutions unable to to the exclusion of history or historical context, have
satisfy the basic human needs of their citizens. resulted in the justification of nationalist goals. Two
Wherever such non-negotiable needs are not met, periods frequently cited as examples of this are the
conflict is inevitable. Obviously, the problem of nineteenth century consolidation and expansion of the
ethnicity in Africa largely depends on the level of state German Empire and the 20th century Third Reich
effectiveness, accountability, and transparency in (Greater German). Each promoted the pan-ethnic idea
handling the demands of diversity. The focus on the that these governments were only acquiring lands that
human needs theory in this study does not mean the had always been inhabited by ethnic Germans. The
neglect of other theories, which I consider to be equally history of late-comers to the nation-state model, such
useful. as those arising in the Near East and south-eastern
It is necessary to emphasize that proper analysis Europe out of the dissolution of the Ottoman and
of ethnic conflicts is very important in order to avoid Austro-Hungarian Empires, as well as those arising
prescribing a wrong medicine for the ailment. Failure out of the former USSR, is marked by inter-ethnic
to find solutions to Africa’s ethnic problem will have conflicts. Such conflicts usually occur within multi-
devastating social and economic consequences on a ethnic states, as opposed to between them, as in other
continent that is already worn out by conflict, poverty regions of the world. Thus, the conflicts are often
and disease. misleadingly labelled and characterized as ‘civil war’

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when they are inter-ethnic conflicts in a multi-ethnic mobilization, a means whereby certain leaders create
state. and re-create their justification for holding power, than
Q. 4. Mention five dimensions of ethno-national a programme with a predictable or intended outcome”,
conflicts. although, again, no evidence is adduced to back up
Ans. The consociational and integrative such claims. At the same time the authors quote a U.N.
approaches can be fruitfully viewed as conceptual poles report indicating that the purpose of ethnic cleansing
in a spectrum of specific conflict-regulating institutions is “to instill terror in a civilian population, in order to
and practices that promote power sharing. Which cause them to flee and never return”–a rather clear
approach and which practices are best is highly rationale obviously in the perceived ethnic interests of
contingent upon the patterns and dynamics of a the group doing the cleansing.
particular conflict. Indeed, a given political system may (c) Ethnic Domination: The act of ethnic
fruitfully incorporate aspects of both approaches domination is exercise of power in ruling; dominion;
simultaneously. It is useful to consider the practices in supremacy; authority; often, arbitrary or insolent sway
terms of three sets of variables that apply to both of one ethnic group by on the another ethnic group.
approaches: territorial division of power, decision rules, Q. 6. Discuss five implications of ethno-national
and public policies (for example, on language, conflicts.
education, and resource distribution) that define Ans. Five implications of ethno-national conflicts
relations between the state and ethnic groups. are:
Five consociational conflict-regulating practices Creating a mixed or non-ethnic federal
are: structure.
Granting territorial autonomy and creating Establishing an inclusive, centralized unitary

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confederal arrangements. state.
Creating a polycommunal or ethnic federation Adopting majoritarian but ethnically neutral,
Adopting group proportional representation in or nonethnic, executive, legislative, and
administration appointments, including administrative decision-making bodies.
consensus decision rules in the executive. Adopting a semi-majoritarian or semi-
Adopting a highly proportional electoral proportional electoral system that encourages

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system in a parliamentary framework. the formation of preelection coalitions (vote
Acknowledging group rights or corporate (non- pooling) across ethnic divides.
territorial) federalism. Devising ethnicity-blind public policies.
Q. 5. What do you understand by following Q. 7. Suggest some measures to curb ethno-
terms: Give one example of each. national conflicts.

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(a) Ethnic Secession Ans. A number of scholars have attempted to
(b) Ethnic Cleansing synthesize the methods available for the resolution,
(c) Ethnic Domination management or transformation of ethnic conflict. John
Ans. (a) Ethnic Secession: Secession of Coakley, for example, has developed a typology of the
individuals and communities does not have to mean methods of conflict resolution that have been employed
war and violence. It should be a natural evolutionary by states, which he lists as–indigenization,
feature of all political entities. Communities can form accommodation, assimilation, acculturation,
networks or confederations, since secession is accepted population transfer, boundary alteration, genocide and
by both in principle. However, communities will not ethnic suicide.
form ‘federations’ which by definition do not allow John McGarry and Brendan O’Leary have
secession. developed a taxonomy of eight macro-political ethnic
(b) Ethnic Cleansing: Ethnic cleansing in the conflict regulation methods, which they note are often
broad sense–the forcible deportation of a population– employed by states in combination with each other.
is defined as a crime against humanity under the They include a number of methods that they note are
statutes of both International Criminal Court (ICC) and clearly morally unacceptable.
the International Criminal Tribunal for the Former Methods for eliminating differences are:
Yugoslavia (ICTY). The gross human-rights violations Partition and/or secession (self-determination)
integral to stricter definitions of ethnic cleansing are Integration and/or assimilation
treated as separate crimes falling under the definitions Hegemonic control
for genocide or crimes against humanity of the statutes. Arbitration (third-party intervention)
Examples range from ancient history to modern day Cantonization and/or federalization
situations. the ethnic cleansing that has occurred in Consociationalism or power-sharing.
Eastern Europe “is perhaps more a tool for political

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129

THEORIES OF SOCIAL STRATIFICATION

25
Concepts of Difference and Inequality
stratification where our attention is directed to the way
INTRODUCTION
hierarchy and difference relate to each other.
The concept of inequality is the basic component According to Beteille (1969), two important
of the of stratification in society. It refers to imbalance aspects of social inequality are the distributive aspect
in quantity, size, degree and imbalance in ability or which refers to the occupation, education, income, skill,
resources to meet a challenges of our life. Inequality is wealth, power, etc. and the relational of aspect which
in caste, class, power relations and gender. However, refers to the ways in which the individuals differentiated
in simple societies based on kinship, stratification may by the different factors related to each other within a
manifest itself in status distinctions determined by age,

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system of groups and categories.
sex, and personal features (Sahlins, 1969).
NATURAL AND SOCIAL INEQUALITY
Inequality arises out of differences. Our concern
According to Rousseau (1754) there are two kinds
here is with finding out how and in what differences
between people get transformed into inequalities. There of inequality in society: (i) natural or physical related
are two broad types of inequality: natural inequality to difference of age, health, bodily strength, and mental
and social inequality. abilities and (ii) moral or political inequality which

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refers power or honour, i.e. to differences in privileges
CHAPTER AT A GLANCE established or authorized by the consent of people
DIFFERENCE AND INEQUALITY: themselves. Tocqueville (1956) admits that natural
CONCEPTUAL UNDERSTANDING inequality is difficult to get rid of and that equality
The division of people between different categories remained a cherished ideal. He distinguished between

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in society is called social stratification. It is important aristocratic society (characterized by rigid hierarchy
to understand here that difference between categories of estates or castes) and democratic society
is important, however, no weightage is attached to the (characterized by mobility of individuals across
difference between them, i.e. the categories are not classes). On the lines of Tocqueville’s idea, Beteille
statuses or unequal rewards. However, when unequal explained that all systems are mixed and real situations
statuses are attached to social categories and these are pure hierarchy or equality does not exist. What exists
ranked on the baisis of one or more defining factors, is the equilibrium between incompatible and ever-
they are treated as unequal. Gupta (2004) states that varying forces”. He proposed a distinction between
differences assume importance when ranking harmonic (society divided into groups that are
diversities becomes difficult. In the concept of social hierarchically placed and are accepted as appropriate)
stratification both difference and inequality inherent. and disharmonic systems (where consistency does not
Social Stratification: Difference and Inequality exist in division of groups).
The forms of stratification based on difference MAJOR THEORETICAL PERSPECTIVES
should not be taken in place of power or wealth The functionalist, the Marxian and the Weberian
because then the geological model would not work. perspectives are the principal perspectives which try
For instance, linguistic difference cannot be placed to explain social stratification in society. The
in hierarchy. However, the differences between men functionalist perspective seeks to explain social
and women understood in terms of inequality and stratification in terms of its contribution to the
are hierarchised in popular consciousness. Men are maintenance of social order and stability in society.
considered to be superior to women, certain For instance, Parsons believed that order and stability
linguistic group to be less civilised than others. in society are based on values held in common by people
In sociology, the conceptual need to separate these in society. Those individuals who follow these values
two orders arises (Gupta, 2004) because of social are ranked above others.

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The Marxist perspective which emphasizes on Symbolic incentives: Self-respect and ego
divisive rather than integrative aspect of stratification. (Order of Canada).
It regards social stratification as a means through which Two Determinants of Positional Rank (Reward)
the upper rung group exploits those in the lower rungs. Functional importance:
According to it, there are two major classes or strata functional uniqueness: no other position can
in society: one controls the forces of production and perform its duties (e.g. Prime Minister)
the other who does not own anything except labour. Dependence: degree to which other positions are
Thus, the system of stratification is based on the dependent on it (entire country; elected and appointed
relationship of social groups to the forces of production. government positions)
According to the Weberian perspective, scial Scarcity of Personnel; Talent; Training
stratification is based on class situation which the scarcity in the supply of personnel for a
corresponds with market situation. This means those functionally important position,
who share common class situation also share similar the availability of talent to fill that position,
life chances and form one strata. In capitalist society, the difficulty of the training for the positions.
Weber identified four groups: the propertied upper-class, Summary
the propertyless, white collar workers; the petty The rewards of a position depend on:
bourgeoisie and the manual working class. Agreeing with its functional importance
Marx on the significance of the economic dimension of
scarcity of personnel
stratification, Weber added the aspects of power and
talent availability
prestige also. He emphasized that differences in lifestyles
are caused by status differences. In the words of Tumin’s training difficulty
According to Tumin (1953, rpt. 1967), the central

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(1958), “As distinguished from the consequences of
property differences for life chances, status differences, argument of Davis and Moore can be summarized in
according to Weber, lead to differences in life-styles seven sequential propositions and on this basis he
which form an important element in the social criticizes them. He argues that it is not proper to treat
exclusiveness of various status groups.” certain positions as functionally more important than
DEBATE others, e.g. it is not proper to say that the engineers in

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Two functionalists, Kinsley Davis and Wilbert a factory are functionally more than the unskilled
Moore discussed the issues of functional necessity of workers because some labour of the unskilled workers
social stratification along with its determinants of is as important as some labour force of engineers.
positional rank, societal functions and stratification and Dysfunctions of Stratification
variation in stratified system in detail. According to According to Tumin (1967), we can observe

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them, unequal distribution rights and perquisites the following dysfunctions of stratification:
making for social inequality provides the motivation 1. Social stratification limits the coverage of
to people to perform duties associated with a given
the full range of talent available in a society.
position and to achieve position that affords more
prestige. “Social inequality is...an unconsciously 2. It set limits upon the possibility of productive
evolved device by which societies ensure that the most resources of the society.
important positions are conscientiously filled by the 3. The political power is in the hands of the
most qualified persons.” elite. This power is necessary to procure acceptance
Assumptions: Duties of Various Positions and dominance of an ideology which rationalizes
not equally pleasant to perform the status quo.
require various degrees of talent and ability to 4. Social stratification systems distribute
perform favourable self-images unequally throughout a
vary in their functional importance to society. population.
Assumptions: Society must have 5. It limits the process of social integration due
some rewards that act as inducements to fill to unequal rewards giving rise to suspicion among
the positions and ensure the duties are
the less privileged.
performed.
way of distributing these rewards among 6. Social stratification systems distribute
various positions. unequally the sense of significant membership in
Three Types of Rewards the population of the society.
Economic incentives: Sustenance and comfort 7. Loyalty is also distributed unequally.
(money) 8. Social stratification distributes the
Esthetic incentives: Humour and diversion motivation to participate unequally.
(video games)

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CONCEPTS OF DIFFERENCE AND INEQUALITY / 131

However, Davis asserts that Tumin seeks to many, if not most societies, there are limits beyond
demolish the concept of institutionalized inequality. which its use becomes misleading. The arrangement
He offers no stratified inequality. of persons in a society is enormously more complex
THE RISE OF MERITOCRACY than the arrangement of the layers of the earth; and
According to Michael Young, a future British social strata are not visible to the naked eye in the way
society that he projected was a society in which all the that geological strata are.
members were provided equal opportunity to realize When we talk of social stratification we draw
their talent and the most able people would occupy the attention to the unequal positions occupied by
most important position in society. This arrangement individuals in society. Sometimes the term is used very
of roles was called meritocracy. Meritocracy is a system broadly to refer to every kind of inequality, although it
of a government or other organizations wherein may be useful to restrict it to inequalities between
appointments are made and responsibilities assigned groups or categories of persons with a definite or at
to individuals based upon demonstrated talent and least a recognizable identity. Thus we speak of
ability (merit). In a meritocracy, society rewards those stratification between manual and non-manual workers
who show talent and competence as demonstrated by or between Blacks and Whites, but not usually of
past actions or by competition. Evaluation systems, stratification between the members of a family. The
such as formal education, are closely linked to notions implication of this is that one may reasonably describe
of meritocracy. such simple societies as of the Andaman Islanders or
This is opposed to other value systems, where the Kung Bushmen as being unstratified although there
reward and legitimacy is based upon possession of certainly are inequalities in these societies.
wealth (plutocracy), origin (aristocracy), family Q. 2. Discuss the major theoretical perspectives

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connections (nepotism), property (oligarchy), on social stratification.
friendship (cronyism), seniority (gerontocracy), Ans. According to the functionalist perspective,
popularity (democracy) or other historical determinants also called functionalism, each aspect of society is
of social position and political power. interdependent and contributes to society’s functioning
as a whole. The government, or state, provides
SELF-ASSESSMENT QUESTIONS education for the children of the family, which in turn

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pays taxes on which the state depends to keep itself
Q. 1. Distinguish between natural inequality
and social inequality. running. That is, the family is dependent upon the
Ans. Rousseau discusses two types of inequality, school to help children grow up to have good jobs so
natural or physical and ethical or political. Natural that they can raise and support their own families. In
the process, the children become law-abiding, tax

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inequality involves differences between one man’s
physical strength and that of another–it is a product of paying citizens, who in turn support the state. If all
nature. Rousseau is not concerned with this type of goes well, the parts of society produce order, stability,
inequality and wishes to investigate moral inequality. and productivity. If all does not go well, the parts of
He argues moral inequality is endemic to a civil society society then must adapt to recapture a new order,
and relates and causes differences in power and wealth. stability, and productivity. For example, during a
This type of inequality is established by convention. financial recession with its high rates of unemployment
Rousseau appears to take a cynical view of civil society, and inflation, social programmes are trimmed or cut.
where man has strayed from his ‘natural state’ of Schools offer fewer programmes.
isolation and consequent freedom to satisfy his Sociologists Kingsley Davis and Wilbert Moore
individual needs and desires. For Rousseau, civil society believed that stratification serves an important function
is a trick perpetrated by the powerful on the weak in in society. In any society, a number of tasks must be
order to maintain their power or wealth. accomplished. Some tasks, such as cleaning streets or
Social inequality is a universal phenomenon in serving coffee in a restaurant, are relatively simple.
all societies. It can exist either in form of a hierarchy Other tasks, such as performing brain surgery or
of groups or individuals or it may exist without the designing skyscrapers, are complicated and require
creation of a hierarchy. In the former case it is called more intelligence and training than the simple tasks.
social hierarchy. Social stratification refers to the Those who perform the difficult tasks are therefore
division of people into layers or strata, which may be entitled to more power, prestige, and money. Davis and
thought of as being vertically arranged, in the same Moore believed that an unequal distribution of society’s
way that layers of the earth are arranged above or below rewards is necessary to encourage people to take on
other layers. Although the geological metaphor which the more complicated and important work that required
sociologists use draws attention to a striking feature of many years of training. They believed that the rewards

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attached to a particular job reflect its importance to inspiration for communism. Morgan spoke of a
society. situation in which people living in the same community
Sociologist Melvin Tumin took issue with Davis pooled their efforts and shared the rewards of those
and Moore’s theory. He disagreed with their assumption efforts fairly equally. He called this “communism in
that the relative importance of a particular job can living.” But when Marx expanded on these ideas, he
always be measured by how much money or prestige is still emphasized an economically-oriented culture, with
given to the people who performed those jobs. That property defining the fundamental relationships
assumption made identifying important jobs difficult. between people. Yet, issues of ownership and property
Were the jobs inherently important, or were they are arguably less emphasized in hunter-gatherer
important because people received great rewards to societies. This, combined with the very different social
perform them? and economic situations of hunter-gatherers may
If society worked the way Davis and Moore had account for many of the difficulties encountered when
envisioned, Tumin argued, all societies would be implementing communism in industrialized states. As
meritocracies, systems of stratification in which Ingold points out: “The notion of communism, removed
positions are given according to individual merit. from the context of domesticity and harnessed to
Ability would determine who goes to college and what support a project of social engineering for large-scale,
jobs someone holds. Instead, Tumin found that gender industrialized states with populations of millions,
and the income of an individual’s family were more eventually came to mean something quite different from
important predictors than ability or what type of work what Morgan had intended: namely, a principle of
an individual would do. Men are typically placed in a redistribution that would override all ties of a personal
higher social stratification than women, regardless of or familial nature, and cancel out their effects.”

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ability. A family with more money can afford to send Max Weber
its children to college. As college graduates, these Max Weber was strongly influenced by Marx’s
children are more likely to assume high-paying, ideas, but rejected the possibility of effective
prestigious jobs. Conversely, people born into poverty communism, arguing that it would require an even
are more likely to drop out of school and work low- greater level of detrimental social control and
paying jobs in order to survive, thereby, shutting them

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bureaucratization than capitalist society. Moreover,
off from the kinds of positions that are associated with
Weber criticized the dialectical presumption of
wealth, power, and prestige.
proletariat revolt, believing it to be unlikely.Instead,
In Marxist theory, the capitalist mode of production
he developed the three component theory of
consists of two main economic parts—The Base and
stratification and the concept of life chances. Weber
the Superstructure. The base comprehends the relations

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of production–employer-employee work conditions, the supposed there were more class divisions than Marx
technical division of labour, and property relations– suggested, taking different concepts from both
into which people enter to produce the necessities and functionalist and Marxist theories to create his own
amenities of life. In the capitalist system, the ruling system. He emphasized the difference between class,
classes own the means of production, which essentially status, and party, and treated these as separate but
includes the working class itself as they only have their related sources of power, each with different effects on
own labour power (‘wage labour’) to offer in order to social action. Working around half a century later than
survive. These relations fundamentally determine the Marx, Weber claimed there to be in fact four main
ideas and philosophies of a society, constituting the classes: the upper class, the white collar workers, the
superstructure. A temporary status quo is achieved by petite bourgeoisie, and the manual working class.
various methods of social control employed, Weber’s theory more closely resembles modern Western
consciously or unconsciously, by the bourgeoisie in the class structures, although economic status does not
course of various aspects of social life. Through the seem to depend strictly on earnings in the way Weber
ideology of the ruling class, false consciousness is envisioned.
promoted both through ostensibly political and non- Weber derived many of his key concepts on social
political institutions, but also through the arts and other stratification by examining the social structure of
elements of culture. Marx believed the capitalist mode Germany. He noted that contrary to Marx’s theories,
would eventually give way, through its own internal stratification was based on more than simply ownership
conflict, to revolutionary consciousness and the of capital. Weber examined how many members of the
development of egalitarian communist society. aristocracy lacked economic wealth yet had strong
According to Marvin Harris and Tim Ingold, Lewis political power. Many wealthy families lacked prestige
Henry Morgan’s accounts of egalitarian hunter- and power, for example, because they were Jewish.
gatherers formed part of Karl Marx and Engels’s Weber introduced three independent factors that form

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CONCEPTS OF DIFFERENCE AND INEQUALITY / 133

his theory of stratification hierarchy; class, status, and sex, race, vocation, social status, cultural background
power: and personality traits. In this regard, the following
Class: A person’s economic position in a society. definition makes the concept more clear:
Weber differs from Marx in that he does not see this as According to Frederick E. Lumley, “By differen-
the supreme factor in stratification. Weber noted how tiation we mean that process by which individuals
managers of corporations or industries control firms cultivate differences, which when put together, as the
they do not own; Marx would have placed such a person different players in an orchestra makes a fuller and
in the proletariat. harmonious whole.”
Status: A person’s prestige, social honour or Social stratification refers to the unequal
popularity in a society. Weber noted that political power distribution around the world of the three Ps: property,
was not rooted in capital value solely, but also in one’s power, and prestige. This stratification forms the basis
individual status. Poets or saints, for example, can of the divisions of society and categorizations of people.
possess immense influence on society with often little In the case of the latter, social classes of people develop,
economic worth. and moving from one stratum to another becomes
Power: A person’s ability to get their way despite difficult.
the resistance of others. For example, individuals in Normally property (wealth), power (influence),
state jobs, such as an employee of the Federal Bureau and prestige (status) occur together. That is, people
of Investigation, or a member of the United States who are wealthy tend also to be powerful and appear
Congress, may hold little property or status but they prestigious to others. Yet, this is not always the case.
still hold immense power. Plumbers may make more money than do college
professors, but holding a professorship is more

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ADDITIONAL IMPORTANT QUESTIONS prestigious than being a ‘blue collar worker.’
Q. 1. What is social inequality? Q. 3. Describe the contribution of Melvin
Ans. Social inequality is a universal phenomenon Tumin in the field of social stratification.
in all societies. It can exist either in form of a hierarchy Ans. Sociologist Melvin Tumin took issue with
of groups or individuals or it may exist without the Davis and Moore’s theory. He disagreed with their
creation of a hierarchy. In the former case it is called assumption that the relative importance of a particular

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social hierarchy. While in the latter case it is known as job can always be measured by how much money or
social differentiation for in almost all societies men prestige is given to the people who performed those
and women are treated unequally. If social inequality jobs. That assumption made identifying important jobs
manifests itself in the form of a hierarchy involving difficult. Were the jobs inherently important, or were
ranking of groups then it is known as social they important because people received great rewards

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stratification, thus social stratification is a particular to perform them?
case of the social inequality. Social stratification is If society worked the way Davis and Moore had
essentially a group phenomena.According to Ogburn envisioned, Tumin argued, all societies would be
and Nimkoff the process by which individuals and meritocracies, systems of stratification in which
groups are ranked in a more or less enduring hierarchy positions are given according to individual merit.
of status is known as stratification. Melvin Tumin Ability would determine who goes to college and what
defines social stratification as an arrangement of any jobs someone holds. Instead, Tumin found that gender
social group or society into a hierarchy of positions and the income of an individual’s family were more
that are unequal with regard to power, property, social important predictors than ability or what type of work
evaluation and psychic gratification. According to an individual would do. Men are typically placed in a
Lundberg a stratified society is one marked by higher social stratification than women, regardless of
inequality by differences among people that are ability. A family with more money can afford to send
evaluated by them as being lower and higher. its children to college. As college graduates, these
Q. 2. Write a short note on difference between children are more likely to assume high-paying,
social differentiation and stratification. prestigious jobs. Conversely, people born into poverty
Ans. Social differentiation refers to that process are more likely to drop out of school and work low-
by which people cultivate differences. In other words, paying jobs in order to survive, thereby, shutting them
social differentiation is the process whereby social off from the kinds of positions that are associated with
differences of persons and groups occur. The principal wealth, power and prestige.
bases of social differentiation are biological heredity,

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134

Class
26
of class. However, the realist perspective defines social
INTRODUCTION class as a real ensemble that is determined by material
Class as a category recognized as an important facts and by the collective consciousness of the people.
concept in explaining social theories, social structure, Denotation of the Term ‘Class’
and social change only in the 19th century. Before the Sociological theories use the term class in ways
French Revolution, the term was used in a general (Ossowski, 1967). First is the general sense where

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sense, for example, in the works of Adam Smith, each class may be regarded as one of the basic
Madison and other scholars of the 18th century. Many components of the social structure. may be called a
used it interchangeably with ‘group’ or ‘estate’. class’.
However, the 19th and 20th century has extensively Ossowski says, “Of the two specifying versions
used the concept of class especially in the analysis of of the concept of class…the first shows us a social
social stratification and social mobility. class as a group in respect of the relations of

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CHAPTER AT A GLANCE property … Some caste or estate-systems can at
the same time be economic class systems …one
THE CONCEPT OF CLASS
can speak of the ‘class’ aspect of caste relation or
Ossowski (1967) proposes that there are three
the ‘estate’ aspect of the class system.”
assumptions which are common to all conceptions of
The class-system is contrasted with group-

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class society. They are as follows:
systems based on an individual’s ascription to a
1. Classes are the most comprehensive groups in
certain group.
the social structure. They are differentiated groups in
society, but are dependent on each other. THEORIES OF CLASS STRUCTURE
2. In a class, the membership of an individual is (a) The Classical View: Aristotle
relatively present. According to Aristotle (1943), people are
3. Each class is accorded certain privileges and differentiated into three ‘elements’—the very rich class,
discriminations that have a bearing on its social status. the very poor and the third group which occupies a
Thus, on the basis of social status, privileges, and position between the two. Those who are very poor
discriminations, different classes are treated as superior find it difficult to follow rational principle, those who
or inferior. Marx identified the privilege of exploiting are very rich are not willing to submit to authority and
other men’s labour as the fundamental basis of class they too find it difficult to follow rational principle
differentiation. Again, each class occupies a distinct and are likely to grow into great criminals who commit
position in the class hierarchy. The awareness of the offences from violence. It is the people of middle class
place of one’s class in the class is referred to as class- who follow the rational principle and obey rules and
consciousness. The other characteristic of class is social regulations. In the absence of middle class, the poor
isolation which points to social distance and absence and the rich quarrel for reward and subsequently either
of close social contact between classes. democracy or oligarchy is established.
Two main perspectives have tried to understand (b) Capitalism and Social Classes: Karl Marx
the concept of class. One is the nominalist perspective Marx’s views on social classes are an important
(the American School of Thought) and the other is the source of discussion in sociology.
realist perspective (the European School of Thought). (i) Marx’s Perspective on Social Classes:
The nominalist emphasizes social status as the basis According to Marx, three periods may be identified in

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CLASS / 135

history: ancient civilization, feudalism, and capitalism. the relationship between bourgeoisie and the proletariat
Each of these periods is has a distinct predominant as discussed by Marx. Thus, in the course of such
mode of production. Marx also discusses some of the developments, the capitalist class and the labour class
predominant means of production–communism, cease to be homogenous classes. Moreover, the labour
ancient empires, feudalism, capitalism, and advanced also ceases to be homogenous class (there are unskilled
communism. According to him, class relations are labourers, semi-skilled labourers, and skilled labourers,
characteristics of those means of production in which as also those quipped with different skills). The
a section of population controls the means of production labourers now become increasingly aware of differences
while others are excluded from it. The class controlling among themselves which is known as decomposition
the means of production exploits those who transform of labour. The twin phenomena of decomposition of
the means of production into finished products. capital and decomposition of labour are almost
According to Bendix and Lipset (1967), Marx inevitably accompanied with the emergence new
believed that the alienation of labour was inherent in middle class both within and outside the industry of
capitalism and that it was a major psychological modern societies.
deprivation, which would lead eventually to proletarian (d) Class and Status: Max Weber
revolution and that this deprivation appeared to be more Weber’s found that Karl Marx’s concept of class
important than the economic pauperism to which emphasized too much on the economic aspect. He
capitalism subjected the working class. pointed out that the economic aspect of society was
(ii) Appraisal of Marx’s Perspective on Class: important but he did not rate it as the most significant.
The views of Marx on class have been discussed by According to him, specific life chances are created by
later writers in detail. For example, Lukacs the way the disposition over material property is

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demonstrated that left to its own devices, the working distributed among some people. However, neither the
class would never fully understand the necessity of propertied or the without property constitute a
liberating itself through socialist revolution. This class homogenous category. Weber’s notion of class explains
needed to be led by socialist thinkers. Moreover, Louis the kind of chance in the market that affords a common
Althusser blamed ‘ideological state apparatuses’ like condition for an individual’s fate. Class situation,

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school and the media for reinforcing the idea that we therefore, is market situation.
are individuals in control of our own destiny. Gramsci Apart from class, Weber proposed the concept of
(‘class domination’ as ‘hegemony’) and Erik, Wright status groups. Status order refers to the stratification
and Frank Parkin have also discussed Marxist view. on the basis of honour and lifestyle that characterize
Giddens identifies three main sources of class power: status groups.

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the possession of property, qualifications, and physical Other than the stratification by class and status,
labour power. Accordingly, these give rise to three-class Weber points out the concept of party as the third
structure: a dominant upper class based on property, element according to which society is stratified. Those
an intermediate/middle class based on credentials, and who have a common goal towards which strive
a working/lower class based on labour power. collectively and in a planned manner constitute a party.
According to Alvin Gouldner (1985), those who control It may be observed that parties may pursue interests
the ‘cultural capital’ constitute a ‘new class’ which he that are determined through class situation or through
calls as ‘cultural bourgeoisie’. status situation.
(c) Class and Class Conflict in Industrial Society: CLASS STRUGGLE
R. Dahrendorf According to Marx, the identification of a common
The legal recognition of joint stock companies in ‘class enemy’ as an entity was inherent in the structure
the second half of the 19th century and early 20th of classes against which all the members of a class
century in many Western countries have largely would unite. He observed that in an industry common
replaced the economic enterprises that were owned and wages, common interest against their owner and other
managed a capitalist or his/her family. similar conditions united and curtailed competition
According to Dahrendorf, the owners are alienated among workers. Similarly, the capitalists unite in the
from production process in the sense that the workers idea of repression. The interests that they define are
deal with and are answerable to the managers. The class interests but the struggle of a class against another
managers hold authority by virtue of the property rights class is a political struggle. It may be that the conflict
delegated to them by the stockholders. between classes is limited to the race for economic
In views of Dahrendorf, capitalism has completely rewards and resources. With specialization and division
eroded and given way to different groups that bear a of labour, the labourer gets more and more alienated
relationship with each other that is much different from from the production process. The conditions under

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136 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

which the worker is made to work are not encouraging mobility–the ‘counter-balance thesis’ the ‘closure
and this is done to accumulate capital. thesis’ and the ‘buffer zone’ thesis which is attributed
Marx believed that class conflict under capitalism to Parkin, to Giddens, to Bottomore and to Westergaard
would lead to revolution and consequent overthrow of and Resler. This thesis dicusses social mobility in
capitalist class would establish the workers as the major different light.
agent of social change. CLASSLESSNESS
SOCIAL MOBILITY It has been observed that class relationships are
The change in the social status of an individual is an integral component of social structure. Marx
caused due to social mobility. Hence, the transition of advocated the overthrow of capitalist class by the
individuals from one position in the social hierarchy revolutionary working class. In his view, the abolition
to another (movement between class positions) is called of private property and capitalism were the pre-
social mobility. This movement may occur either in conditions for classless society founded on equality of
the lifetime of an individual or over a span of a condition. According to him once the capitalist class
generation or more. If an individual moves from one was overthrown, new ruling class now constituted of
class to another in his/her own lifetime the mobility is
the proletariat would dismantle capitalism. This
known as ‘intra-generational mobility’. When mobility
occurs between generations, the mobility is known as transition (one-class classlessness) wipes away the older
‘inter-generational’. Mobility may also be distinguished conditions of production that lay at the root of class
in terms of upward and downward mobility. conflict. Now, class distinctions would cease to exist
(total classlessness) and the classless society with free
Social Mobility: Motivation Theory of Veblen development of one and all would be established.
According to Veblen (1934), the members of

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Weber discusses about ‘multi-class classlessness’
the community who have less property suffer in
the esteem of their fellowmen, and consequently in which equality and fragmentation of class structure
they suffer also in their own esteem. This thinking exists simultaneously. argued that there was no escape
gives them the motivation to earn higher. The end from bureaucratic domination. He discusses
sought by accumulation of wealth is to rank high classlessness in terms of provision of equality of
in comparison with the rest of the community in opportunities following bureaucratization. However, he

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point of strength. So long as the comparison is has reservations against this kind of classlessness
distinctly unfavourable to himself, the normal, because while the opportunity to reach the highest
average individual will live in chronic position is available to all and the social and economic
dissatisfaction with his present lot; and when he status of an individual is not determined by birth.
has reached what may be called the normal everybody may not be able to make use of the oppor-

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pecuniary standard of the community, or of his class
in the community, this chronic dissatisfaction will
give place to a restless straining to place a wider
tunities.

SELF-ASSESSMENT QUESTIONS
and ever-widening pecuniary interval between Q. 1. Compare and contrast Weber’s and
himself and this average standard. However, this Marx’s concept of class.
invidious comparison can never become so
Ans. Sociologists identify a social class as any
favourable to the individual and he never gladly
rates himself still higher relatively to his group of citizens who share an equitable socio-
competitors. economic condition. As a basis for scientific inquiry,
the acceptance of social class as a verifiable
According to Sorokin, the extent and rapidity of demographic has added significantly to the research
the growth of new middle class increases in capitalist of various social attitudes and ideology, producing an
societies and a large scale intra and inter-generational entire subset of groundbreaking author. Even so, there
mobility occurs in occupational terms. Sorokin argues are just two writers whose legacy stands astride the
that the mobility rates and mobility patterns do not science of studying social class like a towering colossus:
follow an identifiable design or pattern and even if
Karl Marx and Max Weber.
proletariats are given the opportunity to be dictators,
Marx’s theories on social class postulate that the
they would not get as much as they may imagine.
In their study, Lipset and Bendix found that owners or the means of production exploit those who
industrialization led to high mobility rates and overall produce goods and services, while the working class
pattern of social mobility was apparently the same in become alienated consumers. Max Weber responds to
the Western industrial societies. Goldthorpe, Llewllyn, Marx through his critique that Marxian social class
and Payne (1987) discussed three theses on social theory is too dialectical and so he includes factors

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CLASS / 137

associated with such societal input as politics and status. Karl Marx never provided a detailed description
Central to every single theory regarding social class as to how communism would function as an economic
within an economic system based on private ownership system, but it is understood that a communist economy
is that status becomes the foundation upon which to would consist of common ownership of the means of
delineate economic empowerment. production, culminating in the negation of the concept
Q. 2. Can there be a society without classes? of private ownership of capital, which referred to the
Discuss. means of production in Marxian terminology.
Ans. Communism is a social structure in which Weber became vocal critic of socialism, both in
classes are abolished and property is commonly European and Bolshevik variants. He saw Lenin’s ideal
controlled, as well as a political philosophy and social of applying hierarchical mode of organization in the
movement that advocates and aims to create such a firm on society at large as an attempt to universalize
society. serfdom. He believed that workers in socialist society
Karl Marx posited that communism would be the still would work in hierarchy, but this time in much
final stage in society, which would be achieved through worse form of it, fused with government power.
a proletarian revolution and only possible after a Weber developed a critique of socialism as an
transitional stage develops the productive forces, economically impossible system. Weber stated that
leading to a superabundance of goods and services. when socialism abolishes private property in the means
‘Pure communism’ in the Marxian sense refers to of production, it would at the same time abolish market
a classless, stateless and oppression-free society where prices and monetary calculation of cost and profit, and
decisions on what to produce and what policies to that way make a rational planned economy impossible.

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pursue are made democratically, allowing every Socialist central planners can resort to calculation
member of society to participate in the decision-making in-kind, but this type of economic coordination would
process in both the political and economic spheres of be grossly inefficient. According to Weber, the main
life. In modern usage, communism is often used to refer reason why a socialist in-kind mode of economic
to the policies of the various communist states, which calculation cannot work is because it is unable to solve

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were authoritarian governments that had centrally the problem of imputation (i.e. to determine the relative
planned economies and ownership of all the means of price of capital goods).
production. Most communist governments based their ADDITIONAL IMPORTANT QUESTIONS
ideology on Marxism-Leninism. Q. 1. Define nature and characteristics of social
As a political ideology, communism is usually

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class.
considered to be a branch of socialism, a broad group Ans. Social class is a ranking or grouping of
of economic and political philosophies that draw on individuals according to position in the economic
various political and intellectual movements with scheme of things. Class in this sense can be based on
origins in the work of theorists of the Industrial income, source of income (wealth, salary or wages),
Revolution and the French Revolution. Communism and occupation. In the terms of Karl Marx, class refers
attempts to offer an alternative to the problems with to how a group of people relate to the production of
the capitalist market economy and the legacy of goods and services in the society.
imperialism and nationalism. The idea of social class is widely used and misused.
Marx states that the only way to solve these In the media you will find reference to the middle class
problems is for the working class (proletariat), who very common. However, upon closer inspection you
according to Marx are the main producers of wealth in will inevitably find these sources are actually discussing
society and are exploited by the capitalist-class income groups and not social class per se.
(bourgeoisie), to replace the bourgeoisie as the ruling Economically based class actually refers to the overall
class in order to establish a free society, without class position of a group of people. This placement takes
or racial divisions. The dominant forms of communism, into account what kind of work a person does, the kind
such as Leninism, Stalinism, Maoism and Trotskyism of income that he or she has and how the person relates
are based on Marxism, as well as other forms of to the means of producing goods and services in the
communism (such as Luxemburgism and Council society.
communism), but non-Marxist versions of communism For example, if a person works primarily with the
(such as Christian communism and Anarchist hands at some form of skilled, semi-skilled or unskilled
communism) also exist. work, one is in the working class (regardless of

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138 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

income). If the work a person does depends more upon Darendorf’s central argument is that neither structural
the use of the mind or clerical skills, then the person functionalism nor Marxism alone provides an
doing that work is considered to be middle class (again acceptable perspective on advanced society. He claims
independent of income). People who do not have a that structural functionalists pay too little attention to
regular, steady occupation or one that is ‘recognized’ the realities of social conflict and that Marx defined
as legitimate are seen to be part of the lower class or class too narrowly and in a historically-specific context.
possibly an underclass. Finally, if a person does no Furthermore, he believes that traditional Marxism
productive work, but instead commands others to work ignores consensus and integration in modern social
or relies upon an inheritance or income from structures. Dahrendorf combines elements from both
investments, then the person is considered upper class. of these perspectives to develop his own theory about
Q. 2. Write short notes on Marx’s perspective class conflict in postcapitalist society.
on social classes. Q. 4. Write a short note on Social Class.
Ans. The Marxist conception of class involves a Ans. Group of people within a society who possess
collective group of individuals that share similar the same socioeconomic status. The term was first
economic and social relations relative to each other in widely used in the early 19th century, following the
society. A class is a group with intrinsic tendencies industrial and political revolutions of the late 18th
and interests that are different from, and may be century. The most influential early theory of class was
opposed to the interests of other groups in society. For that of Karl Marx, who focused on how one class
example, it is in the labourer’s best interest to maximize controls and directs the process of production while
wages and benefits and in the capitalist’s best interest other classes are the direct producers and the providers

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to maximize profit at the expense of such, leading to a of services to the dominant class. The relations between
contradiction within the capitalist system, even if the the classes were thus seen as antagonistic. Max Weber
laborers and capitalists themselves are unaware of these emphasized the importance of political power and
class dichotomies. social status or prestige in maintaining class
For Marx, class involves two factors: distinctions. Despite controversies over the theory of

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Objective Factors class, there is general agreement on the characteristics
A class shares a common relationship to the means of the classes in modern capitalist societies. In many
of production. That is, all people in one class make cases the upper class has been distinguished by the
their living in a common way in terms of ownership of possession of largely inherited wealth, while the
the things that produce social goods. A class may own working class has consisted mostly of manual labourers

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things, own land, own people, be owned, own nothing and semiskilled or unskilled workers, often in service
but their labor. A class will extract tax, produce industries, who earn moderate or low wages and have
agriculture, enslave and work others, be enslaved and little access to inherited wealth. The middle class
work, or work for a wage. includes the middle and upper levels of clerical
Subjective Factors workers, those engaged in technical and professional
The members will necessarily have some occupations, supervisors and managers, and such self-
perception of their similarity and common interest. employed workers as small-scale shopkeepers,
Marx termed this as class-consciousness. Class- businesspeople, and farmers. There is also often an
consciousness is not simply an awareness of one’s own urban substratum of permanently jobless and
class interest (for instance, the maximisation of underemployed workers termed the ‘underclass.’
shareholder value; or, the maximization of the wage Q. 5. Write a short note on Class Struggle.
with the minimization of the working day), class- Ans. Class struggle is the active expression of a
consciousness also embodies deeply shared views of theoretical class conflict looked at from any kind of
how society should be organized legally, culturally, socialist perspective. Karl Marx and Friedrich Engels,
socially and politically. leading ideologists of communism, wrote “The written
Q. 3. Write short notes on Class and Class history of all hitherto existing society is the history of
Conflict in Industrial Society. class struggle.”
Ans. Dahrendorf’s most influential work on social Marx’s notion of class has nothing to do with social
inequality is Class and Class Conflict in Industrial class in the sociological sense of upper, middle and
Society, which was published in 1959. This book lower classes (which are often defined in terms of
presents his first detailed account of the problem of quantitative income or wealth). Instead, in an age of
inequality in modern, or post-capitalist, societies capitalism, Marx describes an economic class.

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CLASS / 139

Membership in a class is defined by one’s high status occupation. Thirdly, it is important to know
relationship to the means of production, i.e., one’s how people respond to the, experience of social
position in the social structure that characterizes mobility. For example, do the downwardly mobile
capitalism. Marx talks mainly about two classes that resent their misfortune and form a pool of
include the vast majority of the population, the dissatisfaction which might threaten the stability of
proletariat and the bourgeoisie. Other classes such as society? For considering these issues, it is necessary to
the petty bourgeoisie share characteristics of both of examine the nature and extent of social mobility in
these main classes. capitalist society.
Q. 6. What is the importance of Social Mobility? Sociologists have identified two main types of
Ans. Sociologists are interested in social mobility social mobility. The first, Intergenerational Mobility,
for a number of reasons. Firstly, the rate of social refers to social mobility within a single generation. It
mobility may have an important effect on class is measured by comparing the occupational status of
formation. For example, Anthony Giddens suggests an individual at two or more points of time. Thus, if a
that if the rate of social mobility is low, class solidarity person begins his working life as an unskilled manual
and cohesion will be high. Most individuals will remain worker and ten years later is employed as an accountant,
in their class of origin and this will ‘provide for the he is socially mobile in terms of inter-generational
reproduction of common life experiences over mobility. The second type, Intrageneration Mobility,
generations.’ As a result distinctive class subcultures refers to social mobility between generations. It is
and strong class identifications will tend to develop. measured by comparing the occupational status of sons
Secondly, a study of social mobility can provide an with that of their fathers. Thus, if the son of an unskilled

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indication of the life chances of members of society. manual worker becomes an accountant, he is socially
For example, it can show the degree to which a person’s mobile in terms of intergeneration mobility.
class of origin influences his chances of obtaining a

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140

27
Gender and Social Stratification
The class and status theories of stratification never
INTRODUCTION gave serious thought to issues of gender inequality and
The role of man and woman has been different in it was viewed that gender relations were similar to
most of the societies including the West and in the ethnic relations.
middle class sections. Women are expected to do Marx and Patriarchy
domestic chores and raise children while men are bread The sexual division explained by the Marxist

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winners of family. This difference has been considered thought has less to do with the actual patterns of
‘natural’ and hence is based on biological attributes. social interaction or social relationship. From this
However, the feminist movements have questioned this perspective arose an important question of whether
kind of division of labour and resultant subordination or not female domestic has always had difficulties
of women. in formulating a coherent theory of action which
Today women do housework, but that is not could not relate the analysis of objective class

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considered as work which would be paid. Moreover, position and of system contradictions of class
women earn much less than men for performing the formation.
same job outside home. Many occupations are Marxist and Patriarchy thoughts differ on the
differentiated as womanly job and women are excluded question of women consisting a class. Patriarchy
froom decision-making. makes men systematically privileged and

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Feminists find the oppression of women on the demonstrates gender relations a form of
lines of class oppression where men and patriarchal stratification in society.
structures oppress women as a class. Hence, the major However, a proper stratification analysis on
differentiation in society revolves around gender and patriarchy has been ignored which according to Mann
not class. Marxists and Weberians explain the forms
(1986) created a crisis in stratification theory.
and structures of inequality. The class situation of
GENDER AND SOCIAL STRATIFICATION
family members derived from bread winner who is
INCROSS-CULTURAL PERSPECTIVE
usually man has been widely criticized. The issue of
In almost all cultures, patriarchy legitimizes the
gender raises serious problems for empirical and
unequal access of men and women to resources,
theoretical work in social stratification. Newby (1982)
opportunities and rewards. Patriarchy and its
says that issue of gender equality emerged from
women’s location in social stratification with their institutions reinforce status inequality between men
increased participation in all walks of life. and women. According to Sylvia Walby (1994), in
patriarchy both differential distribution of power and
CHAPTER AT A GLANCE mechanism of production are included.
WEBER, MARX AND STRATIFICATION Cross-cultural studies done on sexual division of
Weber talks about social stratification taking shape labour focus on a wide range of women’s productive
in terms of class or status while Marxist approach treats activities in society and the status implications of these
the question of sexual inequality in terms of division on women’s status.
of labour and considers women as ‘reserve army’ which According to feminist anthropologists like
could be used in times of acute labour shortage. Weber Rosaldo, Lamphere and Ortner gender and kinshi pare
finds that technological and economic changes push the basis of social inequality in which womens access
status in the background and favour class stratification. to property and decision-making etc. are subsumed

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GENDER AND SOCIAL STRATIFICATION / 141

within larger ideological, material and political involvement of women in politics, development process
contexts of kinship structures. A model of prestige and feminism their compartmentalization persists.
structures was proposed by Ortner and Whitehead Further, Nita Kumar (1994) suggests four ways to
(1981). This structure was defined as the set of positions conceptualize women and about dealing them in
that result from a particular line of social evaluation. writings.
Division of Labour Manisha Behal (1984) finds out that women’s lives
Division of labour is the cultural valuation that in the villages of Mainpuri district of West Uttar
becomes the foundation for gender stratification. Pradesh is full of gloom due to poverty, work overload
Meigs (1990) describes this division of work among and bad health. Mudhu Kishwar and Ruth Vanita
Mundurucu, an Amazonion horticultural society, (1984) find Indian constitutional law related women
where men’s work such as hunting, felling trees, as incompatible.
etc. are assigned more value compared to women’s Joanna Liddle and Rama Joshi (1986) have worked
work like planting trees, harvesting etc. according on the relationship among caste, classs and gender.
to Murphy and Murphy (1985), the ascendancy of Women and Dalits
men is not wholly derived from omasculine Gender inequality is part of the larger social
activities but is largely due to prior phenomenon. structure which is reinforced by family and caste
Martin and Voortnes (1975) say that female values. Indian women are stratified along caste,
participation in agriculture declines while domestic class, ethnic and religious lines which does not
workload increases when root crops we replaced favour any generalization on their status. We find
by cereal crops and manual labour by animal labour. that caste, class and gender all oppress dalit women.

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Hence, the male domination is traditionally
symbolic. Every type of writing accepts that status of women
is closely inter-linked with patriarchy and stratification
STATUS OF WOMEN system which must be attacked for bringing any positive
Many Scholars made generalizations about the
change.
status of women, however, we can observe in their
Agarwal (1984) and Agnihotri (1996) preferred
studies that a great amount of diversity exists as is
Marxist approach for analyzing women and gender

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pointed out by Atkinson (1982). But socialist feminist
scholars argue that patriarchy precedes class inequality. relations.
Leela Dube, Eleaner Leacock and Shirley Ardener use CASTE AND GENDER
a cross-cultural perspective in which the focus on the There are three basic characteristics of caste:
insignificance and passivity of women and the primacy exclusion or separation, hierarchy and inter-

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of men. dependence. These principles of caste operate through
Friedal (1975) outlines four reasons for the division kinship based units. The centrality of the family and
of labour in egalitarian society as to why men hunt the household remains very important in their lines.
and women gather. There are different skills required, (Dube 1996). Jajmani relations along with other social
variability in supply, incompatibility between carrying relations functions at the level of family. The necessity
burdens and hunting and small size of nomadic of continuing with occupational work is an important
population. On the contrary, Goodale (1971) suggests basis for intra-caste marriages. These factors also
that the culture of Tiwi aborigines of Australia stresses determine women’s education.
the equality of men and women. There is no sharp Scheduled caste women do scavenging works but
division of labour. not men as this work is similar to household work.
Further, Lepowsky has pointed out gender Food and rituals are important aspects of caste. Women
egalitarianism among the horticulture and matrilineal play important role in maintaining the sanctity and
people of pacific island of Vanatani.
purity of home. However, they never attain the purity
THE INDIAN CONTEXT
of men of their own caste.
Kalpana Bardhan (1986) points out that although
family is the unit of analysis in stratification studies A female child is raised with severe controls. Girls
(class or caste based), but the division of sex and status in pre puberty stage are worshipped and fedded on the
is not sufficiently located. 8th day of Navratri which calls for their restrained
The analysis of Indian society requires to focus behaviour. Restrained sexuality is the pre-requisite of
upon not only family but kinship, everyday relations, socially sanctioned motherhood (Dube,1996). M.N.
status equality between men and women, etc. in his Srinivas (1976) points out that caste marriages impose
discussion about patriarchy, economy and class constraints and create the dominant ethos which
structure, Michael Mann (1986) points out that despite underline the practice of dowry within Hindu society.

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142 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

TRIBE, GENDER, STRATIFICATION patriarchal. Men have the power and control over the
AND CHANGE women. If you don’t believe that consider the basics of
Recent studies have shown the gender asymmetry how our society functions.
which always existed in Tribal societies have multiplied Women constantly must fight for their rights and
and become more complex because of the outside sometimes they struggle just to survive without the
influences and growing stratification based on wealth power and domination of men threatening them.
and power (Mehrotra, 2004). Earlier, on the contrary, Whether an individual woman wants to conquer
it was believed that Indian tribal women enjoyed much patriarchy will come from her desire to be independent
higher status than caste women. and defined outside the context of men.
Swaminathan (1987) opines that gender inequality Look to most world leaders to see how powerful
is inbuilt into state’s apparently progressive policies patriarchy is? Women are certainly as capable as men
as can be seen in Hindu succession law, Minimum to be President of the United States, yet they are not
Wages Act, etc., women movements have created and probably won’t be any time soon. Men have been
awareness and are bringing social changes and in that role for so long that our country probably does
emancipation from cultural bondage which keeps the not believe it is possible.
stratification stable. These movements are operational Consider who is typically at the head of a company
at both grassroots and other levels. or leaders in local governments. While certainly more
women are fulfilling these roles, it is a constant struggle
SELF-ASSESSMENT QUESTIONS for the ones who are able to achieve that success with
Q. 1. Write a note on gender in a cross-cultural men having much more power just by their biological
nature. Men have not had to fight for their place in

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perspective.
Ans. Patriarchy legitimizes the unequal access of society like women have. It has been an expectation
men and women to resources, opportunities and that they will become leaders because that is what
rewards. Patriarchy and its institutions reinforce status patriarchy is about.
inequality between men and women. According to Much of patriarchy also has its roots in
Sylvia Walby (1994), in patriarchy both differential Christianity. Religions which believe the Bible or other

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religious texts often follow it faithfully by its every word
distribution of power and mechanism of production
which puts the men in charge. The Bible which most
are included.
Christians live by states boldly that women should be
Cross-cultural studies done on sexual division of
submissive to men. With that in mind and those beliefs
labour focus on a wide range of women’s productive
instilled in cultures, women don’t stand a chance at
activities in society and the status implications of these

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gaining strength in their gender and its potential in
on women’s status. our world.
According to feminist anthropologists like Patriarchy is also found in family traditions like
Rosaldo, Lamphere and Ortner gender and kinship are women taking the name of their husbands and children
the basis of social inequality in which women’s access always carrying the father’s last name. More women
to property and decision making etc. are subsumed are choosing to keep their maiden names or hyphenate
within larger ideological, material and political with their married name so they can retain their own
contexts of kinship structures. A model of prestige identity. With reference of Mr. and Mrs. so-and-so, the
structures was proposed by Ortner and Whitehead man assumes the dominant role again and women lose.
(1981). This structure was defined as the set of positions In the majority of homes, the man is the figure
that result from a particular line of social evaluation. who financially supports a family while the woman
Q. 2. Write briefly on patriarchy, economy and stays home and cares for the children. While there
class structure. Write down the main points. certainly is no harm in this arrangement for most
Ans. Patriarchy is a social system in which the families
father or eldest male is head of the household, has It should not necessarily be a given and one women
authority over women and children. Patriarchy also are expected to live by.
refers to a system of government by males, and to the Women may never truly win over patriarchy but
dominance of men in social or cultural systems. It may they must continue to stand their ground whenever
also include title being traced through the male line. possible to change the tide in our society. It takes only
Patriarchy is best defined as control by men. The small steps to start with and the more women who are
opposite is matriarchy which means women are in bold in their world and don’t back down to men and
charge and the head of families. Obviously, the culture their power, the better chance that women and men
of the United States and most other countries is can be equal in life.

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GENDER AND SOCIAL STRATIFICATION / 143

An economy consists of the economic system of a sciences, regard biological and behavioural differences
country or other area, the labor, capital and land in females and males as influencing the development
resources, and the economic agents that socially of gender in humans; both inform debate about how
participate in the production, exchange, distribution, far biological differences influence gender identity
and consumption of goods and services of that area. A formation. Biologist and feminist academic Anne
given economy is the end result of a process that Fausto-Sterling rejects the discourse of biological versus
involves its technological evolution, history and social social determinism and advocates a deeper analysis of
organization, as well as its geography, natural resource how interactions between the biological being and the
endowment, and ecology, as main factors. These factors social environment influence individuals’ capacities
give context, content, and set the conditions and Q. 2. What do cross-cultural comparisons of
parameters in which an economy functions. gender roles show us?
Today, the range of fields of study examining the Ans. Culture largely determines what is considered
economy include social sciences such as economics, masculine or feminine. These definitions can change
sociology (economic sociology), history (economic with social change in the culture. Socio-cultural codes
history) and geography (economic geography). and conventions, the rules by which society functions,
Practical fields directly related to the human activities and which are both a creation of society as well as a
involving production, distribution, exchange, and constituting element of it, determine the allocation of
consumption of goods and services as a whole, range these specific traits to the sexes. These traits provide
from engineering to management and business the foundations for the creation of hegemonic gender
administration to applied science to finance. All kind difference. It follows then, that gender can be assumed
of professions, occupations, economic agents or

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as the acquisition and internalization of social norms.
economic activities, contribute to the economy. Individuals are therefore socialized through their
Consumption, saving and investment are core variable receipt of society’s expectations of ‘acceptable’ gender
components in the economy and determine market
attributes which are flaunted within institutions such
equilibrium. There are three main sectors of economic
as the family, the state and the media. Such a notion of
activity–primary, secondary and tertiary.
‘gender’ then becomes naturalised into a person’s sense

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ADDITIONAL IMPORTANT QUESTIONS of self or identity, effectively imposing a gendered social
Q. 1. What is the difference between sex and category upon a sexed body.
gender? The conception that people are gendered rather
Ans. The term gender refers to culturally than sexed also coincides with Judith Butler’s theories
of gender performativity. Butler argues that gender is

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transmitted differences between men and women,
not an expression of what one is, but rather something
whereas the sex refers to the biological differences
that one does. It follows then, that if gender is acted
between males and females. Gender is the wide set of
out in a repetitive manner it is in fact re-creating and
characteristics that are seen to distinguish between
effectively embedding itself within the social
female and male members of a species, in most animals consciousness. Contemporary sociological reference to
including humans as well as many plants. It can extend male and female gender roles typically uses
from biological sex to, in humans and some other masculinities and femininities in the plural rather than
animals, a social role or gender identity. As a word, it singular, suggesting diversity both within cultures as
has more than one valid definition. In ordinary speech, well as across them.
it is used interchangeably with ‘sex’ to denote the From the ‘evidence’, it can only be concluded that
condition of being male or female. In the social gender is socially constructed and each individual is
sciences, however, it refers specifically to socially unique in their gender characteristics, regardless of
constructed and institutionalized differences such as which biological sex they are as every child is socialized
gender roles. The World Health Organization (WHO), to behave a certain way and have the ‘proper’ gender
for example, uses ‘gender’ to refer to “the socially attributes. If individuals in society do not conform to
constructed roles, behaviours, activities, and attributes this pressure, they are destined to be treated as
that a given society considers appropriate for men and abnormal; therefore it is personally greatly beneficial
women”. Some cultures have distinct gender-related for them to cooperate in the determined ‘correct’
social roles that are distinct from male and female, ordering of the world. In fact, the very construct of
such as the hijra of India and Pakistan. society is a product of and produces gender norms.
While the social sciences and gender studies There is bias in applying the word ‘gender’ to anyone
approach gender as a social construct, the natural in a finite way; rather each person is endowed with

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certain gender characteristics. The world cannot be Q. 4. What are the major socialization agents
egalitarian while there are ‘assigned’ genders and that teach us our gender roles?
individuals are not given the right to express any gender Ans. The major gender role socialization agents
characteristic they desire. are the family, schools, the media and the language
The difference between the sociological and and they observed interactions in the institutions of
popular definitions of gender involve a different the culture. Henslin (1999:76) contends that “an
dichotomy and focus. For example, the sociological important part of socialization is the learning of
approach to ‘gender’ (social roles–female versus male) culturally defined gender roles.” Gender socialization
will focus on the difference in (economic/power) refers to the learning of behaviour and attitudes
position between a male CEO (disregarding the fact considered appropriate for a given sex. Boys learn to
that he is heterosexual or homosexual) to female be boys and girls learn to be girls. This “learning”
workers in his employ (disregarding whether they are happens by way of many different agents of
straight or gay). However the popular sexual self- socialization. The family is certainly important in
conception approach (self-conception–gay versus reinforcing gender roles, but so are one’s friends,
straight) will focus on the different self-conceptions school, work and the mass media. Gender roles are
and social conceptions of those who are gay/straight, reinforced through “countless subtle and not so subtle
in comparison with those who are straight ways”.
(disregarding what might be vastly differing economic Q. 5. What are the basic modes in which the
and power positions between female and male groups family socializes gender behaviour?
in each category). There is then, in relation to definition Ans. The family socializes gender roles through
reinforcement of appropriate behaviours differential

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of and approaches to ‘gender’, a tension between
historic feminist sociology and contemporary opportunities for boys and girls, role modelling of adult
homosexual sociology. gender behaviour and explicit verbal instruction. A
Q. 3. What are the functionalist and conflict gender role is a theoretical construct in the social
theories of the origin of gender roles? sciences and humanities that refers to a set of social
Ans. Functionalist suggests that men perform and behavioural norms that, within a specific culture,

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instrumental roles and women perform expressive roles are widely considered to be socially appropriate for
because that division is functional to the society. individuals of a specific gender. Proponents of gender
Conflict theory sees the almost universal inequality role theory assert that observed gender differences in
between the sexes in societies as an outgrowth of behaviour and personality characteristics are, at least
patriarchy the form of social organization in which in part, socially constructed, and therefore, the product

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men dominate or rule over women. Patriarchy assumes of socialization experiences; this contrasts with other
that men are superior to women based on sexism or models of gender that assert that gender differences
the belief that one sex is inferior and thus deserves are ‘essential’ to biological sex. Research supports this
inferior treatment. theory, finding gender differences in almost all
Functionalists maintain that gender differentiation societies, but with differences in the norms adopted,
has contributed to overall social stability. Sociologists suggesting that gender differences are, at least partly,
Talcott Parsons and Robert Bales argue that in order influenced by culture.
to function most efficiently, the family requires adults Gender has several valid definitions but here it
who will specialize in particular roles. They contend refers to an individual’s inner sex or psychological
that women take the expressive, emotionally supportive sense of being a male or female irrespective of one’s
role, with the two complementing each other. Parsons (outer) sex identity as determined by one’s sexual
and Bales do not explicitly endorse traditional gender organs. There are two main genders: masculine (male),
roles, but they imply that a division of tasks between or feminine (female). Gender identity refers to the
spouses is functional for the family unit. options available to members of a society to choose
Conflict theorists see gender differences as a from a set of social identities, based on the combination
reflection of the subjugation of one group (women) by of one’s sex identity on the one hand, and one’s natural
another group (men). If we use an analogy to Marx’s gender, interests and social experiences on the other.
analysis of class-conflict, we can say that males are Some ancient tribes have more than five human
like the bourgeois, or capitalists; they control most of genders. Some non-Western societies have three human
the society’s wealth, prestige, and power. Females are genders -- man, woman and third gender. Gender roles
like the proletarians, or workers; they can acquire refers to the set of attitudes and behaviours socially
valuable resources only by following the dictates of expected from the members of a particular gender
their ‘bosses.’ identity. Gender roles, unlike natural human genders,

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GENDER AND SOCIAL STRATIFICATION / 145

are socially constructed. They may reflect natural in that role for so long that our country probably does
gender aspirations of the members of that gender not believe it is possible.
identity, or they may be politicised and manipulated, Consider who is typically at the head of a company
which then result in the oppression of people. or leaders in local governments. While certainly more
In the modern West, this essential requirement has women are fulfilling these roles, it is a constant struggle
been changed to a heterosexual desire, resulting in the for the ones who are able to achieve that success with
Western concepts of ‘homosexual’ and ‘heterosexual,’ men having much more power just by their biological
instead of the usual gender identities for males. nature. Men have not had to fight for their place in
Researchers recognize that the concrete behaviour of society like women have. It has been an expectation
individuals is a consequence of both socially enforced that they will become leaders because that is what
rules and values, and individual disposition, whether patriarchy is about.
genetic, unconscious, or conscious. Some researchers Much of patriarchy also has its roots in
emphasize the objective social system and others Christianity. Religions which believe the Bible or other
emphasize subjective orientations and dispositions. religious text often follow it faithfully by its every word
Creativity may cause the rules and values to change which puts the men in charge. The Bible which most
over time. Cultures and societies are dynamic and ever- Christians live by states boldly that women should be
changing, but there has been extensive debate as to submissive to men. With that in mind and those beliefs
how, and how fast, they may change. Such debates are instilled in cultures, women don’t stand a chance at
especially contentious when they involve the gender/ gaining strength in their gender and its potential in
sex system, as people have widely differing views about our world.

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how much gender depends on biological sex. Patriarchy is also found in family traditions like
Q. 6. What changes might occur in the second women taking the name of their husbands and children
stage of gender relations? always carrying the father’s last name. More women
Ans. In the second stage of gender relations, are choosing to keep their maiden names or hyphenate
women and men must join together, contributing their with their married name so they can retain their own
own special qualities to building a better society both identity. With reference of Mr. and Mrs. so-and-so, the

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in the family and in the business world. Women must man assumes the dominant role again and women lose.
seek out friendships with other women and learn to In the majority of homes, the man is the figure
value their own contributions to the world. who financially supports a family while the woman
Q. 7. What is patriarchy? stays home and cares for the children. While there
Ans. It is a form of social organization in which certainly is no harm in this arrangement for most

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families, it should not necessarily be a given and one
men dominate or rule over women. Defining patriarchy
women are expected to live by.
explains the reasons for the treatment of women
Women may never truly win over patriarchy but
through the ages and what it means to their future and
they must continue to stand their ground whenever
success in life. Patriarchy not only explains how our
possible to change the tide in our society. It takes only
society functions but how it controls women?
small steps to start with and the more women who are
Patriarchy is best defined as control by men. The bold in their world and don’t back down to men and
opposite is matriarchy which means women are in their power, the better chance that women and men
charge and the head of families. Obviously, the culture can be equals in life.
of the United States and most other countries is Q. 8. What is sexism?
patriarchal. Men have the power and control the Ans. Sexism is a form of discrimination based on
women. If you don’t believe that consider the basics of gender. It is a belief that one sex is inferior and thus
how our society functions. deserves inferior treatment. While many people use
Women constantly must fight for their rights and the term specifically to describe discrimination against
sometimes they struggle just to survive without the women. Sexism can also affect men, intersexuals, and
power and domination of men threatening them. trans-sexuals, along with individuals who eschew
Whether an individual woman wants to conquer traditional gender roles and identities, such as people
patriarchy will come from her desire to be independent who identify as genderqueer. Like other ‘-isms’ sexism
and defined outside the context of men. has far-reaching effects in society, and the study of
Look to most world leaders to see how powerful sexism is a complex field. In addition to outright
patriarchy is. Women are certainly as capable as men discrimination, sexism includes attitudes which support
to be President of the United States, yet they are not that discrimination, such as stereotyping sex roles and
and probably won’t be any time soon. Men have been generalizing an entire gender. Sexism can be rooted in

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cultural traditions, fear, hatred, or superiority, with Members of the same gender often criticize themselves
many sexists believing that their gender is superior, with arguments which are rooted in sexism, as for
for a variety of reasons. While many nations have laws example when women criticize each other for being
which are designed to thwart sexism in places like the too masculine and defying traditional ideas about
workplace, sexism often infiltrates society so gender roles and how women should behave. Sexism
thoroughly that sexist attitudes cannot be easily shaken also manifests in language, as proved by the ample
off. assortment of crude slang terms, most of which cannot
Discrimination on the basis of gender can take a be printed here, for women who defy the norm.
wide variety of forms. For example, some people believe Sexism also does not occur in a vacuum. Sexism
that women should stay at home to focus on rearing can be combined with ableism, racism, and other
children and keeping house, rather than pursuing prejudices. Defeating sexism and other forms of
professional careers. This attitude can lead to severe discrimination often requires a great deal of personal
criticism when career women are involved, and as seen courage, and a willingness to call others out on their
in the 2008 Presidential primaries, high-profile women behaviour while recognizing such behaviour in oneself.
are not exempted from sexism, even when they are Sometimes the most powerful way to fight again
running for the office of President of the United States. discrimination is to set an example yourself, showing
Others may feel that men should not pursue ‘women’s critics that their ideas are baseless and proving that
work’ such as nursing, teaching, or home-making, men can raise children, women can excel in
criticizing men who pursue these activities. mathematics and the sciences, and so forth.
It is also possible to see sexism from within a
gender, in addition to criticism from the outside.

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147

Theories of Origin of Caste System

28
reputed origin and form a single homogenous
INTRODUCTION
community.
Caste system is considered to be they most peculiar In the words of Beteille, caste is a small and
aspect of the traditional Hindu Society. There is no named group of persons characterized by endogamy,
unanimity to the origin of caste system because of its hereditary membership, a specific life style, a
complex structure. particular occupation and distinct ritual status in a

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A lot of speculation has been done about the origin, hierarchical system.
a number of definitions have been offered by scholars According M.Senart, caste is a close corporation,
and the explanation viz-a-viz sustenance of caste hereditary, has a chief and a council, a common
system over the period of time and discussion of all occupation distinct marriage and food practices.
these forces which sustained caste are the main focus Vesfield states that a caste is a class of the
of this chapter. community, and does not marry or eat or drink with

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CHAPTER AT A GLANCE any except with persons of their own community.
DEFINITION OF CASTE Majumdar and Madan and Bougle have also
The Latin word ‘castus’ meaning ‘pure’ is the root attempted their own definitions of caste.
word for caste. Portuese word ‘casta’ meaning race THEORIES OF ORIGIN OF CASTE SYSTEM
lineage or pure stock was taken as the root of caste by The caste system in India is believed to have been

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the Portuguese since they thought caste was intended of immemorial antiquity. Moreover, it is a complex
to keep purity of blood. Till the 17th century caste was concept and thus in the words of D.N. Majumdar there
not used in the Indian sense. are as many theories regarding the origin of the caste
Caste is used to describe the total system of Indian system as there are writers on the subject. The census
social stratification on the one hand, while on the other of India, 1931, however, refers to five theories as given
it denotes some district aspects of this total system such below:
as varna, jati and gotra. (a) The divine origin: According to the ‘Purusha
A lot of confusion has been created due to the Sukta’ in Rig Veda, the people belonging to four main
careless use of the English word ‘caste’. According to castes (varnas) constitute the four body parts of the
Manu, there are four varnas and over fifty jatis. But purush (the creator). The Brahmin was his moutjh, the
even in this type of classification confusion occurs Kshatriya was his arm, the Vaishya his thigh while
because, for example, Brahmin can called varna as well shudra was his feet. Dharma-Shastras, Smrities,
jati. Puranas and Manu supported this view.
Risely defines caste “as a collection of families or (b) Karma and transmigration: The theory of
groups of families” which have a common name, Karma and transmigration of soul also justifies the caste
common descent from a mysthical occupation and form system. According to it, various conditions of men, the
homogenous community. Caste is endogenous. high or low is caused by Karma. One’s action (Karma)
According to Ketkar, caste has two characteristics– in the previous birth has a bearing on the status of the
(i) in born membership and (ii) endogamy. present birth. Thus, those who perform good Karma is
Views on Caste System the present birth pass into a superior existence and the
According to Gait, caste is an endogamous group, bad Karma degrades to a lower existence in the next
having a common name, a traditional occupation, birth. If a person submissively performs his caste duties

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in this life he will be born in a higher caste in the next (iv) The whole tribe or a section of it gradually
life. got converted into Hinduism without
Formation of Castes abandoning their tribal designations.
Herbert Risley (1915) prolounded the racial This gradual evolution from aborigines to a higher
theory of the origin of caste in his book ‘The People class Hindu is the main feature of Indian social
of India’. According to this theory, racial differences evolution. This transformation is evident in Bhuyias,
and endogamous marriages gave rise to the origin Mundas, Santhals and Hos.
of caste system. He traces it to the coming of Indo (e) Family and Marriage: Senart (1930) holds
Aryans from Persia whose society was divided into that in the caste system the basic principle is that of
four classes–priests, warriors, cultivators and exogamy. He points out that caste is the normal
artisans. They maintained this division in India and development of Ancient Aryan institution which
imposed hypergamy on the non-Aryans and rejected prohibits marriage within one’s gotra, considers
‘pratiloma’ marriages. pollution by touch of lower classes, prohibits inter-caste
According to Risley, six processes followed dining, etc.
enrolment of aboriginal tribes within the four or some CASTE SYSTEM THROUGH AGES
new caste name, occupation of the caste, change in During the Rig Vedic period, the Aryan conquered
occupation loading to subdivision of caste, neglect the surviving Harappan population and they were
of established practices giving rise to new caste, rigid possibly rehabilitated in the Aryan system with some
following of traditions by some and the sectarians inferior position. It is believed that Shudras appeared
forming sects. as a social class only towards the end of the period of
the Atharva Veda. Gradually, the black skinned Dasyus

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This racial factor has been supported by Kroeber
(1930) also, but he regards religious, occupational were taken as slaves. By the time the Purshasukta was
and cultural factors also to be important. composed, dasa slaves had begun to be called Shudras.
In the Satapatha Brahmana, we notice the first
Ghurye (1932) views caste system as Brahminical degradation of Shudras into untouchable lot (1000-600
system in which non-Aryan race became the Shudras. BC). Between 600-300 BC, the difference between
According to Majumdar (1957), contact of races and

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Vaishyas and Shudras narrowed down. The mention
clash of culture led to caste groupings. Hence, the of the fact that food touched by the Shudra is denied
racial factor has been accepted by most of the scholars and cannot be touched by a Brahmin is made in the
on caste. Dharmasutras (500 BC–300 BC).
(c) Occupational Theory: Nesfield (1885) With the advent of foreign people, the shackles of
propounded the occupational theory of caste. He found

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the varna system loosened. When Muslim invasion
it as the lone factor for the development of caste system. started from the 11th century onwards, the Hindus
This system gave exclusive monopoly to Brahmins for formed rigid rules against inter-marriage and inter-
priesthood. Later this became hereditary. dining while the principle of heredity came into
Ranking and Caste prominence by 1000 AD and pratiloma and anuloma
The ranking of caste into a high or low category marriages were discouraged. By the British period, the
depended on whether the industry represented by the Hindu social system had accumulated many undesirable
caste belonged to an advanced or backward, stage of features. The old village economy got disrupted and a
culture. Hence, the castes with the most primitive new class of landlords and tenants and agricultural
occupations like fighting, hunting, etc. were at the labourers and the caste system faced a serious challenge
lowest ring, the agriculture, etc. at the middle and from its foreign rule for the first time. The Western
the teaching and priesthood at the highest. education and social reforms and the growth of non-
(d) Tribes and Religious Theory: For a very long caste occupations attacked the old occupational division
time, the tribes have been entering the fold of caste of society based on caste. The introduction of separate
system where they are believed to have been included electrorates, on the contrary, fostered the caste
in lower rungs. According to Risley, four processes distinctions. Hence, there has been a continuous
transformed tribes into caste: adjustment and integration in the caste system.
(i) The whole tribe subscribed to Hinduism. CASTE: NOT AN ISOLATED PHENOMENON
(ii) Leading men from tribes became independent According to Hocart, Indian caste system is not
proprietors and enrolled themselves in castes. an isolated phenomenon. It may be found elsewhere
(iii) Many tribal people embraced Vaishnavism also as for example in Polynesia and Melanesia and
and accepted Hindu religious sect and traces of it can be found in ancient Greece, Rome and
abandoned their tribal name. modern Egypt.

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THEORIES OF ORIGIN OF CASTE SYSTEM / 149

Hutton believes the institutions analogous to caste design became more important, as the castle’s
may be found in Ceylone, Egypt, Fiji, Somali, Rwanda appearance and size began to reflect the prestige and
and Brundi in modern Africa and Burma. Moreover, power of its occupant. Comfortable homes were often
Ghurye finds its traces in Western Asia, Egypt, Japan, fashioned within their fortified walls. Although castles
China, Rome, Tribal Europe and America. Persia’s still provided protection from low levels of violence in
class division was found to be very similar with the later periods, eventually they were succeeded by country
difference in fourth class which was artisan class there houses as high status residences. It is generally accepted
and in India it was Shudras. that castles are confined to Europe, where they
originated, and the Middle East, where they were
SELF-ASSESSMENT QUESTIONS introduced by European Crusaders; however, there were
Q. 1. What do you think are the most important analogous structures in Japan built in the 16th and
aspects of caste? Explain. 17th centuries that evolved independently from
Ans. In its simplest terms, the definition of a castle European influence and which, according to military
accepted amongst academics is “a private fortified historian Stephen Turnbull, had “a completely different
residence”. This contrasts with earlier fortifications, developmental history, were built in a completely
such as Anglo-Saxon burhs and walled cities such as different way and were designed to withstand attacks
Constantinople and Antioch in the Middle East; castles of a completely different nature”.
were not communal defences but were built and owned Q. 2. Provide an outline of the various theories
by the local feudal lords, either for themselves or for of caste. Which one do you favour?
their monarch. Feudalism was the link between a lord Ans. There are different theories about the
establishment of the caste system. There are religious-

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and his vassal where, in return for military service,
the lord would grant the vassal land and expect loyalty. mystical theories. There are biological theories. And
In the late 20th century, there was a trend to refine the there are socio-historical theories. The religious
definition of a castle by including the criterion of feudal theories explain how the four Varnas were founded,
ownership, thus tying castles to the Medieval Period, but they do not explain how the Jats in each Varna or
however, this does not necessarily reflect the the untouchables were founded. According the Rig

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terminology used in the medieval period. During the Veda, the ancient Hindu book, the primal man –
First Crusade (1096–1099) the Frankish armies Purush– destroyed himself to create a human society.
encountered walled settlements and forts that they The different Varnas were created from different parts
indiscriminately referred to as castles, but which would of his body. The Brahmans were created from his head;
not be considered as such under the modern definition. the Kshatrias from his hands; the Vaishias from his

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Castles served a range of purposes, the most thighs and the Sudras from his feet. The Varna
important of which were military, administrative, and hierarchy is determined by the descending order of the
domestic. As well as defensive structures, castles were different organs from which the Varnas were created.
also offensive tools which could be used as a base of Other religious theory claims that the Varnas were
operations in enemy territory. Castles were established created from the body organs of Brahma, who is the
by Norman invaders of England for both defensive creator of the world. The biological theory claims that
purposes and to pacify the country’s inhabitants. As all existing things, animated and inanimated, inherent
William the Conqueror, advanced through England he three qualities in different apportionment. Sattva
fortified key positions to secure the land he had taken. qualities include wisdom, intelligence, honesty,
Between 1066 and 1087 he established 36 castles such goodness and other positive qualities. Rajas include
as Warwick Castle, which he used to guard against qualities like passion, pride, valour and other passionate
rebellion in the English Midlands. Towards the end of qualities. Tamas qualities include dullness, stupidity,
the Middle Ages, castles tended to lose their military lack of creativity and other negative qualities. People
significance due to the advent of powerful cannons and with different doses of these inherent qualities adopted
permanent artillery fortifications; as a result, castles different types of occupation. According to this theory
became more important as residences and statements the Brahmans inherent Sattva qualities. Kshatrias and
of power Vaishias inherent Rajas qualities. And the Sudras
Sometimes misapplied, the term castle has also inherent Tamas qualities. Like human beings, food also
been erroneously used to refer to structures such as inherents different dosage of these qualities and it
iron age fortifications, for example Maiden Castle, affects its eater’s intelligence. The Brahmans and the
Dorset. A castle could act as a stronghold and prison Vaishias have Sattvic diet which includes fruits, milk,
but was also a place where a knight or lord could honey, roots and vegetables. Most of the meats are
entertain his peers. Over time the aesthetics of the considered to have Tamasic qualities. Many Shudra

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communities eat different kinds of meat (but not beef) In the caste hierarchy the dark skinned Mahars were
and other Tamasic food. But the Kshatrias who had outcasts. The skin colour was an important factor in
Rajasic diet eat some kinds of meat like deer meat the caste system. The meaning of the word “Varna” is
which is considered to have Rajasic qualities. Many not class or status but skin colour. Between the outcasts
Marathas who claim to be Kshatrias eat mutton. The and the three Aryan Varnas there is the Sudra Varna
drawback of this theory is that in different parts of India who are the simple workers of the society. The Sudras
the same food was sometimes qualified to have different consisted of two communities. One community was of
dosage of inherent qualities. For example, there were the locals who were subdued by the Aryans and the
Brahmans who eat meat which is considered Tamasic other were the descendants of Aryans with locals. In
food. Hindu religious stories there are many wars between
The social historical theory explains the creation the good Aryans and the dark skinned demons and
of the Varnas, Jats and of the untouchables. According devils. The different Gods also have dark skinned
to this theory, the caste system began with the arrival slaves. There are stories of demon women trying to
of the Aryans in India. The Aryans arrived in India seduce good Aryan men in deceptive ways. There were
around 1500 BC. The fair skinned Aryans arrived in also marriages between Aryan heroes and demon
India from south Europe and North Asia. Before the women. Many believe that these incidents really
Aryans there were other communities in India of other occurred in which, the gods and the positive heroes
origins. Among them Negrito, Mongoloid, Austroloid were people of Aryan origin. And the demons, the devils
and Dravidian. The Negrito have physical features and the dark skinned slaves were in fact the original
similar to people of Africa. The Mongoloid have residence of India whom the Aryans coined as monsters,
Chinese features. The Austroloids have features similar devil, demons and slaves. As in most of the societies

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the aboriginals of Australia. The Dravidians originate of the world, so in India, the son inherited his father’s
from the Mediterranean and they were the largest profession. And so in India there developed families,
community in India. When the Aryans arrived in India who professed the same family profession for
their main contact was with the Dravidians and the generation in which, the son continued his father’s
Austroloids. The Aryans disregarded the local cultures. profession. Later on, as these families became larger,

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They began conquering and taking control over regions they were seen as communities or as they are called in
in North India and at the same time pushed the local Indian languages, Jat. Different families who professed
people southwards or towards the jungles and the same profession developed social relations between
mountains in north India. The Aryans organized among them and organized as a common community, meaning
themselves in three groups. The first group was of the Jat.

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warriors and they were called Rajayana, later they Later on the Aryans who created the caste system,
changed their name Rajayana to Kshatria. The second added to their system non-Aryans. Different Jats who
group was of the priests and they were called Brahmans. professed different professions were integrated in
These two groups struggled politically for leadership different Varnas according to their profession. Other
among the Aryans. In this struggle the Brahmans got foreign invaders of Ancient India – Greeks, Huns,
to be the leaders of the Aryan society. The third group Scythains and others – who conquered parts of India
was of the farmers and craftsmen and they were called and created kingdoms were integrated in the Kshatria
Vaishia. The Aryans who conquered and took control Varna (warrior castes). But probably the Aryan policy
over parts of North India subdued the locals and made was not to integrate original Indian communities within
them their servants. In this process the Vaisias who them and therefore many aristocratic and warrior
were the farmers and the craftsmen became the communities that were in India before the Aryans did
landlords and the businessmen of the society and the not get the Kshatria status.
locals became the peasants and the craftsmen of the Most of the communities that were in India before
society. In order to secure their status the Aryans the arrival of the Aryans were integrated in the Sudra
resolved some social and religious rules which, allowed Varna or were made outcast depending on the
only them to be the priests, warrior and the businesmen professions of these communities. Communities who
of the society. For example, take Maharashtra. professed non-polluting jobs were integrated in Sudra
Maharashtra is in West India. This region is known by Varna. And communities who professed polluting
this name for hundreds of years. Many think that the professions were made outcasts. The Brahmans are very
meaning of the name Maharashtra is in its name, Great strict about cleanliness. In the past people believed that
Land. But there are some who claim that the name, diseases can also spread also through air and not only
Maharashtra, is derived from the Jat called Mahar who through physical touch. Perhaps because of this reason
are considered to be the original people of this region. the untouchables were not only disallowed to touch

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THEORIES OF ORIGIN OF CASTE SYSTEM / 151

the high caste communities, but they also had to stand ensuring the division of labour, providing for the
at a certain distance from the high castes. training of apprentices and, in some cases, allowing
manufacturers to achieve narrow specialisation. For
ADDITIONAL IMPORTANT QUESTIONS
instance, in certain regions, producing each variety of
Q. 1. Write a short note on historical advantages cloth was the speciality of a particular sub-caste.
of the caste system. 5. Philosophers argue that the majority of people
Ans. Historically, the caste system offered several would be comfortable in stratified endogamous groups
advantages to the population of the Indian and have been in ancient times.. Membership in a
subcontinent. While caste is nowadays seen by particular caste, with its associated narrative, history
instances that render it anachronistic, in its original and genealogy would instill in its members a sense of
form the caste system served as an important instrument group accomplishment and cultural pride. Such
of order in a society in which mutual consent rather sentiments are routinely expressed by the Marathas,
than compulsion ruled; where the ritual rights as well for instance.
as the economic obligations of members of one caste Q. 2. Explain the historical theory of caste
or sub-caste were strictly circumscribed in relation to system origin.
those of any other caste or sub-caste; where one was Ans. According to socio-historical theory, the caste
born into one’s caste and retained one’s station in system began with the arrival of the Aryans in India.
society for life; where merit was inherited, where The Aryans arrived in India around 500 B.C. (some
equality existed within the caste, but inter-caste claim a much earlier date). The fair skinned Aryans
relations were unequal and hierarchical. A well-defined arrived in India from south Europe and North Asia.
Before the Aryans there were other communities in

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system of mutual interdependence through a division
of labour created security within a community. India of other origins. Among them Negrito,
1. Preservation of order in society through the use Mongoloid, Austroloid and Dravidian. The Negrito
of institutional stratification of social groups. have physical features similar to people of Africa. The
2. Integration of foreigners and invading forces Mongoloid have Chinese features. The Austroloids
into Indian culture by assigning a caste to them (a have features similar the aboriginals of Australia. The

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process that historian Jawaharlal Nehru referred to as Dravidians originate from the Mediterranean and they
‘Indianization’): India has faced repeated invasions were the largest community in India. When the Aryans
from outside the region, dating back to the Macedonian arrived in India their main contact was with the
invasion by Alexander the Great. Most invaders were Dravidians and the Austroloids. The Aryans
swiftly assimilated into Ancient Indian society by disregarded the local cultures. They began conquering

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assigning them specific castes. Examples include the and taking control over regions in North India and at
Kambojas, believed to be of Indo-Scythian descent, who the same time pushed the local people southwards or
were retroactively assigned a social position in the towards the jungles and mountains in North India.
Manusmriti. The Aryans organized among themselves in three
3. The Varna system, with its normative groups. The first group was of the warriors and they
interpretation as a division of labor, had and continues were called Rajayana, later they changed their name
to have a heavy bias towards spiritual evolution. The Rajayana to Kshatria. The second group was of the
deep religious proclivities and the urge for spiritual priests and they were called Brahmans. These two
uplift had induced the people to search for simpler and groups struggled politically for leadership among the
effective ways to achieve the spiritual goal which led Aryans. In this struggle the Brahmans got to be the
to innovations like the Bhakti movement which had a leaders of the Aryan society. The third group was of
powerful impact on the socio-cultural-spiritual life of the farmers and craftsmen and they were called Vaishia.
the people even at mass level without distinctions of The Aryans who conquered and took control over parts
caste or class or other social differences. It is these of north India subdued the locals and made them their
deeply run cultural roots which caused an abiding servants. In this process the Vaishias who were the
following for Hinduism even in the face of unrelenting farmers and the craftsmen became the landlords and
assaults by other religions and had in fact continued to the businessmen of the society and the locals became
influence the lives of people even after their conversion the peasants and the craftsmen of the society.
to other faiths. Thus, the caste system can be said to In order to secure their status the Aryans resolved
have preserved ancient cultural values in Indian society. some social and religious rules which, allowed only
4. The caste system played an influential role in them to be the priests, warriors and the businesmen of
shaping economic activities. The caste system the society. For example, take Maharashtra.
functioned much like medieval European guilds, Maharashtra is in West India. This region is known by

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152 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

this name for hundreds of years. Many think that the families became larger, they were seen as communities
meaning of the name Maharashtra is in its name, Great or as they are called in Indian languages, Jat. Different
Land. But there are some who claim that the name, families who professed the same profession developed
Maharashtra, is derived from the Jat called Mahar who social relations between them and organized as a
are considered to be the original people of this region. common community, meaning Jat.
In the caste hierarchy the dark skinned Mahars were Later on the Aryans who created the caste system,
outcasts. The skin colour was an important factor in added to their system non-Aryans. Different Jats who
the caste system. The meaning of the word “Varna” is professed different professions were integrated in
not class or status but skin colour. different Varnas according to their profession. Other
Between the outcasts and the three Aryan Varnas foreign invaders of Ancient India – Greeks, Huns,
there is the Sudra Varna who are the simple workers Scythains and others – who conquered parts of India
of the society. The Sudras consisted of two and created kingdoms were integrated in the Kshatria
communities. One community was of the locals who Varna (warrior castes). But probably the Aryan policy
were subdued by the Aryans and the other were the was not to integrate original Indian communities within
descendants of Aryans with locals. In Hindu religious them and therefore many aristocratic and warrior
stories there are many wars between the good Aryans communities that were in India before the Aryans did
and the dark skinned demons and devils. The different not get the Kshatria status.
Gods also have dark skinned slaves. There are stories Most of the communities that were in India before
of demon women trying to seduce good Aryan men in the arrival of the Aryans were integrated in the Shudra
deceptive ways. There were also marriages between Varna or were made outcast depending on the
Aryan heroes and demon women. Many believe that professions of these communities. Communities who

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these incidences really occurred in which, the gods and professed non-polluting jobs were integrated in Shudra
the positive heroes were people of Aryan origin. And Varna. And communities who professed polluting
the demons, the devils and the dark skinned slaves professions were made outcasts. The Brahmans are very
were in fact the original residence of India whom the strict about cleanliness. In the past people believed that
Aryans coined as monsters, devil, demons and slaves. diseases could also spread through air and not only

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As in most of the societies of the world, so in India, through physical touch. Perhaps because of this reason
the son inherited his father’s profession. And so in India the untouchables were not only disallowed to touch
there developed families, who professed the same the high caste communities, but they also had to stand
family profession for generation in which, the son at a certain distance from the high castes.
continued his father’s profession. Later on as these

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153

ISSUES OF MODERNITY
29
Theories of Modernization and Modernity
but these processes took place together but not at the
INTRODUCTION
same rate.this that there was not one single trajectory
The theories of modernization analytze as to how towards social change.
and why the various parts of the world developed into Rostow’s theory (1960) states that a primitive
industrial powers. The concept of modernity helps us society moved on to get preconditions for the pre “take
comprehend modern Western society and the social off” onto the “take off stage”, the drive to maturity and

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processes we come across in some Asian societies. to mass consumption society at last.
Modernization is a result of various socieal process, IMPLICATION OF
the major event beginning after World War II. These MODERNIZATION THEORIES
events include the emergence of America as a Modernization theories show a heavy Western bias
superpower and strengthening of other countries and imply that less developed countries must follow
of Western Europe, Japan and South Korea. the same path as West. Dependency theory on the

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Modernization also developed in communist societies. contrary takes a wider global perspective and points
The decolonization in Asia and Africa is also associated out that the problems faced in development are not
with processes which contributed to modernization. just those of social structure in traditional societies but
Evolutionary and functionalist theories attempted to in large part due to the imposition of world Wide
explain these processes and modernization. structures by the Western world. Andre Gunder Frank

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CHAPTER AT A GLANCE calls this relation of the developed (North) and
developing world (South) as ‘metropolis-satellite’
APPROACHES TO MODERNIZATION relationships.
The approaches to modernization distinguish While modernization theories are more of an
between the traditional and modern societies. In ideology, dependency the rories expose harsh realities
traditional society, family was a multifunctional unit of international economics. Modernization theories
including religion, education, welfare, economic, evolved in three distinct phases, the first phase being
emotional domain. Most of these functions are now 1950s and 1960s.
the domain of the state. This approach is based on the PHASES IN MODERNIZATION PROCESS
malfunction of the parts of a society. In the economic aspect the spread of technological
Mc Donaldization innovations took place with the help of media.
Equating formal rationality with modernity Cultural development also was helped by media
allows us to understand the success and spread of to promote modernity through spread of education and
the fast food restaurant and it also indicates the literacy. The development of identity, nation-building,
presence of modern world. However, the changes in etc., helped by media.
economy indication post-industrial society may be During 1980s, critical theory held sway and
present but these fast food restaurants and other criticized the Western impact of modrnisation. Mass
elements modeled after it do not support the idea of media dependency theory holds that developing
post-industrial. countries depended on the mass media of the Western
Smelser (1969) presents a different view and points world. A neutral approach was adopted in 1990s, the
out that in modernization process society developed third phase. Giddens (1991) says that modern society
from simple technology to complex ideology. He thinks and culture is marked by time-space distantiation and
that these developments were not simple and linear disembedding features.

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MODERNIZATION: THE ASIAN SYNDROME Cultural Crystallization

According to Yogendra Singh, modernization and Gehlen (1963) proposed the theory of ‘cultural
social change must be distinguished. Prior to crystallization’ to describe the modern situation
modernization, Indian tradition was based on the where institutional complexes have separated
principle of hierarchy, holism, continuity and themselves from cultural modernity which can now
transcendence. These factors were to some extent be discarded… cultural ideas are no longer able to
present in traditional West also but were different than produce ‘new’ that was central to modernity. The
Indian factors in quality. According to him, in Indian views are mentioned in Modernity and Post-
societies both pre-modern and modern changes took Modernity (2000) by Genard Delanty.
place.
Pre-modern change were orthogenetic and APPROACHES TO MODERNITY
heterogenetic. Islamic tradition in India was Tailors traces two approaches which tell us how
heterogenetic while sanskritization was endogenous modernity came into being. One approach analyses
change. differences between the culture of the contemporary
Western civilization and the Medieval Europe. Another
Changes in Traditional India approach looks at the changes involving the end of
Changes that occurred in traditional India were one type of traditional society and the upcoming of the
confined to tradition and could not be called modrn ones. While the first approach is called cultural
structural. The development in religious role the second one is called a cultural approach.
structure consisted of segmental differentiation of One way of looking at modernity could be in terms
roles and did change the system as a whole, writes of socio-cultural attributes and intellectual changes.

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Yogendra Singh in his work The Modernization of For example, social, cultural and individual
Indian Tradition (1986). transformation can arise from industrialization,
MODERNIZATION PROCESS AS A WHOLE mobilization and demographic changes.
According to Singh, in India modernization did Explanations of Modernity
not lead to institutional and structural breakdown. This Modernity has often been explained in terms of
was because of characteristics of Indian society. For reason. Industrialization and mobility tend to bring

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example, the caste system was independent of political about intellectual and spiritual changes because they
structure which though facilitated modernization but cause people to shed old habits and beliefs which
did nto lead to breakdown of society. Thus, modernity, lack the kind of independent rational basis that the
developed as a sub-structure and sub-culture. This beliefs related to modernity are supposed to bear
segmental presence of modernization became (Charles Taylor, in his Two Theories of Modernity).

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‘encompassing’ with the passage of time. The non-
traditional adaptive changes in Indian society like the
values of secularism and removal of untouchability took
SELF-ASSESSMENT QUESTIONS
Q. 1. Do you think that the ‘metropolis-satellite’
place as a part of modernization process. relationship between countries of north and south
THE PHENOMENA OF MODERNITY still exists? Give reasons for your answer.
Modernity implies the stage of a society that is Ans. Despite significant differences, critical
more developed than another society. This type of socity approaches share the view that, ‘there exists a world
uses world wide capitalism as the model to overall structure in which dominant interests located in the
development and is called a modrn society. Such advanced industrial world dominate and exploit the
societies are characterized by industrialization and rest of the world using economic, political and military
capitalism, heavier dependency on technological means.’ Andre Gunder Frank argues that, ‘the global
innovation, corresponding level of urbanization system is a whole chain of metropolis-satellite relations.
development of mass media and emergence of nation Each metropolis dominates, exploits and draws wealth
state. In Western Europe, the defining features of from its satellite or satellites.’ This chain, with northern
modernity included renaissance and enlightenment, societies at the top keeps societies in Africa, Asia and
reformation and counter-reformation, French Latin America at the bottom of a global system. Frank
Revolution and American Revolution and the Industrial sees surplus exported upwards and outwards from the
Revolution. bottom of the chain to the top. For Frank, development
Sociologists have tried to define modernity with is not possible without a complete break from the
features like rationalization, disenchantment of the system. Once a state has become a satellite, it can only
world, mass society, secularization, democratization, develop when its ties with the metropolis are broken
etc. or weakened, for example, in times of war or recession.

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THEORIES OF MODERNIZATION AND MODERNITY / 155

In this view development is always dependent sexual-orientation, origin, caste or class, income or
development and a ‘catch-up’ is ruled out. Any context property, language, religion, convictions, opinions,
in which development occurred would involve the health or disability must not result in unequal treatment
construction of a new international economic order under the law and should not reduce opportunities
which, far from conforming underdeveloped societies unjustifiably.
to models set in the north, would alter economic Social equality refers to social, rather than
relations in a manner which would transform developed economic, or income equality. ‘Equal opportunities’ is
as well as underdeveloped societies. interpreted as being judged by ability, which is
However, dependency theory is weak in its analysis compatible with a free-market economy. A problem is
of capitalist relations as being inherently negative horizontal inequality, the inequality of two persons of
and based purely on exploitation. Although
same origin and ability.
underdevelopment and poverty are vital problems of a
Historians link modernization to the processes of
global scale, they are not sole features of the
urbanization and industrialization, as well as to the
international economy. Development has occurred in
spread of education, democratization and equality. As
peripheral areas, and not all relations between the North
Kendall (2007) notes, “Urbanization accompanied
and South are about exploitation; indeed, not all
modernization and the rapid process of
international relations involve interrelation between
industrialization.” In sociological critical theory,
underdeveloped and developed as dependency focuses,
modernization is linked to an overarching process of
but relationships between advanced states must too be
studied. Therefore, the extent to which one believes rationalization.

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the issue of underdevelopment is salient in the Highly contentious is the idea that modernization
international political economy can dictate how much implies more equality, human rights, with China being
one believes dependency theory enables an a major text case. Inglehart, and Welzel (2009) contend
understanding of these economic relations to a degree, that the realization of democracy is not based solely
however, this approach is inherently limited because on an expressed desire for that form of government,
International Political Economy must also be studied but that democracies are born as a result of the

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by looking at a system of wealth production and not admixture of certain social and cultural factors. They
just monopolistic exploitation of wealth. Similarly, the argue the ideal social and cultural conditions for the
even faster growth of development in less industrialized foundation of a democracy are born of significant
states over the industrialized in examples of Taiwan modernization and economic development that result
in mass political participation.

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and Singapore indicate that dependency theories do
not encapsulate fully the potential nature of economic Peerenboom (2008) explores the relationships
relations through ignoring any possibility of among democracy, the rule of law and their relationship
co-operation and mutual advantage through capitalism. to wealth by pointing to examples of Asian countries,
Q. 2. To what extent does modernization lead such as Taiwan and South Korea, that have successfully
to the breakdown of inequality? Give reasons to democratized only after economic growth reached
support your answer. relatively high levels and to examples of countries such
Ans. It is believed that modernization brings social as the Philippines, Bangladesh, Cambodia, Thailand,
equality which is a social state of affairs in which all Indonesia and India that sought to democratize at lower
people within a specific society or isolated group have levels of wealth but have not done as well.
the same status in a certain respect. At the very least, Adam Przeworski and other political scientists
social equality includes equal rights under the law, such have challenged Seymour Martin Lipset’s key
as security, voting rights, freedom of speech and hypothesis in modernization theory: political regimes
assembly, and the extent of property rights. However, do not transition to democracy as per capita incomes
it also includes access to education, health care and rise. Rather, democratic transitions occur randomly,
other social securities. It also includes equal but once there, countries with higher levels of gross
opportunities and obligations, and so involves the domestic product per capita remain democratic.
whole society. Epstein. (2006) retest the modernization hypothesis
Social equality requires the lack of legally enforced using new data, new techniques, and a three-way, rather
social class or caste boundaries and the lack of than dichotomous, classification of regimes. Contrary
unjustified discrimination motivated by an inalienable to Przeworski, this study finds that the modernization
part of a person’s identity. For example, gender, age, hypothesis stands up well. Partial democracies emerge

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as among the most important and least understood bureaucracies, while not inherently cruel, are likely to
regime types. be used for inhuman purposes. There is continuity
between the rationality employed in the Holocaust and
ADDITIONAL IMPORTANT QUESTION
the rationalization of the fast-food industry today.
Q. Write short notes on the following Bauman believes that the conditions that created the
(a) McDonaldization and the New Means of holocaust have not really changed and that only strong
Consumption. morality and pluralistic political forces can prevent a
(b) Modernity and the Holocaust recurrence.
(c) Modernity’s Unfinished Project (c) Modernity’s Unfinished Project: Jurgen
(d) The Risk Society Habermas (1929-) believes that social systems have
Ans. (a) McDonaldization and the New Means grown increasingly complex, differentiated, integrated,
of Consumption: There are four dimensions of formal and characterized by instrumental reason. At the same
rationality. Efficiency means the search for the best time the life-world has witnessed increasing
means to the end. Predictability means a world of no differentiation and condensation, secularization, and
surprises. Rational systems tend to emphasize quantity, the institutionalization of norms of reflexivity and
usually large quantities, rather than quality. Finally, criticism. A rational society would be one in which
formal rationality relies on non-human technology both the system and the life-world were permitted to
rather than human qualities. Formally rational systems rationalize following their own logics. However, in the
have a variety of irrational consequences, such as modern world, the system has come to dominate the
dehumanization and demystification. life-world. While we may be enjoying the fruits of

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Ritzer argues that the fast-food restaurant brings system rationalization, we are deprived of the
formal rationality to new heights. He argues that the enrichment of life that comes from a life-world allowed
prevalence of McDonaldization indicates that we still to flourish. Habermas thinks that solutions to many of
live in a modern world. Ritzer has also observed the the problems in the modern world could be devised if
rise of new means of consumption, such as shopping the life-world had a better ability to steer the system.

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malls and superstores, since the end of World War II. Habermas is critical of the postmodernists for rejecting
He defines the means of consumption as entities that modernity.
make it possible for people to acquire goods and services (d) The Risk Society: According to Ulrich Beck
and for the same people to be controlled and exploited (1944- ), we no longer live in an industrial society and
as consumers. The new means of consumption are are moving toward a risk society. Risk society is a form

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modern because they are highly rationalized. of reflexive modernity in which the central issue is
(b) Modernity and the Holocaust: Zygmunt how risks can be prevented, minimized, or channeled.
Bauman (1925-) considers the Holocaust to be the These risks are being produced by the sources of wealth
paradigm of modern bureaucratic rationality. The in modern society. Industry, for example, produces a
perpetrators of the Holocaust employed rationality as wide range of hazardous consequences that reach across
one of their major tools. Bauman suggests that the time and space. Beck also argues that science has
holocaust was the product of modernity, not a result of become a protector of a global contamination of people
a breakdown of modernity. Without modernity and and nature. He suggests that subgroups, such as large
rationality, the holocaust would be unthinkable. Mass companies, are more likely than the governments to
extermination required a highly rationalized and lead the way when coping with risks.
bureaucratized operation. Bauman suggests that

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30
Tradition and Modernity
or spread of a tradition tends to become less influential
INTRODUCTION
and is capable of dealing only with local traditions. In
Tradition and modernity are not competing the process it becomes related to rities, rituals,
concepts. They represent different faces of meaning ceremonies while the essential communication remains
and are in fact symbiotically. In this sense, tradition is obfuscated and confused. Social changes are part of
the ground from which all manner of modernity the process of society and the forces of modernity tend

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emerges. ‘tradition’ and ‘modernity’ do not exist in to choke tradition or at least make it relatively
isolation of each other, but are in fact related to each insignificant and even innocuous.
other. Tradition is kind of structure and ideology that The term, modernity, however, means different
has a past and changes over time to absorb things in the North and the South. Modernity means a
developments in that field and hence recreates and kind of society that is more developed relative to other
expands in the process. In this way, modernity is only societies.

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one type of tradition in a changed scenario. Modern society can be compared with societies
that are pre-modern or those that are post-modern.
CHAPTER AT A GLANCE
However, neither of these approaches is fully
TRADITION, SOCIETY AND CULTURE satisfactory.
Tradition expands and contracts according to the Some other features, such as democratic

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social and cultural situation. Tradition starts when a government and the hierarchical structures also grow
particular action or activity is seen to be of significance within it. Similarly, the private sector grow in influence.
to the society. However, there are many traditions (Genard Delanty, 2000)
(music, art, architecture) and many strands within each MODERNITY AS A JUGGERNAUT
one of them. Therefore, it is possible to study some of According to Giddens, conflict is conspicuously
these strands but to study them in totality would imply present in the society that has entered into a modern
many years of research to be able to come to a holistic world. Society witnesses tremendous increases in the
and synoptic point of view at the end (Rojas, 1966). scope, pace and depth of change relative to systems
that preceded modernity. Giddens asserts that
The Accretion of Tradition modernity implies industrialism, capitalism, military
Tradition is found to accumulate over time. For power and surveillance. Theory of structuration given
example, oral tradition in India evolved into more by Giddens and its basic components adequately
body of scriptural knowledge and pluralistic tradition describes modernity.
developed. From this tradition, a number of tradition
Aspects of Modernity
in the field of art and architecture arose.
Industrialization and capitalism, democracy,
TRADITION AND MODERNITY emergence of nation-state and nationhood,
In the course of time, tradition has a tendency to urbanization, mass media and science and
become entropic and inward looking. Many local level technology are some important aspects of modernity.
traditions and sub-traditions are disappear without Moreover, raitonalisation, secularization, mass
leaving much of a trace. Hence it is important to know society, commodification and disenchantment with
as whether traditions disappear, change, ameliorate or the world are also some important characteristics of
attempt to coexist with modernity. The development modernity.

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ONTOLOGICAL INSECURITY finds that each of the factors applied to

AND MODERNITY Mcdonaldization are true for the credit card industry.
Giddens finds that ontological insecurity has been In this situation, loans are processed quickly. Moreover,
created within modernity itself. He thinks that in the credit card makes consumption predictable. Credit
modern society ‘control’ becomes an issue because of cards give different credit limits and the transactions
an evergrowing new knowledge. According to him, are relatively dehumanizing experience.
utopian ideals and social reality should be taken
together as a single unit and he criticizes the post- SELF-ASSESSMENT QUESTIONS
modern theories. Giddens asserts that were systematic Q. 1. Discuss the concept of tradition. Does
knowledge impossible the intellectual activity would tradition change or does it remain static?
stop. According to Giddens, modernity brings both Ans. The word tradition comes from the Latin
positive and negative consequences. He terms one of word which means ‘handing over, passing on’, and is
the negative consequences as ‘personal used in a number of ways in the English language:
meaninglessness.’ Giddens is concerned with 1. Beliefs or customs taught by one generation to
modernity, but Beck is interested in the new modernity. the next, often orally. For example, we can speak of
However, both Beck and Giddens feel that we are living the tradition of sending birth announcements.
in a modern world rather than a post-modern world. 2. A set of customs or practices. For example, we
The Risk Factor can speak of Christmas traditions.
The industrial pollutants and nuclear weapons 3. A broad religious movement made up of
pose serious threat to life not locally but globally. religious denominations or church bodies that have a
The poor have more risk and the rich are relatively

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common history, customs, culture, and, to some extent,
safe as they have money to by safety facilities. This body of teachings. For example, one can speak of
risk factor is associated with industrial society. Islam’s Sufi tradition or Christianity’s Lutheran
It has been observed that the rich nations are able tradition.
to minimize risks, the poor or poorer nations find that However, on a more basic theoretical level,
risk is centred in and around them. We see that tradition(s) can be seen as information or composed of

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advanced modernity has generated both hormones risks information. For that which is brought into the present
and also ways to deal with it. In his studies, Ritzer from the past, in a particular societal context, is
evaluates modern society using the three concepts of information. This is even more fundamental than
hyper-rationality, McDonaldization and particular acts or practices even if repeated over a long
Americanization. sequence of time.

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MODERNITY, RATIONALITY AND NORMS Tradition is a practice, custom, or story that is
Substantive rationality means dominance of norms memorized and passed down from generation to
and values when we make a rational choice. Hence, generation, originally without the need for a writing
theoretical rationality deals with intellectual system. Tools to aid this process include poetic devices
apprehension and practical rationality defines the such as rhyme and alliteration. The stories thus
context/situation. Hyperrationality extends further than preserved are also referred to as tradition, or as part of
formal rationality and combines Weber’s forms of an oral tradition.
rationality which include substantive, formal, Traditions are often presumed to be ancient,
intellectual and practical rationality. Formal unalterable, and deeply important, though they may
rationality, on the other hand, has four aspects– sometimes be much less “natural” than is presumed.
efficiency, predictability, quantity not quality, and non- Some traditions were deliberately invented for one
human technologies. reason or another, often to highlight or enhance the
The Irrationality of Rationality importance of a certain institution.Traditions may also
Formal rationality is also accompanied by the be changed to suit the needs of the day, and the changes
‘irrationality or rationality.’ Here efficiency is always can become accepted as a part of the ancient tradition.
with a view to an end and how one can use the best A book on the subject is The Invention of Tradition,
means to achieve a goal. Moreover, there is edited by Eric Hobsbawm and Terence Ranger.
standardization of process and event taking all the Some examples include ‘the invention of tradition’
surprise factor. Formal rationality generates in Africa and other colonial holdings by the occupying
irrationality by promoting demystification and forces. Requiring legitimacy, the colonial power would
dehumanizing processes. often invent a ‘tradition’ which they could use to
According to Ritzer, all over the modern world legitimize their own position. For example, a certain
the emphasis is on quick turnover for business. Ritzer succession to a chiefdom might be recognized by a

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TRADITION AND MODERNITY / 159

colonial power as traditional in order to favour their Cultural Traditions: Traditions can begin with
own candidates for the job. Often these inventions were fellowship. Sportsmanship passed on from father to
based in some form of tradition, but were grossly son is one way that cultures can start and share
exaggerated, distorted, or biased toward a particular traditions.
interpretation. Individual Traditions: Individual customs can be
Q. 2. Discuss the aspects of risk taking in practiced in solitude and usually hold a profound
modern society. Is there some way in which this can reasoning behind the ritual. Making a New Year’s
be reduced or removed? Resolution is a practice that many individuals choose
Ans. Risks have grown in modern societies and to make.
so is the knowledge of safety. However, not every one Q. 2. What is Modernity?
is bestowed with the same capacity to use these safety Ans. In sociology, the discipline that arose in
measure. For example, poor people and poor nations response to the social problems of ‘modernity’ (Harriss
are more likely to face risk than the rich people and 2000, 325), the term denotes the social processes and
nations. The industrial pollutants and nuclear weapons discourses consequent to the Age of Enlightenment
pose serious threat to life not locally but globally. (18th c.), especially defined by ‘rationalization’: “The
However, we find that those who create risks in modern term refers to processual aspects, especially tensions
society start seeing a way out of it, for example, the and dynamics. Modernity is thus a particular kind of
nuclear weapon was first developed by the rich nations time consciousness, which defines the present, in its
but they are advocating its non-proliferation. Similary, relation to the past, which must be continuously
the industrialisation has increased pollution to an recreated; it is not a historical epoch that can be
immensely dangerous level and the doers of the act periodized” (Delanty, 2007).

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that is the most industrialized nations are looking for At its simplest, modernity is a shorthand term for
a way out. This is called reflexivity of the modern risks. modern society, or industrial civilization. Portrayed in
ADDITIONAL IMPORTANT QUESTIONS more detail, it is associated with (i) a certain set of
attitudes towards the world, the idea of the world as
Q. 1. What is Tradition?
open to transformation, by human intervention; (ii) a
Ans. Traditions are practiced in many distinct

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complex of economic institutions, especially industrial
forms. Traditions are commonly known as ritualistic
practices that are passed on generation after generation; production and a market economy; (iii) a certain range
they’re passed through society, family and individual of political institutions, including the nation-state and
influences. Some traditions are based on religious mass democracy. Largely as a result of these
beliefs. Other traditions may provide an understanding characteristics, modernity is vastly more dynamic than

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of a particular culture. Whichever way a tradition is any previous type of social order. It is a society – more
learned, it will always define the principles of customs technically, a complex of institutions – which, unlike
for the people who practice them. any preceding culture, lives in the future, rather than
Religious Rituals: During religious holidays like the past. (Giddens 1998, 94)
Ramadan—where fasting food from dawn until dusk— Modernity describes “the loss of certainty, and the
a religious ritual makes a tradition of connecting with realization that certainty can never be established, once
God through concentrated prayer and meditation. and for all. It is a term that also can simply refer to
Legendary Customs: There are legendary reflection on the age, and, in particular, to movements
traditions like finding a four leaf clover or breaking a within modern society that lead to the emergence of
Turkey wishbone for good luck. These customs are new modes of thought and consciousness” (Delanty,
universal and are practiced by cultures that are not 2007). Sociologically, modernity aimed towards “a
associated with the origins of the tradition. progressive force promising to liberate humankind
Family Traditions: Family traditions are usually from ignorance and irrationality” (Rosenau 1992, 5),
influenced by folklore or by the influence of the elders yet Theodor Adorno and Zygmunt Bauman proposed
of the society. For instance, it is a custom for some that modernity commonly represents departure from
African-American weddings to include a broom the central tenets of the Enlightenment, and towards
jumping ceremony, following the families who were nefarious processes of alienation, such as commodity
married in this fashion during slavery. fetishism and the holocaust (Adorno 1973; Bauman
Societal Traditions: Society also influences the 1989).
practices of generational traditions. Familiar Sweet Consequent to contemporary debate about
Sixteen parties are an example of rites of passage economic globalization, the comparative analysis of
ceremonies that many American teenagers go through civilisations, and the post-colonial perspective of
at the age of sixteen. ‘alternative modernities’, Shmuel Eisenstadt

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introduced the concept of ‘multiple modernities’. The most defining property of modernity,
Modernity as a ‘plural condition’ is the central concept according to Giddens, is that we are disembedded from
of this sociologic approach and perspective, which time and space. In pre-modern societies, space was the
broadens the definition of ‘modernity’ – from area in which one moved, time was the experience one
exclusively denoting Western European culture – to a had while moving. In modern societies, however, the
cosmopolitan definition, thereby: ‘Modernity is not social space is no longer confined by the boundaries
Westernization, and its key processes and dynamics set by the space in which one moves. One can now
can be found in all societies’ (Delanty, 2007). imagine what other spaces look like, even if he has
Q. 3. What are views of Anthony Giddens on never been there. In this regard, Giddens talks about
Modernity? virtual space and virtual time. Another distinctive
Ans. Giddens’ recent work has been concerned property of modernity lies in the field of knowledge.
with the question of what is characteristic about social In pre-modern societies, it was the elders who
institutions in various points of history. Giddens agrees possessed the knowledge–they were definable in time
that there are very specific changes that mark our and space. In modern societies we must rely on expert
current era, but argues that it is not a ‘post-modern systems. These are not present in time and space, but
era’, but just a ‘radicalised modernity era’, produced we must trust them. Even if we trust them, we know
by the extension of the same social forces that shaped that something could go wrong: there’s always a risk
the previous age. Giddens nonetheless differentiates we have to take. Also the technologies which we use,
between pre-modern, modern and late (high) modern and which transform constraints into means, hold risks.
societies and doesn’t dispute that important changes Consequently, there is always a heightened sense of
have occurred but takes a neutral stance towards those uncertainty in contemporary societies. It is also in this

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changes, saying that it offers both unprecedented regard that Giddens uses the image of a ‘juggernaut’–
opportunities and unparalleled dangers. He also stresses modernity is said to be like an unsteerable juggernaut
that we haven’t really gone beyond modernity. It’s just travelling through space.
a developed, detraditionalized, radicalized, ‘late’ Humanity tries to steer it, but as long as the modern
modernity. Thus the phenomena that some have called institutions, with all their uncertainty, endure, we will

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‘post-modern’ are to Giddens nothing more than the never be able to influence its course. The uncertainty
most extreme instances of a developed modernity. can however be managed, by ‘re-embedding’ the expert-
Along with Ulrich Beck and Scott Lash, he endorses systems into the structures which we are accustomed
the term reflexive modernization as a more accurate to.
description of the processes associated with the second Another characteristic is enhanced reflexivity, both

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modernity, since it opposes itself (in its earlier version) at the level of individuals and at the level of institutions.
instead of opposing traditionalism, endangering the The latter requires an explanation: in modern
very institutions it created (such as the national state, institutions there is always a component which studies
the political parties or the nuclear family). the institutions themselves for the purpose of enhancing
Giddens concentrates on a contrast between its effectiveness. This enhanced reflexivity was enabled
traditional (pre-modern) culture and post-traditional as language became increasingly abstract with the
(modern) culture. In traditional societies, individual transition from pre-modern to modern societies,
actions are not matters that have to be extensively becoming institutionalised into universities. It is also
considered and thought about, because available in this regard that Giddens talks about “double
choices are already predetermined (by the customs, hermeneutica”: every action has two interpretations.
traditions, etc.). In contrast, in post-traditional society The one is from the actor himself, the other of the
people (actors, agents) are much less concerned with investigator who tries to give meaning to the action he
the precedents set by previous generations, and options is observing. The actor who performs the action,
are at least as open as the law and public opinion will however, can get to know the interpretation of the
allow. Therefore, individual actions now require much investigator, and therefore change his own
more analysis and thought before they are taken. interpretation, or his further line of action.
Society becomes much more reflexive and aware, This is the reason that positive science, according
something Giddens is fascinated with, illustrating it to Giddens, is never possible in the social sciences:
with examples ranging from formal government at one every time an investigator tries to identify causal
end of the scale to intimate sexual relationships at the sequences of action, the actors can change their further
other. Giddens examines three realms in particular– line of action. The problem is, however, that conflicting
the experience of identity, connections of intimacy and viewpoints in social science result in a disinterest of
political institutions. the people. For example, when scientist don’t agree

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TRADITION AND MODERNITY / 161

about the greenhouse–effect, people will withdraw from him to nothing, but a mere slave. However, unaware
that arena, and negate that there is a problem. of all this technology and science, the people in the
Therefore, the more the sciences expand, the more traditional society had a full control of their own lives.
incertitude there is in the modern society. In this regard, They could not communicate on cell phones or chat
the juggernaut even gets more steerless. on facebook and were not so over-busy with their
Q. 4. Between Traditional Society v/s Modern schedules and monotonous routines that they tend to
Society which would you prefer? hide from each other by going invisible on chat rooms!
Ans. Man is a social animal and has been living So on a concluding note, it is almost impossible
in groups since the pre-historic times. With time, these to choose any one given the pros and cons of both, in
groups have evolved to become organized and civilized my perspective a balance blend of both would do!
societies and have adopted different norms, cultures Q. 5. Write a short note on The Juggernaut of
and trends that distinguish them from the other Modernity
societies. But the process of evolution did not stop and Ans. The Juggernaut of Modernity: Anthony
continues till date, leading to the formation of the Giddens (1938-) has described the modern world as a
modern society by putting the traditional society behind juggernaut, that is, as an engine of enormous power
the scene. which can be directed to some extent, but which also
The question of preferring the modern society over threatens to run out of control. The juggernaut is a
traditional one or vice versa is a highly debatable issue runaway world with great increases over prior systems
and cannot be adequately answered without taking into in the pace, scope, and profoundness of change.
account the pros and cons of both the forms of societies. Giddens defines modernity in terms of four basic
While the traditional society boasts the value and worth institutions. Capitalism is characterized by commodity

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of its traditions and its long cherished culture and production, private ownership of capital, wage-labour,
norms the modern society is proud of the amazing and a class system derived from these characteristics.
Industrialism involves the use of inanimate power
technology and the freedom of choice, and expression
sources and machinery to produce goods, but it also
to its dwellers. affects transportation, communication, and everyday
But the joys of both societies do not come without life. Surveillance refers to the supervision of the
their woes and setbacks. While the traditional society

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activities of subject populations in the political sphere.
lacked all the luxuries that we all enjoy today at the The fourth characteristic is control of the means of
expense of science and research, made the people fall violence by the state.
a victim to the traps to the superstitious beliefs and Modernity is given dynamism by three processes.
other nonsense with no logical or scientific backing. Time and space distanciation refers to the tendency
But today the modern society although equipped with for modern relationships to be increasingly distant.

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all that science has to offer the mankind, has lost the Relatedly, disembedding involves the lifting out of
morals, ethics and the emotions of love and brotherhood social relations from local contexts of interaction and
that distinguished them from the other animals on the their restructuring across indefinite spans of time-
planet. space. In such a system, trust becomes necessary
But then, the traditional society, although it had because we no longer have full information about social
all the ties of brotherhood, had no care for the phenomena. Finally, reflexivity means that the social
empowerment of the women who were treated as practices of modern society are constantly reexamined
nothing but slaves manipulated by the men in the and reformed in the light of incoming information.
society. With girls buried alive on birth and the widows Giddens thinks that modernity has created a
buried and burnt with the dead husbands, the society distinctive risk profile. Risk becomes global in intensity
was involved in the most detestable acts ever. But even and in the expansion of contingent events that affect
today all the hue and cry for the women seems to be large numbers of people around the world. Our
nothing but a sham luster as we see the number of awareness of these risks gives us the sense of insecurity
women being manipulated by their male counterparts, implied in the term juggernaut.
women and girls being raped and sexually harassed Giddens argues that the reflexivity of modernity
and subject to domestic violence; the modern society extends to the core of the self and becomes a reflexive
is doing them no good too. project of identity formation. For example, the body is
subject to a variety of regimes that help individuals
The modern society has given rise to many evils
mold their bodies. He also argues that intimate
in itself. With the trends in technology at a rise, and relationships have been set apart from the routines of
loads of money being invested into the projects like ordinary life (sequestered). As a result, the reflexive
artificial intelligence and the human genome project, effort to create a pure intimate relationship is usually
the modern man fails to recognize the possibility of separate from larger moral issues.
his own inventions taking control of him and reducing

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162

31
Post-Structuralism and Post-Modernism
structuralists, the role of language in building social
INTRODUCTION reality is obvious. (Godelier, 1972)
One can observe the intellectual trend in the DISCOURSE KNOWLEDGE AND EXPERIENCE
ontology of ideas and schools of ideas – constantly It is said that he world of discourse and knowledge
replaced by the new ideas or ideologies. Both post- set the limits for our experience – and the subject (ego)
structuralism and post-modernism are considered to can only experience or describe what he has

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be blanket terms containing many strands of thought. experienced during such exercise. This means that there
These strands came after structuralism and post- are experiences for which there is no language or a
structuralism. language is slowly being pieced together, and certain
words and concepts gain ground and usage. Moreover,
CHAPTER AT A GLANCE
another area in which post structural theories focus
CRITIQUE OF STRUCTURALISM upon in their analysis on what are known as cultural

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According to post-structuralists, meaning in codes which themselves provide an understanding of
language is diverse and open to many different our lives and how work out within various contexts.
interpretations. Post-structuralism begins as a critique The analyses of post-structuralists does not deny its
of structuralism and says that structuralism did not subjective orientation. But post-structuralists also hold
pay heed to historical processes. that meaning in society can be deconstructed to open

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Hence the structuralists opine that it is language up new ideas and practices. Foucault opines that there
and its structure which the producer of reality itself. is no question of predicting grand theories and meta
Language causes our thought and forms our perception. narratives (Foucault, 1969).
Moreover, since the meaning does not come from the DERRIDA AND DECONSTRUCTION
individual, but the language or the system and hence, Post-structuralism started with Derrida’s critique
the individual is subordinated and superceded by the of structuralism or rather his ‘deconstruction’ of
structure. language society and culture. While the structuralists
POST-STRUCTURAL THEORIES believed that man was chained to structures which
We observe that by the 1950’s the influence of controlled him, Derrida feels that language can be
structuralism had set in. According to Saussure (1857- reduced to writing which does not control the subjects.
1913), ‘meaning’ had to be found in the ‘structure’ of He asserts that all institutions and structures are
the whole language and not in individual words nothing, but writing and incapable of controlling the
(Guller, 1976). Around the 1960s the structuralist individual. Moreover, while the structuralists saw order
movement tried blend the ideas of Marx, Freud and and stability in language, the post-structuralists on the
Saussure. The structuralists opposed existentialists who other hand saw language as essentially changing and
stressed individual and life experience as the centre of quite unstable.
meaning. FOUCALT AND THE ARCHAEOLOGY
Post-structuralism criticizes structuralism. The OF KNOWLEDGE
former is based on main assumptions like putting all Foucault considered his approach as the
phenomena under one explanation, belief in transcental archeology of knowledge. According to him, this
reality which overarches all other reality. Post approach is better for understanding society and is
structuralism is opposed to the concept of man as put different than history, a stereotyped linear progression,
forward by enlightenment period. In the works of post- whereas the reality remains limited and continuous,

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POST STRUCTURALISM AND POST MODERNISM / 163

as agaist his structural analysis Foucault started Originally labelled a structuralist, the French
studying the ‘genealogy of power.’ He focused upon philosopher and historian Michel Foucault came to be
the facts about governance through knowledge seen as the most important representative of the post-
production. He emphasized that knowledge as power structuralist movement. He agreed that language and
should not be hierarchical. It should not be the case society were shaped by rule governed systems, but he
that the higher the power the greater is its influence disagreed with the structuralists on two counts. Firstly,
(e.g. the greater the power it wields over the subjects). he did not think that there were definite underlying
JAMESON AND LATE CAPITALISM structures that could explain the human condition and
There are post-modern thinkers who reject the idea secondly he thought that it was impossible to step
of a grand narrative or meta-narrative. Accordingly, outside of discourse and survey the situation objectively.
Lyotard identifies modern knowledge with meta- Jacques Derrida (1930- ) developed deconstruction
narratives, then obviously post-modern approaches as a technique for uncovering the multiple
demand that such should be negated in its interpretation of texts. Influenced by Heidegger and
completeness. An example of the post-modern theory Nietzsche, Derrida suggests that all text has ambiguity
is found in the work of Fredric Jameson. For him, and because of this the possibility of a final and
capitalism is in its ‘late’ stages, but continues to be the complete interpretation is impossible.
main form of production the world. But this ‘late’ stage For Derrida, language or ‘texts’ are not a natural
of capitalism has been ushered in with post-modernism. reflection of the world. Text structures our
This means that while the cultural logic is altered, the interpretation of the world. Following Heidegger,
underlying structure remains the same as in the Derrida thinks that language shapes us–texts create a
incipient forms of capitalism. clearing that we understand as reality. Derrida sees

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BAUDRILLARD AND POST-MODERNISM the history of western thought as based on opposition:
Baudrillard arguing in the 1970s said that good vs. evil, mind vs. matter, man vs. woman, speech
Marxists, and their detractors both had a similar vs. writing. These oppositions are defined
beorgeoisie orientation which was conservative. For hierarchically: The second term is seen as a corruption
him an alternative was necessary. of the first, the terms are not equal opposites.
Baudrillard studied contemporary society, and

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Derrida thought that all text contained a legacy of
observed that it is not production, but the electronic these assumptions, and as a result of this, these texts
media that characterizes it e.g. computers, satellites. could be re-interpreted with an awareness of the
This meant that the society had moved from different hierarchies implicit in language. Derrida does not think
modes of production to a society that is more involved that we can reach an end point of interpretation, a truth.
with the code of production. This way he tried to

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For Derrida all text s exhibit ‘differance’: they allow
explain society apolitically. multiple interpretations. Meaning is diffuse, not settled.
SELF-ASSESSMENT QUESTIONS Textuality always gives us a surplus of possibilities,
yet we cannot stand outside of textuality in an attempt
Q. 1. Discuss what is ‘deconstruction’? How did to find objectivity.
Derrida deconstruct structuralism? One consequence of deconstruction is that certainty
Ans. By the mid-20th century there were a number in textual analyses becomes impossible. There may be
of structural theories of human existence. In the study competing interpretations, but there is no uninterpreted
of language, the structural linguistics of Ferdinand de way one could assess the validity of these competing
Saussure (1857-1913) suggested that meaning was to interpretations. Rather than basing our philosophical
be found within the structure of a whole language rather
understanding on undeniable truths, the
than in the analysis of individual words. For Marxists,
deconstructionist turns the settled bedrock of
the truth of human existence could be understood by
rationalism into the shifting sands of a multiplicity of
an analysis of economic structures. Psychoanalysts
interpretations.
attempted to describe the structure of the psyche in
terms of an unconscious. Q. 2. Outline the common features of post-
In the 1960’s, the structuralist movement, based modern writers. How are these separate from
in France, attempted to synthesise the ideas of Marx, ‘modernism’?
Freud and Saussure. They disagreed with the Ans. The term ‘Post-modernism’ has been applied
existentialists’ claim that each man is what he makes to many disciplines including architecture, design,
himself. For the structuralist the individual is shaped literature, communications music, sociology, and film.
by sociological, psychological and linguistic structures In relation to architecture and design, by the late 1950s
over which he/she has no control, but which could be the visual language of Modernism was increasingly
uncovered by using their methods of investigation. equated with the tastes of the educated professional

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classes, the corporate aesthetic of successful Post-modernism in its post-structuralist mode

multinational companies, and the outlook of an challenged the European and American left. In France,
architectural establishment that had taken up a it replaced a Marxism that had dominated in the
vocabulary derived from radical avant garde tendencies universities into the 1960s. In the United States, a
in the interwar years. Firmly embedded in the sustained attack came from the literary scholar Frank
contemporary world of television, passenger jet air Lentricchia in his 1980 book After the New Criticism.
transportation, foreign travel, and nuclear energy the Leftist scholars, and particularly Marxists, had long
burgeoning Post-modern Zeitgeist (or ‘spirit of the insisted that literature, like all culture, reflected the
age’) of the later 1950s and early 1960s was to many– hegemony of the dominant classes in capitalism; thus
particularly younger architects, designers, and it always had a social connection and a historical
consumers–emphatically different from that of 1920s foundation. Lentricchia saw in the American post-
and 1930s modernism. The early 1960s was a period structuralists merely a formalist and hermetic approach
in which the ephemeral values of Pop came of age, its to literature, depriving it of social and political context.
brightly coloured, culturally diverse, and image–rich ‘Pleasures of the Text’ conveyed to Lentricchia only
ethos increasingly at odds with the rational, restrained the habits of aesthetic indulgence in bourgeois
aesthetic associated with the modernists’ exploration appropriations of culture, in short, a familiar recourse
of new materials, manufacturing technologies, and to hedonism. The linguistic turn to this extent, he
abstract forms in the decades before the Second World believed, registered the most damning aspects of
War. Impermanence, pluralism, dissolution, and the American capitalist culture, dissevering literature from
decay of authority constituted thematic emphases in the class struggle and rendering it a decorative and
the intellectual dimensions of post-modernism. The therapeutic device that invites us to take our pleasure

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major influence, in the fields of language and literary as we like it.
theory, came heavily from the French. In philosophy, Richard Rorty moved in a similar
In the late 1960s, American students began to hear postmodernist direction. His Philosophy and the Mirror
of thinkers like Ferdinand de Saussure, Roland Barthes, of Nature (1979) sought, like the post-structuralists,
Jacques Lacan, Jacques Derrida, and others. They to deflate the pretensions of his discipline. Western

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provided the leads in the redirection in American thinking, he insisted, had gone awray in its long-
literary studies, ‘the linguistic turn’ that would have standing efforts to secure a foundational epistemology,
influence in many academic disciplines. Influenced by to make mind the mirror of nature. Rorty faulted the
the German philosophers Friedrich Nietzsche and ahistorical character of this quest. Philosophy became
Martin Heidegger, the French thinkers sought to deflate defensive, he charged, freezing reality in privileged

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the pretensions of the logocentric, or word-focused, forms or essences. Appealing to the American
culture of Western civilization. Literary and intellectual pragmatist John Dewey, Rorty wished to return
texts, they asserted, always, when under close philosophy to the problematical aspects of ordinary life.
examination, yield both multiple and contradictory In this era of ‘post-’ and ‘neo-’ labelling, Rorty called
meanings. They ‘deconstruct’ themselves. They do not for a ‘post-philosophy’ that abandons pursuit of the
produce truth systems; they confront us only with an conditioning groundwork of all thinking; instead,
endless chain of signifiers. Meaning always recedes, philosophy should be a form of hermeneutics. Post-
and eludes the reader. Western thinking, the post- Philosophy, for Rorty, had a relaxed and playful
structuralists maintained, had always been a quest for manner; it becomes an aspect of conversation, rooted
metaphysical comfort—a quest for the absolute. But in social and historical conditions. Here, too, a
the efforts, they asserted, collapse from their very therapeutic quality stands out–philosophy helps us
excesses. Post-structuralists such as those associated cope.
with the Yale School of academics in the 1970s deprived Post-modernism had a major social voice in the
literary texts of subject authority (‘the disappearance brilliant writings of the French thinker Michel
of the author’), coherence (texts are ‘de-centered’), and Foucault. Though a voice of the political left, Foucault
social reference (‘there is nothing outside the text’). represents the post-modernist diminution of Marxism.
On the other hand, in poststructuralism, loss of To many post-structuralists like Foucault, Marxism
authority also signified the positive alternative of conveyed traditional Western habits of logocentrism
reading as personal freedom (‘re-creation’); Barthes and notions of totality, from Hegel and onto ‘Western’
wrote of the ‘pleasure of the text.’ In the Yale School, Marxist humanism in the twentieth century. Foucault
Geoffrey Hartman urged that the very indeterminacy added to textual analysis the ingredient of power and
of language empowered a creative criticism that broke saw language systems and intellectual discourse as
the shackles of univocal meaning. vehicles of control. Foucault, however, read society like

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post-structuralists read literary texts, as decentered drama which rejected the old Victorian standards of
systems. In contrast to Marxists, he described power how art should be made, consumed, and what it should
not as hegemony but as multiplicities, localities of mean. In the period of ‘high modernism,’ from around
activities, spaces, in which resistance and subversion 1910 to 1930, the major figures of modernism literature
are always at work. Foucault faulted Marxism as an helped radically to redefine what poetry and fiction
intellectual residual of 19th century ideology. Post- could be and do–figures like Woolf, Joyce, Eliot, Pound,
modernists like the French critic Jean-François Lyotard, Stevens, Proust, Mallarme, Kafka, and Rilke are
in his influential book The Post-Modern Condition considered the founders of 20th century modernism.
(1979), distrusted all holistic theorizing and ‘meta- Q. 2. What do you mean by Genealogy of
narratives.’ Absolutism in thought, he believed, led to Knowledge?
totalitarianism in the political realm, the Gulag. Ans. Foucault attempted to analyse the ‘discursive
Some of the differences in approach are illustrated practices’ or serious speech acts that lay claim to
in the following table: revealing knowledge. Rather than analyse these
Modern Post-modern discursive practices in terms of their truth, he analyses
Necessity (natural Contingency or chance them in terms of their history or genesis. He claimed
and social laws) that he was attempting to do an ‘archaeology’ of
knowledge, to show the history of truth claims.
Universality (across Locality and the In his latter work, he borrowed from Nietzsche
time and space) particular (can only the ‘genealogical’ approach and from Marx his analyses
know own experience) of ideology. Foucault sought to show how the
Certainty and Uncertainty and

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development of knowledge was intertwined with the
predictability provisionality mechanisms of (political) power. Unlike Marx,
Truth and reality Critique of tradition Foucault had no underlying belief in a deep underlying
bound analysis truth or structure–there was no objective viewpoint
Transparency or Undecidability from which one could analyse discourse or society.
understandability Foucault focused on the way that knowledge and

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the increase of the power of the state over the individual
Order of nature and Ambivalence of human has developed in the modern era. In his ‘History of
structures design Sexuality’ he argued that the rise of medical and
psychiatric science has created a discourse of sexuality
ADDITIONAL IMPORTANT QUESTIONS as deep, instinctual and mysterious. This discourse

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Q. 1. What is Post-modernism? became accepted as the dominant explanation, and its
Ans. Post-modernism is a complicated term, or assumptions began to seep into the discourse of the
set of ideas, one that has only emerged as an area of everyday. In this way the human subjects’s experience
academic study since the mid-1980s. Post-modernism of their own sexuality is shaped and controlled by the
is hard to define, because it is a concept that appears discourses that purport to explain it. The search for
in a wide variety of disciplines or areas of study, knowledge does not simply uncover pre-existing
including art, architecture, music, film, literature, ‘objects’; it actively shapes and creates them.
sociology, communications, fashion and technology. Foucault does not offer any all-embracing theory
It’s hard to locate it temporally or historically, because of human nature. He was critical of ‘meta-theory’–
it’s not clear exactly when post-modernism begins. beliefs that claimed to give an exclusive objective
Perhaps the easiest way to start thinking about explanation of reality. For Foucault there is no ultimate
post-modernism is by thinking about modernism, the answer waiting to be uncovered. The ‘discursive
movement from which post-modernism seems to grow practices’ of knowledge are not independent of the
or emerge. Modernism has two facets, or two modes of objects that are studied, and must be understood in
definition, both of which are relevant to understanding their social and political context.
post-modernism. Q. 3. Define Structuralism, Post-structuralism,
The first facet or definition of modernism comes Deconstruction.
from the aesthetic movement broadly labelled Ans. These influential theories of the second half
‘modernism.’ This movement is roughly coterminous of the 20th century, all of which are focused on
with 20th century Western ideas about art (though language, have their origins in the linguistic theory of
traces of it in emergent forms can be found in the 19th Ferdinand de Saussure (1857-1913), particularly his
century as well). Modernism, as we probably know, is Cours de linguistique générale (1916) or Course in
the movement in visual arts, music, literature, and General Linguistics, taken from his students’ lecture

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166 / NEERAJ : SOCIOLOGICAL THEORIES AND CONCEPTS

notes and published posthumously. Contrary to many (man/woman, good/evil). To describe how meaning is
of the linguistic theories of the day, which focused on produced, Derrida developed the term différance,
diachronic linguistics or the changes in languages over meaning to differ and to defer. He focused in particular
time, Saussure developed a theory of synchronic on the binary speech/writing, in which speech has been
language, how language works in the present. He seen to provide a guarantee of subjectivity and presence
argued that the relationship between the spoken word in the history of philosophy and linguistics (someone
(signifier) and object (signified) is arbitrary and that has to do the speaking). Alternatively, writing is about
meaning comes through the relationship between signs, absence, the absence of the speaker and what is
which are for Saussure the union of signified and signified by the written signifiers. Derrida calls the
signifier. So the word ‘tree’ means by custom only and privileging of speech and presence logocentrism.
not through any intrinsic relationship between the Post-structuralism rejected the theory that one could
sound and the thing. That’s why both ‘arbol’ and ‘tree’ map the structure of a language or culture. Rather,
can both signify the same signified. English speakers meaning is constantly slipping from one sign to the
construct meaning by distinguishing between tree and next. Signifiers do not produce signifieds; they merely
treat and trek as well as between tree and bush and produce an endless chain of signifiers—hence my need
flower. Meaning, then, comes from understanding what to find a signifier from another semiotic system to
a thing is not rather than from knowing in any kind of represent the tree above. In that example, the signifier
ontological sense what a thing is. Meaning is tree did not produce the signified but merely another
constructed through difference, particularly through signifier. Language works like a dictionary where,
binary pairs (man/woman, good/evil). There is no when you look up a word, you get other words that
absolute Platonic ideal “out there” to anchor meaning. provide meaning.

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There is no truth that is not constructed. There is Jacques Lacan (1901-1981) took Saussure’s ideas
nothing outside language. Language speaks (through) and applied them to psychoanalysis, arguing that the
us. Language is thus a system of signs or a semiotic unconscious is structured like a language, that is, the
system, but merely one of many, all of which construct unconscious is a semiotic system signs stand arbitrarily
meaning, which does not exist outside the semiotic for particular meanings. Lacan also postulated that

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system. every human being goes through the mirror stage in
Some anthropologists seized on Saussure’s theory which we construct our sense of coherent selfhood by
of semiotic structure to analyze and understand a seeing ourselves in a mirror (real or imaginary; other
variety of cultures, which, they theorized, could be people can also mirror us back to ourselves). But that
mapped ‘scientifically’ through a structuralist self and its coherence are based on méconnaissance or

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methodology. Literary critics also drew on misrecognition, because the mirror image shows us to
Structuralism to map the semiotics of genres and be more unified and separate than we actually are. As
individual works and, in the process, to challenge the in Saussure’s linguistic theory, here the self has no
formalist / humanist criticism that had dominated ontology but is rather a construct, a sign, created
literary study in the first half of the century. Perhaps through relationship and difference.
most influential was Roland Barthes (1915-1980) who Michel Foucault (1926-1984) always insisted that he
proclaimed the death of the author. That is, if language was not a post-structuralist critic but rather a
speaks us, then the author is relatively unimportant to genealogist. But his analysis of discourse owes a lot to
the process of writing. Saussure’s insights about the construction of meaning.
Jacques Derrida (1930- ) used Saussure’s insights Foucault shows how discourses regulate what can be
to develop Deconstruction, a perspective that focuses said, what can be thought, and what is considered true
on the lack of a truth “out there” or at the center to or correct. So the pre-modern medical theories based
provide meaning. He showed how all Western on bodily humors constructed a particular
philosophical systems are dependent on a center (God, understanding of the body, and within that discourse,
the self, the unconscious). But structuralism had shown certain things were true and false. However, there were
that the center is a fiction, merely another signified many other propositions that were neither true nor false
that has no being beyond language. Furthermore, but fell outside the discursive system altogether. Anyone
Derrida focused on the binary pairs that make meaning, who tried to think outside the system would not have
arguing that rather than being polar opposites, each been respected or accorded a voice in the conversation
was dependent on the other for meaning and (we might about bodies. Discourse is thus the medium through
say) existence. (Hence one deconstructs the polarity of which power is expressed and people and practices are
the binary terms.) He also showed how in all binaries, governed; academic disciplines discipline. Foucault
one of the terms was always subordinated to the other also argued that “the history of thought” is a misnomer,

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POST STRUCTURALISM AND POST MODERNISM / 167

as it implied a continuous evoltion of ideas. Rather, he undermined by the insights of post-structuralism. What
used the terms genealogy or archeology of knowledge, is the relationship between the academic and the object
focusing on the ruptures or breaks between one era’s of study? In what way can we know that object; is it
discourse and another’s. available to us at all? What can we know about the
Thomas Kuhn’s (1922-1996). The Structure of past? What does it mean to interpret or analyze a work
Scientific Revolutions (1962) makes the kind of of literature? How do we choose what works to study?
argument about scientific thought that Foucault made What is the role of the aesthetic in either art history or
about discourses in general (and in particular). Kuhn literary study? How is the canon of literature or art
used the term paradigm to describe the foucauldian produced? How do we decide what is ‘good’ or
discourses that regulate scientific thought. For Kuhn, ‘beautiful’? Can there be any absolute standards of
science is not an evolutionary, progressive march value at all if meaning is a product of arbitrary
towards greater and greater truth but rather “a series relationship and difference?
of peaceful interludes punctuated by intellectually Post-structuralism has also influenced materialist
violent revolutions” (Foucault’s ‘ruptures’) in which theory or Marxism by providing a way of understanding
one point of view is replaced by another. (Think of the ideology and showing how important it is to the
difference between the Ptolomaic and Newtonian maintenance of any economic system. The union of
worlds.) So science’s claim to truth is highly post-structuralist and materialist theory produced
questionable and even ephemeral; since the truths of cultural theories and cultural studies, including, in
past science have passed away, we can be certain that literature, new historicism and cultural materialism,
what science claims today will itself one day be in which the goal is to understand cultures as both
superseded by the claims of a new paradigm, which material and discursive. In such theories, everything

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will itself one day be superseded. can be a text (a semitic system), everything can be
Edward Said (1935-2003) used post-structuralist ideas ‘read.’ But no one kind of text is privileged over
to analyze Orientalism, the study of the Orient by another. All texts are literary in a sense, as they are all
academics of the West. He showed how the academics produced in what we might call a self-conscious
and their disciplines constructed an object of study that manner. On the other hand, no self produces any text;

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had very little to do with the East (which is East, of there is no authorial intention; language speaks through
course, only in relationship to the West, a binary all of us, even the most ‘intentional’ author.
relationship in which one terms has more value than The influence of post-structuralism, particularly
the other). in its union with materialism, is what has produced
The theories inspired by Saussure’s linguistic the ‘cultural turn’ in the social sciences and humanities.

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theory have influenced every academic discipline And cultural criticism tends to be interdisciplinary, as
because they all bear on epistemology or what can be the questions it asks cannot be answered from within
known. If knowledge is relationship, a product of the old disciplinary boundaries. Any way, disciplines
societies, the medium of power, then academic themselves have been called into question by the
endeavour is not about the discovery of truth but rather foucauldian critique of discourses. We understand them
its construction. Furthermore, the methodologies we as social constructs rather than as taxonomies that arise
employ in our various academic endeavors are from the nature of things.

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